Advances in Emotion Regulation From Neur

ADVANCES IN EMOTION
REGULATION: FROM
NEUROSCIENCE TO
PSYCHOTHERAPY
EDITED BY : Alessandro Grecucci, Remo Job and Jon J. Frederickson
PUBLISHED IN : Frontiers in Psychology
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ISBN 978-2-88945-243-9
DOI 10.3389/978-2-88945-243-9 Office: [email protected]
Frontiers in Psychology 1 August 2017 | Emotion Regulation Neuroscience and Psychotherapy

ADVANCES IN EMOTION REGULATION: FROM
NEUROSCIENCE TO PSYCHOTHERAPY
Topic Editors:
Alessandro Grecucci, University of Trento, Italy
Remo Job, University of Trento, Italy
Jon J. Frederickson, Washington School of Psychiatry, United States and Intensive Short-Term
Dynamic Therapy Institute, United States
Emotions are the gift nature gave us to help us connect with others. Emotions do not come from
out of nowhere. Rather, they are constantly generated, usually by stimuli in our interpersonal
world. They bond us to others, guide us in navigating our social interactions, and help us care
for each other. Paraphrasing Shakespeare, “Our relationships are such stuff as emotions are
made of ”. Emotions express our needs and desires. When problems happen in our relationships,
emotions arise to help us fixing those problems. However, when emotions can become dysregu-
lated, pathology begins. Almost all forms of psychopathology are associated with dysregulated
emotions or dysregulatory mechanisms. These dysregulated emotions can become regulated
when the therapist helps clients express, face and regulate their emotions, and channel them
into healthy actions. This research topic gathers contributions from affective neuroscientists and
psychotherapists to illustrate how our emotions become dysregulated in life and can become
regulated through psychotherapy.
Citation: Grecucci, A., Job, R., Frederickson, J. J., eds. (2017). Advances in Emotion Regulation:
From Neuroscience to Psychotherapy. Lausanne: Frontiers Media. doi: 10.3389/978-2-88945-243-9

Table of Contents
05 Editorial: Advances in Emotion Regulation: From Neuroscience to Psychotherapy

Alessandro Grecucci, Jon Frederickson and Remo Job
Part 1: Advances in the Neurocognitive Mechanisms of Emotion Regulation

and Dysregulation
09 Abnormal Default System Functioning in Depression: Implications for Emotion
Regulation
Irene Messina, Francesca Bianco, Maria Cusinato, Vincenzo Calvo and Marco Sambin
19 Commentary: The Neural Bases of Emotion Regulation
Timothy R. Rice
22 The Association among Difficulties in Emotion Regulation, Hostility, and Empathy
in a Sample of Young Italian Adults
Anna Contardi, Claudio Imperatori, Ilaria Penzo, Claudia Del Gatto and Benedetto Farina
31 The Sex Differences in Regulating Unpleasant Emotion by Expressive Suppression:
Extraversion Matters
Ayan Cai, Yixue Lou, Quanshan Long and Jiajin Yuan
42 Axiom, Anguish, and Amazement: How Autistic Traits Modulate Emotional
Mental Imagery
Gianluca Esposito, Sara Dellantonio, Claudio Mulatti and Remo Job
51 Electrophysiological Correlates of Emotional Source Memory in High-Trait-Anxiety
Individuals
Lixia Cui, Guangyuan Shi, Fan He, Qin Zhang, Tian P. S. Oei and Chunyan Guo
Part 2: New Therapeutic Protocols to Foster Emotion Regulation in Psychotherapy

61 Emotion Regulation Therapy: A Mechanism-Targeted Treatment for Disorders of
Distress
Megan E. Renna, Jean M. Quintero, David M. Fresco and Douglas S. Mennin
75 Emotion Regulation in Schema Therapy and Dialectical Behavior Therapy
Eva Fassbinder, Ulrich Schweiger, Desiree Martius, Odette Brand-de Wilde and
Arnoud Arntz
94 Mindfulness and Emotion Regulation: Insights from Neurobiological, Psychological,
and Clinical Studies
Simón Guendelman, Sebastián Medeiros and Hagen Rampes
117 Online Coaching of Emotion-Regulation Strategies for Parents: Efficacy of the
Online Rational Positive Parenting Program and Attention Bias Modification
Procedures
Oana A. David, David Capris and Alexandra Jarda

127 Using Movement to Regulate Emotion: Neurophysiological Findings and Their
Application in Psychotherapy
Tal Shafir
133 Synchrony in Psychotherapy: A Review and an Integrative Framework for the
Therapeutic Alliance
Sander L. Koole and Wolfgang Tschacher
150 Tuned In Emotion Regulation Program Using Music Listening: Effectiveness for
Adolescents in Educational Settings
Genevieve A. Dingle, Joseph Hodges and Ashleigh Kunde

EDITORIAL
published: 21 June 2017
doi: 10.3389/fpsyg.2017.00985
Editorial: Advances in Emotion

Regulation: From Neuroscience to
Psychotherapy
Alessandro Grecucci 1*, Jon Frederickson 2, 3 and Remo Job 1
1
Clinical and Affective Neuroscience Lab, Department of Psychology and Cognitive Sciences, University of Trento, Rovereto,
Italy, 2 Washington School of Psychiatry, Washington, DC, United States, 3 ISTDP Institute, Washington, DC, United States
Keywords: emotion regulation, psychotherapy, affective neuroscience, memory reconsolidation
Editorial on the Research Topic
Advances in Emotion Regulation: from Neuroscience to Psychotherapy
OVERVIEW
Emotions are the gift nature gave us to help us connect with others. Emotions do not come from
out of nowhere. Rather, they are constantly generated, usually by stimuli in our interpersonal
world. They bond us to others, guide us in navigating our social interactions, and help us care
for each other. We love our partner, we get angry with a friend, we feel sad for the loss of a
parent, and so on... Paraphrasing Shakespeare “Our relationships are such stuff as emotions are made
of.” Within our relationships, emotions express our needs and desires. When problems happen in
our relationships, emotions arise to help us fixing such problems (Frederickson, 2013). However,
sometimes emotions can become dysregulated and pathology begin. It is now widely accepted
that almost all forms of psychopathologies are associated with specific dysregulated emotions
or dysregulatory mechanisms (Grecucci et al., 2016a). If it is true that problems occur within
relationships, it is also true that the solution occurs there. We are hurt in a relationship, and we
Edited and reviewed by:
are healed in a relationship. That is why and how psychotherapy works. Emotions that becomes
Beatrice de Gelder,
Maastricht University, Netherlands dysregulated inside our relationships, can become regulated in an ad hoc designed therapeutic
relationship where the therapist helps the client to express, face and regulate her/his emotions, and
*Correspondence:
Alessandro Grecucci
channel them into healthy actions. The idea behind this research topic is to gather contributions
[email protected] for the first time from both affective neuroscientists and psychotherapists to shed light on the ways
our emotions become dysregulated in life and can become regulated through psychotherapy. We
Specialty section: present novel approaches and strategies to regulate emotions that are strongly grounded in affective
This article was submitted to neuroscience and experimental research. We strongly believe it is time that researchers in affective
Emotion Science, science and clinicians make a collective effort to deepen the understanding and the practice of how
a section of the journal emotions can be usefully elaborated in clinical settings. The Topic is divided in two sections, the
Frontiers in Psychology first more experimental and the second more clinical.
Received: 17 April 2017
Accepted: 29 May 2017
Published: 21 June 2017
PART 1: ADVANCES IN THE NEUROCOGNITIVE MECHANISMS
Citation:
OF EMOTION REGULATION AND DYSREGULATION
Grecucci A, Frederickson J and Job R
(2017) Editorial: Advances in Emotion
The first section of the special issue starts with a reflection on the importance of distinguishing
Regulation: From Neuroscience to explicit emotion regulation based on conscious and effortful application of strategies from
Psychotherapy. Front. Psychol. 8:985. implicit emotion regulation based on automatically and unconsciously designed mechanisms
doi: 10.3389/fpsyg.2017.00985 (Rice). Parallels are made with the psychoanalytic concept of defense mechanisms as a form
Frontiers in Psychology | www.frontiersin.org June 2017 | Volume 8 | Article 985 | 5

Grecucci et al. Emotion Regulation Neuroscience and Psychotherapy
of implicit emotion regulation. Another aspect explored in emotions. The importance of mindfulness and mindfulness
this part is the role of empathy in mediating the association based therapy to produce emotion regulation (Grecucci et al.,
between difficulties in emotion regulation and hostility (Contardi 2015b) is also explored in this section (Guendelman et al.). The
et al.). Cai et al. explore how sex and extraversion modulate relevance for therapy of motor behavior, with its connection to
self-reported emotional experience in an ERP experiment. The proprioceptive and interoceptive mechanisms, is also discussed
authors suggest that there is a male advantage for using expressive (Shafir). Another paper explores the possibility of improving
suppression for emotion regulation in non-extraverted, ambivert parenting programs for behavioral disorders in children using
individuals. Deficits in the regulation of interpersonal emotions the Rational Positive Parenting Program (rPPP), a program
have been linked to severe psychiatric disorders. Understanding with a special focus on parent emotion-regulation functional
how patients experience and fail to regulate such emotions is reappraisal strategies, which has recently received consistent
of fundamental importance (Grecucci et al., 2015a). Depression support for reducing child externalizing and internalizing
is strongly characterized by difficulties in regulating unpleasant disorder (David et al.). Dingle et al. present evidence of Tuned
emotions. An intriguing psychodynamic hypothesis considers In, a new emotion regulation intervention that uses dedicated
depression as a failure in mother-infant interactions during music to evoke emotions in session and teaches participants
childhood that affects the construction of the representation emotional awareness and regulation skills. The special issue ends
of the self, others, and relationships. Messina et al. provide a with reflections on synchrony and psychotherapy, illustrating
link between abnormal activation of the default system in the the Interpersonal Synchrony (In-Sync) model of psychotherapy
brain observed in depression and the exaggerated negative self- (Koole and Tschacher). This model considers the alliance
focus and rumination that lead to emotion dysregulation in these between patient and client as grounded in the coupling of the
patients. Clinical implications are also discussed. patient’s and therapist’s brains. Because brains do not interact
Individuals with marked autistic traits display several directly, movement synchrony may help to establish inter-brain
features of social and emotion dysregulation. Imageability coupling.
ratings of word classes denoting proprioceptive, emotional,
and theoretical words predict whether people have low or
high autistic traits, or, to put it differently, whether they
TWO KEYS TO THE FUTURE OF THE
have more or less marked empathic inclinations (Esposito FIELD OF EMOTION REGULATION
et al.). People with anxiety disorders suffer from severe
emotion dysregulation and subsequent cognitive biases. Cui This area of research is young, complex, and challenging,
et al. explore how the emotional context affects successful but also exciting. While scientific evidence is slowly and
and unsuccessful source retrieval amongst high-trait- partially emerging, no general consensus has been reached
anxiety college students by using event-related potentials yet on how to interpret these early findings. Starting from
(ERPs). the papers in this issue, we propose two key questions that
scientists and clinicians may want to concentrate on in the near
future.
PART 2: NEW THERAPEUTIC PROTOCOLS
TO FOSTER EMOTION REGULATION IN Cognitive or Experiential Regulation of
PSYCHOTHERAPY Emotions?
In the widely accepted Cognitive Emotion Regulation (CER)
The ability to regulate emotions is essential for healthy model of Gross (1998), following classic Appraisal theory,
psychological functioning and is a key focus of psychotherapy. cognitive appraisals of events generate the emotional response.
Working actively with emotion has been empirically shown to Emotion dysregulation occurs due to the failure to apply
be of central importance in psychotherapy. Different therapeutic appropriate cognitive, attentive, and behavioral regulatory
models from different theoretical orientations have incorporated strategies. Cognitive behavioral therapies follow this model,
principles and techniques to work on dysregulated emotions. teaching patients to apply behavioral strategies (exposure
In this section, we present novel models of treatments to for example), attentional strategies (increasing attentional
regulate emotions that therapists can use in clinical practice. We flexibility), and cognitive strategies (cognitive restructuring)
start by presenting Emotion Regulation Therapy (ERT) (Renna (see Renna et al. this issue, for an example). An alternative
et al.), an evidence-based treatment that integrates contemporary emerging model, known as Experiential-Dynamic Emotion
psychotherapy modalities with basic and translational affective Regulation (EDER) (Grecucci et al., 2015a, 2016a), based on
science to offer a framework for improving emotion regulation Affective Neuroscience findings (Panksepp, 1998; Damasio,
in patients. Strategies, technique and clinical examples are 1999; Panksepp and Biven, 2012; Grecucci and Job, 2015),
provided to illustrate principles of ERT. Another promising posits that events trigger emotional responses prewired at birth
approach, namely Schema Therapy (Fassbinder et al.) is with inborn adaptive action tendencies. The brain regulates
presented for its potential to foster emotion regulation in emotions through a biological mechanism. Emotions rise in
severely disturbed patients (Dadomo et al., 2016). A comparison intensity, peak, and then go flat once the emotion adaptive
with Dialectical Behavior Therapy (Linehan, 1993) is made to action tendency has been expressed. The resulting shape of the
illustrate different ways the clinician can help patients to regulate affective experience is a Gaussian-like shape, proportional to

the intensity of the stimulus. This model posits that emotions and Einarsson, 2010; Ecker et al., 2013). This process is known
are not inherently dysregulated. Dysregulation results when as Memory Reconsolidation (Nader et al., 2000; Nader and
emotions are paired with excessive conditioned anxiety, or when Einarsson, 2010). The target emotional learning is reactivated in
affects are triggered by certain defensive strategies, both of a labile (plastic) state that allows the learning to be erased by
which lead to dysregulated-affective states (DASs) (Grecucci offering the experience of an opposite emotional experience (see
et al., 2015a, 2016a). To regulate DAS, the clinician regulates Ecker et al., 2012 for its clinical applications). We hypothesize
the dysregulating anxiety paired with the emotion or removes that once a Memory Reconsolidation process is reached in the
defenses which cause the dysregulated affects. These models offer therapeutic setting, the patient can bear the feelings his defenses
differing conceptualizations for: (1) the generation of emotional formerly warded off. Since the defense is no longer necessary,
response; (2) the causation of dysregulated affects; and (3) the it no longer provokes the dysregulated affects. Likewise, since
strategies for affect regulation (see Fassbinder et al. this issue, the patient is able to bear the formerly warded off feelings,
Dadomo et al., 2016; Grecucci et al., 2016b for applications). they no longer trigger the previous level of anxiety which
Research is needed to clarify these mechanisms and how to was dysregulating. As a result, the dysregulated affect and the
integrate them. We hypothesize that both processes act as associated mechanisms that produce the dysregulation cease to
a dual system to foster top-down (cognitive), and bottom- exist. Interestingly, different models of therapy (primarily, but
up (experiential) regulation. The clinician can choose moment not exclusively, experiential approaches) have recently arrived at
by moment whether affect regulation would be fostered best similar conclusions and implemented similar processes in their
by either top-down (cognitive) or bottom up (experiential) practice even before Memory Reconsolidation was discovered.
strategies. We believe all treatment modalities based on active working
and reworking of target emotional learnings (by means of
experiential techniques, such as mindfulness (Guendelman et al.),
What Are the Basic Neurocognitive psychodynamic therapy (Rice), and Schema Therapy (Fassbinder
Mechanisms Behind the Regulation of et al.) foster Memory Reconsolidation. Research is needed to
Emotions? understand the roles of extinction and memory consolidation
Before the 1990s, neuroscientists agreed that once an emotional in emotion regulation and how to foster them in therapeutic
learning took place, it was “forever” (LeDoux et al., 1989). settings.
The only possible means to “change” that learning was to
suppress it with a procedure known as extinction. Extinction AUTHOR CONTRIBUTIONS
offers new learning to decrease the conditioned response when
the conditioned stimulus is presented. We hypothesize that AG wrote this editorial, RJ and JF corrected it and added some
cognitive therapies (Renna et al.) rely mainly on extinction to observations.
foster emotion regulation through the use of new cognitive
strategies. However, extinction based approaches suffer from ACKNOWLEDGMENTS
relapse over time. Luckily, in 1997 evidence of a complete erasure
of emotional learning was experimentally provided (Roullet and AG has been supported by a grant awarded by the The
Sara, 1998; Przybyslawski et al., 1999; Nader et al., 2000; Nader Neuropsychoanalysis Foundation, New York, USA.
REFERENCES Grecucci, A., Pappaianni E., Siugzdaite, R., Thneuick, A., and Job, R. (2015b).
Mindful Emotion Regulation: Exploring the Neurocognitive Mechanisms
Dadomo, H., Grecucci, A., Giardini, I., Ugolini, E., Carmelita, A., and Panzeri, M. behind Mindfulness. BioMed Res. Int. 2015:670724. doi: 10.1155/2015/670724
(2016). Schema Therapy for Emotional Dysregulation: Theoretical Implication Grecucci, A., Recchia, L., and Fredericson, J. (2016b). For a methodology of
and Clinical Application. Front. Psychol. 7:1987. doi: 10.3389/fpsyg.2016.01987 emotion regulation based on psychodynamic principles. Int. J. Psychoanal.
Damasio, A. (1999). The Feeling of What Happens: Body and Emotion in the Making Educ. 8, 4–13.
of Consciousness. New York, NY: Harcourt Press. Grecucci, A., Thneuick, A., Frederickson, J., and Job, R. (2015a). “Mechanisms of
Ecker, B., Ticic, R., and Hulley, L. (2012). Unlocking the Emotional Brain: social emotion regulation: from neuroscience to psychotherapy,” in Emotion
Eliminating Symptoms at Their Roots Using Memory Reconsolidation. Regulation: Processes, Cognitive Effects and Social Consequences, ed M. L. Bryant
Routledge. (New York, NY: Nova Publishing), 57–84.
Ecker, B., Ticic, R., and Hulley, L. (2013). A primer on memory reconsolidation Gross, J. J. (1998). The emerging field of emotion regulation: an integrative review.
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Publishing. Nader, K., Schafe, G. E., and LeDoux, J. E. (2000). Fear memories require protein
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Panksepp, J. (1998). Affective Neuroscience: the Foundations of Human and Animal Conflict of Interest Statement: The authors declare that the research was
Emotions. Oxford: Oxford University Press. conducted in the absence of any commercial or financial relationships that could
Panksepp, J., and Biven, L. (2012). The Archaeology of Mind: Neuroevolutionary be construed as a potential conflict of interest.
Origins of Human Emotions. New York, NY: W. W. Norton & Company.
Przybyslawski, J., Roullet, P., and Sara, S. J. (1999). Attenuation of emotional Copyright © 2017 Grecucci, Frederickson and Job. This is an open-access article
and nonemotional memories after their reactivation: Role of beta adrenergic distributed under the terms of the Creative Commons Attribution License (CC BY).
receptors. J. Neurosci. 19, 6623–6628. The use, distribution or reproduction in other forums is permitted, provided the
Roullet, P., and Sara, S. (1998). Consolidation of memory after its reactivation: original author(s) or licensor are credited and that the original publication in this
involvement of beta noradrenergic receptors in the late phase. Neural Plast. 6, journal is cited, in accordance with accepted academic practice. No use, distribution
63–68. doi: 10.1155/NP.1998.63 or reproduction is permitted which does not comply with these terms.

MINI REVIEW
doi: 10.3389/fpsyg.2016.00858
Abnormal Default System

Functioning in Depression:
Implications for Emotion Regulation
Irene Messina *, Francesca Bianco, Maria Cusinato, Vincenzo Calvo and Marco Sambin
Department of Philosophy, Sociology, Pedagogy and Applied Psychology, University of Padova, Padova, Italy
Depression is widely seen as the result of difficulties in regulating emotions. Based

on neuroimaging studies on voluntary emotion regulation, neurobiological models
have focused on the concept of cognitive control, considering emotion regulation
as a shift toward involving controlled processes associated with activation of the
prefrontal and parietal executive areas, instead of responding automatically to emotional
stimuli. According to such models, the weaker executive area activation observed in
depressed patients is attributable to a lack of cognitive control over negative emotions.
Going beyond the concept of cognitive control, psychodynamic models describe the
development of individuals’ capacity to regulate their emotional states in mother-infant
interactions during childhood, through the construction of the representation of the self,
others, and relationships. In this mini-review, we link these psychodynamic models with
Edited by: recent findings regarding the abnormal functioning of the default system in depression.
Alessandro Grecucci, Consistently with psychodynamic models, psychological functions associated with the
University of Trento, Italy
default system include self-related processing, semantic processes, and implicit forms
Reviewed by:
Eric S. Allard,
of emotion regulation. The abnormal activation of the default system observed in
Cleveland State University, USA depression may explain the dysfunctional aspects of emotion regulation typical of the
Steven Grant Greening,
condition, such as an exaggerated negative self-focus and rumination on self-esteem
Louisiana State University, USA
issues. We also discuss the clinical implications of these findings with reference to the
*Correspondence:
Irene Messina therapeutic relationship as a key tool for revisiting impaired or distorted representations
[email protected] of the self and relational objects.
Specialty section: Keywords: depression, default system, emotion regulation, self, psychodynamic, psychotherapy, neuroimaging
This article was submitted to
Emotion Science,
a section of the journal INTRODUCTION
Frontiers in Psychology
Received: 30 March 2016 Depression is generally considered as the outcome of difficulties in regulating emotions (for reviews
Accepted: 24 May 2016 see Campbell-Sills and Barlow, 2007; Aldao et al., 2010). When dealing with their own emotions,
Published: 10 June 2016 depressed individuals tend to ruminate on (Nolen-Hoeksema, 2000; Garnefski and Kraaij, 2006),
Citation: avoid or suppress thoughts and emotions associated with negative events (Wenzlaff and Rude,
Messina I, Bianco F, Cusinato M, 2002; Campbell-Sills et al., 2006), whereas a reappraisal of the event from a different perspective
Calvo V and Sambin M (2016)
(Gross, 2002; Webb et al., 2012) or a non-judgmental acceptance (Liverant et al., 2008; Kohl et al.,
Abnormal Default System Functioning
2012) would be more effective for the purpose of containing negative emotional activation and
in Depression: Implications
for Emotion Regulation. its physiological correlates. Given its importance for psychological wellbeing, emotion regulation
Front. Psychol. 7:858. is attributed a key role in psychological treatments for depression (Messina et al., 2013; Grecucci
doi: 10.3389/fpsyg.2016.00858 et al., 2015).

Messina et al. Abnormal Default System in Depression
Within the emerging field of affective neuroscience, the tasks (Raichle et al., 2001a; Raichle and Snyder, 2007). Research
concept of voluntary emotion regulation has been widely on resting state activity has also been applied to investigating
used to explain the findings of functional neuroimaging emotional disorders, comparing the resting-state brain signals
studies conducted to elucidate the neural correlates of affective of patients and healthy subjects (Broyd et al., 2009; Whitfield-
dysfunctions (for reviews, see Taylor and Liberzon, 2007; Gabrieli and Ford, 2012). This field of research is generating new
Menon, 2011). These studies have amply documented that lines of inquiry for neurobiological models of emotion regulation
individuals suffering from depression have a decreased activation and their application to interpreting the brain correlates of
of prefrontal cortex areas involved in executive control (including emotional disorders. In the present mini-review, we address this
the dorsolateral prefrontal cortex – dlPFC –, and the dorsal issue by examining the findings on the abnormal functioning of
anterior cingulate cortex – dACC), suggesting a weaker top– resting-state brain activity in depressed patients. We specifically
down control over their emotional reactivity deriving from the consider these findings in the light of clinical concept, coming
activation of limbic structures such as the amygdala (Drevets, from psychodynamic tradition, which underscore the role of
2001; Siegle et al., 2007). This interpretation is in line with fMRI internal representations of the self and others in emotion
studies concerning the neural correlates of emotion regulation dysregulation.
that have revealed an increased activation of the prefrontal areas
and a decreased activation of the amygdala in tasks involving
the cognitive control of emotions by comparison with the PSYCHOLOGICAL MECHANISMS:
spontaneous response to emotional stimuli (Ochsner and Gross, INTERNAL REPRESENTATIONS AND
2005; Buhle et al., 2014). Even if other authors have found that EMOTION REGULATION
depressed individuals can display impaired emotion regulation
despite preserved recruitment of dlPFC (Greening et al., 2014) While the neurobiological models have conceptualized emotion
and increased dlPFC recruitment during emotion regulation regulation as a form of cognitive control, the psychodynamic
attempts (Johnstone et al., 2007), the emotion dysregulation seen tradition has concentrated more on investigating how individuals
in depression is consistently interpreted as a lack of cognitive develop the ability to regulate their emotions in the course
control over emotional states (see Figure 1, the part in red, of their childhood, collecting evidence of the importance
for a graphic representation of the executive areas involved in to emotion regulation of constructing a representation of
voluntary emotion regulation). the self and of relationships with others in their primary
In addition to investigating brain activity in response to relationships. This interest is apparent in the works of Ferenczi
stimuli or during cognitive tasks, neuroscientists have become (1933), Spitz (1945, 1965), Freud (1955), Bion (1959, 1967),
increasingly interested in the brain’s intrinsic activity in resting Winnicott (1965), and Freud and Burlingham (1974), among
state. Studying resting state activity has led to the identification others. These authors take the view that emotion regulation
of the “default system,” a set of regions – including the ventral in infants depends on their caregivers’ contingent responses
medial prefrontal cortex (vmPFC), the posterior cingulate cortex (on “good enough” parenting; Winnicott, 1965). For instance,
(pCC), the posterior parietal lobe, and the lateral, inferior and Bion (1967) pointed out the caregivers’ important role in the
medial temporal cortices (see Figure 1, in blue) – that are usually infants’ acquisition of a comprehension and containment of
activated at rest and deactivated during cognitively effortful their inner world through the transformation of the infant’s
FIGURE 1 | Graphical representation of foci of perfusion reported in association with depression. Graphical representation of foci of brain activity reported
in studies that have compared depressed patients and healthy controls (in yellow decreased activations, in violet increased activations), located in executive areas [in
red, retrieved from http://neurosynth.org/; (Yarkoni et al., 2011)], and default system (Raichle et al., 2001b).

projected psychological experience in a “metabolized” form. to minimize physical, cognitive, and emotional distance from
Children can thus internalize the mother’s function and, others; (ii) strategies based on deactivation of the attachment
with time, they learn to regulate their negative affective system, featuring the creation of emotional distance from
states. others, avoidance of intimacy, and the suppression of negative
Internalizing the mother’s function coincides with a self- feelings and memories. In the attachment literature, there is
building process described by Kernberg (1976) as the product large evidence of depressive symptoms being associated with
of introjection and identification of the child’s significant the chronic use of secondary emotion regulation strategies
relationship with the mother. Failure to achieve an interpersonal (Cole-Detke and Kobak, 1996; Rosenstein and Horowitz, 1996;
regulation in the mother-infant interaction may interfere with the Mickelson et al., 1997; Malik et al., 2015).
construction of the self, and of its regulatory functions. Winnicott Recent contributions to this line of research have shown
(1967) and Kohut (1971) used the term “weakened self ” to that the mirroring function of their attachment figures enables
describe the effects of a caregiver’s incongruous mirroring that children to internalize the ability to think for themselves
oblige children to internalize distorted parental representations, and perceive themselves as a thinking entity, a process called
which take the place of their subjective experience, preventing “mentalization” (Fonagy et al., 2007, 2011). In conditions of
them from regulating that subjective experience. This is also attachment security, children’s affective states are accurately
implicit in Kernberg’s (1976) model, according to which a (but not overwhelmingly) reflected back to them, whereas
lack of differentiation between the internal representations of attachment insecurity and a lack of mirroring interfere with this
the self and others is an important factor contributing to mentalization process, giving rise to emotional disorders (Fonagy
emotional instability. With specific regard to depression, a and Target, 1997; Bateman and Fonagy, 2004).
mother’s inadequate mirroring function induces the child to
internalize a rigid or even sadistic super-ego that implies a poor
self-representation in which the subject feels helpless (Kohut, NEURAL MECHANISMS: THE DEFAULT
1971, 1977; Kohut and Wolf, 1978). SYSTEM IN EMOTION REGULATION
The assumption that an individual’s internal representation
of the self and others is important to emotion regulation While psychodynamic models of emotion regulation emphasize
has been the object of empirical investigation in the field of the importance of the internal representation of the self
attachment theory (Bowlby, 1969, 1973, 1980). The attachment and others in explaining emotional disorders, neuroscience
patterns characterizing the relationship between children and has concentrated more on emotion regulation as a form of
their caregivers can be seen as a particular form of dyadic cognitive control, neglecting the importance of the semantic
regulation, in which the infant experiences the caregiver’s representations on which controlling processes may act.
emotional availability (Cassidy, 1994). Within the primary Considering the default system in association with emotion
relationship, adaptive emotion regulation strategies are learned dysregulation can compensate for this shortcoming.
by building “internal working models” (IWM; Bowlby, 1969),
which are mental representations of the self and others based Default System Functions Linked to
on the child’s daily experiences and expectations regarding Emotion Regulation
a given caregiver’s response to attachment behavior. When The main feature of the default system is that it is activated
the primary attachment figure is available and responsive to during rest (Raichle et al., 2001a; Raichle and Snyder, 2007). It
their needs, infants develop a sense of attachment security has been amply documented that, in the absence of a task that
characterized by IWM that include positive beliefs regarding demands voluntary attention, the mind usually tends to wander
the self and others, the accessibility of others and their ability (Mason et al., 2007). Activation of the default system is generally
to alleviate distress, thus shaping affect regulation in the event anti-correlated with activation of the executive areas (Fox et al.,
of distress (Feeney and Cassidy, 2003; Fraley et al., 2006). 2005), a situation reflecting the opposition between internal
But if infants have caregivers who are inconsistent and fail (default system) and external (executive functions) addressed
to respond adequately to their attachment needs, they develop attention.
a sense of attachment insecurity characterized by IWM that In task-related studies, activation of the default system has
include negative representations of the self, low self-esteem been associated with cognitive tasks that include aspects of
and parenting self-esteem (Calvo and Bianco, 2015), difficulty self-representation (Northoff et al., 2006) and self-projection,
in relying on others when their own emotional resources described as the capacity to project oneself mentally from the
are insufficient, low dyadic adjustment, and loneliness (Shaver present into the past or future, but also from other people’s
and Hazan, 1987; Kobak and Sceery, 1988; Sroufe, 2005). perspectives (Buckner and Carroll, 2007; Spreng et al., 2009).
In recent years, insecure attachment has been quantitatively Self-projection underlies several processes that may be associated
operationalized in terms of self-reported anxiety and avoidance with emotional dysregulation, such as access to autobiographical
in adult attachment relationships (Brennan et al., 1998), which memories (self-projection into the past) or future plans (self-
imply two different maladaptive affect regulation strategies, projection into the future), but also with empathy and theory
called “secondary strategies” (Mikulincer et al., 2003; Shaver and of mind (self-projection from others’ perspectives). In line with
Mikulincer, 2007): (i) strategies based on over-activation of the psychodynamic theory and research showing the importance of
attachment system, including relational overdependence, desire self-representation for emotion regulation, the evidence of the

default system being activated in self-related processes suggests et al., 2010). These results are consistent with the neurobiological
its involvement in emotion regulation. Intriguingly, the overlap model of emotion regulation that postulates a weaker cognitive
between brain structures that are activated for self-representation control of emotions in depression.
and in theory of mind (Saxe et al., 2006) seems to confirm the In addition to the prefrontal-subcortical network of voluntary
psychodynamic view of a common source for the representations emotion regulation, studies on resting-state brain activity have
of the self and others constructed in infants’ primary relationships reported foci of increased activation located in the anterior part
with their caregivers. of the default system, extending from the subgenual ACC to
Another point in common with the psychodynamic models the anterior portion of the ACC or the vmPFC (Drevets, 2001;
is the similarity between the default system and the semantic Kennedy et al., 2001; Duhameau et al., 2010), and also to posterior
system, a set of regions activated by the retrieval and portions of the default system such as the PCC and precuneus
manipulation of conceptual knowledge gained from capturing (Lui et al., 2009; Monkul et al., 2012). Judging from evidence
regularities in the outside world (Binder et al., 2009). Semantic of how the default system functions, these results may suggest
memory may include more complex representations of clinical a greater negative self-focus and attention to internal thoughts
relevance, however, such as those of relationships governing in depressed patients than in controls, coinciding with the
social interactions (Zahn et al., 2007), and representations rumination processes characteristic of depression. Consistently
of the self (Lou et al., 2004). In this setting, IWM can be with this hypothesis, increased default system activation has been
seen as an example of representations that capture regularities associated to individual differences in maladaptive rumination
in interpersonal relationships. Indeed, semantic areas are (Hamilton et al., 2011). In psychodynamic terms, this rumination
modulated by the exposition to attachment-related experimental can be described as an “internal dialog”: if they have failed
stimuli, such as familiar faces (Gobbini et al., 2004) or of to mentalize some emotional states (which are often relational
attachment eliciting pictures (Buchheim et al., 2006). needs that have been not mirrored in primary relationships),
The activation of semantic areas is commonly described in individuals use forms of emotion regulation based on suppression
voluntary emotion regulation studies, such as reappraisal (Buhle or avoidance (“defense mechanisms” in psychodynamic terms–
et al., 2014; Messina et al., 2015), but also in association with Freud, 1967), instead of mentalizing their emotional responses
implicit forms of regulation in which executive functions are flexibly to suit their relational needs.
not involved, such as spontaneous avoidance (Benelli et al.,
2012). Psychotherapeutic action has also been found associated
with changes in semantic area activation (Messina et al., 2013). Clinical Implications: Therapy and
Going beyond the concept of emotion regulation as a form of Changing Internal Representations
cognitive control, recent recent contributions have begun to take If representations of the self and others are constructed within
into consideration the importance of semantic representation on a close relationship, these internal representations may also
which controlling processes may act (Blair and Mitchell, 2009; be changed by means of a close relationship. The therapeutic
Buhle et al., 2014; Greening et al., 2014). According to recent relationship can be seen as a relational context in which patients
models, semantic areas may play a key role in emotion regulation act out their attachment patterns and can make changes to
by conveying information about motivational priorities and the internal representations of the self and others (Lyddon and
facilitating processing of behaviorally relevant inputs (see Viviani, Sherry, 2001; Dales, 2008). Researchers have provided strong
2013, 2014; Messina et al., 2015). empirical evidence of the outcome of psychotherapy being
mediated by the quality of the therapeutic relationship (Horvath,
2002), with includes the therapist’s empathy (Burns and Nolen-
Abnormal Default System Activity in Hoeksema, 1992; Elliott et al., 2011) and ability to engage
Depression the patient in a therapeutic alliance (Martin et al., 2000). The
Due to the default system’s involvement in the self-related importance of therapeutic relationships is a factor spanning all
processing and semantic representation of repeated past psychotherapy techniques (Meares et al., 2005; Norcross and
experiences, an abnormal default system activity should be Lambert, 2011).
expected in depressed patients. Several studies have tried to In psychodynamic psychotherapy, the work on internal
clarify the specificity of resting-state brain functioning in representations of the self and others is also expressed in specific
depression, using positron emission tomography (PET) or the techniques that aim to explore how patients’ internal models
perfusion MRI technique known as arterial spin labeling (ASL). influence their relationship with the therapist in order to arrive
The methodological features of these studies are listed in Table 1. at cognitive but also emotional insights on the influence of their
Both PET and ASL studies have produced evidence of less primary relationships on their current relationships. The most
activity in the frontal executive areas of the brains of depressed popular example is transference interpretation (Freud, 1912).
patients compared with healthy controls, especially in the dlPFC An evolution of transference interpretation is the “triangle of
(Mayberg et al., 1997; Kennedy et al., 2001; Lui et al., 2009; insight” (Menninger, 1958), widely used in brief psychodynamic
Monkul et al., 2012), but also in the dACC (Mayberg et al., 1997; psychotherapy (Malan, 1976; Davanloo, 1980), but with potential
Monkul et al., 2012) (see Figure 1). A greater activation has also applications also in other psychotherapeutic approaches. Using
often been reported in subcortical areas, including the amygdala, the triangle of insight, therapists and patients observe together
in depressed patients (Drevets, 2001; Lui et al., 2009; Duhameau how past experiences (the first vertex of the triangle) influence

Frontiers in Psychology | www.frontiersin.org
Messina et al.
TABLE 1 | List of studies on resting state in depression.
Studies Experimental design N Patients details Depression Increased Decreased activation Positive Negative correlation with
measure activation in in depression correlation with depression
depression depression
Drevets et al., PET 13 DD >3 weeks medication HDRS L/R DMPFC L/R occipitalcortex Amygdala L PFC
1992 40 s washout L VLPFC R medialtemporalgyrus
Eyes closed and relax 33 HC L MPFC R/L medial caudate
RL amygdala and
other subcortical
areas
Mayberg et al., PET 18 DD Treatment with HAMD – R/L anterior cingulated – –
1997 40 min antidepressant medications R/L anterior insula
Eyes closed, ears 15 HC R/L premotor cortex
uncovered, and resting R/L DLPFC
state R/L IPL
R/L inferiortemporal
Brody et al., PET 13 DD >4 weeks Medication HAMD LR anterior inferior R/L DLPFC – –
2001 40 min washout GDS temporal L/R dorsal caudate
Resting not specified 24 HC L/R thalamus
Saxena et al., PET 27 DD No antidepressant HDRS L/R Thalamus L hippocampus – L hippocampus
2001 40 min medications GAS
Eyes and ears open 17 HC SADS-L
Videbech et al., PET 42 DD Treatment with HDRS R hippocampus – – –
2001 15 min antidepressant medications L cerebellum
Relax and look at a 47 HC included L occipito-temporal
tread-cross on a computer gyrus
monitor
Kennedy et al., PET 13 DD >2 weeks medication HDRS R sgACC L DLPFC – –
2001 35 min washout R ventral striatum
Resting not specified
Dotson et al., PET 34 HC Older males CES-D – – – Precentral gyrus
2009 (1)∗ 60 s Treatment with VLPFC
Resting not specified antidepressant medications Temporal pole
included Cerebellum
L IPL
Abnormal Default System in Depression

Dotson et al., PET 26 HC Older females CES-D – – L/R IPL cerebellum
June 2016 | Volume 7 | Article 858 | 13
2009 (2)∗ 60 s Treatment with L Angular gyrus R VLPFC

Resting not specified antidepressant medications L middle occipital R inferior temporal gyrus
included gyrus R orbitofrontal gyrus
R middle occipital gyrus
insula
R IPL
R middle temporal gyrus
(Continued)
Messina et al.
TABLE 1 | Continued
Studies Experimental design N Patients details Depression Increased Decreased activation Positive Negative correlation with
measure activation in in depression correlation with depression
depression depression
Monkul et al., PET 20 DD No antidepressant HDRS PCC ACC Thalamus DLPFC

2012 10 sessions of 50 s 10 medications Caudate DLPFC Putamen VLPFC
Resting (eyes closed 21 HC Parahippocampal VLPFC ACC
and rest) gyrus
Roffman et al., PET 16 DD Treatment with HAMD – – R insula –
2014 15 min antidepressant medications Precuneus
Resting (not specified)
Lui et al., 2009 ASL 24 DD Recurrent depressive HAMD – L DLPFC –
(1)∗ Resting (eyes closed 42 HC disorder CGISS L occipital lobe
and relax) No antidepressant R VLPFC
medications L/R thalamus
Lui et al., 2009 ASL 37 DD Non recurrent depressive HAMD R/L occipital lobe L DLPFC – –
(2)∗ Resting (eyes closed 42 HC disorder CGISS R amygdala and
and relax) No antidepressant other subcortical
medications areas
PCC/precuneus
Duhameau ASL 6 DD Drug resistant and chronic HDRS R sgACC – – –
et al., 2010 4 min depression L sgACC
Resting (not specified) 6 HC Treatment with Corpus callosum
antidepressant medications L DMPFC
L ACC
L amygdala and
other subcortical
areas
Orosz et al., ASL 22 DD Treatment with BDI – – – PCC
2012 12 min antidepressant medications HAMD IPL
Resting 22 HC MADRS
Abnormal Default System in Depression

June 2016 | Volume 7 | Article 858 | 14
∗ We reported separately different comparison published in the same article. DD, Depressive Disorder patients; HC, healthy controls; BDI, Beck Depression Inventory (Beck et al., 1961); HAMD, Hamilton Depression
Rating Scale (Hamilton, 1960); MADRS, Montgomery-Asberg Depression Rating (Montgomery et al., 1985); GDS, Geriatric Depression Scale (Brink et al., 1982); CGISS, Clinical Global Impression of Severity scale (Guy,
1976). (Hamilton, 1960; Beck et al., 1961; Guy, 1976; Brink et al., 1982; Montgomery et al., 1985; Drevets et al., 1992; Mayberg et al., 1997; Brody et al., 2001; Kennedy et al., 2001; Saxena et al., 2001; Videbech
et al., 2001; Dotson et al., 2009; Lui et al., 2009; Duhameau et al., 2010; Monkul et al., 2012; Orosz et al., 2012; Roffman et al., 2014).
current life experiences (the second vertex), and are manifested with depression, consistently with the observation of negative
in the here-and-now of the therapeutic relationship (the self-focus and rumination in such patients. In line with clinical
third vertex). In the following transcript of psychotherapy models coming from psychodynamic theory, these difficulties
intervention, we provide an example of the triangle of insight in in emotion regulation can be seen as associated with the
Intensive Transactional Analysis Therapy: existence of rigid, negative internal representations of the self and
others. Considering such processes in neurobiological models
T: What’s the problem? (current problem) of emotion dysregulation helps us to build bridges between
P: Well. . . I have a lot of anxiety when I have to speak in front of the theories behind clinical psychology and neuroscience.
lots of people Several gaps remain, however, in this attempt at integration.
T: Even now? (Therapist links patient’s current life experience One question remaining to be answered concerns how
with the here-and-now of the therapeutic relationship) processes of cognitive control and internal representation
P: Yes of the self and others interact in engendering rumination
T: Okay! Where is this anxiety? and avoidance instead of adaptive strategies for regulating
P: Here (points to chest). My heart is racing and I am sweating emotions. With this in mind, future studies should clarify
T: Your heart is racing. . .and. . .is something else that is how individual differences in default system activation, and
happening? this system’s correlations with other brain networks are
P: Eh. . . I have confusion in my head associated with the complexity and flexibility of internal
T: Do you have confusion now? representation.
P: (nods)
T: Can you explain what this confusion is. . . (Therapist continues
the exploration of third vertex of triangle of insight and AUTHOR CONTRIBUTIONS
patient’s emotion regulation)
IM conceived the review and wrote the sections “Introduction,”
“Neural mechanisms,” and “Conclusion” of the manuscript. FB
Conclusion, Outstanding Questions, and wrote “Psychological mechanisms” and MC wrote “Clinical
Future Directions implications”. VC and MS supervised the manuscript.
All authors listed, have made substantial, direct and
The core idea emerging from the present mini-review is intellectual contribution to the work, and approved it for
that the default system is abnormally activated in patients publication.
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Conflict of Interest Statement: The authors declare that the research was publication in this journal is cited, in accordance with accepted academic practice.
conducted in the absence of any commercial or financial relationships that could No use, distribution or reproduction is permitted which does not comply with these
be construed as a potential conflict of interest. terms.

GENERAL COMMENTARY
published: 31 March 2016
doi: 10.3389/fpsyg.2016.00476
Commentary: The Neural Bases of

Emotion Regulation
Timothy R. Rice *
Psychiatry, Icahn School of Medicine at Mount Sinai, New York, NY, USA
Keywords: defense mechanisms, implicit emotion regulation, psychodynamic psychotherapy, psychoanalysis,

child development
A commentary on
The Neural Bases of Emotion Regulation

by Etkin, A., Büchel, C., and Gross, J. J. (2015) Nat. Rev. Neurosci. 16, 693–700. doi: 10.1038/nrn4044
Amit Etkin, Christian Büchel, and James Gross make a valuable contribution in their article “The
neural bases of emotion regulation” in the November 2015 issue of Nature reviews: Neuroscience
(Etkin et al., 2015). Their review article concludes a process of gradual elevation of implicit emotion
regulation to an equal footing with explicit emotion regulation. Whereas, explicit processes of
emotion regulation refers to those that demand conscious, effortful application, implicit refers
to those that proceed automatically and unconsciously. In this commentary, I suggest that the
increased recognition and neural definition of implicit emotion regulation processes offers a unique
Edited by: opportunity for psychodynamic psychotherapy. The postulated equivalence of defense mechanisms
Alessandro Grecucci, with implicit emotion regulation (Rice and Hoffman, 2014) extends an opportunity to ground a key
Department of Cognitive Science and psychodynamic construct in defined neural correlates.
Education, Italy
Etkin and colleagues’ article is not the first time that the implicit emotion regulation construct
Reviewed by: has been identified. In a 2011 article Etkin’s group introduced “two theoretical and empirical
Stefan Sütterlin,
spheres that organize different areas of emotion regulation and label these as ‘explicit’ and ‘implicit”’
Lillehammer University College,
(Gyurak et al., 2011). The authors note that there was some precedent to this organization in the
Norway
Eric S. Allard, work of Bargh and Williams’ conceptualizations of effortful and automatic processes (Bargh and
Cleveland State University, USA Williams, 2007), a work preceded by Bargh’s early interests in automaticity in social cognition
Steven Grant Greening, (Bargh, 1994). The organization of Bargh and Williams’ work parallels those of Susan Andersen and
Louisiana State University, USA others, where the study of transference phenomenon and other unconscious processes developed a
*Correspondence: valuable scientific base to key psychodynamic principles (Berk and Andersen, 2000; Andersen and
Timothy R. Rice Przybylinski, 2012).
[email protected] The explicit-implicit distinction offers a similar opportunity for the psychodynamic construct
of defense mechanisms. Gross notes that past studies of emotion regulation include Freud’s studies
Specialty section: of how people unconsciously defend against anxiety-inducing impulses (Gross, 2013). Etkin and
This article was submitted to colleagues’ valuation of implicit process emphasizes these unconscious processes as central to
Emotion Science,
the field of neurobiological study of emotion regulation. The distinction between ventromedially-
a section of the journal
Frontiers in Psychology mediated implicit processes and more dorsolaterally-mediated explicit processes in the prefrontal
cortex offers a means to observe these distinct unconscious processes. Because implicit emotion
Received: 07 February 2016
regulation is postulated to be equivalent to defense mechanisms (Rice and Hoffman, 2014), a key
Accepted: 17 March 2016
Published: 31 March 2016 psychodynamic construct gains a neural signature and a valuable place in the study of the affective
neurosciences. Establishing brain-based, neurobiological correlates to traditionally psychological
Citation:
Rice TR (2016) Commentary: The
constructs advances the goals of the Research Domain Criteria (RDoC) project (Insel et al., 2010)
Neural Bases of Emotion Regulation. and furthers the rapprochement between psychodynamics and contemporary medicine.
Front. Psychol. 7:476. Implicit regulation originates in the inhibitory action of the ventral prefrontal cortex (vPFC),
doi: 10.3389/fpsyg.2016.00476 which includes the orbitofrontal cortex (OFC), ventromedial PFC (vmPFC), and ventral anterior
Frontiers in Psychology | www.frontiersin.org March 2016 | Volume 7 | Article 476 | 19

Rice Commentary: The Neural Bases of Emotion Regulation
cingulate cortex (vACC; Etkin et al., 2013). Bidirectional the scientific works of Etkin, Bargh, and Gross unique and
inhibitory action from these centers modulates lower valuable.
brain structures including the amygdala, ventral striatum, The relative isolation of the child psychoanalytic literature
hypothalamus, and brainstem nuclei. These pathways are distinct may have served to hinder awareness of the parallels between
from those in explicit emotion regulation that originate in areas defense mechanisms and implicit emotion. This may have
including the dorsal anterior cingulate cortex (dACC) and the prevented the spread of established therapeutic interventions
dorsolateral PFC (dPFC). The successful modulation of these focused on defense mechanisms beyond psychoanalytic
limbic and visceromotor centers by these PFC regulators leads circles. The operationalization of defense analysis into a
to decreased sympathetic arousal and increased parasympathetic manualized, short-term psychotherapy termed Regulation
or vagal tone (Lane et al., 2009). This results in a measurable Focused Psychotherapy for Children (RFP-C; Hoffman et al.,
neurochemical state of phenotypic calmness. 2016) is one means to interface this therapeutic intervention
Regional differentials in synaptogenesis, myelination, and targeting implicit ER with contemporary models of health care
pruning create earlier maturity in ventral as opposed to dorsal provision. This approach maintains focus on the disruptive
areas (Fuster, 2002), leaving children and adolescents without child’s aggression as maladaptive defense mechanisms against
explicit cognitive emotional controls (Casey et al., 2011). sadness, loss, loneliness, and trauma. The approach helps the
Normative development in the implicit ER system thus may be child to recognize that the feared feelings will not overwhelm
extremely important in children to promote self-regulation when him or her, and that alternative strategies are available. Through
the neurobiological substrates to employ explicit ER are lacking. this approach children develop a wider range of adaptive defense
Operationalized defense analysis may progress implicit ER mechanisms and employ them more flexibly, leading to health
development. Contributions beyond Freud, particularly those and developmental progression (Hoffman, 2007).
made in the subspecialty of child and adolescent psychoanalysis, The observed parallels between defense mechanisms and
make the parallel between implicit emotion regulation and the implicit emotion regulation system (Rice and Hoffman,
defense mechanisms clear. Sigmund Freud’s daughter Anna 2014) enable us to hypothesize that this manualized procedure
significantly developed the defense mechanism construct (Freud, will strengthen implicit emotion regulation processes. Children
1936). The shift from understanding defenses as protecting who participate in the treatment will show improvements in
against theoretical, immeasurable drives to protecting against validated measures of emotion regulation. Further elaboration
observable and measurable affective states occurred through of the implicit emotion regulation system and its neural
the groundbreaking work of Bornstein (1945, 1949) and the correlates and of this psychodynamic treatment may one day
subsequent generational line of child analysts to the present enable measurement of change at the neural system level,
(Becker, 1974; Hoffman, 2007). This shift and its contemporary through electroencephalogram or functional magnetic resonance
acceptance emphasize that children employ a range of defenses imaging. The affective neurosciences offer rich opportunities for
to help themselves tolerate unbearable, discomforting feelings. psychodynamic psychiatry, and Etkin and colleague’s work offer
The parallels between implicit emotion regulation and defense a special one for defense analysis.
mechanisms is quite clear.
To date, no author has offered a biological substrate to AUTHOR CONTRIBUTIONS
defense mechanisms, though broader efforts at defining the
neural bases of the dynamic unconscious have been made (Berlin, The author confirms being the sole contributor of this work and
2011). This makes this contribution that is made possible by approved it for publication.
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Rice Commentary: The Neural Bases of Emotion Regulation
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Hoffman, L., Rice, T., and Prout, T. (2016). Manual for Regulation-Focused Conflict of Interest Statement: The author declares that the research was
Psychotherapy for Children with Externalizing Behaviors (RFP-C): A conducted in the absence of any commercial or financial relationships that could
Psychodynamic Approach. New York, NY: Routledge. be construed as a potential conflict of interest.
Insel, T., Cuthbert, B., Garvey, M., Heinssen, R., Pine, D. S., Quinn, K.,
et al. (2010). Research domain criteria (RDoC): toward a new classification Copyright © 2016 Rice. This is an open-access article distributed under the terms
framework for research on mental disorders. Am. J. Psychiatry 167, 748–751. of the Creative Commons Attribution License (CC BY). The use, distribution or
doi: 10.1176/appi.ajp.2010.09091379 reproduction in other forums is permitted, provided the original author(s) or licensor
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(2009). Neural correlates of heart rate variability during emotion. Neuroimage with accepted academic practice. No use, distribution or reproduction is permitted
44, 213–222. doi: 10.1016/j.neuroimage.2008.07.056 which does not comply with these terms.

ORIGINAL RESEARCH
published: 18 July 2016
doi: 10.3389/fpsyg.2016.01068
The Association among Difficulties in

Emotion Regulation, Hostility, and
Empathy in a Sample of Young Italian
Adults
Anna Contardi *, Claudio Imperatori, Ilaria Penzo, Claudia Del Gatto and
Benedetto Farina
Department of Human Science, European University of Rome, Rome, Italy
The aim of the present study was to assess the role of empathy in mediating the
association between difficulties in emotion regulation and hostility. Three hundred and
sixty young Italian adults (220 women and 140 men) were enrolled in the study.
Psychopathological assessments included the Difficulties in Emotion Regulation Scale
(DERS), the Interpersonal Reactivity Index and the Buss–Durkee Hostility Inventory
(BDHI). Perspective taking (PT) and Personal distress (PD) are significantly associated
with both DERS total score and BDHI total score. A mediational model analyzing the
Edited by: direct and indirect effects of DERS on BDHI through the mediating role of PT and PD
Alessandro Grecucci, showed that the relation between DERS and BDHI was partially mediated by PT total
score (b = 0.16; se = 0.01; p = 0.02). Taken together our findings support the possibility
Reviewed by:
Susan Wenze,
that PT skills could play a crucial role in inhibiting hostility behaviors.
Lafayette College, USA
Keywords: emotion regulation, hostility, empathy, difficulties in emotion regulation, mediational model
Viviana Betti,
Università degli Studi “G. d’Annunzio”
Chieti – Pescara, Italy
*Correspondence:
INTRODUCTION
Anna Contardi
[email protected]
Emotion regulation consists of “the extrinsic and intrinsic processes responsible for monitoring,
evaluating, and modifying emotional reactions, especially their intensive and temporal features, to
Specialty section: accomplish one’s goals” (Thompson, 1994). This involves: (1) emotional clarity, awareness, and
This article was submitted to acceptance; (2) the capacity to control impulsive behaviors when feeling negative emotions; (3)
Emotion Science, the ability to choose contextually suitable emotion regulation strategies in order to meet personal
a section of the journal goals and situational demands (Gratz and Roemer, 2004).
Frontiers in Psychology In recent years, difficulties in emotion regulation have been increasingly associated with the
Received: 15 April 2016 development and maintenance of several mental-health problems and maladaptive behaviors
Accepted: 30 June 2016 (Amstadter, 2008; Gillanders et al., 2008; Aldao et al., 2010; Jimenez et al., 2010; Marroquín, 2011;
Published: 18 July 2016 Aldao and Mennin, 2012; Berking et al., 2012; Svaldi et al., 2012). Furthermore, it has been observed
Citation: (Berking and Whitley, 2014) that difficulties in emotion regulation are detected in almost all mental
Contardi A, Imperatori C, Penzo I, disorders included in the 5th edition of Diagnostic and Statistical Manual of Mental Disorders
Del Gatto C and Farina B (2016)
(American Psychiatric Association, 2013). For example, difficulties in emotion regulation seem to
The Association among Difficulties
in Emotion Regulation, Hostility,
be related with both internalizing (e.g., major depression and anxiety disorders) (Mennin et al.,
and Empathy in a Sample of Young 2007; Nolen-Hoeksema et al., 2008; Contardi et al., 2013) and externalizing behavior problems
Italian Adults. Front. Psychol. 7:1068. (e.g., attention-deficit/hyperactivity disorder) in adolescents and young adults (for a review see
doi: 10.3389/fpsyg.2016.01068 Steinberg and Drabick, 2015).
Frontiers in Psychology | www.frontiersin.org July 2016 | Volume 7 | Article 1068 | 22

Contardi et al. Emotion Regulation, Hostility and Empathy
Among the behavioral correlates of the difficulties in in emotion regulation were associated with increased hostility,
emotion regulation, expressing hostility has been particularly and that this association was partially mediated by empathy.
investigated in both clinical and non-clinical settings (Bowie,
2010; McLaughlin et al., 2011; Carrère and Bowie, 2012;
Mitrofan and Ciuluvică, 2012; Roberton et al., 2012). Hostility MATERIALS AND METHODS
is conceptualized as a multidimensional construct including
cognitive (i.e., negative thoughts, cynicism, or resentment), Participants and Procedure
affective (i.e., negative emotions, including distaste, and anger), Participants were 360 young Italian adults (220 women and 140
and behavioral components (i.e., verbal and physical aggression) men). Inclusion criteria were: (i) age range between 18 and
(Garcia-Leon et al., 2002). A recent review of longitudinal studies 34 years, (ii) good ability to understand written Italian. Exclusion
investigating the association between emotion regulation and criteria were the presence of factors that impeded complete
aggressiveness in adolescents suggested that deficits in emotion assessment, such as the refusal of informed consent. The
regulation are an important risk factor for aggressive behaviors sample was recruited through accidental sampling. University
(Roll et al., 2012). Similarly, a lower emotion regulation predicted psychology students (N = 267) were enrolled at the European
subsequent relationship aggressiveness (Bowie, 2010). Moreover, University of Rome and completed the assessment during normal
Mitrofan and Ciuluvică (2012) reported that several components academic activities at their teaching sites. The non-university
of emotion regulation (i.e., acceptance of emotions, ability to sample (N = 93) was recruited through advertisements for
control impulses) should be enhanced in order to reduce the established community groups (e.g., hospitals, shopping malls,
expression of anger and hostility as well as to increase life church groups operating in Rome).
satisfaction in adolescents. Participation rate was 98%. There were no sociodemographic
Both difficulties in emotion regulation and hostility seem to differences between responders and non-responders as well as
be closely related with trait (or dispositional) empathy (Jolliffe between university students and the non-university sample. All
and Farrington, 2004; Decety, 2010). As defined by Davis (1994), subjects participated voluntarily and anonymously in the study
dispositional empathy is a multidimensional construct with both after providing written informed consent; they did not receive
emotional (i.e., the tendency to worry or feel solidarity with payment or any other compensation (i.e., academic credit).
others) and cognitive (i.e., the tendency to identify with others Mean age of the respondents was 23.17 years (SD = 3.72). Of
and take into consideration their point of view) components. It the respondents, 23.6% had a college degree, while the remaining
has been proposed that emotion regulation may be one of the were middle and high school graduates (no one attended school
core components (together with affective arousal and emotion for less than 8 years). Around 94% were single, 3.6% were
understanding) of human empathy (Decety, 2010). Furthermore, married, and 2.5% were either widowed or divorced. Other
experimental studies reported that both cognitive and emotional characteristics of the sample are reported in Table 1.
components of empathy are related with emotion regulation After receiving information about the aims of the study,
(Eisenberg et al., 1994; Okun et al., 2000). subjects provided written consent to participate in the study,
Similarly, the association between empathy and hostility which was performed according to the Helsinki declaration
has been widely detected. Low levels of empathy may be standards and was approved by the European University’s ethics
positively associated with more aggressiveness and disruptive review board.
behavior disorders (Jolliffe and Farrington, 2004; de Wied et al.,
2010). Furthermore, higher levels of empathy increase prosocial Measures
behaviors (Davis et al., 1994; McMahon et al., 2006; Gini The Italian versions of the Difficulties in Emotion Regulation
et al., 2008; Masten et al., 2011) and moderate the expression Scale (DERS) (Gratz and Roemer, 2004; Sighinolfi et al., 2010),
of aggressive behaviors and different types of violence, such the Interpersonal Reactivity Index (IRI) (Davis, 1980, 1983;
as delinquent bullying behavior, alcohol-related and sexual Albiero et al., 2006), and the Buss–Durkee Hostility Inventory
aggressions (Wheeler et al., 2002; Giancola, 2003; Lovett and (BDHI) (Buss and Durkee, 1957; Castrogiovanni et al., 1993) were
Sheffield, 2007; Jolliffe and Farrington, 2011). administered in the present study.
Despite the strong association between difficulties in emotion The DERS is a 36-item multidimensional self-report
regulation and hostility, no study so far has investigated the measure assessing individual’s characteristic patterns of emotion
association between these two constructs while considering the regulation. Items are rated on a 5-point Likert-type scale (from
possible role of empathy as a mediating factor. Therefore, the aim 1 = almost never to 5 = almost always) indicating the degree
of the present study was to investigate in a sample of young Italian to which each statement describes the respondent’s behavior.
adults (i) the association between self-reported difficulties in Scores range from 36 to 180; greater scores on the DERS
emotion regulation and hostility, and (ii) whether this association reflect greater difficulties with emotion regulation. This test
was mediated by self-reported deficits in empathy. We decided consists of the following six subscales, theoretically formulated
to focus on this developmental stage because it is known that and confirmed through factor analysis: (1) Non-acceptance,
the onset of several mental disorders, characterized by severe referred to non-acceptance of emotion responses (e.g., “When
emotion dysregulation, such as addictive disorders and impulse I’m upset, I feel guilty for feeling that way”); (2) Goals, related
control disorders, occurs in young adulthood (Christie et al., to the difficulty in engaging in a goal-directed behavior while
1988; Jones, 2013). We hypothesized that more severe difficulties experiencing negative emotions (e.g., “When I’m upset, I have

TABLE 1 | Descriptive statistics of all participants (N = 360). from their perspective”); (2) Empathic concern (EC), measuring
the tendency to experience feelings of sympathy and compassion
Variables Count/M %/(SD)
for unfortunate others (e.g., “I often have tender, concerned
Females 220 61.1 feelings for people less fortunate than me”); (3) Personal distress
Age − M (SD) 23.17 (3.72) (PD), assessing the tendency to experience severe discomfort in
Job status response to extreme distress in others during a tense emotional
Employed 93 25.8 situation (e.g., “In emergency situations, I feel apprehensive
Students 267 74.2 and ill-at-ease”); (4) Fantasy (FS) measuring the tendency to
School attainment > 13 years 85 23.6 imaginatively transpose oneself into fictional situations (e.g., “I
Marital status daydream and fantasize, with some regularity, about things that
Unmarried 338 93.9 might happen to me”). Although several self-report measures
Married 13 3.6 of empathy have been developed (for a review see Pedersen,
DERS total scores − M (SD) 86.91 (20.70) 2009), currently the IRI is the most widely and frequently used
Non-acceptance − M (SD) 13.34 (4.80) scale to measure individual differences in empathic tendencies
Goals − M (SD) 14.11 (4.41) (Spreng et al., 2009). We decided to use IRI because it is based
Impulse − M (SD) 14.04 (5.12) on a multidimensional conceptualization of empathy and it is
Awareness − M (SD) 15.20 (4.37) considered the most comprehensive measure of self-reported
Strategies − M (SD) 18.26 (6.33) empathic dispositions (De Corte et al., 2007; Ingoglia et al.,
Clarity − M (SD) 11.95 (4.10) 2016). Finally, under the psychometric point of view, the IRI
IRI is characterized by several good psychometric properties, such
FS − M (SD) 2.18 0.67 as good internal consistency (Davis, 1994) as well as high
EC − M (SD) 2.70 0.54 replicability of the four-factor model in many countries (Ingoglia
PT − M (SD) 2.31 0.64 et al., 2016), including Italy (Albiero et al., 2006). In the present
PD − M (SD) 1.62 0.64 sample all IRI dimensions had Cronbach’s α of 0.78 or higher.
BDHI − M (SD) 35.16 (10.10) The BDHI consists of 75 dichotomous items (i.e., true–false
Covert − M (SD) 10.89 (4.50) answers). It was specifically developed to tap seven different
Overt − M (SD) 24.26 (7.50) subtypes of hostility (66 items) and guilt (9 items). Scores range
DERS, Difficulties in Emotion Regulation Scale; IRI, Interpersonal reactivity index; from 28 to 140; greater scores on the BDHI reflect greater
FS, Fantasy; EC, Empathic concern; PT, Perspective taking; PD, Personal distress; hostility. The dimensions of the BDHI, based on a theoretical
BDHI, Buss–Durkee hostility inventory.
classification of subtypes of hostility, are: (i) Assault (e.g., “If
somebody hits me first, I let him have it”); (ii) Indirect Hostility
difficulty concentrating”); (3) Impulse, referring to the impulse (e.g., “I sometimes spread gossip about people I don’t like”); (iii)
control difficulty when experiencing negative emotions (e.g., Irritability (e.g., “I often feel like a powder keg ready to explode”);
“When I’m upset, I have difficulty controlling my behaviors”); (4) (iv) Negativism (e.g., “When someone is bossy, I do the opposite
Awareness, related to emotional awareness (e.g., “I am attentive of what he asks”), (v) Resentment (e.g., “Almost every week I
to my feelings”); (5) Strategies, concerning the limited access see someone I dislike”); (vi) Suspicion (e.g., “I know that people
to emotion regulation strategies that are perceived as effective tend to talk about me behind my back”); (vii) Verbal Hostility
(e.g., “When I’m upset, I start to feel very bad about myself ”); (e.g., “If someone annoys me, I am apt to tell him what I think
and (6) Clarity, related to the lack of emotional clarity (e.g., “I’m of him”). Factor analysis of the BDHI has yielded two factors,
confused about how I feel”). The DERS showed a good level of one related to overt expression of hostility, generally consisting
internal consistency for both total score (Cronbach’s α = 0.93) of Assault, Indirect Hostility, Irritability and Verbal Hostility and
and the six subscales (Cronbach’s α > 0.80) (Gratz and Roemer, the other linked to covert expression of hostility, consisting of
2004). The instrument also revealed an adequate concurrent Resentment and Suspicion subscales (Buss and Durkee, 1957;
validity with measures of emotion dysregulation and emotional Sarason, 1961; Bendig, 1962; Musante et al., 1989; Bushman
avoidance, as well as a good predictive validity with behaviors et al., 1991). Two-week test-retest reliability coefficients have been
associated with emotion dysregulation, such as self-harm and reported to range from 0.64 to 0.78 for the subscales, and to be
marital violence (Gratz and Roemer, 2004). In the present sample 0.82 for the total score (Biaggio et al., 1981). The BDHI revealed
Cronbach’s α for the DERS total score was 0.91. a good convergent validity with other self-report measures of
The IRI is a 28-item self-report measure of dispositional anger, hostility, and aggression (Matthews et al., 1985). In the
empathy. Each item is rated on a 5-point Likert-type scale, present sample Cronbach’s α for the BDHI total score was 0.85.
ranging from 1 (Does not describe me well) to 5 (Describes me
very well). Scores range from 28 to 140; greater scores on the Statistical Analysis
IRI reflect greater dispositional empathy. The IRI measures four Relationships between variables were computed through
dimensions of empathy: (1) Perspective taking (PT), measuring Pearson’s indices of associations (r).
the reported tendency to spontaneously adopt the psychological To determine whether the relationship between difficulties in
point of view of others in everyday life (e.g., “I sometimes try emotion regulation and hostility severity was partially mediated
to understand my friends better by imagining how things look by empathy, we used the Preacher and Hayes’ (2008) strategy,

which assesses “how, or by what means, an independent variable PT total score (r = −0.13; p = 0.01). PD (r = 0.17; p = 0.002) and
(X) affects a dependent variable (Y) through one or more potential PT (r = −0.31; p < 0.001) were also associated with the BDHI
intervening variables, or mediators (M)” (Preacher and Hayes, total score.
2008, p. 879). The mediational model explained 30% of data variability
This strategy tests mediation with a product-of-coefficients (F 5,354 = 33.88; p < 0.001). Preacher and Hayes’ (2008) strategy
approach via a series of regressions analysis (Pompili et al., indicated that the total effect of the DERS on the BDHI was
2015). In the present analyses, we used standardized variables significant (b = 0.25; se = 0.02; p < 0.001), with more severe
to generate standardized coefficients and the corresponding p difficulties in emotion regulation being associated with more
values. As suggested by Preacher and Hayes (2008), for indirect severe hostility (Figure 1). Moreover, the relationship between
effects, we also calculated bias-corrected and accelerated 95% CI difficulties in emotion regulation and hostility was partially
produced using a bootstrapping method. mediated only by PT, with higher scores on the DERS being
In the present study, we tested a model in which hostility associated with lower PT scores, which were associated with
severity (BDHI total score) was the dependent variable and higher BDHI scores [b = 0.02; se = 0.01; p = 0.02; (95% CI:
difficulties in emotion regulation (DERS total score) were the 0.01/0.04)]. No significant effect was observed for PD [b = −0.01;
independent variable. IRI dimensions, significantly associated se = 0.01; p = 0.75; (95% CI: −0.02/0.02)]. Age and gender had
with both the DERS and the BDHI at the bivariate analyses, were no effects on BDHI total score (Age: b = 0.19; se = 0.12; p = 0.88;
examined as a potential mediator. Additionally, we included age Gender: b = −0.40; se = 0.99; p = 0.69). A second mediational
and gender in the model, which are known to be related with model with only PT as mediator was also significant explaining
both emotion regulation (Blanchard-Fields et al., 2004; Nolen- 32% of data variability (F 4,355 = 42.41; p < 0.001).
Hoeksema, 2012) and hostility (Barefoot et al., 1993; Davidson Finally, the reverse mediational model, with BDHI total
and Hall, 1995). In order to test the adequacy of the model, score as the independent variable and DERS total score as
we have also performed a reverse mediational model, in which the dependent variable, explained 27% of data variability
hostility is the independent variable and difficulties in emotion (F 4,355 = 34.58; p < 0.001). Although Preacher and Hayes’ (2008)
regulation is the dependent variable. strategy indicated that the total effect of the BDHI on the DERS
It should be noticed that in the mediational models, the was significant (b = 1.03; se = 0.09; p < 0.001), no significant
relations between variables are supposed to be causal, and mediational effect was observed for PT [b = −0.02; se = 0.03;
mediational processes usually develop over time (Pompili et al., (95% CI: −0.08/0.04)].
2015). For this reason, several researchers questioned the use
of cross-sectional data in mediation models. However, it is also
argued that the use of prospective studies does not always prove DISCUSSION
causality (Hayes, 2013). Furthermore, according to Salthouse
(2011), mediation strategies can also be viewed as a type of The main aim of the present study was to assess the association
variance partitioning, similar to other methods (e.g., partial between emotion regulation and hostility, exploring the role of
correlation), and they can also be useful when investigating empathy as a ‘mediator.’ Our results showed that: (i) difficulties
whether the relation between two variables is reduced when a in emotion regulation are positively associated with hostility,
mediating variable is considered. (ii) personal distress dimension is positively related with both
All analyses were performed with the statistical package for the difficulties in emotion regulation and hostility, (iii) perspective
social sciences (SPSS) version 19.0 (IBM, Armonk, NY, USA) and taking dimension is negatively associated with both difficulties
the macro for SPSS Indirect (Preacher and Hayes, 2008). in emotion regulation and hostility, (iv) fantasy dimension is
positively related with difficulties in emotion regulation but
not with hostility, and (v) more severe difficulties in emotion
RESULTS regulation are associated with increased severity of hostility,
and this association was partially counterbalanced only by the
In the present sample the mean score of DERS, BDHI, and IRI
mediational effect of perspective taking.
subscales were comparable to those reported in previous studies
The association between difficulties in emotion regulation
which investigated these variables in non-clinical subjects having
and hostility has been consistently detected in both clinical
similar socio-demographic characteristics to our sample (Fossati
and non-clinical settings (Bowie, 2010; McLaughlin et al.,
et al., 2004; Albiero et al., 2006; Giromini et al., 2012).
2011; Carrère and Bowie, 2012; Mitrofan and Ciuluvică, 2012;
Roberton et al., 2012). For example, Roll et al. (2012), reviewing
Associations among Difficulties in longitudinal studies, investigating the relationship between
Emotion Regulation, Hostility, and emotion regulation and aggressive behavior in childhood,
Empathy concluded that emotion dysregulation is an important risk factor
Correlations between variables are reported in Table 2. The DERS for aggressive behaviors (Roll et al., 2012). In line with previous
total score was positively and strongly associated with the BDHI data, our results also showed that empathy dimensions (i.e.,
total score (r = 0.51; p < 0.001). The DERS total score was personal distress and perspective taking) were related with both
also positively associated with FS (r = 0.12; p = 0.02) and PD difficulties in emotion regulation (Eisenberg et al., 1994; Okun
(r = 0.38; p < 0.001) total score, and negatively associated with et al., 2000) and hostility (Gini et al., 2007; Fernández et al., 2011;

TABLE 2 | Association between the DERS, the BDHI, and IRI dimensions (N = 360).
DERS FS EC PT PD BDHI
DERS −
FS 0.12∗ −
EC −0.05 0.33∗∗∗ −
PT −0.13∗ 0.30∗∗∗ 0.44∗∗∗ −
PD 0.38∗∗ 0.25∗∗∗ 0.15∗∗ 0.20 −
BDHI 0.51∗∗∗ 0.07 −0.10 −0.31∗∗∗ 0.17∗∗ −
∗p< 0.05; ∗∗ p < 0.01; ∗∗∗ p < 0.001. DERS, Difficulties in Emotion Regulation Scale; FS, Fantasy; EC, Empathic concern; PT, Perspective taking; PD, Personal distress;
BDHI, Buss–Durkee hostility inventory.
FIGURE 1 | Test of effect of difficulties in emotion regulation on hostility through perspective taking (PT) and personal distress (PD).
Day et al., 2012). Previous data showed that low levels of empathy (i.e., automatic or controlled, adaptive or maladaptive) to cope
are positively associated with more aggressive behaviors and with their emotional experiences as well as to respond to
disruptive behavior disorders (Jolliffe and Farrington, 2004; de environmental demands (Rottenberg and Gross, 2003; Koole,
Wied et al., 2010). Conversely, higher levels of empathy moderate 2009; Aldao et al., 2010). It has been observed that while
the expression of different kinds of aggressive behaviors (Wheeler adaptive strategies (e.g., reappraisal and problem solving) are
et al., 2002; Giancola, 2003; Lovett and Sheffield, 2007; Jolliffe and related with good health outcomes, dysfunctional strategies (e.g.,
Farrington, 2011) and increase prosocial behaviors (Davis et al., suppression and avoidance) are associated with mental disorders
1994; McMahon et al., 2006; Gini et al., 2008; Masten et al., 2011). and behavioral problems (Aldao et al., 2010).
In our study, while the personal distress dimension was The personal distress dimension assesses the tendency to
positively related with both difficulties in emotion regulation experience severe discomfort in response to extreme distress in
and hostility, perspective taking was negatively associated with others during a tense emotional situation (Davis, 1980, 1983), and
both difficulties in emotion regulation and hostility. These results high personal distress scores has been positively associated with
could be interpreted according to several models of emotion irritability, resentment, and suspicion (Davis, 1983). Therefore,
regulation (Rottenberg and Gross, 2003; Koole, 2009; Aldao during stressful interpersonal settings, individuals with high
et al., 2010) suggesting that individuals use different strategies scores in this empathy dimension, may use hostile behaviors as

a dysfunctional coping strategy to escape from that unpleasant in emotion regulation could lead to impairment in perspective
state and/or self-regulate emotions. This is in line with several taking, which make manifestations of hostility and aggressive
studies suggesting that subjects may engage in aggressive behaviors more likely.
behaviors in order to regulate and/or improve their own affective Moreover, our mediation model results may reflect several
states (Bushman, 2002). Conversely, perspective taking assess recent neuroimaging studies which detected some overlapping
“the tendency to spontaneously adopt the psychological point of in the brain’s regions involved in emotion regulation, hostility,
view of others” (Davis, 1983, pp. 113–114). Previous research and empathy. From a neurobiological point of view, several brain
reported that perspective taking was positively associated with regions, such as PFC, ACC, the insular cortex and the amygdala,
high levels of self-esteem (Davis, 1983), as well as with prosocial play a crucial role in various aspects of emotion and emotion
behaviors (Davis et al., 1994; McMahon et al., 2006; Gini regulation (for a review see Davidson et al., 2000a; Arnsten
et al., 2008; Masten et al., 2011). Therefore, during stressful and Rubia, 2012). It has been hypothesized (Davidson et al.,
interpersonal situations, individuals with high scores in this 2000b) that functional and/or structural abnormalities in this
empathy dimension may regulate emotion engaging in functional brain areas (e.g., hypo-activation of PFC) or in the functional
behaviors (e.g., prosocial behavior) rather than hostile behaviors. integration among them, may increase the tendency of hostile
It is also interesting to notice that IRI’s fantasy dimension and aggressive behaviors. Coherently, recent studies have shown
was positively associated with difficulties in emotion regulation, the involvement of these brain structures in empathy dimensions
but not with hostility. Previous studies reported that this (for a review see Singer and Lamm, 2009). For example, Haas
dimension of empathy was positively associated with emotional et al. (2015) reported that higher scores in perspective taking
vulnerability (Davis, 1983; Kawakami and Katahira, 2015) as well were associated with increased prefrontal cortex activity during
as with sensitivity to others, and introversion (Davis, 1983). It an emotion attribution task. Furthermore, Banissy et al. (2012)
is known that individuals with high introversive personality, are showed that the perspective taking total score was positively
more worried and uncertain in social situations and frequently correlated with gray matter volume of the anterior cingulate.
suppress/avoid their emotions (Aldao et al., 2010; Gresham and Although the present findings are promising, some issues
Gullone, 2012; Vantieghem et al., 2016). Thus, according to our which limit the generalizability of our results include: (i) a non-
results (i.e., positive correlation between fantasy and DERS and clinical sample; (ii) the use of self-report measures, which are
no significant correlation between fantasy and BDHI), in stressful known to be potentially affected by social desirability (Arnold
interpersonal settings, people with higher fantasy may experience and Feldman, 1981); (iii) the enrollment of a young adult
difficulties in emotion regulation and use dysfunctional coping cohort; (iv) the non-assessment of the diagnostic status/history
strategies, such as avoidance, rather than hostile behaviors. of participants and several socioeconomic variables (e.g., income
However, it is important to notice that our interpretation remains or ethnicity) which may affect the relationship among emotion
largely speculative because, in the present study, we did not assess regulation, hostility and empathy. Moreover, although BDHI
coping strategies. Furthermore, the small correlation between was the dependent variable and DERS was the independent
DERS and fantasy should be considered when drawing definitive variable in our model, it is important to underline that the
conclusions from our data. statistical design, we used is correlational in nature, which
Our mediation model indicated that more severe difficulties in precludes a definitive causal interpretation of the association
emotion regulation were associated with higher hostility and that between these variables. Finally, we have assessed empathy
perspective taking partially counterbalanced this relationship. using only IRI subscales. Therefore, it is possible that other
Conversely, personal distress does not seem to mediate the general measures of empathy, such as the Empathy Quotient
association between emotion regulation and hostility (Figure 1), (Lawrence et al., 2004), might provide important insights on
suggesting the crucial role of perspective taking skills in our other mediators between difficulties in emotion regulation
mediation model. It is also interesting to underline that in the and hostility. Although these ideas are purely hypothetical,
reverse mediational model, no significant effect was observed they might be useful in guiding future research studies
for perspective taking. This dimension is considered a key with clinical and non-clinical samples and with longitudinal
component of empathy (Gerace et al., 2013). Mohr et al. (2007), designs.
showed that lower perspective taking scores were a crucial
predictor of anger in students as well as in violent offenders. The
same results were observed by Day et al. (2012), who proposed CONCLUSION
that the perspective taking ability may play a crucial role in
inhibiting anger arousal and behavioral aggressions. Our results suggest that (i) high scores in difficulties in emotion
Our results could be interpreted in line with Decety’s (2010) regulation are strongly associated with high hostility, and (ii)
model of empathy. The author reported that the development of this association is partially counterbalanced by high levels of
emotion regulation, through the maturation of crucial brain areas perspective taking. From a clinical point of view, our results
[i.e., the anterior cingulate cortex (ACC) and prefrontal cortex highlight the importance of those therapeutic approaches which
(PFC)], is functionally linked to the development of executive focus on the enhancement of perspective taking in people
and metacognition functions, which are closely related to the with deficits in emotion regulation as well as with aggressive
cognitive aspects of empathy (i.e., perspective taking) (Decety, behavioral problems (i.e., Violent Offenders) (Hanson and Scott,
2010). Thus, as suggested by our results, it is possible that deficits 1995).

AUTHOR CONTRIBUTIONS analysis, interpretation of the results. IP: Data collection,

preparation of the manuscript. CD: Data collection, preparation
AC: Study design, interpretation of results, preparation of of the manuscript. BF: Study design, interpretation of results,
the manuscript. CI: Preparation of the manuscript, data preparation of the manuscript.
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ORIGINAL RESEARCH
doi: 10.3389/fpsyg.2016.01011
The Sex Differences in Regulating

Unpleasant Emotion by Expressive
Suppression: Extraversion Matters
Ayan Cai 1,2 , Yixue Lou 1,2 , Quanshan Long 1,2 and Jiajin Yuan 1,2*
1
The Laboratory for Affect Cognition and Regulation, Key Laboratory of Cognition and Personality of Ministry of Education,
Faculty of Psychology, Southwest University, Chongqing, China, 2 School of Psychology, Southwest University, Chongqing,
China
Males are known for more suppression of emotional displays than females. However,
when the emotion regulation effect of expressive suppression is greater in males,
and how this sex difference varies with emotion display-related personality (e.g.,
extraversion), are undetermined. Event-related potentials were recorded while male and
female participants different in extraversion were required to attend to or suppress
emotional expression to negative pictures. Sex and extraversion did not modulate
self-reported emotional experience. However, late positive potential (LPP) amplitudes
showed an extraversion-moderated sex difference in the 2000–3000 ms and the 3000–
Edited by: 4000 ms time epochs. LPP amplitudes were decreased during suppression versus
Jon Julius Frederickson,
Washington School of Psychiatry,
viewing conditions in ambivert males, while this effect was absent in ambivert females.
USA However, the LPP amplitudes of extraverts were similar for suppression and viewing
Reviewed by: conditions, irrespective of sex and timing. Regardless of early, middle, or late time
Raffaella Ricci,
windows, LPP amplitudes were positively related to self-reported emotion. These results
University of Turin, Italy
Lucy J. Troup, suggest a male advantage for using expressive suppression for emotion regulation in
Colorado State University, USA non-extraverted, ambivert individuals.
*Correspondence:
Keywords: sex difference, extraversion, expressive suppression, event-related potentials, late positive potentials
Jiajin Yuan
[email protected]
[email protected]
INTRODUCTION
Specialty section:
This article was submitted to Expressive suppression is a widely used emotion regulation strategy, and this strategy has
Emotion Science, been proved particularly effective in regulating emotional consequences in East Asian societies
a section of the journal (Butler et al., 2007; Yuan et al., 2014a,b). The suppression of inappropriate emotion-expressive
behaviors, especially unpleasant ones, plays an important role in humans’ social adaptation and
Received: 11 February 2016 the maintenance of relational harmony (Kitayama et al., 2000; Mesquita, 2001; Murata et al.,
Accepted: 20 June 2016 2013). As we known, males are less emotionally expressive in humans’ daily communication and
Published: 07 July 2016
engage more emotion-expressive suppression than females, supported by a number of empirical
Citation: studies (Buck et al., 1974; Kring et al., 1994; Barrett et al., 1998; Kring and Gordon, 1998; Hess
Cai A, Lou Y, Long Q and Yuan J et al., 2000; Parkins, 2012; Chaplin and Aldao, 2013). For example, females cry more often
(2016) The Sex Differences
than males (Lombardo et al., 1983; Ross and Mirowsky, 1984). Matud (2004) has observed
in Regulating Unpleasant Emotion by
Expressive Suppression: Extraversion
that females have more chronic and daily stress than males, which is closely associated with
Matters. Front. Psychol. 7:1011. sex differences in stress coping: Females used more emotional and avoidance coping styles,
doi: 10.3389/fpsyg.2016.01011 whereas males adopted more rational coping and emotional-expressive suppression (Matud, 2004).

Cai et al. Sex Difference in Emotion Regulation
Using the Emotion Regulation Questionnaire (ERQ), Gross function of extraversion, the current study used the event-
and John (2003) found that males scored significantly higher related potential (ERP) technique, by classifying subjects into
than females in suppression scales when investigating individual different groups according to sex and extraversion. Numerous
differences in emotion regulation. This finding was confirmed researchers have shown that late positive potential (LPP), a
by subsequent researchers using ERQ (Haga et al., 2009). posterior-parietal positive slow ERP (Hajcak and Nieuwenhuis,
Chen et al. (2005) examined the construct of ambivalence 2006; Foti and Hajcak, 2008) that reaches its largest amplitudes
over emotion expression in Chinese culture, and found that at 500–700 ms post-stimulus and lasts for several 100 ms, was
males are more likely to suppress emotions than females. more pronounced for emotionally salient than for neutral stimuli
It is noteworthy that what these research measured is the (Cuthbert et al., 2000; Schupp et al., 2000, 2004). Moreover,
frequency of using suppression strategy, rather than how LPP amplitude has been accepted as an ideal index for the
effectively the suppression strategy regulates emotional reaction. intensity of emotional experience (Cuthbert et al., 2000; Amrhein
Despite abundant research showing more frequent suppression et al., 2004; Olofsson et al., 2008). The LPP amplitudes decrease
of emotional expressions in males than in females, little evidence with the reduction of emotional experience during emotion
has shown that males are better than females in dampening regulation (Hajcak and Nieuwenhuis, 2006; Moser et al., 2006,
negative emotions by expressive suppression. A recent study 2010; Krompinger et al., 2008; Thiruchselvam et al., 2011). Thus,
in our lab, using an experiment to explore sex differences in the LPP in brain potentials was chosen as a direct index in
emotion regulation, has found that males did outperform females the current study to study the temporal dynamics of emotion
in regulating negative emotion by expressive suppression (Cai arousal during expressive suppression and its modulations by
et al., 2016). It is noteworthy that the effect of sex observed sex and extraversion. We hypothesized that LPP amplitudes
in this study is based on general population, and it may not of ambivert males are significantly smaller during expressive
apply to specific individuals. Particularly, the sex differences in suppression compared to viewing conditions, and this amplitude
expressive suppression may be moderated by personality trait like reduction would be less prominent in ambivert females. By
extraversion. contrast, this emotion regulation effect is probably absent in
Prior studies have also indicated that the tendency of extraverts, irrespective of sex, based on the studies mentioned
emotional expressiveness is moderated by personality traits like above.
extraversion (Riggio and Riggio, 2002; and OhSoosung,
2009). Extraversion is an emotion-related personality trait
characterized by the tendency to experience positive emotions, MATERIALS AND METHODS
activity, and sociability (Lischetzke and Eid, 2006; Tamir,
2009; Yuan et al., 2009). Along the personality dimension of Subjects
extraversion, people scoring high are considered as extraverts As paid volunteers, 68 right-handed undergraduate students
who are described as being outgoing, talkative, impulsive and with no history of major psychiatric or neurological disorders
uninhibited, with many social contacts and being frequently participated in this experiment. All of the subjects completed the
involved in group activities (Costa and McCrae, 1992; Ashton NEO Five-Factor Inventory (NEO-FFI, Chinese version; internal
et al., 2002). By contrast, those scoring low are described consistency coefficient = 0.878; Wang et al., 2010), a five-point
as quiet, retiring, introspective, not socially active (Costa (from −2 to 2), 240-item questionnaire that is widely used in
and McCrae, 1992; Krentzman et al., 2012) and reluctant personality assessments (Canli et al., 2002; Amin et al., 2004). The
to communicate through facial displays (Riggio and Riggio, four experimental samples were determined by subjects’ sex and
2002), as is typical of introverts. It has been indicated scores in the extraversion subscale (48 items; internal consistency
that higher extraversion is associated with greater excitability, coefficient = 0.88; Wang et al., 2010) of the NEO-FFI.
increased emotional expressivity and better communication of Participants whose extraversion scores were above the
non-verbal emotional information (Buck et al., 1972; Riggio 50th percentile were categorized as extraverts, while the rest
and Riggio, 2002; Chen et al., 2005). Consistent with these were categorized as ambiverts. We labeled subjects whose
findings, there is recent evidence showing that high extraversion extraversion scores were below the 50th percentile as ambiverts
is associated with increased difficulty in the suppression of rather than introverts, because their extraversion scores were
emotional displays (Peña-Gómez et al., 2011). However, no centered around zero, the neutral point along the extraversion-
study to date has tested whether emotion display-related introversion continuum (see Figure 1). The 4-group subjects,
personality traits, like extraversion, influence the sex differences including 17 extravert males (aged 18–29, mean 21.4; extraversion
in regulation of unpleasant emotion by expressive suppression. score: M ± SE: 35.76 ± 2.96), 16 ambivert males (aged
Based on the evidence described above, we hypothesized 18–24, mean 21.06; extraversion score: −0.44 ± 3.05), 18
that expressive suppression is most likely ineffective for extravert females (aged 17–25, mean 20.89; extraversion score:
regulating negative emotion in extraverts, irrespective of sex, 30.83 ± 2.88) and 17 ambivert females (aged 17–23, mean
and that the sex difference in regulating negative emotion 20.53; extraversion score: 3.0 ± 2.96), were similar in the
by expressive suppression just applies to a less extraverted habitual use of cognitive reappraisal [F(3,64) = 0.77, p = 0.51,
population. η2p = 0.04] and expressive suppression [F(3,64) = 1.06, p = 0.37,
To directly test whether the effect of gender in regulating η2p = 0.05] in the Emotion Regulation Questionnaire (ERQ).
unpleasant emotions by expressive suppression varies as a T-test showed no significant differences in extraversion scores

FIGURE 1 | Means of the scores on the Extraversion subscale of the NEO-FFI (A) and ERQ (B) for the four groups. The error bar represents standard error.
FIGURE 2 | Schematic illustration of the experimental procedure.
between extravert males and extravert females [t(33) = 1.06; ambivert males [t(31) = 7.30, p < 0.001], and between extravert
p = 0.30], nor between the ambivert males and ambivert females and ambivert females [t(33) = 8.26, p < 0.001;
females [t(31) = −0.95; p = 0.35]. Additionally, the extraversion see Figure 1]. We measured the neuroticism subscale of
scores were significantly different between extravert males and the NEO Personality Inventory to ensure that all subjects

were emotionally stable, since neuroticism assesses affective [F(2,117) = 318.85, p < 0.001]. The pairwise comparisons
adjustment and emotional instability (Piedmont, 2000). Indeed, showed significantly higher arousal values for UV (M = 7.20) and
neuroticism assesses six facets, including anxiety, angry hostility, US (6.97) conditions than the NV (3.03) condition (ps < 0.001).
depression, self-consciousness, impulsiveness, and vulnerability. In addition, the arousal values were not significantly different
The significant below-threshold (0) score in anxiety [t(67) = 6.31, during the UV and US conditions (p = 0.21 for UV-US).
p < 0.001] and depression [t(67) = 8.30, p < 0.01] subscales Similarly, the condition effect for valence was also significant
of neuroticism assessment, suggested that our subjects were [F(2,117) = 312.74, p < 0.001]. The pairwise comparisons
emotionally stable and free of depression and anxiety. The showed significantly lower valence values for UV (1.73) and US
averaged depression (or anxiety) scores were −7.35 (or −5.12) (1.83) conditions in comparison with the NV (4.71) condition
for extravert males, −2.63 (or −0.38) for ambivert males, −5.39 (ps < 0.001). In addition, the valence values were not significantly
(or −3.17) for extravert females, and −3.29 (−3.24) for ambivert different during the UV and US conditions (p = 0.43). Thus, the
females. The participants of both samples were right handed pictures used for UV and US conditions were valid in inducing
and had normal or corrected to normal vision. The study was unpleasant emotions, and the emotion attributes of the pictures
approved by the local Review Board for Human Participant were kept similar across the two unpleasant conditions.
Research, and each participant signed an informed consent form Subjects were seated in a quiet room approximately 150 cm
before the experiment. The study was conducted following the from the computer screen with the horizontal and vertical visual
ethical principles of the Helsinki Declaration regarding human angles below 6◦ . Prior to each block, subjects were instructed
experimentation (World Medical Organization, 1996). on how to do the task and were presented with eight trials for
practice, where the eight pictures were emotionally similar to
Stimuli and Procedures the pictures used in the experiment. In block NV and UV, each
The present study used a block-design picture viewing task (see trial was initiated by a small black fixation cross on the white
Figure 2). The task consisted of three blocks, and each block computer screen for 300 ms. The offset of the cross was followed
included 40 picture stimuli that were taken from the International by a 1000 ms presentation of a word “view,” reminding subjects
Affective Picture System (IAPS) and its Chinese adapted Version of the task in this block. Then, a 1000 ms blank screen was
(Chinese Affective Picture System, CAPS). The picture stimuli presented, followed by the onset of pictures for 4000 ms. Subjects
were neutral, emotionally irrelevant in the first block, as a were instructed to pay close attention and react normally to each
non-emotional baseline for computing emotion effect in later stimulus, and experience any feelings it elicited naturally (Ohira
conditions (Neutral-View, NV). The last two blocks required et al., 2006). Between blocks; 2 min of rest, which was the maximal
subjects to either view 40 unpleasant pictures without using time used by another 10 subjects to rest in a pilot study, were used
any emotion regulation strategies (Unpleasant-View, UV) or for subjects to recover their mood to the baseline level.
view pictures while regulating unpleasant emotion by expressive In the US block, the stimulus stream was the same as that of the
suppression (Unpleasant-Suppression, US). The order of the UV NV and the UV, except that the word changed into “suppression,”
and US blocks was counterbalanced across subjects. Unpleasant reminding subjects to use expressive suppression to regulate
pictures were composed of the scenes of frightening animals, unpleasant emotion. Participants were trained in the suppression
human attack and body mutilations while neutral pictures strategy during practice trials. Suppression instructions trained
depicted the scenes of neutral animals and human activities. participants to intentionally suppress the expression of emotion
In order to avoid emotional habituation or sensitization when responses to pictures, by keeping their facial expressions unchanged
a single set of pictures are repeatedly presented, the current study so that someone watching their face would be unable to detect
randomly selected two different sets of unpleasant pictures for what was being experienced subjectively (Goldin et al., 2008). At
the UV and US. Also, there was evidence showing a cultural bias the end of each block, subjects were required to rate their mood
when IAPS was applied to Chinese subjects (Bai et al., 2005). state by a self-report 7-point scale (1: neutral, non-emotional
In order to control these influences and attribute differences in to 7: extremely unpleasant). Also, they were asked to rate how
dependent variables solely to emotion regulation, we conducted successfully they suppressed emotion-expressive behaviors or
a separate procedure checking whether the two sets of pictures attended to the pictures by a 7-point scale (1: not successful at all;
were similar in emotional parameters for Chinese people (Yuan 7: completely successful). At the end of the experiment, subjects
et al., 2014b). For this purpose, four trained judges (two males) rated the pleasantness of every picture (1: extremely unpleasant;
blind to research purposes were invited to rate the valence 5: neutral, non-emotional; 9: extremely pleasant).
(9-point scale, from 1: extremely unpleasant to 9: extremely
pleasant) and arousal (9-point scale, from 1: very calm to ERP Recording and Analysis
9: very excited) of the pictures. The four judges were highly The EEG was recorded from 64 scalp sites using tin electrodes
consistent in assessing the emotionality of the pictures. The inter- mounted in an elastic cap (Brain Products, Munich, Germany),
rater reliability (Kendall’s coefficient of concordance) was 0.83 with the reference electrodes on the left and right mastoids
[χ2 (3) = 9.9; p < 0.05] for both valence and arousal dimensions. (average mastoid reference; Luck, 2005), and the ground
Therefore, we averaged the rating data across the four judges electrode on the medial of the frontal aspect. The Vertical
for each picture, and then conducted a one-way ANOVA for the electrooculograms (EOGs) were recorded below the right eye,
valence and arousal of pictures with experimental condition as a and the horizontal EOGs were recorded on the right side
predictor. The condition effect for arousal was highly significant of the right eye. The EEG and EOG were amplified using a

DC ∼100 Hz band-pass and were continuously sampled at instruction confirmation was not significantly different between
500 Hz/channel. All inter-electrode impedance was maintained UV and US conditions [t(67) = −1.72, p > 0.09].
below 5 k. The averaging of ERPs was computed off-line. Eye
movement artifacts (blinks and eye movements) were corrected The Mood Assessment
offline and a 24-Hz low-pass filter was used. Trials with EOG Emotional Arousal Effect
artifacts (mean EOG voltage exceeding ±100 µV) and those The repeated-measures ANOVA of mood rating scores, with
contaminated with artifacts due to amplifier clipping of peak- stimulus type (NV, UV) as within-subjects factor, and sex and
to-peak deflection that exceeded ±100 µV were excluded from extraversion as the between-subjects factors, showed no other
averaging. Rejected trials were rare. There was an average of significant main or interaction effects (all ps > 0.19), except
38.49 trials for NV, 38.83 trials for UV, and 38.90 trials for for a significant main effect of stimulus type [F(1,64) = 18.33,
US conditions obtained for ERP averaging. EEG in each block p < 0.001, η2p = 0.23]. Follow-up contrast showed that the
was averaged separately. The ERP waveforms were time-locked negative affect was significantly greater when watching negative
to the onset of stimuli and the averaged epoch for ERPs was pictures (3.78) than neutral pictures (2.89), irrespective of sex or
4500 ms including a 500 ms pre-stimulus baseline. According extraversion (see Figure 3).
to the literature, LPP is a positive slow wave of the ERP with
a centroparietal midline maximum scalp distribution (Cuthbert Emotion Regulation Effect
et al., 2000; Schupp et al., 2000; Hajcak and Nieuwenhuis, We conducted a 2(Sex) × 2(Extraversion) × 2(regulation
2006). We measured average amplitudes for LPP amplitudes at strategy: UV, US) repeated-measure ANOVA. The results showed
midline central and centroparietal regions (six sites: C1, Cz, C2, no significant main effects or interaction effects (all ps > 0.06).
CP1, CPz, and CP2), and segmented 500–4000 ms into three
consecutive time windows, 500–2000, 2000–3000, and 3000– The ERP Analysis
4000 ms, separately representing early, middle, and late windows LPP: Early Window (500–2000 ms)
of LPP, according to the results of Principal Component Analysis Emotional arousal effect
(PCA, see Supplementary Material) (Smith et al., 2003). The results showed a significant main effect of stimulus type
We took two steps for ERP analysis: (1) A repeated- [F(1,64) = 35.99, p < 0.001, η2p = 0.36]. The emotional arousal
measure ANOVA of LPP amplitudes in each time window effect was due to the larger LPP amplitudes for negative (2.05 µV)
was conducted to examine whether unpleasant pictures validly versus neutral (−0.11 µV) pictures. The interactions between
induced unpleasant emotional arousal (with stimulus type [NV, factors were not significant (all ps > 0.06).
UV] as a within-subjects factor while sex [males, females] and
Emotional regulation effect
extraversion [extravert, ambivert] as between-subjects factors).
Neither main effects nor interactions between factors reached
(2) A repeated-measures ANOVA was conducted to examine the
statistical significance (all ps > 0.08).
emotional regulation effect (with regulation strategy [UV, US]
as within-subjects factor, sex [males, females] and extraversion LPP: Middle Window (2000–3000 ms)
[extravert, ambivert] as between-subjects factors). Since the Emotional arousal effect
present study focused on the moderation of extraversion on The results only showed a significant main effect of stimulus type
emotional regulation of males and females to unpleasant stimuli, [F(1,64) = 21.76, p < 0.001, η2p = 0.25], with larger amplitudes
we focused the statistical analysis on the three-way interaction elicited for negative (1.51 µV) versus neutral (−0.22 µV)
involving regulation strategy, sex and extraversion. The degrees pictures.
of freedom of the F-ratio were corrected according to the
Greenhouse–Geisser method for any violations of sphericity, and Emotion regulation effect
the Bonferroni–Holm method was used to adjust the p-value There was a significant three-way interaction of regulation
during post hoc pairwise comparisons if significant main or strategy, sex and extraversion [F(1,64) = 8.63, p = 0.005,
interaction effects were detected. The effect sizes were shown as η2p = 0.20]. We tested the interaction of sex and regulation
partial eta squared (η2p ). strategies in extravert and ambivert subjects, respectively. In
the ambivert group, there was a significant sex by strategy
interaction [F(1,31) = 11.60, p = 0.002, η2p = 0.27], which was
RESULTS analyzed by examining the emotion regulation effect in ambivert
males and ambivert females, separately. The regulation effect
Manipulation Check was significant in ambivert males [F(1,15) = 8.27, p = 0.012,
The analysis of the instruction confirmation data (responses to η2p = 0.36] but not in ambivert females [F(1,16) = 3.02, p = 0.10,
the question “how successfully did you attend to the pictures, η2p = 0.16; see Figures 4 and 5]. Ambivert males displayed smaller
or suppress your expression of emotion?”) showed that subjects amplitudes during US condition (0.46 µV) than during UV
successfully attended to the pictures during NV (M = 5.32) condition (2.35 µV). By contrast, the sex by strategy interaction
and UV conditions (6.16), and successfully suppressed their [F(1,33) = 0.98, p = 0.33, η2p = 0.03], and the main effect of sex or
emotion expression during the US condition (6.35). The scores strategy (all ps > 0.31), were all non-significant in extraverts. This
for each condition were significantly higher than the midpoint implies that there was no significant emotion regulation effect in
of the rating scale (i.e., 4) [t(67) = 6.68–25.93, ps <0.001]. The extraverted groups, irrespective of sex.

FIGURE 3 | The results of mood rating for each condition (A), and Means of the picture pleasantness assessment in each condition (B). ∗∗ p < 0.001.
To assess the timing of these results, a 5 (segment: 2000– (all ps > 0.11) reached significance in the analysis of the
2200, 2200–2400, 2400–2600, 2600–2800, and 2800–3000 ms) × 2 timing effect, suggesting that neither overall amplitudes nor the
(regulation strategy) × 2 (sex) × 2 (extraversion) repeated- group-specific regulation effect varied across time in the 3000–
measures ANOVA was performed. Neither the main effect of 4000 ms.
a segment [F(4,154) = 2.10, p = 0.12, η2p = 0.03] nor the
interactions involving a segment and other factors (all ps > 0.09) Emotion Assessment
reached significance. This suggests that the above findings are The repeated-measures ANOVA of picture pleasantness ratings,
reliable, as neither overall LPP amplitudes nor the group-specific with conditions as repeated factor, sex and extraversion as the
emotion regulation effect varied across time segments in the between-subjects factors, showed no other significant main or
2000–3000 ms. interaction effects (ps > 0.18), except for a significant main
effect of condition [F(1,67) = 215.57, p <0.001, η2p = 0.77].
LPP: Late Window (3000–4000 ms)
Subjects rated UV (M ± SE: 3.56 ± 0.10; p < 0.001) and
Emotional arousal effect US (3.53 ± 0.10; p < 0.001, see Figure 3) pictures as more
The results showed a significant main effect of stimulus type unpleasant than NV (6.35 ± 0.14) pictures. In addition, the
[F(1,64) = 13.88, p < 0.001, η2p = 0.18]. The unpleasant pictures rating scores for the UV [t(67) = −14.97, p < 0.001] and US
(1.23 µV) elicited larger LPP amplitude relative to neutral [t(67) = −14.64, p < 0.001] pictures were both significantly lower
pictures (−0.19 µV). The interactions between factors were not than the midpoint of the rating scale (i.e., 5), while the ratings
significant (all ps > 0.57). were not significantly different between UV and US conditions
Emotional regulation effect [t(67) = 0.94, p = 0.35]. Thus, the pictures used for UV and
We observed a significant three-way interaction of regulation US conditions were valid in inducing unpleasant emotion, and
strategy, sex and extraversion [F(1,64) = 6.31, p = 0.015, the pictures’ unpleasant strength was similar across UV and US
η2p = 0.09]. We then analyzed the sex by regulation interaction conditions.
in extraverts and ambiverts, respectively. The sex by regulation
interaction [F(1,31) = 6.32, p = 0.017, η2p = 0.17] was significant Correlation Analyses
in ambiverts. The subsequent analysis showed a significant To verify whether LPP amplitudes during the US condition
emotion regulation effect in ambivert males [F(1,15) = 4.60, reflect subjective emotion intensity, a Pearson correlation was
p = 0.049, η2p = 0.24], with smaller amplitudes during the US computed between the LPP amplitude differences and subjective
condition (−0.21µV) than during the UV condition (1.70µV), emotion differences during UV relative to US conditions
whereas the effect was not significant in ambivert females in the LPP time window. We found that the reduction of
[F(1,16) = 1.51, p = 0.24, η2p = 0.09; see Figures 4 and subjective emotional intensity increased significantly with the
5]. However, there was neither a significant main effect of LPP amplitude reduction in each of the three LPP windows (see
regulation (p > 0.21), nor a significant sex by regulation Figure 6).
interaction in the extravert group [F(1,33) = 1.02, p = 0.32,
η2p = 0.03], suggesting that expressive suppression produced no
significant emotion regulation effect in extraverts, irrespective DISCUSSION
of sex.
Also, neither the main effect of a segment [F(4,147) = 0.84, Negative pictures elicited greater unpleasant feelings, and greater
p = 0.45, η2p = 0.01] nor the interactions involving a segment positive amplitudes across each time window of LPP component

FIGURE 4 | Averaged ERPs elicited by NV, UV, US conditions at C2 and CPz electrode sites in each group.
in comparison with neutral pictures, suggesting that our selection and US conditions. Ambiverts, a group of non-extraverted
of negative pictures was successful. Though all the samples and non-introverted persons located in the median of the
showed no significant reduction in emotional experiences after bell-shaped distribution of extraversion (McCrae and Costa,
suppressing unpleasant emotions, ambivert males, rather than 2003; Yuan et al., 2012; Grant, 2013), are more representative of
ambivert females, were associated with significantly smaller LPP the general population when compared with typical extraverts
amplitudes during expressive suppression relative to viewing or introverts. Thus, the above findings may have implications
conditions in the 2000–4000 ms at midline, central, and for the general population in that expressive suppression of
centroparietal regions. But LPP amplitudes of extraverts were negative emotion produces better, more adaptive emotional
similar for suppression and viewing conditions in all time physiological consequences in males than in females. LPP
windows, irrespective of sex. has been accepted to serve as an electrophysiological marker
On the one hand, the current study observed that expressive of emotional arousal evoked by salient pictures (Hajcak and
suppression produced a better regulation of unpleasant Nieuwenhuis, 2006; Moser et al., 2006; Krompinger et al.,
emotional reactions in ambivert men than in ambivert women, 2008). Consistent with the evidence, the current study observed
as reflected by the LPP amplitude differences between UV a significant positive correlation between LPP amplitudes

FIGURE 5 | (Top) US-UV difference waveform at CPz for males (red) and females (blue) in the extravert and ambivert samples. (Bottom) Topographical
maps of the voltage amplitudes of US-UV difference waves for males and females in extraverts and ambiverts from 500 to 4000 ms post stimulus.
FIGURE 6 | Change in LPP amplitude (UV-US) plotted as a function of change in self-reported emotional intensity (view minus suppression) in
500–2000, 2000–3000, 3000–4000 ms. Each dot represents an individual participant.
and self-reported emotion intensity during viewing versus (Grossman and Wood, 1993), in comparison to men. Kring and
suppression conditions. This further suggests that LPP amplitude Gordon (1998) required subjects to view film clips including
is most likely a physiological reflection of subjective emotional happy, sad and fear types. They observed that, compared
arousal, and that LPP amplitude reduction in males versus with men, women were more facially expressive, though they
females represents sex differences in the reduction of emotional did not differ from men in reports of experienced emotion.
reaction. Grossman and Wood (1993) pointed out that this sex difference
Prior studies have indicated a systematic sex difference in may be due to the sex role diversification between males
emotional expression. Women reported more intense emotional and females, and this explanation was later confirmed by
expression and feelings, and a greater tendency to seek emotional the study of Kring and Gordon (1998). Haga et al. (2009)
experiences than men (Allen and Hamsher, 1974; Allen and explained that emotion-expressive suppression is central to
Haccoun, 1976; Balswick and Avertt, 1977; Larsen and Diener, the norms of masculinity and is consistent with the cultural
1987; Hampson et al., 2006) and exhibited greater facial expectations for masculine gender-role; that is, men are expected
EMG activity during the viewing of emotion-inducing slides not to show as much emotion as women and are therefore

strongly encouraged to suppress their feelings (Broverman et al., (Heeren et al., 2012). This effect is not merely prominent
1972; Roseman, 1984; Eccles et al., 1990; Brooks, 1998). Males in adults but is also observable in children (MacLeod and
may unconsciously follow the norms of masculinity to suppress Holmes, 2012). Similarly, there is abundant evidence that subjects
their unpleasant emotions in daily life, consequently leading to receiving positive interpretation training tend to automatically
a greater skill at regulating unpleasant emotion by suppressing interpret novel situations as positive, showing reduced negative
emotional expression. However, the current study did not directly emotional consequences during stress induction, despite no
assess gender roles. Thus, we need to be cautious with this explicit instruction of positive interpretation (Wilson et al., 2006;
gender role explanation. Whether the gender role mediates the Tran et al., 2011). It has been suggested that the culturally
male advantage at regulating unpleasant emotion with expressive shaped or personality- determined coping style works rather
suppression needs direct examination in future studies. automatically, and the practice of habitual coping is more an
On the other hand, the results confirmed our hypothesis unconscious process than a controlled deliberate process (Mauss
that this pattern of sex differences disappeared in extraverts. et al., 2007). Thus, due to social or cultural training, ambivert
At the higher side of the continuum of extraversion, none of males down-regulated unpleasant emotional reaction to a greater
the extravert males and extravert females effectively decreased extent by expressive suppression than females, though they
unpleasant emotions by expressive suppression. Amin et al. are not necessarily conscious of more suppression. On the
(2004) found that participants scoring high in extraversion other hand, prior studies consistently indicate that the more
exhibited significantly faster RTs in a dot-probe attention task, an adaptive strategy is used, the higher the emotion regulation
when the probe was placed behind the neutral rather than effect is. For instance, shifting attention from negative to positive
behind the negative stimulus locations when a negative/neural stimuli is linked with extraversion-related happiness (Amin et al.,
composite picture was used. This suggests that extraverts tend 2004), higher reappraisal is linked with decreased negative affect
to shift their attention away from a negative stimulus, and they (Gross and John, 2003), and greater suppression is linked with
may be inclined to adopt other strategies such as distraction reduced negative emotion in Asian cultures (Butler et al., 2007).
to regulate unpleasant emotion. There was abundant evidence Thus, the fact that we observed this pattern of sex difference after
showing that higher extraversion is linked with more emotional controlling for self-reported suppression in itself strengthens the
expression and less emotion-expressive suppression (Carver and validity of the current finding. This suggests that extraversion-
Scheier, 2000; Gross and John, 2003; Chen et al., 2005). For moderated sex difference exists reliably, irrespective of whether
instance, Gross and John (2003) observed that trait extraversion or not ambivert males are conscious of more habitual suppression
is negatively associated with habitual suppression of emotional than females.
expression, with higher extraversion predicting less emotion-
expressive suppression. This negative correlation was later
replicated by Chen et al. (2005), who further demonstrated AUTHOR CONTRIBUTIONS
that extraverts are less ambivalent over emotional expression,
that is, more consistent in internal expressive intention and JY designed experiments; AC, YL, and QL carried out
overt expressive behaviors, in comparison with those lower experiments; AC analyzed experimental results. AC and JY wrote
in trait extraversion. Furthermore, Peña-Gómez et al. (2011) the manuscript.
recently reported that the improvement of emotional inhibition
decreased as a function of increasing extraversion, when subjects
received anodal transcranial direct current stimulation of the FUNDING
prefrontal inhibitory network. In this regard, it is probably the
This research was funded by the National Natural Science
increased tendency for emotional expression, which characterizes
Foundation of China (NSFC31170989 and 31371042)
people high in extraversion, that has contributed to the
and the National Science Foundation of Chongqing
extraverts’ absence of emotion regulation effect during expressive
(NO.cstc2012jjA40063).
suppression in the current study, irrespective of sex.
One may question that the ERQ assessment showed similar
self-reported suppression across the four samples, which may ACKNOWLEDGMENTS
contradict abundant evidence of sex differences in suppression.
However, in real life settings, the self-reported suppression We thank all our volunteers for their participation in the study,
is not equal to the actual use of suppression, as many and school principals for allowing us to perform the study
studies indicate that emotion regulation strategies may work on school premises. We also thank our co-authors for their
unconsciously, in the absence of overt instructions, particularly contributions. All authors reviewed the manuscript.
as a result of training (e.g., Tran et al., 2011; Heeren
et al., 2012). For instance, after the training of attention
focus on non-emotional or positive stimuli, socially anxious SUPPLEMENTARY MATERIAL
participants showed significantly reduced experiential anxiety
and decreased physiological activations when watching negative The Supplementary Material for this article can be found
facial expressions as compared to those without training, online at: http://journal.frontiersin.org/article/10.3389/fpsyg.
though there was no explicit request of emotion regulation 2016.01011

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ORIGINAL RESEARCH
published: 30 May 2016
doi: 10.3389/fpsyg.2016.00757
Axiom, Anguish, and Amazement:

How Autistic Traits Modulate
Emotional Mental Imagery
Gianluca Esposito 1,2*, Sara Dellantonio 1 , Claudio Mulatti 3 and Remo Job 1
1
Department of Psychology and Cognitive Science, University of Trento, Rovereto, Italy, 2 Division of Psychology, Nanyang
Technological University, Singapore, Singapore, 3 Department of Developmental Psychology and Socialization, University of
Padua, Padua, Italy
Individuals differ in their ability to feel their own and others’ internal states, with those that
have more autistic and less empathic traits clustering at the clinical end of the spectrum.
However, when we consider semantic competence, this group could compensate with
a higher capacity to imagine the meaning of words referring to emotions. This is indeed
what we found when we asked people with different levels of autistic and empathic traits
to rate the degree of imageability of various kinds of words. But this was not the whole
story. Individuals with marked autistic traits demonstrated outstanding ability to imagine
theoretical concepts, i.e., concepts that are commonly grasped linguistically through
Edited by:
Maurizio Codispoti, their definitions. This distinctive characteristic was so pronounced that, using tree-
University of Bologna, Italy based predictive models, it was possible to accurately predict participants’ inclination to
Reviewed by: manifest autistic traits, as well as their adherence to autistic profiles – including whether
Dimitri Van Der Linden,
Erasmus University Rotterdam, they fell above or below the diagnostic threshold – from their imageability ratings. We
Netherlands speculate that this quasi-perceptual ability to imagine theoretical concepts represents
Kazuyuki Shinohara,
a specific cognitive pattern that, while hindering social interaction, may favor problem
Nagasaki University, Japan
solving in abstract, non-socially related tasks. This would allow people with marked
*Correspondence:
Gianluca Esposito autistic traits to make use of perceptual, possibly visuo-spatial, information for “higher”
[email protected]; cognitive processing.
[email protected]
Keywords: mental imagery, autistic traits, emotion recognition, emotion regulation, proprioception
Specialty section:
Emotion Science, INTRODUCTION
The imageability scale is a classical psycholinguistic measure for assessing the degree to which
Received: 22 February 2016 words evoke mental images (Paivio et al., 1968; Connell and Lynott, 2012). Mental images (or
Accepted: 06 May 2016 imageries) are non-verbal re-presentations (i.e., re-calls) of any kind of sensory experience we were
Published: 30 May 2016
exposed to in the past (Roeckelein, 2004). They are associated with words, reflect the strength of
Citation: the link between specific words and sensory experiences, and have behavioral consequences as
Esposito G, Dellantonio S, Mulatti C
high-imageability items are more easily processed and understood than low-imageability items
and Job R (2016) Axiom, Anguish,
and Amazement: How Autistic Traits
(Paivio, 1971, 1986, 1991, 2007). In this study we want to assess how this specific psycholinguistic
Modulate Emotional Mental Imagery. construct interacts with individuals’ ability to understand their own and others’ internal states.
Front. Psychol. 7:757. Specifically, we want to explore whether the imageability ratings of specific word categories predict
doi: 10.3389/fpsyg.2016.00757 an individual’s autistic or empathic traits, measuring levels of autistic and empathy traits along a
Frontiers in Psychology | www.frontiersin.org May 2016 | Volume 7 | Article 757 | 42

Esposito et al. Autistic Traits and Mental Imagery
continuum in which all of us lie that goes from very low to very offer a new and unexpected psycholinguistic instrument to assess
high (on the link between empathy and autism see e.g., Dalsant whether people are characterized by varying degrees of autistic
et al., 2015; Gentili et al., 2015). traits, but it would also provide important cues concerning the
Usually the link between imagery and words is investigated in cognitive ‘styles’ and the semantic competence of persons with
relation to the external senses. Studies on imagery show, however, more or less marked autistic traits. Specifically, it might allow us
that we form mental images of all kinds of sensory experiences, to understand whether and in which cases people with varying
including motor, kinaesthetic proprioceptive, interoceptive, and degrees of autistic traits tend to strongly associate words with
emotional experiences (see e.g., Switras, 1978; Gollnisch and perceptual representations.
Averill, 1993; Acerra and Moseley, 2005; Anema and Dijkerman, Different words refer to concepts that rely to different
2013). In line with these results, in previous research we showed degrees on three main kinds of information: external sensory
that the imageability scale developed by Paivio captures not information (e.g., ‘table,’ ‘fennel,’ and ‘candle’), internal sensory
only the degree of imageability of words that denote things information (i.e., proprioceptive and emotional information,
that can be perceived by the external senses, but also that of e.g., ‘pain,’ ‘hunger,’ ‘fever,’ and ‘cramp’ as well as ‘happiness,’
words that denote internal states, specifically those referring to ‘anger,’ and ‘disgust’) and linguistic information (e.g., ‘fallacy,’
emotive, proprioceptive, and interoceptive states (Dellantonio hypothesis,’ ‘axiom,’ ‘fraud,’ and ‘democracy’; Barsalou, 1999,
et al., 2014a,b; Pastore et al., 2015). 2008; Prinz, 2002; Barsalou et al., 2003; Barsalou and Wiemer-
As individuals differ in their ability to recognize their own and Hastings, 2005; Vigliocco et al., 2009; Kousta et al., 2011).
others’ internal states, with those with higher levels of autistic Imagery is a measure of the link between words and sensory
traits and lower empathy traits clustering at the lower end of the information, therefore words with high imagery ratings will be
spectrum (Ronald et al., 2006), people belonging to this group more strongly linked with perception (either internal or external),
could compensate for this gap by being more able than others to while words with low imagery ratings will rely more heavily on
form mental images associated with emotive, proprioceptive, and linguistic information and be understood mainly on the basis
interoceptive words1 . Since the imageability scale also assesses the of linguistic definitions: they will be more abstract or, more
degree to which words referring to internal states evoke mental precisely, theoretical (‘abstract’ is often used for describing ‘non-
images, the imageability rating of word classes denoting these material’ objects; in this sense, words denoting emotions or
states could allow us to predict whether people have low or high feelings would also be abstract). On the basis of this analysis
autistic traits, or, in other words, whether they have more or less we identified four word classes: the first two include words
marked empathic inclinations. referring to internal states, i.e., specifically (i) proprioceptive and
(ii) emotional states; (iii) the third consists of theoretical words
Autistic Traits, Imageability, and Word and (iv) the last consists uniquely of concrete nouns; this last
Classes group also serves as a control since it is matched with the others
The main tools to detect individuals’ levels of autistic traits for frequency and length.
are two self-report questionnaires developed by Baron-Cohen Since people with autism have a limited capacity to recognize
et al. (2001), the Autism Quotient and the Empathy Quotient. internal feelings, we expect that they will be less able to imagine
A person’s Autism Quotient score represents the quantity of words referring to emotional and proprioceptive states and that
Autism Spectrum Disorder (ASD) traits s/he shows in her/his therefore imageability ratings assigned to these word classes will
behavior, whereas the Empathy Quotient measures empathy negatively correlate with autistic traits. On the other hand, there is
traits related to the recognition of others’ emotions and moods, no evidence that more or less marked autistic traits will influence
the lack of which is involved in ASD impairments. As is already the way people perceive the external world or the way they
suggested by the link between autism and empathy, people grasp verbal definitions. Thus, imageability ratings of concrete
with marked autistic traits are less able than others to identify and of theoretical words should remain stable independently
internal states. Specifically, they have difficulties recognizing of the degree of autistic traits. To assess this hypothesis, we
both their own and others’ emotions and introspective feelings tested whether the imageability ratings assigned to the four
(Gaigg, 2012; Matsuda and Yamamoto, 2015). For this reason, classes of words correlates with the degree of participants’
one would expect them to also have a lower capacity to imagine autistic/empathic traits as calculated by the Autism Quotient and
(i.e., to dynamically form and mentally re-evoke) emotional and the Empathy Quotient.
introspective experiences.
The aim of this study is to test whether autistic traits correlate Aim of the Study
with the capacity to imagine different kinds of words and This study aims at investigating whether more or less marked
thus whether the imageability scale, and specifically the ratings autistic and/or empathic traits modulate semantic competence
obtained by it (Paivio et al., 1968; Coltheart, 1981; Wilson, 1988; with specific word classes. We hypothesize that individuals
Connell and Lynott, 2012), can be used as a means to predict how with higher autistic traits and lower empathic skills have a
many autistic or, at the other end of the continuum, empathic less developed capacity to imagine the meaning of words
traits a person possesses. A correlation of this kind would not only referring to emotions and proprioceptive feelings. To test this
hypothesis, imageability judgements were submitted to recursive
1
Because ‘proprioception’ can be used in a wide sense to include also interoception, partitioning (also known as tree-based models; Costello et al.,
in the following we will speak in general of proprioceptive states/words. 2003) to analyze how the words’ category (theoretical, emotional,

proprioceptive, and concrete) predicts the amount of autistic Materials

(or empathy) traits. Given a set of independent variables (word Words
category) and a dependent variable (level of autistic or empathy One hundred and eighty Italian words were selected as
traits), tree-based models provide unique information about experimental stimuli. Each word fell in one of three categories
the (1) hierarchy of contributions from independent variables (N = 60): emotional words, proprioceptive words, theoretical
in explaining the distribution of the dependent variable and words. In addition, 180 words were selected as control stimuli.
(2) which value of the independent variable subdivides the Experimental and control stimuli were balanced in terms of
dependent variable into statistically different groups. To evaluate written frequency (67.2 vs. 67.3, respectively; t < |1| ) and in terms
whether the results were broadly general or clinically specific, of letter length (8.5 vs. 8.5; t < |1| ).
we selected adults along a continuum, from low to high autistic (i) Words denoting proprioceptive states were selected
traits. starting from the examples considered in the studies of Berthoz
(2000) and Craig (2003, 2009, 2010). Some examples are
‘agitation,’ ‘balance,’ ‘blush,’ ‘cramp,’ ‘spasm,’ ‘pain,’ ‘hunger,’ ‘cold,’
MATERIALS AND METHODS ‘fullness,’ ‘fever,’ ‘malaise,’ ‘relaxation,’ and ‘wheeze.’ (ii) The
group of emotion words includes both transient emotions
Participants and moods. The list was freely composed starting from the
One-hundred and seventy-one participants aged between 18 and examples given in a number of salient studies on the matter.
58 years (N = 171; M = 31.6 years; SD = 10.9 years), 104 female We included only emotions that are considered to be culturally
(M = 30.62 years; SD = 10.8 years), 67 male (M = 33.1 year; stable (more basic; Tomkins, 1962, 1963; Plutchik, 1980; Ekman,
SD = 10.9 years) participated in the study. Their educational 1984, 1994, 1999; Reizenzein, 2009; Kassam et al., 2013). As
level was medium-high (with all the participants having at least for moods, we composed our list starting from the cases
completed high school). Participants were recruited through discussed by Ekman (1994), Damasio (1999), and Prinz (2004).
the Department of Psychology and Cognitive Science electronic Among the words we used were, e.g., ‘anguish,’ ‘amazement,’
notice board. Furthermore, to increase variability in the level ‘joy,’ ‘happiness,’ ‘sadness,’ ‘unhappiness,’ ‘disappointment,’ ‘love,’
of autistic/empathy traits, invitation to participate in the study ‘fear,’ ‘anger,’ ‘depression,’ ‘boredom,’ ‘distress,’ ‘indolence,’ and
was electronically sent to an association of people with Asperger ‘relief.’ (iii) For the list of theoretical words we could not rely
Syndrome. Although we were able to differentiate among the on previous databases of abstract words. In fact, as we already
participants that were recruited from the Asperger Syndrome mentioned, theoretical words are not just abstract words, since
association (N = 62; 31 m/31f) from those that were recruited many words which are considered abstract (not directly related
from the general population (N = 109; 36 m/73f), we were not to external perception), are indeed linked to internal – emotional
able to confirm their clinical diagnosis. For these reasons we or proprioceptive – sensory information (e.g., ‘friendship,’ ‘love,’
grouped all the participants together assuming a continuous ‘freedom,’ or ‘wellness’ etc.; on this see also Vigliocco et al.,
distribution of autistic and empathy traits between clinical 2009; Kousta et al., 2011). Thus, the class of theoretical words
and sub-clinical (normal) populations. We used the Autism was defined a priori, with the intent of individuating a set of
Quotient Questionnaire (AQ) and the Empathy Questionnaire terms which rely primarily on verbal definitions like ‘axiom,’
(EQ) to assess each participant’s location along the spectrum of ‘fallacy,’ hypothesis,’ ‘fraud,’ ‘democracy,’ ‘definition,’ ‘exception,’
Autistic/Empathy traits. Participants recruited from the Asperger ‘unanimity,’ ‘protocol,’ etc. (iv) Finally, we created a control set
Syndrome association had significantly [F(1,169) = 151.1, (matched for length and frequency with the others) composed
p < 0.001] higher levels of AQ (M = 35.4; SD = 7.3) than uniquely of concrete words, i.e., of words which strongly rely on
participants from the subclinical group (M = 18.3; SD = 9.5) external sensory information. We included in this class terms like
and had significantly [F(1,169) = 125.7, p < 0.001] lower levels of ‘table,’ ‘fennel,’ ‘candle,’ ‘juice,’ ‘cork,’ ‘pillow,’ ‘melon,’ ‘book,’ ‘stem
EQ (M = 21.8; SD = 10.2) than participants from the subclinical glass,’ and ‘airplane.’
group (M = 43.3; SD = 12.9). However, using the Kolmogorov–
Smirnov test we confirmed the normality of our AQ (D = 0.11, Questionnaires
p = 0.24) and EQ (D = 0.11, p = 0.19) score distributions. In Autistic traits (AQ)
spite of this, we cannot exclude the possibility that the extreme Participants were administered the full 50-item Autism Quotient
group of participants with a potential diagnosis of Asperger questionnaire (Baron-Cohen et al., 2001). Answering each
Syndrome might have had a relatively strong effect on the final question on the survey was mandatory, so there were no missing
results. data for any participants who completed it. The results were
Participants were provided with information on the basic scored according to Baron-Cohen et al.’s (2001) criteria, resulting
background of the study and the procedure before giving their in an “AQ score” for each participant. The AQ score represents
consent. Participants did not receive any monetary incentive the level of autistic traits/characteristics that participants possess.
to participate in the study. The study was approved by the
Internal Ethical Committee of the University of Padova, and Empathy traits (EQ)
was conducted according to the principles expressed in the Participants answered the 40-item short version of the Empathy
Declaration of Helsinki. Informed consent was obtained from the Quotient questionnaire (Baron-Cohen and Wheelwright, 2004).
participants. The results were scored to obtain an “EQ score” for each

participant, which represents their level of empathy traits, i.e., the distributions of AQ, EQ and imageability judgment scores were
ability to understand others’ emotions and moods. examined for normality, homogeneity of variance, outliers, and
influential cases (Fox, 1997). All these variables were normally
Procedure distributed. The distance of each case to the center was evaluated
The survey was created and run between July 2014 and November to screen for multidimensional outliers (Fox, 1997). Autism
2014 using Google Forms Online Surveys. Quotient scores and Empathy Quotient scores were, as expected,
Participants were asked to fill in two questionnaires (AQ, and negatively correlated, r = −0.85, p < 0.001 sharing 72.3% of their
EQ, Baron-Cohen et al., 2001; Baron-Cohen and Wheelwright, common variance.
2004) and to rate the imageability of a set of 360 words. No significant differences emerged between female and
Imageability was rated for each word on a 7-point Likert-like male participants for the imageability judgment scores (F
scale (one is the low and seven is the high imagery end of the range = 0.01–1.8; ns). However, significant differences emerged
scale). Instructions to participants were the Italian translation between male and female for AQ [male M = 27.4; SD = 11.9;
of Paivio et al.’s (1968) original instructions: “Nouns differ in female M = 22.7; SD = 11.8; F(1,169) = 6.4; p < 0.05] and for
their capacity to arouse mental images of things or events. Some EQ [male M = 30.5; SD = 14.3; female M = 38.6; SD = 16.0;
words arouse a sensory experience, such as a mental picture or F(1,169) = 11.2; p < 0.001].
sound, very quickly and easily, whereas others may do so only
with difficulty (i.e., after a long delay) or not at all. The purpose of Correlational Analysis
this experiment is to rate a list of words as to the ease or difficulty For the whole group, neither AQ nor EQ were significantly
with which they arouse mental images. Any word which, in correlated with mean imageability ratings (respectively, r = 0.07,
your estimation, arouses a mental image (i.e., a mental picture, ns and r = −0.08, ns).
or sound, or other sensory experience) very quickly and easily Figure 1 shows the linear correlations among the AQ scores
should be given a high imagery rating: any word that arouses a and imageability ratings for each of the word clusters (theoretical,
mental image with difficulty or not at all should be given a low emotional, proprioceptive, and control) for male and female
imagery rating. Think of the words ‘apple’ or ‘fact.’ Apple would participants. There was a significant positive correlation for males
probably arouse an image relatively easily and would be rated as (but not for females) between AQ and the imageability ratings of
high imagery; fact would probably do so with difficulty and would theoretical words (r = 0.37, p < 0.01), with the explained variance
be rated as low imagery” (Paivio et al., 1968, p. 4; for an analysis as low as 13.7%. There was a significant positive correlation for
of these instructions and of how people might plausibly interpret males (but not for females) between AQ and the imageability
them to assign their ratings, see Pastore et al., 2015). ratings of emotional words (r = 0.31, p < 0.01), with the
The experiment was conducted in two parts, each involving explained variance as low as 9.6%. AQ was not significantly
completion of an online form. In the first part, participants correlated for either males or for females with the imageability
dealt with the form containing the AQ and a random selection ratings of either proprioceptive words (male r = 0.20, ns; female
of 180 words; in the second part, they dealt with the EQ and r = 0.04, ns), or control words (male r = 0.02, ns; female
the remaining 180 words. Only the data from participants that r = −0.17, ns).
completed all the four tasks (AQ, EQ, rating of word set 1 and Figure 2 shows the linear correlations among the EQ scores
word set 2) were used for the analyses. and the imageability ratings for each of the word clusters
(theoretical, emotional, proprioceptive, and control) for male and
Analytic Plan female participants. There was a significant negative correlation
First, for the whole group, we calculated correlations of AQ for males (but not for females) between EQ and the imageability
scores and EQ scores with the mean imageability ratings. We ratings of theoretical words (r = −0.43, p < 0.01), with the
then determined correlations of AQ scores and EQ scores with explained variance as low as 18.5%. There was a significant
the mean of the judgments of imageability for each of the word negative correlation for males (but not for females) between EQ
clusters (theoretical, emotional, proprioceptive, and control) for and the imageability ratings of emotional words (r = −0.33,
male and female participants. Statistical significance was set at p < 0.01), with the explained variance as low as 10.9%. EQ was
p < 0.01. not significantly correlated for either males or for females with
Finally, imageability ratings were submitted to recursive the imageability ratings of either proprioceptive words (male
partitioning (also known as tree-based models; Costello et al., r = −0.22, ns; female r = −0.05, ns), or control words (male
2003) to analyze how either the words’ category (theoretical, r = −0.01, ns; female r = 0.21, ns).
emotional, proprioceptive, control) or the single words predict
the AQ and EQ scores. Tree-Base Model Analysis
Category-Words Level
Figure 3 shows the optimal tree that describes how imageability
RESULTS ratings of the word categories (theoretical, emotional,
proprioceptive, and control) predict the AQ (Figure 3A) and EQ
Preliminary Analysis (Figure 3B) scores. For both AQ and EQ scores, the judgment
The data were explored and analyzed using R-project (version of theoretical words was the best measure that statistically
3.1.1). Prior to data analysis, univariate and multivariate differentiated the distribution. Specifically, participants with

FIGURE 1 | Distributions of the Autism Spectrum Quotient (AQ) score and imageability ratings for each of the words clusters (theoretical, emotional,
proprioceptive, and control) for male and female participants.
FIGURE 2 | Distributions of the Empathy Quotient (EQ) score and imageability ratings for each of the words clusters (theoretical, emotional,
proprioceptive, and control) for male and female participants.
higher AQ (and conversely lower EQ) scores gave higher independently) predicts the AQ (Figure 4A) and EQ (Figure 4B)
imageability ratings of the theoretical words (>4.6) than those scores. For both AQ and EQ scores, the ratings of the
with lower AQ (and higher EQ) scores. Next, the imageability single word anguish were the best measure that statistically
ratings of the control and the theoretical words hierarchically differentiated the distribution. Specifically, participants with
stratified the AQ and EQ distributions, respectively. Finally, only higher AQ (and conversely lower EQ) scores gave lower (<5.55)
for those participants with lower AQ (<30), the imageability imageability ratings to the word anguish than those with
ratings of the emotional and proprioceptive words affected the lower AQ (higher EQ) scores. Next for the AQ scores, the
stratification of the population. Gender hierarchically stratified imageability judgments of the words toy (>4.5), amazement
the distribution only for the EQ scores, with females having (<3.5), and unanimity (<2.5), hierarchically stratified the
higher scores. population. For the EQ scores, the imageability judgments of
the words toy (>4.5) and chocolate candy (>6.5) hierarchically
Single-Word Level stratified the population. Gender hierarchically stratified the
Figure 4 shows the optimal tree which describes how imageability distribution only for the EQ scores, with females having higher
ratings at the single word level (all 360 words were considered scores.

FIGURE 3 | (A) The optimal tree that describes how imageability ratings of words’ category (theoretical, emotional, proprioceptive, and control) predict the AQ. The
regression tree or tree-based model provides information about (1) the hierarchy of the importance of independent variables in explaining the distribution of the
dependent variable and (2) which value of the independent variable divides the dependent variable in two groups that differ statistically. The bottom rectangle shows
the distribution of expressed distress from lower (left) to higher (right). The values in the oval leaves of the tree refer to the condition of the independent variable that
statistically divides the distribution of the dependent variable. Below each oval leaf, the indications “yes” or “no” refer to whether or not the condition is met. For the
categorical variable “Gender” m, male and f, female. Each leaf is divided in two sub-leaves. The terminal leaves (quadrangles) represent subgroups that cannot be
further subdivided. The n-value in the terminal leaves represents the size of the group, and M is the mean value of the group for the dependent variable. (B) The
optimal tree for EQ.
FIGURE 4 | (A) The optimal tree that describes how imageability ratings of single words’ predict the AQ. (B) The optimal tree for EQ.
DISCUSSION scientifically, even though they are crucial for understanding

non-verbal thought and the relationship between verbal and
The notion of mental imagery describes both the capacity to non-verbal thought. This study offers a contribution to the
dynamically form and mentally recall representations of past comprehension of this phenomenon. Indeed, it allows us to
sensory experience and the quasi-perceptual representations establish a link between people’s lower vs. higher autistic traits
evoked by this process. Since they are private and subjective (which we know to be related to a higher/lower ability to feel their
experiences, mental images are particularly difficult to investigate own and others’ internal states, respectively) and their capacity

to imagine specific word classes, i.e., to link specific words more specifically those words that lie at the extremes of the
with quasi-perceptual information related to them. As has been continuum. Furthermore, to evaluate possible clinical insights
reported in other studies on cognitive style in Autism (Kana et al., and applications, it would be useful to use this methodology
2006; Mottron et al., 2006), this group probably compensates for with children. Indeed, conducting assessments at various ages
the lack of direct emotional experience by developing a higher during childhood could allow us to define the ontogeny of
capacity to imagine emotions in a visual manner. This same the imagery capacity across development and thus might be
tendency – even if to a lesser and non-significant degree – is helpful in trying to identify atypical developmental trajectories.
discernible also in the case of proprioceptive terms referring to Finally, our research could be tested at the neurophysiological
bodily (proprioceptive and interoceptive) states. level in order to both identify brain neural networks that render
Conversely, we were also able to ascertain that people with the mental imagination of one class of words differently than
high levels of autistic traits and lower levels of empathic traits another and to determine how they vary in different clinical
have a more developed capacity to imagine theoretical words groups.
and this is compatible with the common knowledge that they
are outstanding in understanding theoretical issues and in
accomplishing abstract tasks. Thus, we can conclude that the CONCLUSION
capacity to dynamically form and mentally recall representations
of past sensory experience associated with a word is in general We used Paivio’s imagery scale to investigate whether autistic
positively related with a better grasp of the phenomena denoted traits correlate with the capacity to imagine different kinds of
by the words. words. The outcome is even more intriguing than we anticipated
Furthermore, this study may also be relevant from a clinical since it indicates that the ratings assigned by people to certain
perspective since the imageability ratings of word classes world classes can predict that person’s inclination to manifest
denoting proprioceptive, emotional and theoretical words allow autistic traits, including whether they fall above or below the
us to predict whether people have low or high autistic traits, diagnostic threshold.
or, to put it differently, whether they have more or less People with more autistic traits have a higher capacity than
marked empathic inclinations. In the DSM-5 it is at last typical matching controls to imagine theoretical, emotional
acknowledged that people with autistic traits tend to belong and proprioceptive words. This may support the claim that
to a spectrum. However, there are no specific markers that people with high functioning autism compensate for their
can easily predict where in the spectrum a person falls. difficulties in understanding their internal states by using specific
Our study shows that a simple task such as rating mental cognitive strategies related to imagery, more specifically by using
imagery may be useful for performing a stratification of the associations to words referring to external sensory information.
population. This finding certainly invites further investigation since it could
The effects we found are higher for the male than for the lead to important insights for the development of psychological
female participants. This is consistent with the so-called “extreme treatments. Furthermore, our results also suggest something
male brain theory of autism” and with the finding that autistic more specific, i.e., that the reason people with high functioning
traits in men are generally more severe than those in women autism show increased skills for theoretical tasks is not due to a
(Baron-Cohen, 2002). highly developed capacity to recall verbal definitions or to build
Some limitations of this study point to future directions meaningful links among words; instead, these increased skills
of study. Firstly, we can imagine that cognitive level may be result from a capacity to form perceptual images of theoretical
a strong predictor of word imageability, so it is a limitation concepts.
that no measures of cognitive performance were taken into
account. However, in the current study we decided not to
collect any IQ measure for technical reasons. Specifically, our AUTHOR CONTRIBUTIONS
procedure was very long (∼2 h in two sessions) and many
participants had to be excluded because they did not finish All authors listed have made substantial, direct and intellectual
the experiment. Adding another IQ test would have made contribution to the work, and approved it for publication.
our experiment even longer. However, we strongly believe that
a follow-up study should include measures of the cognitive
performance of the participants. Secondly, we tested our sample ACKNOWLEDGMENTS
on ratings for a large number of words, and the task was
long and demanding. To have clinical value, we believe the All participants in this study are gratefully acknowledged. The
stratification of the population should be done based on the authors also thank the members of the association “Spazio
imagery rating of a smaller number of words. This will be Asperger” (http://www.spazioasperger.it/) for participating in
possible by selecting only a subgroup of the words we have used, our study and David Vagni for his valued assistance.

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ORIGINAL RESEARCH
doi: 10.3389/fpsyg.2016.01039
Electrophysiological Correlates of
Emotional Source Memory in
High-Trait-Anxiety Individuals
Lixia Cui 1 , Guangyuan Shi 1,2 , Fan He 3 , Qin Zhang 1 , Tian P. S. Oei 4,5,6 and Chunyan Guo 1*
1
Beijing Key Laboratory of Learning and Cognition and Department of Psychology, Capital Normal University, Beijing, China,
2
Psychological Health Education and Consultation Center, Dalian University of Technology, Dalian, China, 3 Guanghua
School of Management, Peking University, Beijing, China, 4 School of Psychology, University of Queensland, Brisbane, QLD,
Australia, 5 James Cook University, Singapore, Singapore, 6 Asia University, Taichung, Taiwan
The interaction between recognition memory and emotion has become a research
hotspot in recent years. Dual process theory posits that familiarity and recollection are
two separate processes contributing to recognition memory, but further experimental
evidence is needed. The present study explored the emotional context effects on
successful and unsuccessful source retrieval amongst 15 high-trait-anxiety college
students by using event-related potentials (ERPs) measurement. During study, a
happy, fearful, or neutral face picture first was displayed, then a Chinese word was
superimposed centrally on the picture and subjects were asked to remember the word
Edited by:
Jon Julius Frederickson, and the corresponding type of picture. During the test participants were instructed
Washington School of Psychiatry, to press one of four buttons to indicate whether the displayed word was an old or
USA
new word. And then, for the old word, indicate whether it had been shown with a
Reviewed by:
Robin Leora Aupperle,
fearful, happy, or neutral face during the study. ERPs were generally more positive
Laureate Institute for Brain Research, for remembered words than for new words and the ERP difference was termed as an
USA
old/new effect. It was found that, for successful source retrieval (it meant both the item
Zaizhu Han,
Beijing Normal University, China and the source were remembered accurately) between 500 and 700 ms (corresponding
*Correspondence: to a late positive component, LPC), there were significant old/new effects in all contexts.
Chunyan Guo However, for unsuccessful source retrieval (it meant the correct recognition of old items
[email protected]
matched with incorrect source attribution), there were no significant old/new effects in
Specialty section: happy and neutral contexts, though significant old/new effects were observed in the
This article was submitted to fearful context. Between 700 and 1200 ms (corresponding to a late slow wave, LSW),
Emotion Science,
a section of the journal there were significant old/new effects for successful source retrieval in happy and neutral
Frontiers in Psychology contexts. However, in the fearful context, the old/new effects were reversed, ERPs were
Received: 20 September 2015 more negative for successful source retrieval compared to correct rejections. Moreover,
Accepted: 24 June 2016
there were significant emotion effects for successful source retrieval at this time window.
Published: 12 July 2016
Further analysis showed ERPs of old items were more negative in fearful context
Citation:
Cui L, Shi G, He F, Zhang Q, than in neutral context. The results showed that early unsuccessful fearful source
Oei TPS and Guo C (2016) retrieval processes (related to familiarity) were enhanced, but late successful fearful
Electrophysiological Correlates
of Emotional Source Memory source retrieval processes during source retrieval monitoring (related to recollection)
in High-Trait-Anxiety Individuals. were weakened. This provided preliminary evidence for the dual processing theory.
Front. Psychol. 7:1039.
doi: 10.3389/fpsyg.2016.01039 Keywords: anxiety, source memory, old/new effect, emotion effect

Cui et al. Emotional Source Memory in High- Trait- Anxiety Individuals
INTRODUCTION cognitive resources for stimuli processing are unavailable). The

two processes are independent, meaning that a bias in one
Episodic memory, referring to memory for an event or episode process is not associated with a bias in the other. Studying ERP
that occurs at a certain time and a certain place, includes two differences produced in response to successful or unsuccessful
elements: item memory and source memory (Slotnick et al., source retrieval using different emotional contexts in high-trait-
2003). Item memory refers to the recognition or recall of anxiety individuals would contribute to a deeper understanding
previously presented information itself, whereas source memory of the relation between familiarity and recollection.
refers to the recollection or recall of the context from which In the present study, we explored the cognitive and neural
the fact or information is acquired (Johnson et al., 1993). mechanisms of source retrieval under different emotional
According to dual-process theories, when both item and source contexts in high-trait-anxiety individuals by using ERPs
are remembered accurately, it is inferred that the memory measurements and a source memory multiple-task paradigm.
decision is based on recollection. When the correct recognition of There were four responses in the test phase: (1) old item-
old items matches with incorrect source attribution, dual-process happy context, (2) old item – fearful context, (3) old item –
theories posit that the memory decision is based on familiarity. neutral context, and (4) new item. In the test-phase, trials
Familiarity and recollection are distinct cognitive processes. for old items would be assigned to the condition of correct
Familiarity relies on automatic processes and recollection relies source retrieval (w/source) if the item was endorsed as an
on intentional processes. old item with the correct emotional context judgment, and if
The past studies have shown that the background emotional the item was endorsed as an old item but with the incorrect
valence affects the retrieval of source memory, and we can emotional context judgment these trials would be assigned to
speculate that both early item retrieval and late sources the condition of false source retrieval (w/o source). Using this
retrieval are affected by it (Jaeger et al., 2009). Some studies paradigm we were able to compare how retrieval processing was
demonstrated that event-related potentials (ERPs) which were moderated by the emotional context when the source retrieval
related to emotion-laden pictorial contexts as elicited during was successful or unsuccessful. Based on the Dual-process
object recognition differed in two ways (Jaeger and Rugg, 2012). theories (Williams et al., 1988), we hypothesized that the effects
First, there was a relatively early-onset (circa 300–500 ms) of emotional context on information retrieval differed depending
positivity for objects encoded in emotional rather than in neutral on successful or unsuccessful source retrieval at different stages
contexts. Secondly, there was a positively inclined shift in the in high-trait-anxiety individuals.
ERPs for emotionally encoded objects, which showed a relatively
late onset (circa 700 ms). This was frontally distributed, and it
persisted for several 100 ms. Findings from Smith et al. (2004) METHODS
were replicated in Jaeger et al. (2009), by which the latter study
team contrasted ERPs that had been studied in association with Participants
emotionally negative to neutral contexts during item recognition Initially, 99 participants were recruited through advertising from
after the shorter study-test delay (10 min). several universities in Beijing. They also completed the State-
Past studies employing normal controls have demonstrated trait Anxiety Inventory (STAI) and the top 30% of the STAI was
the effects of emotional contexts on memory retrieval (Smith selected for the study. Sixteen right-handed young adults were
et al., 2004; Jaeger et al., 2009; Jaeger and Rugg, 2012), but whether employed as subjects and remunerated at the rate of ¥20/hr.
the emotion effects on successful retrieval are different from All study participants reported good health with no history of
unsuccessful source retrieval has not been explored. One study neurological or psychiatric illnesses. One participant with less
showed that the emotion effects on information retrieval were than 16 artifact-free trials in at least one relevant condition
different at different stages amongst high-trait anxiety individuals was excluded from the analysis, leaving a final sample of fifteen
(Williams et al., 1988). One of the most elaborate theories participants (mean age was 21.81, SD = 1.59). Of the 15 subjects
for explaining selective information processing in anxiety was contributing data, 8 were women. The mean trait anxiety score
developed by Williams et al. (1988). This theory proposed for this group was 59.06 ± 3.88. Each participant signed an
that there should be two different stages of processing (i.e., informed consent. This study was approved by the Institutional
automatic and strategic) related to the two distinct pathways of Review Board of the Capital Normal University.
information integration and elaboration. At the integration stage
of processing, if a stimulus is evaluated as threatening, people
with high-trait-anxiety are likely to allocate cognitive resources to MATERIALS
this new threatening information, thus, establishing a preference
for processing this stimulus. In contrast, at the elaborative State-Trait Anxiety Inventory (STAI)
stage, there might not be extra resources allocated for cognitive The State-trait Anxiety Inventory (Speilberger et al., 1983) was
processing, or cognitive resources for processing threatening utilized as the measure of anxiety symptoms. For the 20 trait
stimuli may be removed altogether. This way, anxiety will either items in the STAI, the students were asked to circle the number
not be related to an enhanced recall of threatening stimuli (as that best described how they generally felt with a four-point
when additional resources are unavailable) or be related to a scale ranging from: 1 = almost never to 4 = almost always).
worst memory of the threatening stimuli (as when baseline All anxiety-absent (positively worded) items were reverse scored

(i.e., reversed score = 5-original score). The internal consistency made up of 12 face pictures each for the three emotional contexts,
reliability (Cronbach’s α) of the Chinese versions of STAI was 0.88 and arranged pseudo-randomly with no more than three pictures
and the Chinese undergraduates norm score of trait anxiety is from the same valence category presented consecutively. In one
43.31 ± 9.20 (Li and Qian, 1995). trial (see Figure 2), before presentation of the face picture, a
fixation cross appeared at the central location during the inter
Stimuli stimulus interval (ISI) ranging from 800 to 1000 ms. Then the
In total, 1056 Chinese words were selected from Modern face pictures context was initially presented alone on the screen
Chinese Frequency Dictionary and the average frequency of for 1500 ms. During this time subjects made a judgment on
all these words is 25.0 occurrences/million (range = 4–82 whether the face picture showed a fearful, happy, or neutral
occurrences/million) (Beijing Language and Culture University, face. The responding fingers were balanced across participants.
1986), of which 576 words were presented as old words both in After presenting the context, the Chinese word was superimposed
the study and the test phase. Only 384 words were presented centrally on the face picture. Subjects were required to remember
as new words in the test phase and 96 words were presented as the word and the corresponding type of face picture (i.e.,
filters in the study phase. The 1056 Chinese words were also rated fearful/happy/neutral). The word and face picture were presented
on a nine-point scale by 50 college students in two dimensions: together for 2000 ms, after which the fixation cross appeared on
emotional valence and arousal. The results showed that the screen, before the next face picture was presented. The emotion
average emotional valence score of every word was 4.0 ± 0.56 and pictures were balanced for gender, and repeated for the same
the average arousal score of every word was 4.0 ± 0.22. number of times. The Chinese words were not emotionally laden
A total of 120 face pictures were drawn from the native and not repeated in the study phase.
Chinese Facial Affective Picture System (Wang and Luo, 2005), The test phase followed the study phase after a delay of
including 40 pictures of happy, fearful, and neutral face emotions, around 1 min, during which a serial subtraction task was used to
respectively. Pictures were presented within a white box to clearly minimize rehearsal effects. In the test phase of the item memory
demarcate their separation from the background. Eight pictures task, each block consisted of 36 studied words, 6 filler items,
for each emotion were selected for the filters and practice. The and 24 new words, each of which was presented for 1500 ms
rest of 96 pictures were presented as the context for target words, with an ISI ranging from 1400 to 1800 ms. Each participant was
and each picture was repeated 6 times. The valence means of 32 instructed to press one of four buttons on the response box to
pictures (16 male faces, 16 female faces) for each emotion was for indicate whether it was an old or new word. And then, for those
happy, M = 6.69 ± 0.33; for neutral, M = 4.89 ± 0.30; for fearful, that were old words, the participants were instructed to indicate
M = 2.67 ± 0.41. The results of one-way ANOVA with repeated whether it had been shown with a fearful, happy or neutral face
measures showed that valence means differed significantly among (See Figure 1). The responding fingers were balanced across
the three emotions, F(2,62) = 978.42, p < 0.001. The arousal participants. To avoid key confusion, the buttons of emotion
means of each emotion picture was as follows: for happy, pictures in study phase corresponded with those in the test phase.
6.15 ± 0.92; for neutral, 3.74 ± 0.51; for fearful, 5.93 ± 1.05.
The results of one-way ANOVAs of arousal for three emotion ERP Recording and Analysis
pictures showed a main effect of condition (p < 0.001). A Tukey Electroencephalographic recordings were obtained from 62 scalp
HSD test revealed that the arousal level of fearful or happy sites using Ag/AgCl electrodes embedded in an elastic cap
emotion pictures was significantly higher than that of the neutral at locations from the extended International 10–20 System.
emotion pictures (p < 0.05). No significant difference was These electrodes were referenced to the right mastoid during
revealed between conditions pertaining to the arousal of fearful recording and re-referenced to the average of the right and
and happy emotions. All the pictures were similar in size, context, left mastoid offline. Two additional channels were used for
spatial frequency, contrast grade, brightness, and other physical monitoring horizontal and vertical electrooculographic (EOG)
properties. The Chinese words and the emotion pictures were recordings. Impedance was reduced below 5 K. EEG signals
randomly matched in each block. See experimental stimulus were filtered with a band-pass of 0.05–40 Hz and sampled at a
samples in Figure 1. rate of 500 Hz. Each epoch lasted 1600 ms, including 200 ms
prior to stimulus onset. Trials with a voltage, relative to the
Procedure 200-ms baseline, exceeding ± 75 µV at any electrode were
The experiment was conducted in a soundproof room. Subjects excluded from analysis, as were trials with artifacts in the EOG
were seated in a quiet room with their eyes approximately100 cm channels. ERPs were quantified by measuring mean amplitudes
from a 17-in screen. All face pictures were presented in the center in three latency intervals (300–500, 500–700, and 700–1200 ms
of the screen. The viewing angle was 8.02 × 9.19◦ . for the test phase), relative to the mean amplitude of the pre-
Using a study-test paradigm, the research was divided into 16 stimulus baseline (−200–0 ms). These intervals were selected
blocks. Each block comprised a study phase, a distraction phase, based on visual inspection of grand-average ERPs, given that
and a test phase. In the experiment, subjects were instructed to similar intervals have been used in prior studies of related ERP
watch the center of the screen, and to relax and control their phenomena. Although initial analyses focused on three midline
blinking. locations (Fz/Cz//Pz), topographic analyses confirmed that these
The study phase included 42 trials, in which the first three and midline locations captured the most important effects. ERPs were
the last three trials were fillers. The other 36 trials, which were averaged for test phase data, when words were presented with

FIGURE 1 | Experimental stimulus sample.
FIGURE 2 | Experimental paradigm. During the study, a happy, fearful, or neutral face picture first was displayed, then a Chinese word was superimposed
centrally on the picture and participants were asked to remember the word and the corresponding type of picture. During the test participants were instructed to
press one of four buttons to indicate whether the displayed word was an old or new word. And then, for the old word, participants were instructed to indicate
whether it had been shown with a fearful, happy, or neutral face.
a blank background. In the test-phase, trials for old items were judgment. The hit item w/source and hit item w/o source both were
classified as hit item w/source if the item was endorsed as an old item tested for three different emotional contexts. Meanwhile, new
with the correct source judgment, and as hit item w/o source if the trials were classified as correct rejections, if they were correctly
item was endorsed as an old item but with the incorrect source endorsed as new, and as false alarms, if incorrectly endorsed as

old. The hit item w/source and hit item w/o source both have three difference between hit item w/source RTs and hit item w/o source RTs
types as for different emotion. in fearful context (p > 0.05).
For each dependent variable, an ANOVA with repeated One-way repeated-measures ANOVAs were conducted on RTs
measures was performed. All ANOVAs were two-tailed with for hit item w/source with three different emotional contexts and a
a level of significance set to α = 0.05 and supplemented main effect of emotion context was observed, F(2,28) = 8.262,
with pairwise comparisons or simple effect comparisons when p < 0.01, η2 = 0. 41. A Tukey HSD test revealed that RTs
appropriate. For all effects with two or more degrees of freedom for hit item w/source, either in neutral or happy context, were
in the numerator, we adjusted when appropriate for violations significantly faster than RTs for hit item w/source in fearful context
of sphericity, which are inherent in ANOVAs, according to (ps < 0.05). No significant difference was revealed between
the Greenhouse and Geisser (1959) formula. Midline ERP RTs for hit item w/source in neutral and happy context. One-
measurements were evaluated using a condition-by-electrode- way repeated ANOVAs conducted on RTs for hit item w/o source
location ANOVA for each latency interval. Main effects of with three different emotional contexts showed a main effect
electrode location are not reported. of emotional context, F(2,28) = 3.732, p < 0.05, η2 = 0.26.
A Tukey HSD test revealed that RTs were significantly slower
for hit item w/o source in fearful context than in happy context
RESULTS (p < 0.05). No significant difference was found between RTs in
fearful and neutral context (see Table 1).
Behavioral Results
Given the four-key response requirements in the source test, we Event-Related Potential Data
analyzed two different hits in three different emotion contexts. The mean (range) number of trials contributing to the average
One hit was correct item and source (hit item w/source). The other ERPs for each response type were for correct rejections, 265
was when the source judgment was incorrect (hit item w/o source ). (126–370); for fear/hit item w/source , 93 (51–130); for fear/hit
The mean accuracy and reaction times (RTs) for hit item w/source item w/o source , 51 (20–94); for happy/hit item w/source , 100(55–138);
and hit item w/o source in fearful, happy, and neutral contexts, as for happy/hit item w/o source , 51(26-91); for neutral/hit item w/source ,
well as data for correctly rejected new items, are shown in Table 1. 94(43–130); and for neutral/hit item w/o source , 39(20,71).
Test-phase ERPs were analyzed separately for each condition.
Hit Rates Clear differences were observed beginning about 300 ms after
One-way repeated-measures ANOVAs were conducted on hit stimulus onset and lasted for 900 ms. ERPs were generally
rates of the three conditions (hit item w/source , hit item w/o source , more positive for remembered words than for new words. This
correct rejections) separately for three different emotion face ERP difference is termed as an old/new effect and the old/new
contexts. A main effect of condition was observed for all effect as a measure of cognitive and neural mechanisms of
of the three different emotion face contexts (ps < 0.001). retrieval has been widely used (Friedman and Johnson, 2000).
Tukey HSD tests revealed that both hit item w/source rates and Figure 2 shows ERPs from the three chief conditions in the
hit item w/source rates were lower than correct rejection rates, test phase. Two different old/new effects were computed. The
meanwhile hit item w/source rates were higher than hit item w/o source first was based on correct source recognition, such that hit
rates (ps < 0.05), regardless of the emotional context (See item w/source trials were compared to correct rejections. The
Table 1). second old/new effect was based on recognizing the item as
One-way repeated-measures ANOVAs were conducted on hit old but with the wrong context; hit item w/o source trials were
item w/source rates with three different emotional contexts and compared to correct rejections. We are most interested in
no main effect of emotional context was observed (p > 0.05). the difference of these two old/new effects and the different
But the results of one-way repeated ANOVAs conducted on hit emotion effects on them. Thus, first: two different old/new
item w/o source rates with three different emotion contexts showed effects would be contrasted separately for three different emotion
a main effect of emotional context, F(2,28) = 6.946, p < 0.01, face pictures that followed. These repeated-measures ANOVAs
η2 = 0.19. A Tukey HSD test revealed that hit item w/o source with two factors, condition (correct rejections/hit item w/source /hit
rates, either in fearful or in happy context, were higher than hit item w/o source ) and electrode location (Fz/Cz/Pz), were conducted
item w/o source rates in neutral context (ps < 0.05) (See Table 1). on mean amplitude data for three time intervals, 300–500 ms
(corresponding to a negative-going wave), i.e., N400 ms, 500–
RTs 700 ms (corresponding to a late positive component, i.e., LPC),
One-way repeated ANOVAs were conducted on RTs with three and 700–1200 ms (corresponding to a late slow wave, i.e.,
conditions (hit item w/source , hit item w/o source , correct rejections) LSW). These time window regions were selected based on the
separately for three different emotional contexts. A main effect timing of memory effects in previous studies (Rugg and Allan,
of condition was observed for all the three emotional contexts 2000; Maratos and Rugg, 2001; Smith et al., 2004) and visual
(ps < 0.001). Tukey HSD tests revealed that both hit item w/source inspection of the present data. Secondly, another repeated-
RTs and hit item w/source RTs were longer than correct rejections measures ANOVA with two factors, emotion condition (i.e.,
RTs regardless of the emotional context. On the other hand, hit fearful/happy/neutral) and electrode location (Fz/Cz/Pz), was
item w/source RTs were shorter than hit item w/o source RTs in happy conducted to compare emotion effects separately in conditions
and neutral contexts (ps < 0.05), while there was no significant of hit item w/source and hit item w/o source .

TABLE 1 | Means (and SEs) for the Accuracies and Reaction Times (RTs) for each condition.
Old New
Fearful context Happy context Neutral context (Correct rejection)
Accuracy (SE) hit item w/source 0.52 (0.14) 0.58 (0.13) 0.55 (0.12) 0.78 (0.20)
hit item w/o source 0.31 (0.14) 0.30 (0.10) 0.23 (0.09)
Reaction time in ms (SE) hit item w/source 1013.70 (121.32) 957.39 (113.52) 973.15 (118.53) 847.41 (74.47)
hit item w/o source 1075.94 (170.58) 1044.18 (164.24) 1074.57 (176.43)
In the test phase, new trials were classified as correct rejections if correctly endorsed as new; old trials were classified as hit item w/source if the item was endorsed as an
old item with the correct source judgment, as hit item w/o source if the item was endorsed as an old item but with the incorrect source judgment. The hit item w/source and hit
item w/o source both have three types for different emotions.
Old/New effects (Bonferroni) showed that the LPCs were more positive for happy
In fearful context The results of the ANOVA with two factors, hit item w/source compared to correct rejections (ps < 0.001), but
condition (correct rejections/hit item w/source /hit itemw/osource) and there were no significant difference between hit item w/o source
electrode location (Fz//Cz//Pz) in the test phase of the 300– and correct rejections (ps > 0.05) and no significant differences
500 ms revealed a main effect of condition, F(2,13) = 39.120, between hit item w/source /and hit item w/o source (ps > 0.05) (see
p < 0.001, η2 = 0.33 and significant interaction effects between Figure 3).
condition and electrode location, F(4,56) = 4.269, p = 0.03, ANOVA of the 700–1200 ms revealed a significant interaction
η2 = 0.37. Post hoc comparisons (Bonferroni) showed the N400s between condition and electrode location, F(4,56) = 10.900,
were more positive both for fearful hit item w/source and fearful p < 0.001, η2 = 0.36. Post hoc comparisons (Bonferroni)
hit item w/o source compared to correct rejections (ps < 0.001) and showed the LSWs were more positive for happy hit item w/source
there was no significant difference between hit item w/source and hit compared to correct rejections at Fz (p = 0.037), but neither
item w/o source. (ps > 0.05). did for hit item w/o source (ps > 0.05) and there was no significant
ANOVA of the 500–700 ms latency region revealed a main difference between hit item w/source / and hit item w/o source
effect of condition, F(2,13) = 8.978, p < 0.05, η2 = 0.42. (ps > 0.05) (see Figure 3).
Post hoc comparisons (Bonferroni) showed the LPCs were In a neutral context The results of the ANOVA with
more positive for both fearful hit item w/source and fearful hit two factors, condition (correct rejections/hit item w/source /
item w/o source compared to correct rejections (ps < 0.001) and hit item w/o source ) and electrode location (Fz/Cz/Pz) in the test
there was no significant difference between hit item w/source and phase of the 300–500 ms revealed a main effect of condition,
hit item w/o source (ps > 0.05; see Figure 3). F(2,13) = 19.12, p < 0.001, η2 = 0.26 and significant interaction
For the 700–1200 ms latency region, ANOVA of the data effects between condition and electrode location, F(4,56) = 4.269,
revealed an interaction between condition and electrode location, p = 0.03, η2 = 0.17. Post hoc comparisons (Bonferroni)
F(4,56) = 12.476, p < 0.001, η2 = 0.27. Post hoc comparisons showed the N400s were more positive for both fearful hit
(Bonferroni) showed that for the hit item w/source old/new effect item w/source and fearful hit item w/o source compared to correct
was reversed and the LSW amplitudes were larger for correct rejections (ps < 0.001) and there was no significant difference
rejections than for fearful hit item w/source at Pz (p < 0.05). The between hit item w/source /and hit item w/o source (ps > 0.05) (see
hit item w/o source old/new effect was not significant (ps > 0.05) Figure 3).
and there was no significant difference between hit item w/source ANOVA of the 500–700 ms revealed a main effect of
and hit item w/o source (ps > 0.05) (see Figure 3). condition, F(2,13) = 13.059, p = 0.003, η2 = 0.36 and a
In a happy context The results of the ANOVA with two factors, significant interaction between condition and electrode location
condition (correct rejections/hit item w/source /hit item w/o source ) F(4,56) = 14.23, p = 0.016, η2 = 0.17. Post hoc comparisons
and electrode location (Fz/Cz/Pz) in the test phase of the 300– (Bonferroni) showed that the LPCs were more positive for happy
500 ms revealed a main effect of condition, F(2,13) = 59.12, hit item w/source compared to correct rejections in all electrode
p < 0.001, η2 = 0.27 and significant interaction effects between locations, Fz (p = 0.04), Cz (p = 0.021), Pz (p = 0.013), but
condition and electrode location, F(4,56) = 4.269, p < 0.05, there were no significant differences between hit item w/o source
η2 = 0.29. Post hoc comparisons (Bonferroni) showed the N400s and correct rejections (ps > 0.05) and no significant differences
were more positive for both fearful hit item w/source and fearful between hit item w/source and hit item w/o source (ps > 0.05) (see
hit item w/o source compared to correct rejections (ps < 0.001) and Figure 3).
there was no significant difference between hit item w/source /and For the 700–1200 ms, ANOVA of the data revealed
hit item w/o source (ps > 0.05). an interaction between condition and electrode location,
ANOVA of the 500–700 ms region revealed a main effect F(4,56) = 14.740, p < 0.001, η2 = 0.19. Further analysis
of condition, F(2,13) = 10.376, p < 0.001, η2 = 0.30 and showed the LSW amplitudes were larger for neutral/hit
significant interaction between condition and electrode location, item w/source than for correct rejections at Fz (p = 0.004),
F(4,56) = 3.778, p < 0.05, η2 = 0.36. Post hoc comparisons but neither did for hit item w/o source (ps > 0.05) and there

FIGURE 3 | Event-related potential (ERP) waveforms for hit item w/source , hit item w/o source , and correct rejection in the source test in different
emotional valence contexts (Hit trials are correct responses to old items, and correct rejection trials are correct responses to new items).
was no significant difference between hit item w/source /and hit effects on them. During the test phase, correct rejections need
item w/o source (ps > 0.05) (see Figure 3). only item retrieval, but successful or unsuccessful source retrieval
needs not only item retrieval but also source retrieval. So
Emotion Effects compared with correct rejections, successful and unsuccessful
To compare the effects of emotion on the ERPs elicited by source retrieval were difficult. Our behavioral data suggested that
hit item w/source in three different emotional contexts, repeated- hits of successful and unsuccessful source retrievals were lower
measures ANOVA with two factors, i.e., emotional context and their RTs were longer than that of correct rejections. This
(fear/happy/neutral) and electrode location (Fz/Cz/Pz) was was consistent with a previous study demonstrating that source
conducted on mean amplitude data for three time intervals, 300– retrieval was later than item retrieval (Guo et al., 2006). And
500, 500–700, and 700–1200 ms. The repeated-measures ANOVA compared with successful source retrieval, the hit of unsuccessful
results showed no significant difference on mean amplitude data source retrieval was lower and the RTs of unsuccessful source
for two time intervals, 300–500 and 500–700 ms. The ANOVA retrieval were longer. This was consistent with previous findings.
results of the 700–1200 ms revealed a main effect of condition Results from this study suggest that RT could be extended either
F(2,28) = 4.086, p = 0.028, η2 = 0.19. Post hoc comparisons by unsuccessful source retrieval or uncertain source retrieval
(Bonferroni) showed that the LSWs were more negative for (Cansino et al., 2002). However, only in the fearful context, hit
fearful hit item w/source as compared to neutral hit item w/source and item w/o source RTs were not observed to differ significantly from
no significant difference between neutral and positive context or hit item w/source RTs. There is a possibility that highly anxious
between negative and positive context (ps > 0.05). individuals experience some form of interference from fearful
Similarly, the repeated-measures ANOVA of hit item w/o source stimuli even when correct judgments have been made.
with two factors, i.e., emotion context (fear/happy/neutral) and As for emotional effects, hit item w/source rates did not show
electrode location (Fz/Cz//Pz), showed no significant difference significant differences among different emotional contexts. On
on mean amplitude data for three time intervals, 300–500, 500– the other hand, hit item w/source RTs were significantly longer in
700, and 700–1200 ms (ps > 0.05) (see Figure 4). fearful than in neutral and happy contexts. Hit item w/o source
rates in happy and fearful contexts were higher than that
in the neutral context. For hit itemw/o source RTs, there was
DISCUSSION no significant difference between fearful and neutral contexts.
However, hit itemw/o source RTs were significantly longer in the
By using a source memory multiple-task paradigm this study fearful than in the happy context. The higher hit item w/o source
explored the differences between successful source retrieval, rates in emotional contexts suggested that emotional contexts
unsuccessful source retrieval, and different emotional context may facilitate the unsuccessful source retrieval in highly anxious

that item familiarity had not been modulated by the nature of the
emotional context.
In the 500–700 ms (LPC), hit itemw/source old/new effects
existed in all electrode locations in the three emotional contexts.
One effect relevant to the present study is a positivity toward
a left parietal maximum, i.e., the so-called left parietal old/new
effect. This effect goes into onset around 400 ms post-stimulus,
has a duration of around 500 ms, and is thought be a correlate
of episodic retrieval or “recollection” (Smith, 1993; Rugg et al.,
1996). A second relevant effect is the “right frontal old/new
effect.” As implied by name, this is maximal over the right frontal
scalp and goes into onset around 500–600 ms post stimulus,
persisting for a second or more. The effect has been proposed
as a neural correlate of post retrieval monitoring (Wilding and
Rugg, 1996; Rugg et al., 1998). Some studies also found that
brain regions associated with recollection were distributed closer
to the frontal-central area (Duarte et al., 2004; MacKenzie and
Donaldson, 2007; Speer and Curran, 2007). These showed that
the distribution of the source memory covers a wide range of
brain regions, including frontal, frontal-central area, and parietal
area. They might have different functions in the retrieval on
source memory. Supporting this, results in this study revealed
non-significant emotion effects for hit item w/source condition
when tested among the three emotion contexts at this window.
All these results seemed to show that successful source retrieval
(recollection) had not been modulated by the emotional context
during 500–700 ms in the high-trait-anxiety individuals.
The ERPs for hit item w/o source in the fearful context were
more positive than that for correct rejections during 500–
700 ms time window. No such difference was revealed in the
happy and neutral context. Thus, the higher positivity for fearful
hit item w/o source compared with correct rejections may suggest
that the high-trait-anxiety participants might have an enhanced
memory bias for fearful source information related to source
familiarity. According to dual process theory familiarity relies
on automatic processes. This is consistent with the theory of
selective information processing by Williams et al. (1988), which
posited that highly anxious individuals display a memory bias
FIGURE 4 | Event-related potential waveforms for fear hit item w/source , for negative stimuli at the integration (automatic) stage of
happy hit item w/source , and neutral hit item w/source in the source test.
processing.
In the 700–1200 ms time window (LSW), hit item w/source
old/new effects were observed at FZ electrode site and ERPs
individuals. The longer hit item w/source RTs in fearful context of hit item w/source in happy and neutral contexts were more
suggested that highly anxious individuals may spend more time positive than that of correct rejections. However, ERPs for hit
making judgments in fearful contexts during successful source item w/source in electrode PZ in the fearful context were more
retrieval. negative than that for correct rejections. Additionally, emotion
Consistent with many prior reports, ERPs of successful and effect analyses showed that at the 700–1200 ms time windows,
unsuccessful source retrieval were more positive than new items ERPs of hit item w/source in the fearful context were more negative
in the three different emotion contexts between 300 and 500 ms than that of hit item w/source in the neutral context. This result,
after stimulus onset (old/new effect; Mecklinger, 2000; Curran together with the result of reversed hit item w/source old/new
and Cleary, 2003; Speer and Curran, 2007). In addition, there effects in the fearful context in the 700–1200 ms time windows,
was no difference between the old/new effects of hit item w/source implied that the high-trait-anxiety participants minimized an
and hit item w/o source conditions tested at this window in the explicit recollection of fearful information during source retrieval
three different emotional contexts. This suggested that N400 was monitoring. Our findings were consistent with prior studies, one
related to early item retrieval and independent of source retrieval. of which revealed that the slow waves at the left parietal area for
Moreover, the current study indicated that item retrieval during anxious individuals were smaller for negative stimuli compared
300–500 ms was not influenced by emotional contexts. It seemed to other types of stimuli (Inaba and Ohira, 2009). A possibility

was the result of problems in attention among high-trait- anxiety CONCLUSION

participants (Williams et al., 1997). It has been suggested that
anxious individuals avoid the elaborative processing of negative This study provided preliminary behavioral and electrophysiological
stimuli (Mogg et al., 1989; Holmes et al., 2008). For example, evidence of the effects of emotion context on source memory
Mogg et al. (1989) reported greater interference in a Stroop processing mechanisms in high-trait-anxiety participants. Study
task and lower accuracy for negative items in a subsequent results showed that early unsuccessful fearful source retrieval
recognition memory task among high-anxiety individuals. These processes (related to source familiarity) were enhanced, but
findings were inferred to be due to selective attention and an late successful fearful source retrieval processes during source
avoidance of elaborative encoding of negative items. Recently, retrieval monitoring (related to source recollection) were
Holmes et al. (2008) reported that when looking at a fearful weakened in high anxiety individuals. However, in happy and
face, the high-trait-anxiety group showed increased visual P1 neutral contexts, results differed. This study provided preliminary
and less significantly enhanced fronto-central positivity and evidence for the dual processing theory.
EPN as compared with the low-trait-anxiety group. Considering
all these results above, anxiety may favor attention processing
mechanisms at early stages over the effort- and time-consuming AUTHOR CONTRIBUTIONS
elaborative processing mechanisms, due to the major role that
anxiety plays in the detection and avoidance of negative or LC and GS the main writers and contributors of the paper and
dangerous encounters in one’s surroundings (Mogg and Bradley, contributed equally to this work. CG the director of the research.
1998). GS completed most parts of the experiment and data analysis. FH
However, one limitation of the present study was that only finished part of the data analysis. GS and ZQ revised the paper.
the high trait-anxiety-group was used and, thus, it was unable TO finished the English editing.
to say whether the findings were actually driven by trait anxiety.
A normal control or low trait anxiety group would be needed
for such a purpose. Another limitation was that the sample FUNDING
size was rather low. Although we had sufficient power to detect
the influences of fearful context based p-values and effect sizes Dr TO is now an Emeritus Professor at UQ and also a visiting
provided in the results section, future studies with larger sample Professor at James Cook University, Singapore and at Nanjing
size are still needed to help support the conclusion made in the University, PR China. This research was funded by the Natural
present study. Science Foundation of China (31571143 and 31470980).
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HYPOTHESIS AND THEORY
published: 06 February 2017
doi: 10.3389/fpsyg.2017.00098
Emotion Regulation Therapy: A

Mechanism-Targeted Treatment for
Disorders of Distress
Megan E. Renna 1,2 , Jean M. Quintero 1,2 , David M. Fresco 3,4 and Douglas S. Mennin 1,2*
1
The Graduate Center, City University of New York, New York, NY, USA, 2 Hunter College, City University of New York,
New York, NY, USA, 3 Psychology Department, Kent State University, Kent, OH, USA, 4 Case Western Reserve University
School of Medicine, Cleveland, OH, USA
“Distress disorders,” which include generalized anxiety disorder and major depression
are often highly comorbid with each other and appear to be characterized by common
temperamental features that reflect heightened sensitivity to underlying motivational
systems related to threat/safety and reward/loss. Further, individuals with distress
disorders tend to utilize self-referential processes (e.g., worry, rumination, self-criticism)
in a maladaptive attempt to respond to motivationally relevant distress, often resulting in
suboptimal contextual learning. Despite the success of cognitive behavioral therapies
for emotional disorders, a sizable subgroup of patients with distress disorders fail
Edited by:
to evidence adequate treatment response. Emotion Regulation Therapy (ERT) is a
Alessandro Grecucci, theoretically derived, evidence based, treatment that integrates principles (e.g., skills
training, exposure) from traditional and contemporary therapies with findings from basic
Reviewed by:
and translational affective science to offer a framework for improving intervention by
Susan Wenze,
Lafayette College, USA focusing on the motivational responses and corresponding regulatory characteristics of
Christina Röcke, individuals with high levels of chronic distress. Open and randomized controlled trials
University of Zurich, Switzerland
Michael P. Jones,
have demonstrated preliminary support for the utility of ERT as reflected by strong effect
Macquarie University, Australia sizes comparable to and exceeding established intervention approaches. In addition,
*Correspondence: pilot findings support the role of underlying proposed mechanisms in this efficacious
Douglas S. Mennin
response. This article presents the functional model associated with ERT and describes
[email protected]
the proposed mechanisms of the treatment. Additionally, a clinical case is presented,
Specialty section: allowing the reader to gain a greater applied understanding of the different components
of the ERT model and treatment.
Emotion Science,
a section of the journal Keywords: emotion regulation, mindfulness, treatment, generalized anxiety disorder, depression
Received: 23 May 2016
Accepted: 16 January 2017 INTRODUCTION
Published: 06 February 2017
Citation: Generalized anxiety disorder (GAD) and major depressive disorder (MDD) are often referred to
Renna ME, Quintero JM, Fresco DM as “distress disorders,” in part because of the profound misery and suffering they confer and that
and Mennin DS (2017) Emotion they are especially treatment refractory. Indeed, reviews of lifetime prevalence rates of comorbidity
Regulation Therapy:
estimated three of out of every five individuals diagnosed with GAD also meet diagnostic criteria
A Mechanism-Targeted Treatment
for Disorders of Distress.
for comorbid depression (Tyrer and Baldwin, 2006; Fisher, 2007), while prospective longitudinal
Front. Psychol. 8:98. estimates range from these disorders being 48–72% comorbid (Moffitt et al., 2007). These disorders,
doi: 10.3389/fpsyg.2017.00098 particularly when they co-occur, often fail to make sufficient treatment gains thereby prolonging
Frontiers in Psychology | www.frontiersin.org February 2017 | Volume 8 | Article 98 | 61

Renna et al. ERT for Distress Disorders
their deficits in life functioning and satisfaction. For example, that new forms of intervention can be developed to normalize
only 50–60% of GAD patients treated with traditional cognitive the underlying biobehavioral dysfunction and ideally improve
behavioral therapy (CBT) achieved clinically meaningful treatment efficacy for otherwise treatment refractory disorders.
change—lower than the success rate for other mood and anxiety Specifically, several domains of the RDoC System overlap
disorders (Borkovec and Ruscio, 2001). Similarly, the most well with the mechanisms underlying the ERT model (i.e.,
efficacious psychological treatments for MDD are at best only sustained thr eat and loss in the negative valence system,
modestly superior to non-directive supportive therapy (Cuijpers reward learning in the positive valence system, and cognitive
et al., 2008). Also, when GAD is comorbid with MDD, patients control within the cognitive systems domain). The ERT model
demonstrate suboptimal durability of their depression treatment also offers clinicians familiar with principles of cognitive-
gains (Newman et al., 2010). Finally, in the National Institute behavioral therapy, functional analysis, and emotion-focused
of Mental Health (NIMH)-funded, Sequenced Treatment therapies a means of deriving a case formulation approach
Alternatives to Relieve Depression Study, the subgroup of to assessing hypothesized deficits in their clients, teaching
patients who evidenced the weakest treatment gains reflected a emotion regulation skills that assist clients in noticing and
clinical presentation of mixed anxiety-depressive disorder (e.g., responding to emotional cues in their lives, and helping to
MDD + apprehensive anxious symptoms) was most treatment build lives that reflect a balance of seeking reward in the
refractory (Farabaugh et al., 2010). face of challenges and risks. The goals of this paper are
The term distress disorders was derived primarily from to (1) introduce an emotion regulation model of distress
actuarial studies of diagnostic comorbidity and the surface disorders, (2) describe ERT components using a case vignette,
characteristics of various mood and anxiety disorders (e.g., (3) review the empirical evidence for clinical efficacy and
Watson, 2005; Krueger and Markon, 2006). However, purported mechanisms, and (4) briefly discuss future directions
grouping these conditions under this heading may in fact for improving understanding and treatment of distress disorders
reveal a set of shared neurobehavioral characteristics that utilizing ERT.
contribute to the clinical severity and challenges of achieving
an optimal treatment response. Additionally, the term distress
disorders signifies that although nosological systems such as
EMOTION REGULATION PERSPECTIVE
the Diagnostic and Statistical Manual for Mental Disorders
(DSM; American Psychiatric Association, 2013) and the ON DISTRESS DISORDERS
International Classification of Diseases (ICD; World Health
Organization, 1992) may be descriptive in terms of the surface Normative and Disordered Emotional
characteristics of disorders such as GAD and MDD, they Functioning
are largely agnostic to the known or hypothesized etiological One of the most basic goals of all organisms is to bring
factors. In particular, patients with distress disorders, especially balance with respect to engaging reward and minimizing loss
GAD and MDD are characterized by intense emotional while seeking safety and avoiding threat (Dollard and Miller,
experiences resulting in an inordinately cautious manner that 1950). This balance is achieved by the fine tuning of a reward
favors protection over promotion (Woody and Rachman, system which mobilizes behavioral approach toward rewarding
1994; Chorpita et al., 1998; Klenk et al., 2011). In addition, or appetitive stimuli while minimizing loss and a security system
individuals with distress disorders frequently engage in one or which instigates avoidance of novel, potentially threatening, or
more forms of negative self-referential processing (NSRP; e.g., painful stimuli or end states as well as engagement of safety
Northoff, 2007) such as worry, rumination, and self-criticism stimuli that protect an individual from such perceived threats
as a way of relating to the arising of intensive emotional and and can reinstate a state of quiescence and calm. The security
motivational experiences (Mennin and Fresco, 2013). This and reward systems are relatively independent and can be
profile or endophenotype represents the starting point of our activated alone or in unison in response to a prompt (Stein and
Emotion Regulation Therapy (ERT; Mennin and Fresco, 2013) Paulus, 2009). In essence, normative functioning represents a
approach, a theoretically derived, mechanism focused treatment constant state of engaging and resolving situations that provoke
developed to better understand and reduce the suffering conflicts of motivational systems in service of taking effective
caused by distress disorders such as GAD and ruminative behavioral action. Correspondingly, engaging behavioral actions
depression. to achieve or restore motivational balance likely consists of
In particular, the ERT model melds principles from traditional responding in a manner reflecting a contextually and situationally
and contemporary cognitive behavioral treatments (e.g., skills appropriate balance of reward/loss and safety/threat systems
training and exposure) with basic and translational findings while also informing one’s actions by higher order values-based
from affect science to identify targets of treatment in terms decision-making (e.g., Wilson and Murrell, 2004). Attaining
of core disruptions of normative motivational, emotional, and goals that reflect motivational salience and one’s personal
cognitive systems. The ERT model also aligns well with the values provides feedback relating our behavioral effort to an
Research Domain Criteria (RDoC) initiative (Cuthbert and outcome.
Insel, 2010), proposed by the NIMH as an alternate system Emotions are an important part of our motivational systems
of nosology which seeks to identify mechanisms that explain serving as cues and signals guiding us to flexibly respond to
processes from normative to dysfunctional variants in hopes events in our lives in accordance with both personal goals/values

and changing contexts (Frijda, 1986). In some instances, the reappraisal task in individuals with MDD as compared to
optimal tuning in a given situation results in the accentuation healthy control participants. Specifically, those with MDD
(i.e., up-regulation) of the emotional salience of the situation; showed a positive association between ventromedial prefrontal
in other instances, toning down (i.e., dampening) the emotional cortex and amygdala activation during reappraisal compared
aspects of the situation is warranted (Ochsner et al., 2004). to control participants who showed an inverse relationship
A functional systems approach to emotion regulation argues that between activation in the ventrolateral prefrontal cortex and the
these systems work together to maintain dynamic homeostasis amygdala that was mediated by the ventromedial PFC prefrontal
between bodily systems and internal and external stimuli in a cortex. Further, pupil dilation findings demonstrated that
context-appropriate manner. depressed patients who expend more effort to reappraise negative
Individuals with distress disorders frequently experience stimuli had greater activation in the amygdala, insula, and
conflicting pulls from reward/loss and safety/threat systems thalamus, whereas control individuals demonstrated decreased
and lack the means to effectively resolve these motivation activation in those areas. Rather than effectively engaging
conflicts. Klenk et al. (2011) lends support to this view of adaptive emotion regulation strategies, individuals with distress
motivational conflict, especially with respect to GAD and disorders alternatively utilize perseverative strategies that may be
MDD, by drawing from regulatory focus theory (RFT; Higgins, employed to compensate for a negative emotional state, chiefly
1997), a normative model of promotion (i.e., reward/loss) and by enveloping it in elaborative negative self-referential processing
prevention (i.e., safety/threat) motivations where these two (Borkovec et al., 2004; Nolen-Hoeksema et al., 2008; Mennin and
systems are conceptualized as separate and mutually inhibitory Fresco, 2013).
of one another. In accounting for GAD, especially when it
co-occurs with MDD, Klenk et al. (2011) postulate primary Negative Self-Referential Processing and
failure in the prevention system (i.e., hyperactivation) that in the Challenge of Distress Disorders
turn can lead to failure (e.g., hypoactivation) in the promotion The ability to reflect on one’s self may represent the most
system. One possibility is that salience in one or both of core human form of mentation (e.g., Raichle et al., 2001).
these motivational systems may increase levels of subjective Self-referential processing is often a useful means of resolving
intensity and corresponding distress. Although more rigorous situations associated with a pronounced discrepancy between a
experimental and biobehavioral research is needed, preliminary current emotional/motivational state and a representation of the
findings support a role for both motivational dysfunction (i.e., future (i.e., planning), past (i.e., failures/losses), or an idealized
Campbell-Sills et al., 2004) and subjective intensity (i.e., Mennin self (i.e., self-analysis; Borkovec et al., 2004; Carver and Scheier,
et al., 2007) in the distress disorders. 2004). Reflecting on the past, future, and one’s sense of self can
Rather than processing emotion information and utilizing help mentally prepare for action toward desired goals and avoid
its motivational value, individuals with distress disorders undesired ones. This same ability, however, may be associated
often fail to enhance or diminish emotional experiences in with dysfunction (Olatunji et al., 2013). NSRPs are common
a manner appropriate to a particular environmental context. processes in many forms of psychopathology, including GAD
Emotion regulation deficits commonly occur in GAD (Mennin and MDD, and includes repetitive or perseverative thought
et al., 2007; Etkin et al., 2010; Etkin and Schatzberg, 2011), (Watkins, 2008) such as rumination (e.g., repetitive thinking
and MDD (Johnstone et al., 2007). These deficits are seen about past mistakes aimed at reducing distress related to
at all levels of cognitive elaboration of emotional cues perceived losses; Nolen-Hoeksema et al., 2008) and worry (e.g.,
(i.e., levels of verbal linguistic processing of the emotional repetitive thinking about future events aimed at reducing distress
information). that arises from conflicting emotional and motivational states;
At a less elaborative level, individuals with distress disorders Borkovec et al., 2004; Mennin and Fresco, 2013). Despite the
exhibit attentional rigidity in processing both interoceptive and slightly different focus of these two forms of perseveration,
exteroceptive emotional stimuli (Mogg and Bradley, 2005; Clasen the functional utility of worry and/or rumination are likely
et al., 2013). For example, GAD with and without MDD is similar in that they offer a potential escape from a wide
characterized by a failure to spontaneously regulate emotional array of considerably aversive potential threats and losses. In
conflict by shifting attention in response to a motivationally addition, self-criticism (e.g., evaluation of the emotional self
salient emotional stimulus in conflict adaptation task (Etkin characterized by unworthiness, inferiority, failure, guilt, and
et al., 2010; Etkin and Schatzberg, 2011). Individuals with chronic fear of disapproval and rejection; Blatt, 1995) can
distress disorders also struggle to implement more verbally be seen as another form of NSRP that also can be seen as
elaborative strategies. Aldao and Mennin (2012) found that a desperate means of coping or compensating with intense
when trying to implement emotion regulation strategies such emotional experiences.
as cognitive reappraisal and emotional acceptance, GAD In essence, individuals with distress disorders may be more
participants showed a paradoxical pattern of increased heart prone to utilize NSRPs to escape or dampen emotionality at
rate variability during a post-evocative film recovery period the cost of accurately gleaning the motivational message that is
compared to control participants who demonstrated the expected being conveyed, undermining immediate behavioral action in
pattern of decreased heart rate variability during this period. response to one’s emotions, and ultimately, losing sight of the
A similar paradoxical pattern was found by Johnstone et al. enriching and fulfilling aspects of life. This false sense of short-
(2007) when comparing the neural activation during a similar term security comes with a price of minimizing attention to

potentially rewarding experiences (Bogdan and Pizzagalli, 2006; of threat and safety learning are predicated on principles of
Whitmer and Gotlib, 2012); thus perpetuating the diminished Pavlovian conditioning and the knowledge that successful fear
quality of life commonly reported by individuals with distress extinction represents new, inhibitory learning (Bouton et al.,
disorders. There is, therefore, a strong need within the field for 2001).
the development of treatments that specifically aim to reduce Emotion regulation plays an important role in inhibitory
NSRPs in an effort to ameliorate symptoms and promote more learning via selection of optimal responses that promote
adaptive emotion regulation. abolishment of a conditioned emotional response. With respect
One hypothesis regarding the treatment refractory nature to threat and safety learning, adaptively attending to motivational
of these disorders is that individuals with distress disorders and emotional signals can facilitate inhibitory learning. By
who are most difficult to treat are highly characterized by contrast, one factor important to achieving durable inhibitory
NSRPs. Specifically, pre-treatment levels of rumination predict learning is the degree of stimulus generalization that an
an inferior acute treatment response in MDD and dysthymic individual displays in relation to the acquisition of a conditioned
disorder (e.g., Ciesla and Roberts, 2002; Schmaling et al., stimulus (CS; Lissek, 2012). In particular, individuals prone
2002; Jones et al., 2008). Similarly, higher levels of residual to anxiety disorders are less successful in discriminating
depression symptoms and rumination are associated with a the properties of stimuli that share characteristics with a
greater likelihood of relapse following acute treatment for MDD training CS, thereby resulting in stimulus overgeneralization
with CBT (Watkins et al., 2011) and MBCT (Michalak et al., and experiencing fear elicitation to a broader array of stimuli.
2008; Farb et al., 2011; Bieling et al., 2012). Like rumination, Similarly, for most organisms, signals or cues in the environment
self-criticism has also shown deleterious effects on treatment of unambiguous safety from fear leads to new inhibitory
efficacy both in terms of acute treatment gains and in long- learning that helps abolish the conditioned emotional response.
term treatment gains (Blatt et al., 2010). Finally, deliberate efforts Individuals with distress disorders often exhibit impoverished
to target forms of NSRP (e.g., worry and rumination) improve and inflexible repertoires of behavior in response to the situations
treatment durability (van Aalderen et al., 2011; Watkins et al., that typically function to promote escape, avoidance, or inactivity
2011; Wells et al., 2012), providing evidence for the utility of as a means of attempting to manage emotional/motivational
developing and honing treatments that are specifically aimed signals (e.g., Ferster, 1973). These behavioral patterns negatively
at reducing levels of NSRP among individuals with distress impact reward learning. For example, depressed individuals
disorders. exhibit suboptimal responsivity to future opportunities for
reward even after cued to the availability of these reward (Bogdan
Narrow and Rigid Contextual Learning and Pizzagalli, 2006). Bar (2009) proposed a model of optimal
Adaptation refers to the process by which an organism becomes functioning characterized by broad and contextual associative
better suited to prospering in their habitats (Dobzhansky, 1970). processing of historical and environmental factors to accurately
Identifying and emitting the contextually appropriate behavioral imagine future events and outcomes. Depressive rumination
response may be the difference between life and death and is one strategy common to distress disorders that narrows
between love and loss. Adaptive and flexible behavioral responses associative processing and in turn, decreases the likelihood of new
are dependent upon the ability to increase awareness of cues reward-based learning and obfuscates focusing on purposeful
and contingencies in the environment and respond in ways to action (Bar, 2009). Whitmer and Gotlib (2012) found that
promote survival and success. Adaptive motivational responses instructing depressed individuals to ruminate interfered with
and regulatory capacities provide a foundation for behavioral learning the probability that a particular stimulus would be
flexibility in that they help us attain maximal emotional clarity associated with punishment.
(e.g., Gohm and Clore, 2002) and subsequently implement Similarly, individuals prone to anxiety disorders are less
effective and goal-relevant responses for optimal behavioral likely to achieve a durable and broad-based abolishment of
outcomes. a conditioned fear response because of deficits in detecting
Optimal reward learning requires us to take behavioral cues of unambiguous safety. Instead, their search for safety is
actions that are informed by the assignment of value to often characterized by hypervigilance and overactivity, thereby
possibly rewarding stimuli and subsequent predictions resulting in an inferior and less durable acquisition of inhibitory
about when and where we might encounter these stimuli learning (Woody and Rachman, 1994; Lohr et al., 2007). Further,
(O’Doherty, 2004). Bogdan and Pizzagalli (2006) examined resorting to worry to regulate perceived threat experiences has
factors such as reward sensitivity (increased likelihood of been shown to encourage avoidance of emotional processing
responding to “rich” rewarding stimuli based upon past (Borkovec et al., 2004; Newman and Llera, 2011) and results in
learning history) as evidence of the influence of emotion increased threat conditionability, greater stimulus generalization,
and accurate cue detection on reward learning and behavior. and diminished ability to discriminate stimuli and learning
Similarly important is our ability to reliably detect and respond contingencies (Otto et al., 2007; Salters-Pedneault et al., 2008;
to cues that signal a clear and present danger (LeDoux, Lissek, 2012). Finally, GAD is associated with restrictions
1996) and, subsequently, learn to accurately detect safety in valued actions and goals (Michelson et al., 2011). ERT
cues and differentiate these signals from threat so that we was therefore developed in an effort to promote contextual
do not expend valuable resources (e.g., time and energy) in engagement while reducing NSRPs for individuals with distress
attempts to escape from ‘non-threats.’ Contemporary models disorders.

FIGURE 1 | Conceptual model of target mechanisms, change principles, and therapeutic processes in Emotion Regulation Therapy.
EMOTION REGULATION THERAPY endorse intense emotions as well as a narrowing of their

focus on security to the exclusion of reward (i.e., motivational
In its current form, ERT is a manualized intervention consisting mechanisms); engage in rigid and reactive responses in service
of 16 weekly sessions (a prior version of the treatment of escaping or avoiding intense emotions (i.e., regulatory
utilized a 20 weekly sessions format; e.g., Mennin et al., 2015) mechanisms); and in turn, diminish their pursuit of potentially
that specifically target motivational mechanisms, regulatory rewarding or enhancing experiences (i.e., contextual learning
mechanisms including self-referential (i.e., worry, rumination, consequences). In addition to monitoring these aspects of the
and self-criticism) and behavioral (i.e., avoidance, reassurance- ERT model and purported mechanisms, therapists also track and
seeking, and compulsive behaviors) responses, and contextual revise their impressions regarding the degree to which clients
learning consequences that are hypothesized to comprise the demonstrate mindful awareness of emotions and motivations,
distress disorders (see Figure 1 for a summary of the relationship demonstrate a capacity to regulate their emotions, and articulate
between this model and ERT components). ERT is divided into and take actions reflective of meaningful reward and value.
two sequential phases, with the first phase of treatment focusing Finally, clients complete a brief standardized self-report battery
on the cultivation of mindful emotion regulation skills with the prior to each session to capture a dynamic assessment of changes
goal of promoting intentional and flexible responding to intense in worry, rumination, anxiety, depression, attention regulation,
emotional experiences, including emotions of anxiety, anger, and decentering, and reappraisal throughout treatment.
sadness. These skills consist of practices designed to cultivate
attention regulation followed by meta-cognitive regulation. All Introduction to Case: Lores
these skills are aimed at helping clients develop alternatives to the Lores is a 28-year-old Hispanic woman who has a master’s degree
reactive cognitive responses such as worry, rumination, and self- and works as a financial consultant. She is currently single and
criticism that have characterized their lives. Instead of reactively describes numerous difficulties associated with past relationships,
responding to challenging emotional situations, clients are taught including fears of infidelity and constantly needing reassurance
to approach their lives “counteractively” by utilizing these skills and support from romantic partners about relationship status
in the moment when they first notice the arising of emotional and in making everyday decisions. Due to these worries, she
and motivational cues. In the second phase of ERT, the focus avoids dating and experiences great discomfort from the idea
shifts to promoting behavioral “proactivity.” This contextual of pursuing romantic relationships. Lores has been experiencing
engagement is cultivated through assisting clients to identify what anxiety and worry, “for as long as [she] can remember” and has
is meaningful in their lives and how anxiety and depression hold difficulty identifying a time when she was not plagued by chronic
them back from this. Subsequently, clients are encouraged to and debilitating worry. Additionally, she expresses anxiety with
proactively take actions reflective of this personal meaning and respect to her career path as well as efforts to balance her anxieties
value (Hayes et al., 2012). Through the utilization of imaginal regarding fear of failures in work endeavors with her strong
exposures and dialog tasks (described below), clients commit to desire to succeed in the finance field. She is currently studying for
taking meaningful actions between sessions that help cultivate an the Certified Financial Analyst (CFA) exam, and feels so much
enriching and valued life. apprehension at the prospect of failing that she is considering not
There is no single assessment device, but from initial intake taking it at all. Two years prior, Lores attempted to take the exam
and throughout each component of the treatment, therapists and spent 6 months studying. However, on the day of the exam,
render a clinical impression for the degree to which: clients Lores felt overwhelmed by her worries regarding failure that she

did not show up for the test. Currently, when she sits down to an individual feels pulled toward emotional safety, often resulting
study, Lores experiences so much difficulty concentrating, due to in avoidance, escape, or a lack of action altogether. In contrast,
rumination about this past failure or worry about failing again, the reward system is described as drawing a person toward
that she often ends up not being able to study at all and eventually approaching things, with an emphasis on thriving rather than
gives up. Additionally, Lores often has difficulty sleeping and simply surviving. In reflecting on a moment when Lores was
chronic muscle tension, which causes her physical discomfort perseverating about her upcoming CFA exam, she and her
throughout the day. Finally, she has concerns about her family clinician specifically identify that her strong pulls toward security
and worries whether she can adequately care for her parents are compelling her to avoid the exam altogether. However,
given her mother’s emotional difficulties and her father’s physical through psychoeducation, they are able to establish that Lores
disability that prevents him from working. This role reversal also has reward motivations that encourage her to take the exam
confers a significant economic, cognitive, and emotional burden and feel efficacious about achieving her goals of becoming a CPA.
on Lores that contributes to an overall reduction in her quality
of life. Cue Detection and Self-Monitoring
Although Lores has struggled with these symptoms for many An integral component of ERT involves the utilization of cue
years; over the past 2 years, she has increasingly felt down detection, referred to in ERT as “Catch Yourself Reacting”
and depressed and often finds herself ruminating about past (CYR), as a means of gaining awareness of one’s emotional
relationships and difficulties throughout her education and experience and its different components. This exercise is similar
career, culminating in the failure to take the CFA exam. She to self-monitoring, chain analysis (e.g., Linehan, 1993), or
often feels hopeless that things will never change and experiences functional analysis (e.g., Ferster, 1973). Clients complete CYR
excessive guilt, especially with respect to whether she has harmed forms in moments when they notice intense or difficult emotions.
her potential career advancement, and in turn the impact it might CYR forms help clients identify triggers of emotional responses
have on her ability to care for her parents. These thoughts often in specific moments, emotions, motivational impetuses,
make her feel worthless and incapable of success and happiness – “reactive” self-referential responses (i.e., worry, rumination,
which in turn, makes her even more hesitant to pursue her and self-criticism), and “reactive” behavioral responses (i.e.,
CFA or pursue romantic relationships. In all, these symptoms of physical avoidance, compulsive behaviors, “emotional” eating or
generalized anxiety and co-occurring depression cause significant drinking). In the latter sessions of Phase I, clients also identify
impairment in Lores’ everyday life. Recently, Lores has begun to mindful emotion regulation skills that they deployed in the
isolate herself from her friends given her upset and has missed moment and alternative or “counteractive” behavioral responses
several days of work because of the fatigue and sadness that she that they imagined or engaged that would be more functional
often experiences. for achieving their goals. Clients are instructed to complete
CYR forms several times each week as a way of promoting
Phase I: Mindful Awareness and Emotion cue detection outside of session. Each subsequent ERT session
Regulation Skills typically begins with a review of an emotionally poignant
Psychoeducation moment that prompted the completion of a CYR. When a client
The first component of Phase I emphasizes psychoeducation does not complete their CYR forms over the past week, or when
surrounding the challenges of distress associated with generalized a particular CYR event did not resolve favorably, therapists lead
anxiety and depression. At the outset, normative functioning clients in a practice referred to as a “Do-Over,” which involves a
related to the three target mechanisms in ERT is contrasted with vivid reimagining of the event and their emotional responding
the characteristics of chronic anxiety and recurring depression. to the event, and results in the completion of a CYR in the
Clients are encouraged to provide personally relevant examples moment within the therapy room. An example of a Do-Over
that depict their struggles as a way for them to begin to see conducted with Lores occurred regarding an instance when she
both past and current patterns through the lenses of ERT. became anxious about reaching out to her friends to invite them
At this introductory stage of therapy, clients are encouraged to dinner. This imagery exercise encouraged Lores to imagine
to adopt an open perspective and to start noticing the way the exact moment when she noticed her anxiety and subsequent
they are swayed by emotions and motivations. Clients also strong pulls toward security. In doing so, Lores was better able to
learn about the role of reactive self-referential responses and identify how anxiety led her to become worried and self-critical,
contextualize these cognitive processes as poor ways of managing and that these NSRPs resulted in her experiencing feelings of
intense emotions such as sadness, anxiety, or fear and the guilt, shame, loneliness, and sadness.
motivational impetuses they engender. Throughout this early
part of ERT, Lores learns that she often utilizes NSRPs such Mindful Emotion Regulation Skills
as rumination and self-criticism but also that her guilt and The emotion regulation skills utilized in ERT are based upon
shame also are likely indicators of underlying anxiety and mindfulness meditation practice and implementation. Clients
sadness. receive recordings of guided meditations that reflect the ERT
Relatedly, Lores and her clinician discuss how her emotions skills described below. Their individual therapist records these
may send her motivational messages that compel her to feel meditation exercises so that clients can practice these “off-line”
pulled toward security and/or reward. In introducing the meditation practices at a set time each day to build the particular
motivational model, security is described as the ways in which skill. Each skill also has a briefer “on-the-spot” practice that can

be completed in the moment when the client is experiencing an develop courageous and compassionate self-statements, where
intense or stressful event. In the final session of Phase I, clients clients are taught to re-evaluate a situation in a manner that
are presented with the complete ERT Toolbox, which outlines appreciates and validates the presence of emotional pain and
four main regulatory skills and associated practices. Clients also provides compassion for such experiences (Leary et al., 2007).
review the other components of the treatment covered thus far Through the utilization of this skill, Lores learns to approach
and clinicians underscore the necessity in implementing ERT her emotional experience with compassion toward herself rather
skills as a way to get in touch with their experience from a than being overcome by self-criticism through envisioning
different motivational configuration in service of responding to compassionate statements that she receives from other people
their emotions in a counteractive, rather than reactive, manner. and translating them to be offered to herself. Through the
At the outset of Phase I, Lores learns attention regulation cultivation of reframing, Lores is eventually able to generate
practices intended to cultivate one’s capacity for orienting to their courageous statements that tell her that she is stronger than
emotional experiences and allowing or sustaining their attention her anxiety and depressed mood. In moments where Lores
on the emotional experiences. These two skills are designed to experiences self-criticism, she calls to mind this courageous
help Lores identify and maintain awareness of her emotions and reframe by keeping a business card with this statement in her bag
the ensuing motivational pulls that underlie the arising of her or pocket that she is able to read as a reminder to utilize this skill.
emotions. In orienting, Lores is taught to attend to her breath
and body, noticing feelings of tension versus relaxation so that Taking Action
she can reliably attend to visceral sensations as well as her own A final concept taught to clients in Phase I of ERT is Taking
emotional experience (e.g., Kabat-Zinn, 1990; Borkovec et al., Counteraction, which is congruent with Linehan’s (1993) notion
2002; Segal et al., 2002; Marra, 2004; Teasdale and Segal, 2007; of opposite action, as a way of restoring motivational balance and
Roemer et al., 2009). In allowing, Lores is taught that rather with an “outside-in” approach discussed in behavioral activation
than suppressing her intense emotions, she can welcome them treatments (e.g., Jacobson et al., 2001; Martell et al., 2001). Taking
as part of her unfolding experience (see Hayes et al., 2012). counteraction involves encouraging clients to envision how their
The allowing practices (Segal et al., 2002; Ricard, 2006) assist thoughts and actions would look if they were to act in a manner
clients to maintain attention on whatever arises without relying opposite to their current feelings and motivational pulls. For
on internal (e.g., one’s breath) or external (e.g., sounds, etc.) cues instance, Lores is asked to envision registering for her CFA exam
as an anchor for the practice. Lores experiences difficulty allowing and the strong pulls toward security that is prohibiting her from
intense emotions such as anxiety and sadness through the formal taking this action, and then to imagine what it would feel like with
on-line skill, but is able to cultivate allowing through using the a different motivational configuration. The goal of this exercise
on-the-spot version of the skill, where she tells herself to pause is to allow Lores to get in touch with her reward motivation
or allow in emotionally intense situations as a way to invite in all surrounding taking the exam and her desire to advance in her
the emotions that she is experiencing rather than suppressing or career, thus leading to greater balance between security and
avoiding them. reward. In doing so, Lores may imagine or enact behavioral
After gaining competency in the attention regulation skills responses that reflect a more optimal balance of security and
of orienting and allowing, clients like Lores are taught reward. Subsequently, Lores is encouraged to utilize her mindful
metacognitive regulation skills intended to help not only detect emotion regulation skills to become comfortable with these
emotions and underlying motivational pulls but also create a behavioral responses and potentially how she feels about taking
healthy distance in order to generate emotional clarity rather such an action.
than being reactive and automatically pulled to action. The
first of these skills, is decentering (Safran and Segal, 1990; Phase II: Experiential Exposure to
Fresco et al., 2007; Bernstein et al., 2015) or distancing as it Promote New Contextual Learning
is described to clients. Decentering helps clients gain temporal Whereas the first half of ERT represents the movement from
distance and perspective from emotionally evocative stimuli (e.g., being “reactive” to “counteractive” in response to emotional
viewing inner experiences as temporary; Kabat-Zinn, 1994) as states, the second half invites clients to become “proactive” in
well as spatial distance (e.g., viewing inner experiences as physical service of broadening one’s behavioral repertoires. In this way,
objects that are separate from oneself; Kalisch et al., 2005; Hayes taking a proactive stance involves exposure to meaningfully
et al., 2012). For Lores, the thought of registering for the CFA rewarding, but often anxiety-inducing experiences. Exposure
exam brought on overwhelming and smothering feelings of exercises are typically understood as a way to reduce emotion
anxiety. Decentering allowed Lores to view this state of anxiety (especially fear) (e.g., Foa and Kozak, 1986). However, recent
as a temporary product of her mind that was not all defining of empirical and theoretical advances have advocated for a broader
her and consuming. focus than simple emotion reduction. Indeed, modern learning
The other metacognitive regulation skill in ERT is cognitive theory suggests that exposure is effective, not because previously
reappraisal (e.g., Gross, 2002) or reframing as it is described associated emotional meanings are unlearned or erased, but
to clients. Reframing refers to the ability to change one’s because new emotional meanings are strengthened (Bouton
evaluation of an event so as to alter its emotional significance. et al., 2001; Craske et al., 2008). Informed by important basic
Within the context of ERT, reframing is approached in terms findings about the nature of classical extinction and inhibitory
of meditation practice (Salzberg, 1995) intended to help clients learning (e.g., Bouton et al., 2001), implementations of exposure

therapy have moved beyond sustained fear reduction and between its importance and how consistently the client is living
habituation accounts of extinction to promote superior inhibitory by the value are optimal candidates for Phase II exercises (i.e.,
learning and extinction retrieval (e.g., Craske and Vervliet, 2013). client indicates that the value is very important to them but they
Recent innovative treatments for depression have also benefited are not living consistently with said value; Hayes et al., 2012).
from these basic and translational findings and, subsequently,
utilized exposure to deliberately provoke and activate historical Imaginal Exposure
negative content such as loss, so that this material can be To assist clients in adopting a proactive orientation toward life,
explored alongside information that is dissonant and serve to Phase II consists of a series of imaginal exposures centered on
facilitate broad-based change in maladaptive cognitive–affective– envisioning taking proactions. Specifically, imaginal exposure
behavioral–somatic patterns (e.g., Hayes et al., 2007). tasks that focus on engaging in specific proactions are conducted
Emotion Regulation Therapy is consistent with these (1) to provide the client with an experientially rich rehearsal of
theoretical accounts of inhibitory learning and uses various the steps that might be necessary to take a proaction, and (2) to
experiential techniques (i.e., imaginal exposure and experiential confront the emotional challenges that are likely to come up as
dialog) to prepare clients for real-world exposure. Specifically, the client imagines engagement of this proaction. In this imagery
ERT delineates three main exposure components to promote exposure task (called the “Do It” in session), therapists help
proactive living: (1) imagery related to taking proaction; (2) clients imagine each step involved in engaging this action, while
experiential dialog tasks to explore perceived internal conflicts noticing changes in motivational impetuses and encouraging
related to motivational impetuses that may prevent proactions utilization of skills to address arising difficulties and obstacles. To
(e.g., Greenberg, 2002); and (3) planned between-session begin this exercise, clients first imagine a safe space where they do
exercises wherein clients engage proactions in their everyday life. not feel a strong need for security. Throughout the exercise, it is
Finally, experiential engagement continues into the concluding typical for clients to feel pulled toward wanting more security as
sessions, wherein treatment gains are consolidated and the client they envision taking the proaction and begin to get in touch with
prepares for the end of treatment. Clients and therapists discuss the anxiety that may be associated with this action. This strong
how their acquired ERT skills can continue to be utilized in pull toward security and any associated discomfort sets the stage
service of responding to difficult events that might arise after the for the conflict dialog task (described below).
conclusion of treatment. In doing this, potentially stressful and In the case of Lores, continued career growth is an important
painful life circumstances are explored in experiential exposure theme for her. However, she experiences a motivational conflict
exercises that center on hypothetical situations related to core in deciding whether or not she should register for the upcoming
themes that may appear in the future. CFA exam – considered a marker of success in her line of work –
that she has spent a substantial amount of time preparing over
Values Identification and Proaction the past several months. Due to this conflict, she experiences
By the beginning of Phase II, Lores has acquired skills that assist strong rumination over what she considers her past failure in
her in taking a more forward looking or “proactive” orientation not following through in taking the exam 2 years prior. Imaginal
toward life rather than responding reactively through worry exposures with Lores involve guiding her step by step through
and rumination as a result of her intense emotions. The goal the actions required to register to take the test, most notably
of this part of the treatment involves the client’s ability to use actually registering for the exam, while assessing changes in
mindful emotion regulation skills that facilitate taking proactions her security and reward motivations. In an effort to deepen
that reflect a meaningful and rewarding life path. Identifying her experience throughout the exercise, the therapist assists
meaningful proactions are accomplished by working with clients Lores in envisioning steps that will highlight her pull toward
to delineate personal values, which represent a person’s highest security-based motivation that prohibit her from engaging in
priorities and most cherished principles (Hayes et al., 1999, 2011; the action due to her increasing anxiety, including logging on
Wilson and Murrell, 2004). Taking proactions from a valued to her computer and researching the deadlines to register for
perspective involves intentionality and “top-down” processing of the exam and information required to register. Similarly, the
personal meaning and goal setting. However, the motivational therapist attempts to engage Lores’s motivation toward reward
configuration of the individual at any given point in time may by having her describe what it might feel like successfully
introduce conflicts and pull the individual in a value incongruent register for and complete the CFA exam including not only a
direction. Therefore, ERT expands values-based processing to sense of relief but also potential feelings of accomplishment and
address more than just “top-down” decisions related to the agency.
person’s values. It strives to strike a balance with “bottom-up”
influences of security and reward motivational impetuses. Exploring Conflict Themes in Obstacles to Proaction
Clients complete exercises to help elucidate their values (e.g., The second experiential exposure component involves addressing
Hayes et al., 2012). In identifying these values, clients are perceived obstacles (e.g., Hayes et al., 2012), which reflect the
presented with different life domains (i.e., family, interpersonal client’s internal struggle that may be holding her or him back
relationships, community, self-care) and they are asked to from engaging proaction. In ERT, obstacles are approached via
identify how important the particular domain is to them on a “conflict themes” including primarily: (1) a motivational conflict
0–10 scale and how consistently they are living by this value on (e.g., security motivations that are blocking or interrupting
the same scale. Value domains that contain a large discrepancy reward efforts); and, (2) self-critical reactive responses to

emotions (i.e., judgmental negative beliefs about one’s emotional and reward that are present prior to completing the action in the
responses and associated motivations). These conflict themes first part. Further, after completing the action, clients complete
are addressed within session using an experiential dialog task a second column of the form, which fosters the processing of
(Greenberg, 2002; Elliott et al., 2004). In ERT, the motivational the experience, including the outcome of attempting to take the
conflict is addressed by encouraging clients to engage in a dialog action and any emotions and reactive responses that actually
between the parts of themselves that represent the conflict: the came up while completing it as well as their actual levels of
part that is strongly motivated to obtain security, and the part security and reward that were present. Ideally, clients complete
that is motivated toward a more unified motivational stance the first part of the SYA form in session with the client as
conducive to action. Throughout the dialog, clients physically a way to troubleshoot potential internal (i.e., emotional and
move between two different chairs within the therapy room, motivational) and external (i.e., logistical) obstacles that may be
and, with the therapist’s coaching, alternate speaking from the presented in their attempt to complete the action. Clients then
security side of themselves that is currently holding them back complete the second part of the form after attempting to engage
and the proactive side of them, who want to engage in the the action between sessions, and bring the completed form back
action and see the importance in doing so. Ultimately, the with them to the next session to discuss the outcome with their
goal of this task involves reaching a compromise between the clinician.
two sides and ideally allowing the client to become more Lores has many potential candidate planned proactions. Given
proactive in taking an action. This dialog task serves two main the strong pulls toward both security and reward in regards to
purposes. First, it represents an exposure to conflict themes, her job and taking the CFA exam, an optimal planned action
which can cultivate a greater sense of emotional tolerance. between sessions would be for her to officially register for her
Secondly, the task aims at generating new perspectives (i.e., new exam. Given that she sees great importance in furthering herself
meaning) on the obstacles that hinder proactive engagement. at work (i.e., reward), but also experiences anxiety associated with
Clients are invited to use this greater emotional tolerance and taking the exam and potential failure (i.e., security), this action
these new perspectives to reflect on their stated values and represents an appropriate balance between the two motivational
bring about a greater commitment to taking action to cultivate systems that will assist her in living a more proactive manner.
them. A potentially less anxiety-provoking action could be researching
Through completion of this task, Lores is able to realize that information on registering for the CFA exam or going to the
although she is pulled strongly by security, she recognizes the bookstore and purchase a prep book to aid in her studying. In
importance of attain her CFA certification and the potential thinking about the significant burden that she endures as the
promotion that may accompany it. Within this exercise, Lores is caretaker and provider of her family, an additional proaction
able to engage her sense of reward in her work and infuse her that may be explored in these sessions may involve self-care,
proactive reward voice with an impetus to engage despite her and establishing activities that will provide her with a sense
fears. In this sense, Lores’ voices that encourage security versus of joy and release that she would not typically pursue. The
proactive engagement are able to reach an agreement, and she is ultimate goal of this exercise with Lores is to have her gain self-
able to move forward, despite the anxiety that she feels over the efficacy through her ability and determination to complete these
uncertainty associated with taking the exam and the possibility of actions outside of session, and complete larger actions over time
change in her life. in an effort to ultimately live consistently with her expressed
values.
Between-Session Proactions
In an effort to promote a proactive approach toward life not only Termination and Consolidating Treatment Gains
within session, but between sessions as well, clients and therapists The final sessions of Phase II (sessions 14–16) focus on the
work together at the end of each ERT session to identify an action termination of the therapeutic relationship and assisting the
that they can take during the week to move them closer toward client in becoming more independent in her or his ability to
their value in any given domain. Ideally, optimal candidates take larger steps toward a proactive life following the end of
for planned actions are centered on the imaginal exposure and ERT. For Lores, these final sessions will specifically focus on
conflict dialog task that they completed during session. However, goal-setting in further envisioning her life if she could overcome
in the event that these tasks presented emotions that were too anxiety and a strong pull toward security as well as ways to reduce
intense for the individual to confront and they are unwilling or her tendency to ruminate and the mood variations that she is
unable to complete the action presented throughout the session, prone to experiencing. During these final meetings, Lores and
a smaller, more manageable action is chosen with guidance from her clinician strategize about the skills that she can use when her
the therapist. emotions become intense. At this point, clients and therapists
Similar to the CYR form that is used to promote self- reflect together on the progress that has been made throughout
monitoring and counteraction in the first half of ERT, clients are the course of ERT in reviewing the ERT Toolbox and identifying
encouraged to complete a See Yourself Acting (SYA) form during points throughout the treatment where they have noticed change
the second half that facilitates planned proactions that take place within themselves in an effort to further establish self-efficacy.
between sessions. The SYA form is comprised of two parts, and Finally, ERT therapists and clients say their goodbyes, with the
is specifically designed to assist the client in working through goal of the client continuing to utilize their ERT skills following
the different emotions, reactive responses, and levels of security the termination of treatment.

EVIDENCE IN SUPPORT OF ERT in the college-counseling center for mood and anxiety issues.
Specifically in regards to race, this sample consisted of individuals
To date, ERT has been administered in university-based clinics of whom 43.8% of the sample self-identified as Caucasian, 6.3% as
and counseling centers serving both community members and African American, 21.9% as Asian American or Pacific Islanders,
students. ERT is delivered by doctoral students in clinical 9.4% as mixed race, and 3.1% as other. 15.6% of the sample
psychology who have been trained and supervised by the third also self-identified their ethnicity as Hispanic/Latino. Preliminary
and fourth authors. Adherence to the manual has been high results demonstrate a comparably severe sample to the previous
in all trials in terms of both frequency (ranging from 73 to trials and similarly strong ameliorative changes from pre-to-post
100%) and skillfulness (ranging from 80 to 100%) of the delivery treatment in worry, rumination, generalized anxiety, anhedonic
of intervention components (discussed below). A 20-session depression, clinician rated severity of GAD and MDD, social
version of ERT has established preliminary efficacy through disability, and quality of life (all p-values < 0.05; d’s = 1.3–
an initial open trial (OT) of adults (N = 20; M age = 32.25, 4.1). These gains were maintained at a 3 and 9-month follow-up
SD = 10.96) diagnosed with GAD with and without co- (all p-values < 0.05; d’s = 1.6–4.7). Although findings from this
occurring major depression (Mennin et al., 2015) and in a study offers evidence for ERT reducing symptoms associated with
randomized control trial (RCT) of adults (N = 63; M age = 38.30, anxiety and depressive disorders in a diverse young adult sample
SD = 14.46) examining symptom changes throughout ERT population, future work that includes a waitlist control is still
in comparison to a minimal attentional control condition needed to make any conclusions about efficacy in this young adult
(Mennin et al., under review). ERT was well tolerated by population.
clients, as evidenced by low rates of attrition in the course We have also examined whether these treatment outcomes
of treatment. In terms of clinical outcomes, patients in this are the result of changes in the outlined target mechanisms by
initial OT evidenced reductions in both clinician-assessed and assessing changes in performance on lab-based computerized
self-reported measures of GAD severity, worry, trait anxiety, behavioral tasks across three time points within the previous
depression symptoms, and corresponding improvements in 20-session version of ERT: pre-treatment, mid-treatment, and
quality of life, with within subject effect sizes well exceeding post-treatment. One promising preliminary finding is related
conventions for large effects (Cohen’s d = 1.5–4.5). These gains to emotional conflict adaptation (Etkin et al., 2010; Etkin
were maintained for 9 months following the end of treatment and Schatzberg, 2011) wherein clients were administered a
(Mennin et al., 2015). The patients in the RCT who received conflict adaptation task and evidenced pre- to mid-treatment
immediate ERT, as compared to a modified attention control improvements in their ability to shift their attention in the
condition, evidenced significantly greater reductions in GAD face of emotional conflict (pre to mid d = 0.74) to levels
severity, worry, trait anxious, and depression symptoms, and comparable to healthy controls (Etkin et al., 2010). Indeed, a
corresponding improvements in functionality and quality of life, baseline comparison between the clinical group and healthy
with between subject effect sizes in the medium to large range controls demonstrated a significant between-subjects effect
(d = 0.50–2.0). Similar to the OT findings, these gains were of Group (patient versus control) for conflict adaptation
maintained for 9 months following the end of treatment (Mennin (p = 0.006, η2p = 0.12). Further, these pre- to mid-treatment
et al., in preparation). A sizable subgroup of GAD patients changes were associated with gains in patients’ ability for
with comorbid MDD were enrolled and treated. Within-subject greater mindful observing which in turn was associated with
effect sizes in both clinician-assessed and self-report measures reductions in social disability throughout the follow-up period
of GAD severity, worry, trait anxious, and depression symptom, (Renna et al., in preparation). The Emotional Interference
and corresponding improvements in functionality and quality Task (EIT; Buodo et al., 2002) was also completed by a
of life were comparable to the overall trial findings between subset of ERT participants to assess changes in attentional
individuals in the immediate or delayed treatment conditions, flexibility throughout treatment. Particularly, participants were
thereby suggesting that MDD comorbidity did not interfere with instructed to respond to a tone as quickly as possible following
treatment efficacy (d = 1.5–4.0). Furthermore, depression-related viewing of neutral and negative images. Findings from this
outcomes such as rumination and anhedonia were reduced task demonstrate that clients increased their ability to sustain
considerably (d = 1.5–2.0). attention despite emotional distraction from pre- to mid-
These findings offer substantial preliminary evidence for the treatment, when attention skills are targeted, after viewing both
effectiveness of the treatment, but these samples were relatively neutral (p = 0.032; d = 1.331) and negative (p = 0.031; d = 1.341)
limited to a largely homogeneous sample of Caucasian, middle- images. Further, this change in attentional flexibility from pre
aged participants with middle- to upper-class socioeconomic to mid treatment significantly predicted reductions in anxiety
backgrounds. Thus, the current 16-session version of ERT has and worry at post-treatment as well as decreases in social
recently been tested in an OT format with an ethnically diverse disability and emotional reactivity (Renna et al., in preparation).
and disadvantaged sample of young adults (N = 32; M age = 22.25, This subset of individuals’ performance on the EIT was also
SD = 2.48) diagnosed with a primary diagnosis of any anxiety or compared to a healthy control group at pre-treatment. Results
mood disorder including GAD (Renna et al., in preparation). This demonstrated a significant difference between participants in
sample is relatively diverse, with many participants from various the GAD and control group for negative images (p = 0.046,
cultural and socioeconomic backgrounds throughout a large, hedge’s g = 0.545) and neutral images (p = 0.047, hedge’s
urban commuter college campus who were seeking treatment g = 0.544).

We also developed an Approach-Avoidance variant of the support the role of underlying proposed mechanisms in this
Implicit Association Task (AAIAT) and administered this efficacious response.
task to a subset of patients to examine changes in implicit Ongoing trials are examining more nuanced demographic
associations related to security- and reward-related processing information of this sample of participants, such as primary
throughout ERT. Specifically, patients demonstrated changes language, personal and family income, sexual orientation, and
in the motivational salience of approach versus avoidance parental education level. Additionally, a current trial of ERT
words from mid to post-treatment (p = 0.019; d = 1.076) is testing its transdiagnostic efficacy by requiring inclusionary
when motivational change is directly engaged. Further, these criteria of high emotionality and inordinate negative self-
mid-to-post changes were strongly associated with changes referential processing but can be diagnostically heterogenous
in emotional clarity, negative emotionality, and quality of (American Psychiatric Association, 2013). Data on skills usage
life (Quintero et al., in preparation). We have also assessed and mindfulness practice from past and current trials of ERT are
heart rate variability (HRV), an index of parasympathetic also currently being analyzed to assess whether or not the use of
flexibility (Porges, 2001; Thayer et al., 2012), during a fearful these skills following the acute period of ERT is associated with
film throughout treatment. At pre-treatment, clients displayed maintenance of symptom improvement and mechanistic gains
a flattened response throughout the experimental period throughout the 3- and 9-month follow-up periods. An additional
(suggesting reduced cardiac flexibility) and across this period empirical question that we seek to examine in ERT is a question
demonstrated lower levels of HRV compared to a normal of dosing, i.e., what is the minimum number of sessions of ERT
control comparison group. At mid-treatment, clients displayed needed to promote symptom improvement, increased quality
a quadratic pattern of vagal withdrawal (i.e., reactivity) and vagal of life, and reduced social disability? With this aim in mind, a
rebound in comparison to pre-treatment (d = 0.81), reflecting a current trial of ERT is underway that examines the effectiveness
more normative response to these changing emotional contexts. of traditional 16-session ERT versus a more abbreviated 8-
Clients who showed the greatest increases in parasympathetic session version. The 8-session version of the treatment has
flexibility from pre- to mid-treatment showed the greatest pre- been established in an effort to maintain treatment fidelity
to post-treatment gains in diagnostic severity, anxiety, and from previous versions of ERT, while potentially providing the
mood symptoms. Despite these promising mechanistic findings, treatment to a larger number of individuals, thereby reducing
the exclusion of a control treatment diminishes the ability patient burden. The establishment of the effectiveness of 8-
to attribute treatment change to specific components of ERT. session ERT permits us to disseminate the treatment to a
Despite this limitation, taken together, these preliminary data are wider and more diverse group of individuals, and therefore,
supportive of our hypotheses that ERT may, in part, exert its further advance the general understanding of the treatment.
therapeutic impact through normalization of emotion regulatory Accordingly, other investigators have recently begun to examine
mechanisms. this briefer version of ERT with caregivers of those with cancer
who are highly ruminative or worried given that this population
has demonstrated a poor response to psychosocial treatments
CONCLUSION AND FUTURE including CBT (Mennin and Fresco, 2014).
DIRECTIONS Although ERT has established preliminary efficacy as an
intervention to treat generalized anxiety and co-occurring
Distress disorders are highly comorbid with each other and depression, due to its multiple mechanisms and treatment
may be commonly characterized by temperamental features that components, it is difficult to identify which aspects of the
reflect heightened sensitivity to underlying motivational systems intervention are promoting symptom reduction and mechanistic
related to threat/safety and reward/loss. Further, individuals change. We recently argued that all cognitive behavioral
with distress disorders tend to perseverate in a maladaptive treatments share common core emotion-related principles
attempt to respond to motivationally relevant distress and often (Mennin et al., 2013). Indeed, there have been a number of recent
utilize these self-referential processes (e.g., worry, rumination, treatments that target emotions more directly and have improved
and self-criticism) resulting in suboptimal contextual learning. our ability to treat anxiety and mood disorders including
Despite the success of cognitive behavioral therapies (CBT) dialectical behavior therapy (Linehan, 1993), acceptance and
for emotional disorders, a sizable subgroup of patients with commitment therapy (Hayes et al., 1999), mindfulness-based
distress disorders fail to evidence adequate treatment response. cognitive therapy (Segal et al., 2002), behavioral activation
ERT is a theoretically derived, evidence based, treatment (Jacobson et al., 2001), acceptance-based behavioral therapy
that integrates principles from traditional and contemporary (Roemer et al., 2008), the unified protocol (Ellard et al., 2010),
therapies with findings from basic and translational affective STAIR narrative therapy (Cloitre et al., 2002), and rumination-
science to offer a framework for improving intervention by focused cognitive- behavioral therapy (Watkins et al., 2011).
focusing on the motivational responses and corresponding Although ERT utilizes similar treatment components and
regulatory characteristics of individuals with high levels of techniques to these approaches, ERT derives from a separate
chronic distress. Open and randomized controlled trials have conceptual model. In particular, ERT represents an intervention
demonstrated preliminary support for the utility of ERT as that incorporates common underlying mechanisms of traditional
reflected by strong effect sizes comparable to and exceeding and third-wave CBTs that reflect both basic research and affect
established intervention approaches. In addition, pilot findings science. It will be important to determine whether the underlying

mechanisms delineated in this paper and/or other mechanisms well being going forward. Further, ERT should continue to be
underlie the efficacy of ERT as well as these approaches. We honed in an effort to reach a wider group of individuals through
also plan to use a dismantling approach to identify the way greater efforts for treatment personalization including addressing
that specific skills in ERT may contribute to improvements in specific contextual challenges of diverse groups in terms of race,
the purported mechanisms by examining whether briefer and culture, and socioeconomic status. Despite the need for these
more targeted intervention components can more precisely and future steps, ERT demonstrates a novel approach for treating
specifically target the purported mechanisms of action. This distress disorders in an effort to promote stronger long-term
work will allow us to better hone the treatment in identifying ameliorative changes for the individuals suffering from these
the way in which specific ERT skills, in isolation, promote conditions.
changes in each purported mechanism. Additionally, future
research may benefit from utilizing a control treatment to
isolate gains made throughout treatment that may specifically ETHICS STATEMENT
be attributed to components of ERT. Finally, current research
on ERT is examining neural underpinnings of the purported This study was approved by the Ethics Commitee of Hunter
mechanisms associated with the treatment. Building upon College Human Research Protection Program (HRPP). All
the preliminary findings from the behaviorally based tasks, subjects in studies referenced were given full study consent prior
participants in our current trials are completing a number to any research procedures.
of computer-based tasks while undergoing functional magnetic
resonance imaging (fMRI) at different points throughout
treatment. AUTHOR CONTRIBUTIONS
Although these findings offer support for the utility of ERT,
clinical research must continue to delineate the longer-term All authors listed, have made substantial, direct and intellectual
impact of the treatment on individual’s symptoms and overall contribution to the work, and approved it for publication.
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METHODS
published: 14 September 2016
doi: 10.3389/fpsyg.2016.01373
Emotion Regulation in Schema

Therapy and Dialectical Behavior
Therapy
Eva Fassbinder 1*, Ulrich Schweiger 1 , Desiree Martius 2 , Odette Brand-de Wilde 2 and
Arnoud Arntz 3
1
Department of Psychiatry and Psychotherapy, University of Luebeck, Luebeck, Germany, 2 De Viersprong, Netherlands
Institute of Personality Disorders, Halsteren, Netherlands, 3 Department of Clinical Psychology, University of Amsterdam,
Amsterdam, Netherlands
Schema therapy (ST) and dialectical behavior therapy (DBT) have both shown to be
effective treatment methods especially for borderline personality disorder. Both, ST and
DBT, have their roots in cognitive behavioral therapy and aim at helping patient to deal
with emotional dysregulation. However, there are major differences in the terminology,
explanatory models and techniques used in the both methods. This article gives an
overview of the major therapeutic techniques used in ST and DBT with respect to emotion
regulation and systematically puts them in the context of James Gross’ process model
of emotion regulation. Similarities and differences of the two methods are highlighted
and illustrated with a case example. A core difference of the two approaches is that
Edited by:
DBT directly focusses on the acquisition of emotion regulation skills, whereas ST does
Alessandro Grecucci,
University of Trento, Italy seldom address emotion regulation directly. All DBT-modules (mindfulness, distress
Reviewed by: tolerance, emotion regulation, interpersonal effectiveness) are intended to improve
Gideon Emanuel Anholt, emotion regulation skills and patients are encouraged to train these skills on a regular
Ben-Gurion University of the Negev,
Israel basis. DBT assumes that improved skills and skills use will result in better emotion
Harold Dadomo, regulation. In ST problems in emotion regulation are seen as a consequence of adverse
University of Parma, Italy
early experiences (e.g., lack of safe attachment, childhood abuse or emotional neglect).
*Correspondence:
These negative experiences have led to unprocessed psychological traumas and fear
Eva Fassbinder
[email protected] of emotions and result in attempts to avoid emotions and dysfunctional meta-cognitive
schemas about the meaning of emotions. ST assumes that when these underlying
Specialty section:
problems are addressed, emotion regulation improves. Major ST techniques for trauma
Emotion Science, processing, emotional avoidance and dysregulation are limited reparenting, empathic
a section of the journal confrontation and experiential techniques like chair dialogs and imagery rescripting.
Keywords: emotion regulation, emotional avoidance, Schema therapy, dialectical behavior therapy, experiential
Received: 27 April 2016
techniques, skills
Accepted: 29 August 2016
Published: 14 September 2016
Citation:
Fassbinder E, Schweiger U, Martius D,
INTRODUCTION
Brand-de Wilde O and Arntz A (2016)
Emotion Regulation in Schema
Dialectical behavior therapy (DBT) and Schema therapy (ST) have both shown to be effective
Therapy and Dialectical Behavior treatment methods especially for borderline personality disorder (BPD) (Zanarini, 2009; Stoffers
Therapy. Front. Psychol. 7:1373. et al., 2012), a disorder that is specially associated with emotional dysregulation. Although both, ST
doi: 10.3389/fpsyg.2016.01373 and DBT, have a cognitive-behavioral background, there are major differences in how both methods
Frontiers in Psychology | www.frontiersin.org September 2016 | Volume 7 | Article 1373 | 75

Fassbinder et al. Emotion Regulation in ST and DBT
deal with emotions and emotion dysregulation. This paper • Mindfulness is central to all skills in DBT. The mindfulness
provides an overview of background and theory of both skills derive from traditional Buddhist meditation practice,
treatment approaches, a model how both methods conceptualize though they do not involve any religious concepts. In DBT
emotion dysregulation and the major therapeutic techniques with it means the practice of being fully aware and present in
respect to emotion regulation. Further it is discussed how DBT the present moment, experiencing one’s emotions, thoughts
and ST concepts and techniques map onto the process model of or body sensations without judging and without reacting
emotion regulation from James Gross (Gross, 2015). Similarities to them. The mindfulness skills are divided into “what
and differences of the two methods are highlighted and illustrated skills” (observing, describing and participating) and “how-
with a case example. skills” (non-judgmentally, one-mindfully and effectively). An
important concept of this module is “wise mind,” which
BACKGROUND AND THEORY allows to base decision making on a balance between
intuition and facts. The implicit goal is to provide the
Dialectical Behavior Therapy (DBT)– experience that emotions and cognitions are internal events
Background and Theory that are a patterned response to external and internal stimuli.
Development of Dialectical Behavior Therapy and the Mindfulness allows watching cognitions and emotions from
Dialectic of Acceptance and Change an observer perspective as separate both from the external
DBT was developed in the late 1980s by Linehan (1993a,b), world and the self.
originally for chronically (para)suicidal patients, then extended • Emotion regulation compromises detailed psychoeducation on
to patients with BPD. To that time, these patients had been emotions in general and a broad spectrum of specific emotions
considered as “untreatable.” A focus on problem solving to foster an in depth understanding of emotions and emotion
or cognitive restructuring, according to standard cognitive regulation. It teaches skills in problem solving, checking reality
behavioral therapy (CBT), had been experienced as potentially and taking opposite action to behavioral tendencies associated
invalidating by the patients and had led to frustration, angry with specific emotions as well as skills reducing emotional
reactions, resistance and treatment drop outs. On the other side, vulnerability. The module intends to give the patient a fresh
focusing on acceptance and validation has also been perceived as look on emotions and to decrease emotional and experiential
problematic by patients since their problems and behaviors did avoidance. A critical feature is to enable the patient to make an
not change. This led to one of the most important features of active choice between acting with an emotion or opposite to it.
DBT, the “dialectic” of acceptance and change. This means, that • Interpersonal effectiveness teaches how to obtain objectives
therapists, on the one hand accept patient as they are and provide skillfully and how to act effectively with respect to objectives,
validation for their thoughts, emotions and behaviors, while on relationship and self-respect. The implicit objective is to
the other hand therapists acknowledge the need for change and reduce interpersonal avoidance which is the key to change
foster the learning of new skills to deal with problems and to experiential and emotional avoidance and to increase
reach personal goals (Linehan and Wilks, 2015). This dialectic interpersonal behavior that has a high probability of being
stance has been inspired by principles of dialectic philosophy positively reinforced.
(e.g., everything is transient and finite, everything is composed of • Distress tolerance focusses on teaching crisis survival skills.
contradictions, passage of quantitative into qualitative changes, It fosters acceptance in situations that cannot be otherwise
change results from a helical cycle of thesis, antithesis and changed or avoided without making things worse. There
synthesis). is an emphasis on self-soothing, improving the moment
DBT is currently the most extensively studied and used and adaptive distraction. Important concepts are “radical
approach to treat BPD (Stoffers et al., 2012). In addition, acceptance” and “willingness.” The module intends to decrease
DBT has been adapted and successfully tested for BPD with self-destructive ways of emotional avoidance like self-injury,
several comorbidities and other psychiatric conditions in which substance abuse or distraction with risk taking behavior.
problems in emotion regulation lead to psychopathology such as
substance misuse (Linehan et al., 1999, 2002; Dimeff and Linehan, Major Components of DBT
2008), eating disorder (Safer et al., 2001; Telch et al., 2001; Kröger In standard DBT there are four major components: skills
et al., 2010), post-traumatic stress disorder (Steil et al., 2011; training group, individual psychotherapy, telephone coaching,
Harned et al., 2012, 2014; Bohus et al., 2013), or depression and consultation team.
(Lynch et al., 2007).
• DBT skills training group is usually carried out in a group
Skill Acquisition and the four Modules in DBT format with approximately eight patients and two skills
DBT conceives emotion regulation skills deficits as the core of trainers. The group follows a manualized protocol (Linehan,
BPD. Thus, the main focus of the treatment is the acquisition 2015a,b). In the original format group members meet once
of a functional emotion regulation. With its CBT background, a week for approximately two and a half hours, yet there
DBT draws from a broad spectrum of cognitive and behavioral are varying adaptations to heterogeneous settings. The skills
treatment techniques to induce the development of skills training group focusses on psychoeducation and training
in emotion regulation. Skill training is embedded in four of behavioral skills in the four DBT modules mindfulness,
modules: interpersonal effectiveness, emotion regulation and distress

tolerance. Homework assignments for patients are given every CBT frame (especially attachment theory, Gestalt therapy). A
session and aim at practicing the learnt skills in everyday live. strong emphasis was placed on the biographical aspects for
• DBT individual psychotherapy is carried out by an individual the development of maladaptive psychological patterns through
therapist on a weekly basis with 50 min sessions. The traumatization in childhood and frustration of basic childhood
individual therapist is the primary treatment provider and needs. The therapeutic relationship was conceptualized as
responsible for treatment planning, crisis management and “limited reparenting” meaning that the therapist creates an active,
decisions about individual modifications of treatment. caring, parent-like relationship with the patient (Young et al.,
The individual therapist supports the patient in the 2003).
implementation of the skills, he has acquired in the skills ST was developed as a transdiagnostic approach, but also
training group, helps with trouble shooting and removing provides disorder specific models for most PDs (see overview
obstacles to change and ensures generalization of change. The in Arntz and Jacob, 2012). Several studies have shown that
individual therapy follows a hierarchy with four stages and treatment based on that model is very effective for patients with
structured target levels for each stage. The idea is to optimize BPD (Giesen-Bloo et al., 2006; Farrell et al., 2009; Nadort et al.,
the change process and to begin the change process with 2009; Dickhaut and Arntz, 2013), but also for other PDs (Bamelis
reducing life-threatening and therapy interfering behavior et al., 2013). Good results are also reported for depression, post-
and then proceed to support skills acquisition, treatment traumatic stress disorder, eating disorders, and complex obsessive
of comorbid conditions, finding solutions for problems compulsive disorders (Cockram et al., 2010; Simpson et al., 2010;
in living and creating a life worth living. Basic treatment Malogiannis et al., 2014; Renner et al., 2016; Thiel et al., 2016).
strategies comprise specific dialectical strategies, validation,
behavior analysis, didactic strategies and problem solving,
Central Concepts in ST: Schemas, Coping Strategies
commitment strategies, contingency management, observing-
and Modes
limits procedures, skills training, exposure-based procedures,
ST is based on the idea that aversive experiences and frustration
cognitive modification and stylistic strategies like reciprocal
of basic childhood needs (e.g., safety, love, attention, acceptance,
communication and case management strategies.
or autonomy) lead in interaction with biological and cultural
• DBT telephone coaching: In crisis situation patients can call
factors to the development of maladaptive schemas. Schemas
their individual therapist outside the sessions and receive
are defined as organized patterns of information processing
support in applying suitable skills. It was designed to help
compromising thoughts, emotions, memories, and attention
generalize skills into the patient’s daily life.
preferences (Young et al., 2003). Schemas have a strong impact
• DBT therapist consultation team: Communication between the
on how individuals view themselves, their relationships to others
providers of individual therapy and skills training is very
and the world. Young described 18 maladaptive schemas, e.g.,
important to support each other in providing the treatment.
shame/defectiveness, social isolation, mistrust, or unrelenting
In standard DBT the therapists meet weekly and review
standards (Young et al., 2003). If a maladaptive schema gets
which skills are currently the focus of the group sessions
activated, associated painful emotions arise. In order to deal
and discuss any problems the patients have in applying the
with these intensive emotions, coping strategies (surrender,
skills. The meetings safeguard that the therapists share a
avoidance, overcompensation) are developed that attenuate
common language and a common knowledge about the skills
aversive emotions but impair adaptive interpersonal and self-
communicated to the patients. Further they support each other
regulatory behavior.
to provide DBT.
While working with BPD patients Young discovered that
the schema model was not optimal to explain and work
Schema Therapy (ST)–Background and with the quick mood and behavior changes of these patients.
Thus, he extended the schema theory with the mode model
Theory
approach, first for BPD later for narcissistic patients (Young
Development of ST
et al., 2003). Since then, the mode model has be elaborated
Schema therapy also derives from CBT and was originally
and empirically tested with specific mode models for most PDs
developed by Young et al. (2003) for patients, which did
(Lobbestael et al., 2008, 2010; Bamelis et al., 2011). A mode
not respond to standard CBT. These patients often had a
is a combination of activated schemas and coping strategies
comorbid personality disorder (PD) and showed complex, rigid,
and describes the current emotional-cognitive-behavioral state. A
and chronic psychological problems in emotion regulation and
mode can change quickly, while a schema is rigid and enduring
in interpersonal relationships, which in most cases could be
(schema = trait, mode = state; Young et al., 2003). It is therefore
followed back into their childhood. These problems also impaired
a convenient concept in clinical practice as it helps patients and
the psychotherapeutic process as those patients had difficulties
therapists understand the sometimes quick emotional changes.
in forming a collaborative relationship with the therapist and
Modes can be divided into 4 broad categories:
could not be reached with standard CBT techniques due to
(anticipated) intensive emotional reactions and coping strategies (a) Dysfunctional child modes are activated when patients
such as avoidance or surrender. In the process of finding ways experience intense aversive emotions, e.g., fear or
to address the needs of these patients, Young integrated ideas abandonment, helplessness, sadness (vulnerable child
and techniques from other theoretical orientations into a classical modes), anger, or impulsivity (angry/impulsive child

modes). Child modes develop when major needs, particularly emotional experiences. “Limited reparenting” provides empathy,
attachment needs, were frustrated in childhood. warmth, protection and care for the patient. However, it may
(b) Dysfunctional parent modes (punitive or demanding) are also be necessary to set limits to the patient and to empathically
associated with self-devaluation, feelings of self-hatred, guilt, confront him with the consequences of his behavior and the need
shame, or extremely high standards. They reflect internalized to change.
negative beliefs about the self, which the patient has acquired
in childhood due to the behavior and reactions of significant
others (e.g., parents, teachers, peers).
DBT AND ST MODELS OF EMOTION AND
(c) Dysfunctional coping modes describe the excessive use of the EMOTION DYSREGULATION
coping strategies surrender (Compliant surrender mode), How DBT Conceptualizes Emotion
avoidance (e.g., Detached protector mode or Self-soother
mode), or overcompensation (e.g., Self-Aggrandizer mode or Dysregulation
Bully-and-Attack-mode) in order to reduce the emotional DBT explains BPD and its symptoms as the consequence of a
pain of child and parent modes. These modes are usually severe disorder in the emotion regulation system. The genesis
acquired early in childhood to protect the child from further of these emotion regulation skills deficits is explained by the
harm and are therefore considered as “survival strategies.” interplay of biological factors, learning history and social context
(d) The healthy modes of the healthy adult mode and the happy (biopsychosocial model). Symptoms such as self-injury, binge
child mode represent functional states. In the healthy adult eating, alcohol abuse, dissociation, or impulsive behaviors are
mode, people can deal with emotions, solve problems and regarded as coping strategies for intense emotions. Thus, a
create healthy relationships. They are aware of their needs, primary goal of DBT is to teach patients skill to tolerate and
possibilities and limitations and act in accordance with their regulate intensive emotions.
values, needs and goals. The happy child mode is associated DBT provides intensive psychoeducation on emotions and
with joy, fun, play, and spontaneity. The healthy modes are the (evolutionary) adaptive value of emotions. Emotions are
usually weak at the beginning of therapy. considered as complex, brief, involuntary, patterned, full-system
responses to internal and external stimuli (Ekman and Davidson,
For a detailed description of all modes see Arntz and Jacob 1994). The DBT model of emotion and emotion regulation
(2012). contains six interacting subsystems (Linehan, 2015b):
(a) Emotional vulnerability factors
Therapy Goals and Treatment Strategies in ST (b) Internal and external events that serve as emotional cues
The major goal in ST is helping patients to understand their (e.g., prompting events)
emotional core needs and learn ways of getting needs met in (c) Appraisal and interpretations of cues
an adaptive manner or to help them deal with the frustration (d) Emotional response tendencies (including physiological,
if needs cannot be satisfied. This requires breaking through cognitive, experiential responses and action urges)
long-standing emotional, cognitive and behavioral patterns, (e) Non-verbal and verbal expressive responses and actions
meaning change of dysfunctional schemas, coping strategies and (f) After-effects of the initial emotion, including
modes. According to the mode model there are specific goals secondary emotions and after-effects of problem
connected with every mode guiding the treatment: Child modes behavior like social isolation or problematic peer
are supported and comforted. Dysfunctional parent modes are relationships.
reduced, therapists even “combat” the punitive parent mode.
Dysfunctional coping modes should be reduced and replaced All DBT-modules (mindfulness, distress tolerance, emotion
by healthier, more flexible strategies. However, as these modes regulation, interpersonal effectiveness) are intended to improve
have served as “protective shield” for vulnerable child modes understanding of own and other’s emotions and learning emotion
for such a long time, therapists have to proceed particularly regulation skills. Patients are encouraged to train these skills
careful. Only if the patient feels safe enough in the therapeutic on a regular basis. DBT assumes that expert knowledge on
relationship, the adaptive function of the coping modes has been emotions, improved skills and skills use will result in better
validated enough and their advantages as well as disadvantages emotion regulation.
have been reviewed cautiously, the patient will be able to reduce Although, this model was originally developed for patients
his “protective shield” and learn healthier strategies to deal with BPD, DBT has been applied in many other psychiatric
with emotions and relationships. A last important goal is to conditions with data suggesting effectiveness (see above). Thus, it
strengthen the healthy modes. To achieve these goals, mode- can be seen and used as a transdiagnostic model for optimization
specific cognitive, experiential, and behavioral interventions are of emotion regulation skills in other clinical populations as well
used, with a strong emphasis on experiential techniques like as in healthy individuals.
chair dialogs and imagery rescripting. “Limited reparenting”
(behaving like a “good parent” toward the patient, within the How ST Conceptualizes Emotion
boundaries of the therapy relationship) is central to ST and Dysregulation
underlies all therapeutic techniques. “Limited reparenting” serves In ST problems in emotion regulation are mainly seen as a
as an antidote to traumatic experiences and leads to corrective consequence of adverse early experiences (e.g., lack of safe

attachment, childhood abuse or emotional neglect). Negative • Attentional Deployment refers to selecting a new attentional
experiences in childhood have led to fear of emotions and focus within a situation (e.g., by talking to someone the feeling
result in attempts to avoid emotions and (intimate) relationships. of shame gets stronger, if one focusses on own performance
Dysfunctional schemas about the self and relationships to and mistakes like stuttering instead of shifting the attention
other as well as about the meaning of emotions prevail (e.g., focus to the conversation partner)
“Emotions always hurt” or “to show emotions is a weakness”). • Cognitive Change refers to modifying the appraisal of the
ST assumes that when these underlying problems are addressed, situation or getting a critical distance to cognitions (e.g.,
emotion regulation improves. Thus, emotion regulation is saying: “The thought ‘I am a loser’ is a thought not the truth”)
not directly addressed as in DBT and there is no explicit • Response Modulation refers to directly influencing
model of emotion and emotion dysregulation as in DBT. experiential, behavioral or physiological components of
However, emotion dysregulation can be explained by the mode the emotional response [e.g., taking a deep breath to relax
model. and calm down body sensations (modulation of biological
In ST emotion regulation skills improve by experiencing response) or going to an exam although one is afraid to fail
safe attachment and validation of needs and emotions through (modulation of action response)].
the specific features of the therapeutic relationship (esp.
Table 1 gives an overview of the five categories of emotion
“limited reparenting” and “empathic confrontation”) and being
regulation strategies from the Gross’ process model and how
safely guided through emotional processes with experiential
DBT and ST concepts and techniques map onto the process
techniques (e.g., processing of traumatic experience with imagery
model. This results in a theoretical framework that allows
rescripting). Further, experiential avoidance mainly displayed by
the discussion of similarities and differences of these two
the coping modes is challenged as it blocks access and fulfillment
psychotherapeutic methods with respect to emotion regulation.
of the patient’s needs leading to enduring aversive emotions.
It is important to note that in this table the primary
ST assumes that by using these strategies the patient’s fear of
association between related DBT or ST technique and category
emotions reduces, while willingness to overcome experiential
of emotion regulation strategies is mentioned, although many
avoidance increases.
techniques address several categories of emotion regulation
strategies. In the following we describe the concepts and
Gross’ Process Model of Emotion techniques first for DBT and then for ST and make the
Regulation and its Connection to DBT connection to every category of the process model of emotion
and ST regulation.
Gross’ modal model of emotion regulation is the currently
prevailing generic model to describe the emotion generating
STRATEGIES AND TECHNIQUES TO
process (Gross, 2015). It compromises a situation—attention—
appraisal—response—sequence: Briefly, the emotion sequence REGULATE EMOTIONS
begins with a psychologically relevant situation, which can Concepts and Techniques for Emotion
emerge from the external environment (e.g., being criticized
by the boss) or from internal triggers like thoughts, body
Regulation in DBT
DBT is a treatment model developed for a clinical population.
sensations, or other emotions (e.g., having a thought like “I
The process model of emotion regulation is a generic model
am a loser”). Such a situation draws the individual’s attention
developed in basic sciences two decades later (Neacsiu et al.,
(e.g., attention focus on angry eyes of the boss) and gives rise
2015). Yet there is apparently a strong similarity between the
to an appraisal (e.g., “I am going to get fired”). It follows a
conceptualizations of emotion regulation in the process model
response including biological/experiential (e.g., heart beating
and DBT. DBT offers specific behavioral and cognitive strategies
faster, flushing, feeling ashamed or anxious) and behavioral
for the regulation of emotions in each category defined by the
changes (e.g., looking down, apologizing for mistake). This
process model (Table 1). The DBT part of Table 1 was strongly
response often changes the situation (e.g., boss feels sorry after
inspired by Neacsiu et al. (2015), who already mapped the
apology and says “Well, besides that one mistake, I am very
DBT model onto the process model of emotion regulation.
glad that we have you in the team”) and gives rise to a new
DBT skills are taken from the recent DBT manual (Linehan,
sequence.
2015a,b). As can be seen in the table the category of response
According to the “process model of emotion regulation”
modulation has been divided into biological/experiential response
(Gross, 2015) emotions can be influenced by targeting any
and expression/action response. Furthermore, we added managing
component of the situation—attention—appraisal—response—
emotional after-effects of the initial emotion, especially addressing
sequence:
secondary emotions, and managing emotional vulnerability
• Situation Selection by avoiding or approaching situations (e.g., factors to response modulation. In the following the main skills
going to a party with nice people to make it more likely to have for each category are described. Of particular note is that
a feeling of joy or avoiding a critical person to avoid shame) especially mindfulness skills are essential for every category,
• Situation Modification refers to staying in the situation but since skills of each category afford mindful observing, describing
adding new behavioral elements (e.g., by asking my friend to and participating in the present moment effectively and without
give me a hug) judgment.

TABLE 1 | Categories of emotion regulation strategies from the Gross’ process model, related DBT, and ST concepts and techniques.
Categories of DBT concept of Related DBT techniques and skills ST concept of Related ST techniques
Gross’ Process emotion regulation emotion regulation
Model difficulties difficulties
Situation Selection Interpersonal skills deficit Planned Activities: Accumulate Schema avoidance Psychoeducation in terms of mode model to
Experiential Avoidance Positive Emotions, Action to Build Schema surrender foster understanding and overcome schema
Deficit of reinforcement Mastery Schema coping/experiential avoidance
Interpersonal effectiveness overcompensation Empathic confrontation of dysfunctional situation
Experiential Avoidance selection that repeats history (e.g., dysfunctional
partner choice)
Cognitive techniques (e.g., schema or mode
diary’s identifying triggers, situations and
unhealthy coping).
Behavioral techniques (e.g., role plays of present
situations, planning of healthy steps, stopping
unhealthy choices)
Situation Problem solving skills Problem solving Dysfunctional modes vs. Becoming aware of emotional needs and helping
Modification deficits Interpersonal effectiveness skills Healthy adult mode patient “modify” situation so that needs are better
Interpersonal skills deficit met.
Behavioral techniques (e.g., role plays of present
situations, problem solving)
Imagery Rescripting and PsychoDrama
(Modification of context and situation)
Attentional Mindfulness skills deficits Mindfulness Schema or mode Attention shift to different modes (e.g., with chair
Deployment maintenance (as dialog or cognitive techniques), esp. to healthy
attention is focused on adult mode
information that
confirms schema/mode)
Appraisal Dialectical dilemmas, Dialectic thinking, Validation, Check Distortion of information Identification and re-appraisal of schemas
Experiential avoidance the facts by early maladaptive through cognitive techniques (e.g., schema or
due to meta-belief on Reality Acceptance schemas, Dysfunctional mode diaries, socratic dialoq, schema-dialog)
emotions Managing dialectic dilemmas, modes vs. healthy adult and experiential techniques (e.g., chair work and
Walking the middle path mode imagery rescripting; including trauma
reprocessing)
Change of meaning of early experiences that
underlie dysfunctional schemas
Response High emotional reactivity Biological/experiential response Dysfunctional modes vs. Limited Reparenting (modeling and shaping of
Modulation and sensitivity, Modulation: healthy adult mode emotional response in direct contact)
Emotion Change physiology (TIP skills) Helping to express emotions and needs
regulation skills deficits, Self-soothing Modeling of healthy ways to deal with emotions
Interpersonal skills deficits, Half-Smile/Willing hand by therapist
Mindfulness skills deficit Empathic confrontation to block problematic
Expression/action response
emotional reactions and promote functional
modulation:
reactions
Opposite action
Emotional exposure
Interpersonal effectiveness
Imagery rescripting (processing of traumatic
Exposure
experiences, altering of emotional response)
Behavioral techniques
Behavioral techniques including alternative
Managing emotional-after effects: behavioral responses and healthy self-soothing,
Psychoeducation on emotions relaxing strategies.
Mindfulness and Acceptance skills
(Identify and Label emotions, Observe
and Describe Emotions, Exposure)
Managing emotional vulnerability
factors:
Change Biological Sensitivity
(PLEASE-Skills)
Situation Selection patients approach situations where they are more likely to have
Psychopathology related to this area arises when patient avoid unpleasant emotions. Situational avoidance may result in a
situations that are important for their goals and values or if deficit of reinforcement and pleasant emotions. From the DBT

perspective the difficulties in this area mainly arise from skills when they treat interpretations, assumptions and thoughts and
deficits resulting in experiential avoidance (e.g., the patient does emotions as facts in the outer world on the other side (e.g., “If I
not go to a date with a friend caring for her to avoid feelings am angry, he must have done something wrong”).
of shame or anxiety). The alternative possibility is that patients One core technique to teach dialectic thinking is validation.
with deficits in social cognitions or interpersonal effectiveness Using validation strategies, the therapist communicates to the
skills deficit do not avoid aversive situations that may be avoided patient that her behavior makes sense and has a connection
without a penalty (e.g., the patient meets with an invalidating to her present context and past learning history. This
friend). applies quite particularly when the behavior on the surface
The skill “Accumulating Positive Emotions” teaches patients appears “dysfunctional.” Uncovering the validity within problem
that by approaching pleasant situations or situations that are behavior is a crucial prerequisite for changing exactly this
meaningful in the light of their values and goals, they can increase behavior. The repeated use of validation strategies by the
positive emotions and reinforcement in their daily life in the therapist will finally result in patients using validation as a
short (e.g., by creating more pleasant events) and in the long skill. The skill “Check the facts” is the dialectic counterpart. It
run by living a life fitting their own values. “Building Mastery” is intended to help patients to view thoughts as thoughts and
aims at engaging in activities that foster the sense of competence, emotions as emotions and to disentangle thoughts and emotions
self-control, and self-efficacy. These two skills have an important from actual facts. With this skill patients learn to consider actual
overlap with behavioral activation treatment for depression facts for their decisions. DBT uses mindfulness skills with their
(Kanter et al., 2009) and are in line with the strong emphasis focus on the present context as an antidote to worry, rumination
on values in acceptance and commitment therapy (ACT) (Hayes and threat monitoring.
et al., 2012). Moreover, interpersonal effectiveness skills are trained DBT conceptualizes problems in the appraisal category as
with the patients, where they learn to anticipate the consequences caused by dialectical dilemmas: Patients often show patterns of
of interpersonal situations (e.g., “if I go dancing, when I feel dichotomous thinking are stuck in polarities, unable to move to
lonely and have drunken alcohol and flirt with a drunken, older a synthesis and are unable to anticipate or accept change. The
man, there is a high probability that he will try to have sex with skill “Walking the Middle Path” from the module interpersonal
me”) and learn to take functional decisions, which situations to effectiveness teaches patients to find a synthesis between
approach and which to avoid. Moreover, they learn how to build opposites: e.g., to base decisions on facts while concurrently
and maintain functional relationships and end destructing ones. experiencing intense emotions, to have a strong desire for change
while concurrently dealing in an accepting way with the present
Situation Modification moment. Further psychopathology in this category arises from
Successful modification of situations especially affords problem meta-beliefs patients have on emotions (e.g., “Emotions are
solving strategies and interpersonal effectiveness skills. Patients bad and destructive” or “Emotions should always be trusted”).
are taught steps of standard problem solving (D’Zurilla and Nezu, These meta-beliefs, in DBT called “Myths about emotions,” are
1999) to find and execute effective and doable solutions and to challenged and psychoeducation is provided.
reduce distress in problematic situations. Within interpersonal
effectiveness patients learn how to reach their goal in a specific
Response Modulation
situation without hurting others or damaging their own self-
DBT explains problems in this area with high emotional
respect.
reactivity and sensitivity as well as skills deficits in emotion
regulation, interpersonal effectiveness, distress tolerance and
Attentional Deployment
mindfulness. In DBT it is very important to separate the
Psychopathology in this area arises if the control of attention
biological/experiential response including the action tendency, the
is inflexible and not directed to the situational context. Some
urge to act with the emotion, from the behavior response itself.
patients avoid the perception of the situational context by
One major DBT-skill “opposite action” aims acting opposite of the
distraction or dissociation because of fears of interpersonal
emotion-driven behavior (e.g., to approach a dog although you
rejection. Others focus their attention inwards on physical
have dog fear and the emotion of fear tells you to avoid dogs).
symptoms of anxiety or on internal cognitive processes like worry
This skill is indicated when the emotion driven behavior is not in
or rumination or try to suppress unwanted thoughts or emotions.
accordance with the facts or the values of the patient. Moreover,
Mindfulness exercises in DBT help to keep the focus of attention in
managing emotional after effects and vulnerability factors are
the presence and to avoid inflexible attachment to internal events
important subcategories in DBT.
like thoughts and emotions.
• Biological/experiential response
Appraisal For BPD patients emotions often come with a high intensity
Problems in this category are consequences of dysfunctional of aversive physical sensations causing a high distress and a
information processing. DBT assumes that patients have strong action urge, DBT provides a set of distress tolerance
insufficient skills in dialectic thinking, that they do not consider skills. These skills aim to calm down the high physiological
sufficiently the opposing forces that make up inner and outer arousal and to block acting on maladaptive urges. For example,
realities. Patients fluctuate between invalidation of their internal the “TIP skills” (abbreviation for: Tip your face into ice cold
experience on the one side and states of cognitive fusion, water, Intense Exercise, Paced Breathing, and Paired Muscle

Relaxation) teaches patients how to down-regulate their due to judgments about the primary emotion (e.g., evaluation
physiological response through temperature change, exercise, of anxiety as “stupid” leads to intensive shame as secondary
breathing, or muscle relaxation. For the down-regulation of emotion. The evaluation of anger as meaning “you are an
distress there are many other strategies in the DBT manual aggressive person” leads to guilt when the primary emotion
including self-soothing with the five senses, distracting (e.g., of anger occurs). Mindful awareness of these emotion cycles
with activities) or changing the body posture to a more helps to interrupt them and to apply change strategies if
accepting posture (e.g., half smiling and willing hands). Half necessary. In the first step DBT provides psychoeducation on
smiling was developed in line with research showing that emotions in general and on specific emotions such as anger,
facial expression influence emotions (Ekman, 1993). Patients disgust, guilt, joy, love, shame, fear, envy, jealousy, or sadness.
are supported to develop a “distress tolerance skill chain” for For each emotion the adaptive value, typical prompting events
high distress situations and perform a sequence of distress (cues), interpretations/appraisals, biological/experiential
tolerance skills (e.g., 1. Ice cold water, 2. run steps three changes, expression/behavior changes, after-effects, and
times up and down 3. Bite into chili pepper). It is very secondary emotions are explained and words how to describe
important to acknowledge the dialectic that DBT aims at the emotion are provided. This helps patients to “identify
mindfully accepting arousal and emotions without judgment and label emotions.” Moreover, patients learn to observe and
while at the same time acting to reduce arousal. These skills describe emotions in a non-judgmental way. A very important
serve as crisis strategies in high distress situations to block aspect is mindfulness and acceptance in exposure to emotional
dysfunctional action urges like self-injury, rage attacks, or experience, especially to the primary emotions. This means
alcohol consumption, which lead to a further complication of “experiencing emotions without judging them or trying
the situation. to inhibit them, distract from them or to hold on them”
• Expression/action response (Linehan, 2015b).
Every emotion comes with an action urge. Many times acting • Emotional vulnerability
on the urge is effective. If the behavior does not fit the DBT aims at fostering resilience by addressing emotional
facts or the values of the patient, there is the possibility to vulnerability factors. PLEASE is an acronym for treating
modify the behavioral response. An important option for Physical Illness, balanced Eating, avoiding mood-Altering
emotion regulation is “opposite action” where one explicitly substances, balancing Sleep, and getting, adequate Exercise.
does the opposite of the emotion-driven behavior. This skill
of course includes exposure to unpleasant emotions and
follows similar principles as exposure-based treatments for Concepts and Techniques for Emotion
anxiety disorders (e.g., approaching the feared stimulus). Regulation in ST
These principles are transferred to other emotions such as Although, emotion-oriented interventions and systematic
shame, disgust, anger, guilt, or sadness. “Opposite action” emotional work are central to ST, it is important to keep in mind
is also an important part in the treatment of depression, that in ST regulation of emotions is not in the foreground of ST
as proposed by Behavioral Activation (Kanter et al., 2009): theory. ST intends to change dysfunctional schemas on the self,
Patients are motivated to engage in activities and to act on relationships to others and on the world as a whole (as well as
opposite to the depression urge of social withdrawal, inactivity on the meaning of emotions), which underlie today’s problems.
and avoidance. Changing action tendencies includes changing These dysfunctional schemas were developed early in childhood
the overt action (e.g., being kind to a person one is angry with) through adverse experiences and gave rise to coping strategies
but also body language, facial expression, or tone of voice. such as avoidance, surrender or overcompensation to deal with
To address all these components patients are also trained (expected) threat or gratification. These coping strategies have
in interpersonal effectiveness. It is important to distinguish often become very rigid and block access to the underlying
opposite action from thought or emotion suppression or schemas. Thus, the schemas cannot be changed and the disorder
submissive interpersonal behavior: Opposite action does not is maintained. ST of course aims to break through these rigid
intend to suppress an emotion, but to be mindfully aware and coping mechanisms to reach the dysfunctional schemas, however
accepting of an emotion and its action urge, but to be able to the ultimate aim is to change the underlying schemas.
decide to act differently. Opposite action does not intend to Painful emotions and difficulties in regulating them are seen
“give in” in contentious issues, it opens up new possibilities as a consequence of these underlying dysfunctional schemas. For
for solving interpersonal conflict. instance, if one’s need for emotional intimacy cannot be met
• Emotional after-effects because the representation of other people includes that other
Emotions do not only influence concurrent behavior, people will take advantage of you, if they see this “weak” need,
cognition and emotion but also future behaviors, cognitions or will punish you for having this need, it is understandable that
and emotions. Therefore, emotional after-effects of events dysfunctional emotion regulation results (e.g., by keeping out
are an important topic for emotion regulation. After effects of intimate relationships). If corrective experiences in treatment
may give rise to specific changes in attention, physiology, lead to a change of the schema representation of other people,
behavior, and appraisal. Humans avoid or perform specific then the problem is resolved. If the representation of emotion
behaviors because they anticipate specific emotional states. entails that emotions constitute a threat, the patient will feel
Much of emotional distress is caused by secondary emotions unsafe with emotion, and use avoidance or overcompensation

to prevent that emotions are triggered. The aim of ST then is to soothes another sad child in kindergarten by playing with the
help the patient feel safer with emotions. Thus, the way patients teddy bear).
view, experience and regulate emotions changes substantially
through the course of treatment without emotion regulation Cognitive techniques
being directly addressed. Cognitive techniques compromise a range of techniques similar
To give a better overview on how emotions are worked with to the techniques also used in CBT. In regard to emotion
in ST we decided to present ST techniques with special regard regulation strategies patients receive intensive psychoeducation
to emotions first in line with the basic ST literature (Young on schemas, schema coping, modes, needs, emotions as well as
et al., 2003; Arntz and Jacob, 2012) by dividing them in therapy on normal development of children. Within the mode model
relationship, experiential, cognitive, and behavioral techniques. the therapist illustrates, why and how coping modes developed
Afterwards we explain how these concepts and techniques can and validates their function, which is mainly to shelter the
be mapped to the process model of emotion regulation (see also child modes from more emotional pain. He explains what
Table 1). children need to develop a healthy way to deal with emotions
and points out the differences to the patient’s history (e.g.,
ST Techniques to Work with Emotions “when a child is angry, it is not okay to tell him, that it
Therapy relationship techniques is egoistic and to withdraw affection. Every child would feel
The therapy relationship is an important vehicle for corrective guilty then. The parent needs to talk to the child, to find
emotional and interpersonal experiences. The major techniques out why it is angry and help the child to calm down.”). The
are “limited reparenting” and “empathetic confrontation.” With therapist fosters mode awareness, in which emotions play an
the central attitude of “limited reparenting” the therapist important role (e.g., “if I feel guilty I need to look if this feeling
provides a good-parent-like relationship characterized by is connected to my punitive parent mode”). He explains the
warmth, empathy, support, careful self-disclosure, and safe mode-specific goals of ST (e.g., fighting the punitive parent and
attachment. He helps the patient to become aware of his soothing the child modes) and promotes mode change, best in
emotions and needs, gives support in expressing emotions and the healthy adult mode. He helps with the identification and
needs, validates them and—within certain boundaries—fulfills re-appraisal of schemas and mode-related cognitive distortions
the needs. Especially important is the fulfillment of needs that (e.g., identify “I am worthless” as a cognition of the punitive
were frustrated in childhood. “Limited reparenting” is specifically parent mode, restructuring from healthy adult mode). Other
designed to serve as an antidote to the patient’s maladaptive important cognitive techniques compromise reviewing pros and
schemas. The therapist directly models and shapes the emotional cons (e.g., of coping modes to overcome experiential avoidance)
response of the patient providing external emotion regulation or focusing long-term consequences (e.g., “If I stay in the detached
like parents do for their children (e.g., if a patient feels anxious in protector, it is not possible to get close to others and I will go on
a vulnerable child mode the therapist provides safety). Moreover, feeling lonely and depressive.”) or writing diaries or flashcards to
the therapist models healthy ways of intrinsic emotion regulation promote mode awareness and mode change.
by showing how he deals with his own emotions and needs.
“Limited reparenting” also means to help patients to experience Experiential techniques
emotions in a safe way without being overwhelmed by emotional Experiential techniques including emotional processing of
distress. Thus, the therapist sets up emotional work in small steps aversive childhood memories are extensively used and are central
and actively guides through the process. to ST, which is a main difference to standard CBT. The main focus
With “empathetic confrontation” the therapist challenges of ST is on changing dysfunctional schemas and the meaning of
experiential avoidance mainly displayed by the coping modes. emotions and needs through emotional restructuring. As such
He emphasizes the adaptive value of the coping mode, and ST does not place a strong emphasis on typical CBT exposure
at the same time makes clear that the coping mode blocks techniques aiming at habituation and extinction. An emotion is
access and fulfillment of the patient’s needs leading to enduring processed until the respective emotion (i.e., sadness, loneliness)
aversive emotions. Also he promotes functional emotional and the connected need (e.g., need for attachment) and if
reactions. ST assumes that by using these strategies the patient’s necessary its biographical background becomes clear, than the
fear of emotions reduces, while willingness to overcome the emotion can be restructured. The main experiential techniques
coping modes increases and by this the pathway to heal are so-called “chair dialogues,” imagery exercises, most often
dysfunctional schemas opens. In a way, ST-therapy relationship- imagery rescripting, and historical role play.
strategies resemble the way how emotion regulation develops In chair dialogs different chairs are used for different
in children. In childhood extrinsic emotion regulation by perspectives or emotions. In ST, most often different modes
caregivers is initially dominant (Gross, 2013; e.g., a sad child is are placed on different chairs and dialogs between them are
soothed by its mother, who plays with the teddy bear for the performed. The patient changes the seats and expresses on every
child). By experiencing adaptive extrinsic emotion regulation by chair the perspective and emotions of the related mode. When
caregivers and getting models for intrinsic and extrinsic emotion another mode pops up, the therapist usually asks the patient to
regulation, children can learn intrinsic emotion regulation (e.g., change the seat to the chair that symbolizes the popped-up mode
the sad child soothes itself by playing with its teddy bear) (e.g., ‘I hear you have a strong feeling of loneliness. I think this is
and also extrinsic emotion regulation for others (e.g., the child connected to your vulnerable child mode. Would you please take

a seat on the vulnerable-child-chair and tell me how little Tanja biographical memory together as a role play. The patient switches
feels?’). The therapist helps the patient to express his feelings and roles by playing his own role (most often as a child) in the first
needs and to detect and experience different mode perspectives. round and the role of the perpetrator (most often a parent) in the
The therapist might also model to express those perspectives, second. This helps the patient to see another perspective on the
emotions and needs the patient finds hard to express. These events and to change the meaning of the situation. If a patient
exercises clarify ambivalent emotions and inner conflicts, which e.g., feels unlovable, since his father did not show any interest
is an important diagnostic step to the solution of an emotional and was annoyed by the child, the patient can see by overtaking
problem. Moreover, chair dialogs can be used to restructure the perspective of the parent, that the father was overwhelmed
modes and emotions leading to new emotional experiences and with work and had never learnt how to show feelings. By this
changes in the dysfunctional schemas, meaning of needs, and he can understand that it is not him being unlovable, but the
emotions. To achieve this, the therapist or the healthy adult mode circumstances of the situation that made his father act like that.
addresses every mode by adapting his tone of voice, the content
of what he says to the mode and his actions following the mode- Behavioral techniques
specific goals of ST (e.g., comfort the vulnerable child mode, Behavioral techniques mainly aim at breaking through rigid
fighting the punitive parent mode). Thus, the patient experiences behavior patterns connected with the coping modes. After many
in a highly emotional way, that his needs and emotions are years of dysfunctional coping this behavior has often become
important and that self-devaluation can be reduced. habitual and patients lack other skills to deal with emotions
Imagery exercises can also be used for diagnostic reasons and needs. Thus, they need support to learn new strategies. ST
to clarify the biographical origin of dysfunctional schemas compromise a range of techniques similar to the techniques
and emotional problems as well as related behavior patterns also used in CBT such as behavioral experiments, role play,
(diagnostic imagery). Most often diagnostic imagery exercises homework, planning of activities, problem solving, or skill training.
start from a current situation associated with strong emotions. If pathological choices (e.g., of abusive partners, of abusive
The patient is asked to image that situation with eyes closed, work situations) remain the therapist will also address this on a
the therapist focusses especially on the emotions and where in behavioral level (help patients make healthy choices what to avoid
the body the patient can feel the emotion. When the emotion and what to approach). Often it is very hard or even impossible
is clear enough, the therapist asks the patient to wipe away the for patients to change their behavior in the beginning of therapy
image of the current situation and just stay with the emotion due to maladaptive schemas, thus these strategies have a stronger
(affect bridge) and go back to his childhood and see if an image emphasis later in the course of therapy, and are often prepared by
that is associated to that emotion pops up. The childhood image experiential techniques.
is then again explored with emphasis on emotions and needs.
Imagery Rescripting (Arntz and Weertman, 1999) is considered Connection of ST Techniques to the James Gross’
to be the most powerful technique to change schemas and the Process Model
meaning of adverse childhood events and emotions. The patient In the following we map the ST concepts and techniques on
is asked to image a stressful (childhood) memory related to his the James Gross’ process model of emotion regulation by going
maladaptive schemas (e.g., emotional abuse). Such a situation can through each category of emotion regulation strategies (see also
be found through affective bridges as explained above or can be Table 1).
directly taken from the reports of the patient. When the patient
clearly feels the related emotions and needs, the “rescripting Situation selection
part” is started by introducing a helping figure in the image, Schema therapy explains why patients avoid situations that
which modifies the situation to a more pleasant ending for the might be useful for them and do not leave situations that
child, meaning that the child’s needs are fulfilled. This helping are harmful using the concepts of schema avoidance, schema
figure can be the patient himself in his healthy adult mode, if surrender, and schema overcompensation. It is assumed that
he is already strong enough. For patients with PD this is often dysfunctional child, parent and coping modes are responsible
not the case in the beginning of therapy. Thus, the therapist or for problematic avoidance behavior or inaction. ST uses
another helpful person (even a fantasy figure) can be introduced psychoeducation about the mode model to help to understand
as helping figure. In the “rescripting part” the needs of the child and overcome problematic schematic coping and experiential
are fulfilled, meaning that the perpetrator is stopped and the child avoidance. Empathetic confrontation is used to confront patients
is protected and cared for. Aversive emotions such as anxiety, with dysfunctional situation selection that repeats history and
shame or guilt are reduced, while experiencing safety, secure by this maintains schemas (e.g., dysfunctional partner choice).
attachment, warmth, love, joy, and other pleasant emotions are Behavioral techniques like role plays of the present situation and
promoted. By this, the original meaning of the trauma is changed. actively changing what situations to select may be used to foster
For some patients rescripting works better in the form of a role transfer of behavior from the therapy session into the life of the
play, for instance if imagery constitutes a problem. Note that patient.
from an ST-perspective it is not necessary that the patient relieves
the whole trauma, since habituation is not the primary goal. Situation modification
Historical role-play (Arntz and Weertman, 1999) is a form Similarly, ST assumes that problem solving skills that are
of drama therapy, where therapist and patient play a traumatic necessary to improve situations may be blocked by schema

avoidance, schema surrender or schema overcompensation. ST emotional dysregulation with invalidating aversive experiences in
supports the patient to develop awareness of their modes and childhood in interplay with biological factors even if later in the
individual needs and helps patients to modify situations so that therapy process the biographical aspects play a more distinct role
needs are better fulfilled. Behavioral techniques help with testing in ST. In both methods the therapeutic relationship is marked
and transfer of problem solving skills. Cognitive techniques by validation, acceptance and warmth for patients and both
help to identify problematic situations, situational triggers and treatments address experiential avoidance. However, there are
alternative ways to get needs met. Imagery rescripting and major differences in the terminology, explanatory models and
historical role play may in particular modify the internal context techniques used in both methods. Table 2 summarizes the main
in problematic situations. features, similarities and differences.
Attentional deployment APPLICATION

Dysfunctional schemas and modes are maintained, since
attention is focused on information that confirms the In this passage we will describe a case example of a woman with
dysfunctional schema or mode. This problem of attention BPD and present the main strategies regulating emotions first
that is inflexible and not directed to the situational context is from a DBT and then from a ST perspective.
addressed by ST using the attention shift that is associated with
mode work through cognitive and experiential techniques. Chair Case Example
dialogs for example require the patient to shift their attention Mona, a 23-year old, overweight woman, comes to psychotherapy
to varying aspects of internal and interpersonal situations and and reports: “I just cannot deal with my emotions, my moods
facilitate the experience of the emotional changes associated with shift so rapidly, no one is able to follow. I do not even
shifting attentional deployment. understand myself. I guess, that is why I just cannot have a
normal relationship. With my last boyfriend I had so many fights.
Appraisal I always thought he would leave me for another woman. I just
One core assumption of ST is that information processing and could not trust him. I had so many rage attacks and threw things
decision making is influenced by early maladaptive schemas and at him. And then he really left me. He said, he just could not stand
that psychopathology is related to a dominance of dysfunctional it anymore. . . .Well, and since then, I just do not want anyone
modes to the detriment of the healthy adult mode. Consequently, close to me anymore, besides my little sister. It just does not
when dealing with emotion regulation, appraisal is a core area for work with me.” Asked directly for her symptoms, she reports
ST. Identification and re-appraisal of schemas through cognitive cutting with razorblades about once a week (“That happens often
and experiential techniques are central for ST. ST assumes that when I am in an emotional chaos.. . . I do not care about the
mode awareness and cognitive flexibility that is developed during scars. I am ugly anyway”), daily binge eating in the evening and
therapy allows the patient to switch from dysfunctional modes about three times a week smoking cannabis (“This just helps to
to the healthy adult mode and by this eliminate problematic calm down, when I feel lonely, sad or guilty”), suicidal ideas (“I
appraisal processes. All experiential techniques promote change often think, my life is a mess anyway and only pain. If I was
of appraisal especially through changing the meaning of emotions dead, this all would stop and I would have peace and silence.
and early experiences that underlie schema. I would not feel guilty and ashamed anymore. Nobody would
miss me. I tried it four times with pills, but it did not work.”),
Response modulation social withdrawal and inactivity (“Most of the day I lie in bed. I
ST assumes that psychopathology in this category is related really do nothing. I am a loser”). She also suffers from disturbing
to dysfunctional modes in particular dysfunctional child and intrusive memories and nightmares, where she relieves physical
parent modes and coping modes. The therapy relationship and emotional abuse from her father and stepmother, but also
techniques, especially limited reparenting, aim to model and from the death of her older sister. The sister died 19-year-old of
shape emotional responses in direct contact with the patient. a heroin overdose, when Mona was 15 years. Mona feels guilty
Empathic confrontation is used to block problematic emotional that she did not help her. With regard to her biography she
reactions and promote healthy emotional reactions. Emotional reports further: “My father drank a lot of alcohol. He was very
exposure in experiential techniques is set up in small steps with impulsive, violent-tempered, often shouted at us and beat us.
shelter by the therapist and plays an important role of response We all had panic, when he came home. My real mother was
modulation. In imagery rescripting traumatic experiences are caring and warm-hearted, but she was also afraid of him and
processed and through the new script where the patient’s needs could not protect us. She died from cancer, when I was seven. My
get fulfilled the emotional response is directly altered. Behavioral stepmother was also addicted to alcohol. She was very moody,
techniques support the transfer of new responses into the sometimes she was nice, but then, and you could never tell when
everyday life of the patient. and why, she got angry, insulted and beat us. My elder sister was
the only one, who was there for me. But when she began to take
Similarities and Differences between DBT drugs, she became very unreliable and I was totally lost. For my
and ST younger sister I was the ‘mom,’ since nobody was there. She is
Both treatments share a CBT background and help patients to still living with my parents. I cannot forgive myself that I left her
deal with emotional dysregulation. Both explain development of there.”

TABLE 2 | Main features, similarities, and differences of DBT and ST.
DBT ST
Explanatory model Emotion dysregulation as central problem, Biosocial theory to Case conceptualization using the mode concept; frustration of basic needs
explain emotion dysregulation, Focus on connection between in childhood leads to the development of maladaptive schemas and modes,
emotion regulation and dysfunctional behaviors problems in emotion regulation and interpersonal relationships follow.
Emotion dysregulation is not seen as the central problem
Integration of childhood No explicit focus except for psychoeducation and validation Full integration: Maladaptive schemas, today’s problematic behaviors, fear
experiences of emotional dysregulation of emotions and relationships are associated with biographical experiences;
psychoeducation regarding basic needs of children
Trained skills Primary aim is skill acquisition in the area of emotion Skills for emotion regulation are not directly trained. Fostering
regulation. Skills are trained in the four DBT-modules emotion meta-understanding of the current mode, skills for using the healthy adult
regulation, distress tolerance, mindfulness and interpersonal mode, awareness of one’s own needs and ways to meet them
effectiveness
General therapeutic Validation strategies, explicit techniques in DBT (V1–V6) Special focus on therapy relationship: Limited reparenting and empathic
strategies Dialectical strategies (balance between acceptance and confrontation also contain validation strategies with a special focus on
change, pro-contra lists) validation of traumatic childhood experiences as well as validation of
Commitment strategies emotions and needs, but not as explicitly as in the DBT protocol
Skills training Empathic confrontation contains validation (esp. of needs and relationship
Extensive use of cognitive and behavioral techniques, no to childhood experiences) of current dysfunctional mode-driven behavior
special focus on experiential techniques and confrontation with problematic consequences and the need for change
Skills are not trained directly
Special focus on experiential techniques (esp. imagery rescripting and
chair-dialogs) and therapy relation techniques
Mode-specific use of cognitive and behavioral techniques
Analysis of problem Chain analysis according to the DBT model for each type of Analysis with cognitive or experiential techniques according to the mode
behavior problem behavior; hierarchy of problem behaviors; focus on model, mostly for problematic situations which lead to emotional suffering
obvious and threatening problem behaviors such as suicide and frustration of needs; no specific hierarchy, focus both on obvious
attempts, self-harm and impulsive behavior, focus on problem behaviors, but also on “hidden” problem behaviors such as
emotions and triggers as well as on consequences of avoidance or surrender, focus on emotional needs and modes
behavior, no focus on needs
Structure of the Fixed structure with a “crisp beginning” involving a diary card, No fixed structure specification, flexible hierarchy depending on the
individual therapy processing of topics according to the DBT goal hierarchy, dominating mode and frustrated needs
session focus on emotions
Group therapy and Group therapy is essential ingredient of DBT. Structure: Group therapy is not mandatory, but has shown to be helpful in BPD
structure of the group Homework and goal-related opening and closing round, patients. Structure: Begin with safety imagery, topics are covered depending
session teaching of skills from the DBT modules with a fixed manual; on the dominating mode; designed as “group family” to create corrective
preferred use of cognitive and behavioral therapeutic experiences; preferred use of experiential and limited reparenting techniques
techniques
Dealing with self-injury Fixed procedures according to protocol based strategies, top No fixed structure specification, and need not be treated with first priority
priority in goal hierarchy; self-injuries are usually discussed (only if highly threatening); therapeutic intervention is directed at the trigger
with behavioral analysis before other issues are addressed mode
Dealing with emotional Comprehensive psychoeducation in the modules for emotion Promotion of safe experiencing of emotions; explaining aversive emotions
problems regulation; mindfulness and acceptance of emotions; and problems in emotion regulation within the mode model, especially in the
teaching and training of specific emotion regulation skills, beginning extrinsic emotion regulation through therapist according to the
decision on whether one should act according to or opposite mode-specific goals, focus on needs (e.g. “What do I need when I’m
to the emotion; emotion processing with the help of emotion sad?”); focus on experiential interventions, mainly imagery rescripting and
protocols (more cognitive approach) chair dialogs, aims at developing corrective experiences
Development of the Therapist as a “coach” of the patient; therapeutic team at eye Therapist acts to a limited extent as a good parent with “limited
working alliance level with patient, dialectical formation of working alliance with reparenting,” i.e., meeting needs of patient that were frustrated in childhood;
warmth, empathy, acceptance and validation on the one side use of the working alliance for changing modes and to experience emotions
and pushing for change on the other and relationships in a safe way
Mindfulness training Central role; non-judgmental attitude is promoted Not included in ST

Skills training in distress High priority; psychoeducation, development of a skills chain Limited use, mainly for emergency situations in the beginning of therapy
tolerance for stress regulation to prevent problem behaviors, reality
accepting skills to ease emotional pain

DBT Perspective • Self-injuries must be medically cared of and be examined by a

DBT Case Concept behavioral analysis
After a thorough assessment of Mona’s presenting problems • Daily use of the DBT Diary Card to track problem behaviors as
and her biography, the therapist educates Mona about BPD well as skill use, discussion at the beginning of each individual
as a disorder of the emotion regulation system by using the session
biopsychosocial model: The precipitation factors were a history • Abstinence of drugs
of invalidation, physical and emotional abuse by her parents • Practice of structured eating
in combination with a high emotional sensitivity. Mona has • Developing a daily movement program
skills deficits in emotion regulation, in particular in dealing • Developing a perspective for education and work
with grief and sadness (death of mother and sister, breaking up rehabilitation.
of partner), mistrust (expectations to be betrayed), anger (rage
attacks), guilt (own behavior toward elder sister before her death, Understanding Problem Behavior and Learning New
insufficient present support for her younger sister), and shame Skills
(own body, being mentally ill, abusing substances, disturbed With behavioral analyses and chain analyses Mona learns to
eating behavior, inactivity). Both the externalizing behavior and understand her own behavior, what it is caused by, why it is
internalizing problem behaviors (suicide attempts, self-injury, maintained and what consequences follow. Figure 1 shows a
binge eating, drug use, social withdrawal, and inactivity) serve the chain analysis of a serious self-injury (problem-behavior) after
avoidance or attenuation of aversive emotions and the associated Mona saw her ex-boyfriend with another women (prompting
physical symptoms of tension and pain. The patient also has event). Mona and the therapist work out emotional vulnerability
skills deficits in the areas of self-management, mindfulness and factors, the emotions, thoughts, body reactions, and behaviors
metacognition, interpersonal behavior, and stress-tolerance. The that follow the prompting event and end in the problematic
therapist explains that DBT will focus on the acquisition of behavior. Further they look at short-term and long-term
functional emotion regulation skills in the four modules, so that consequences of the problem behavior.
Mona can gain more control on her behaviors and in her life in After conducting the chain analysis they look for new skillful
general. The therapist uses a broad range of validation strategies behavior to replace the problem behavior: The therapist explains
to communicate acceptance and emphasize the understandability that, when Mona is under such high tension, that she can’t
of Mona’s behaviors and emotions. At the same time he motivates think clearly, she first needs to use her distress tolerance skill
her to learn new strategies and pushes for change (dialectical chain. She found out, that the best skill in such situations
balance of acceptance and change strategies). is to tip her head into a bucket full of ice-cold water or to
The therapist sets up an intensive psychotherapy program do exercise (e.g., 20 sit-ups). When she has calmed down she
with the following elements: individual therapy including needs to have a look at her emotions, accepting and without
telephone coaching, skills training group, case management by judgment. The therapist’s validation strategies are very important
social worker, occupational therapy, and exercise therapy (Nordic for Mona to stop devaluation of her thoughts, behaviors and
walking). emotions. In the skill training group she learns to identify,
describe and observe her emotions mindfully and about primary
Target Hierarchy of Problem Behavior and Goals for and secondary emotions. She also learns that she has a choice to
act with or opposite to an emotion. Thus, she and her therapist
Therapy
go in many situations through each emotion involved and work
The therapist explains the DBT hierarchy of problem behaviors
out, if it is a primary or secondary emotion, if Mona wants to
and Mona agrees with him on the following target hierarchy:
act with or opposite to it and how this behavior would look like.
(1) Suicidal behavior with intoxications In the situation from the example chain analysis Mona and the
(2) Severe self-injury with razor blades therapist work out that sadness is the primary emotion, while
(3) Drug consumption guilt, self-hatred and shame are secondary emotions and result
(4) Binge eating from judgments of the situation. With help of the therapist Mona
(5) Social withdrawal, decides that it would be good to act opposite to guilt, self-hatred
(6) Physical inactivity, and shame. Her action-urge from sadness is to withdraw from
(7) Economics. social contacts and to go in her bed. She anticipates that in a
future situation this would end with her using drugs or binge
They agree on the following goals and agreements for therapy:
eating. Thus, she decides to act opposite to this urge as well and
• Regular attendance at therapy including all elements of the plans to contact her friend Sarah in a future situation and ask her,
treatment program if she can come around. Her new behavior plan is to self-validate
• Practice of emotion regulation skills, especially learning new herself, stop to blame and hurt herself, and on the contrary
ways to tolerate and deal with grief, guilt, and shame call her friend Sarah. The new skills are practiced intensively
• Practice of distress-tolerance skills to prevent dysfunctional over and over again in individual therapy, group therapy and as
behavior homework.
• Practice mindfulness and interpersonal effectiveness skills Although, she does not like the skill of “radical acceptance”
• Preparation of a non-suicide decision in the beginning, Mona finds out that this skill is especially

FIGURE 1 | Chain analysis of a self-injury.
important for her in situations she cannot change, e.g., in dealing abuse, binge eating, social withdrawal, and sleeping. Her frequent
with the loss of her mother and sister. mood-shifts and identity disturbances can be explained with
rapid mode shifts. Mona’s therapy attendance and her care for
ST Perspective her sister are conceptualized in her healthy adult mode (“grown-
Case Conceptualization and Psychoeducation with up Mona”). The biographical context is brought into the case
the Mode Model conceptualization with arrows (see Figure 1). The therapist helps
After investigating Mona’s current problems and her biography, Mona to foster her mode awareness and educates her about the
the therapist develops an individual case conceptualization general and mode-specific goals of ST. All of Mona’s problems
according to the mode model in interaction with Mona (see and symptoms are conceptualized and treated in terms of the
Figure 2). As usual in individual ST, Mona chose individual modes involved.
names for her modes: Mona’s fears of being abandoned, feelings
of mistrust, loneliness, sadness and anxiety are conceptualized Bypassing the Detached Protector Mode
in the vulnerable child mode (“little Mona”), her rage attacks First the therapist works on Mona’s detached protector mode,
and fights with the partner in the angry child mode (“angry since it is very strong and rigid and blocks access to the child and
Mona”). These modes developed since basic childhood needs parent modes. He starts by reviewing the pro and cons of this
have been frustrated and Mona has two times experienced a mode (see Table 3). Later the therapist proposes a chair dialog
loss of her most important attachment figure. Self-devaluation, to better understand the “Shield.” He asks Mona to take place
shame, guilt, and self-hatred refer to the punitive parent mode in a chair for the “Shield” and to answer to all his questions out
(“the punisher”), which developed probably due to experiences of of the “Shield’s” view. He says: “Hello Shield. You’re extremely
aggression and insults from her father and stepmother. Early in important for Mona. I’d like to better understand you. Can you
life Mona developed “the shield,” her detached protector mode, as tell me, why you are here today?” He asks for the development
a survival strategy to protect herself from further emotional pain. of the mode (e.g., “Do you know, when you first came in Mona’s
In this mode she avoids getting close to others and distracts from life? Why did Mona need you?”). He validates Mona: “Oh yes,
intensive emotions or calms them down by self-injury, substance Mona told me, that she was often punished very harshly by her

FIGURE 2 | Mona’s mode model.
father, if she showed any feeling and that it was very painful, when action of placing the chair of the “Punisher” out of the therapy
her mother died. Nobody was there to help her. It was good, that room.
you came to protect her.” After that the therapist aims to work
out disadvantages of the “Shield” mode “I have the impression Healing the Child Modes and Fighting the Punitive
that something happened to little Mona last week, and that she Parent Mode
feels overwhelmed and lonely. I really want to help her. But at the In the next phase of treatment dysfunctional child and parent
moment I can’t see what it is, because you stand very strong in modes are addressed with a strong emphasis on experiential
front of her and I cannot reach her. And I think this is not, what techniques and therapy relationship techniques. An example is an
little Mona needs right now. What do you think?” Mona begins imagery rescripting exercise on the physical abuse of the father. In
to cry and switches to the vulnerable child mode. The therapist the image Mona had accidently broken a bowl, the father shouts
takes another chair for “Little Mona” and places it next to his at her and loses his belt to beat her. The therapist enters the
chair. She tells that she saw her ex-boyfriend with another woman image, since he does not want Mona to relive the whole trauma.
and that she feels so sad, lonely and worthless. The therapist He steps between little Mona and her father to protect her and
soothes and comforts her. A popping up of a punitive parent talks harshly to the father: “Stop at once. You are not allowed to
mode (“It’s your fault. You screwed it up. You are just not lovable. beat little Mona. Nobody is allowed to beat children. It is quite
And then you cut yourself. Loser”) is fought by the symbolic normal that a bowl breaks from time to time. Mona has not

TABLE 3 | Pros and Cons of Mona’s Detached Protector Mode. stress disorder (Steil et al., 2011; Harned et al., 2012, 2014; Bohus
et al., 2013), or depression (Lynch et al., 2007).
Pros of “The Shield” Con’s of “The Shield”
Research on mechanism of change has revealed that
• Nobody can hurt me or abandon • I have no connection to others, I feel experiential avoidance impedes the reduction of depression in
me lonely and depressed DBT-treatment of BPD and thus should be targeted (Berking
• I have fewer conflicts with others • It feels empty and cold et al., 2009). Experiential avoidance was decreased better in DBT
• I do not have such awful feelings • It is boring compared to Community Treatment by Experts in a randomized
• I do not feel my needs and this is • It still hurts and never stops
less painful, as I never get what I • I do not have good contact with
controlled trial (Neacsiu et al., 2014a). Neacsiu et al. (2010)
need anyway myself, I have no idea what I want in showed that increasing use of DBT skills is a mechanism of
• I can control myself better e.g., do life. I have no control in my life change for suicidal behavior, depression, and anger control in the
not have to cry • I have no idea about my emotions treatment of BPD. This study supports the skills deficit model
• I feel safer and needs, thus I can’t fulfill my
for BPD. Also DBT as a transdiagnostic treatment of emotion
• I have less awful memories needs
• There is more silence • I can’t learn other strategies to deal
dysregulation was superior to activities-based support group
with my problems and emotions in decreasing emotion dysregulation, increasing skill use and
decreasing anxiety, but not depression in patients with mood and
anxiety disorders. Skill use mediated the changes (Neacsiu et al.,
done anything wrong!” Since the father gets even more aggressive 2014b). Thus, behavioral skills are likely a potent mechanism
the therapist has four police men enter the image and arrest the of change for emotion dysregulation across disorders. However,
father. Mona sees how he is brought to jail. Asked for her feelings evidence is preliminary and more research in other disorders
and needs, little Mona tells the therapist that it is good, that her than BPD is needed. Moreover, there are more than 60 DBT-skills
father cannot harm her anymore, but that she still feels lonely and and we do not know whether some skills are more important and
that she misses her mom, who died 3 months ago. And that she useful than others in general, whether this varies over psychiatric
does not know where to go. The therapist listens to little Mona disorders (e.g., patients with eating disorders needing other skills
and soothes her. Finally, he takes her and her sisters to their aunt than patients with social phobia) or individual needs, whether
Mary, who Mona likes very much. At the end of the image aunt some skills are more suitable for specific situations than others
Mary reads Mona and her sisters “Pooh, the Bear.” or how an individual determines to “use the right skill at the
right time” and whether it executes that skill. Although, DBT has
Strengthing the Healthy Adult Mode been evaluated intensively in efficacy and effectiveness studies,
More imagery rescripting exercises of other adversive childhood there is limited research on specific mechanisms of change in
memories are performed and with the course of therapy Mona DBT. Clarifying the mechanisms of change could lead to a more
herself in the healthy adult mode can comfort and soothe little focused and effective treatment and improvement on emotion
Mona in the rescripting part. Also Mona and the therapist dysregulation.
perform several chair dialogs in which Mona understands her
contradicting emotional processes. She understands why she Empirical Evidence for ST
can feel guilty (punitive parent), angry (angry child), and sad Empirical studies indicate high effectiveness of ST in the
(vulnerable child) at the same time. She learns to recognize and treatment of BPD regarding decreases in all nine BPD symptoms,
reduce her punitive parent mode including her feeling of guilt, improvements in quality of live and high treatment retention
self-hatred, and shame and to experience and validate the needs rate (Jacob and Arntz, 2013; Sempértegui et al., 2013). But also
of her vulnerable child mode. First her therapist models these for other PDs results are encouraging: In a Dutch randomized
tasks for her, but with the course of therapy Mona can take controlled trial including patients with non-BPD PD with a
over the role of her healthy adult mode herself each time a little majority of cluster-C-PDs (avoidant, dependent, and obsessive
better. compulsive) ST was superior to two comparison conditions
(Bamelis et al., 2013). Promising results are also reported for
EMPIRICAL EVIDENCE AND FUTURE depression (Malogiannis et al., 2014; Renner et al., 2016).
DIRECTIONS Research on mechanism of change is in its infancy in ST:
With regard to the “limited reparenting” approach, scores of the
Empirical Evidence for DBT therapeutic alliance both of patients and therapists were higher
A systematic review and a Cochrane Review summarize the in ST when compared to transference-focused therapy in the
evidence for the efficacy of DBT in the treatment for patients with treatment of BPD (Spinhoven et al., 2007). Low ratings at early
BPD, which has been shown in several randomized controlled treatment predicted dropout, whereas positive ratings of patients
trials (Kliem et al., 2010; Stoffers et al., 2012). The main effects are predicted clinical improvement. Thus, the therapeutic alliance in
reduction of suicidality, self-injuring and impulsive behaviors, ST may serve to facilitate change processes underlying clinical
therapy dropouts and inpatient admissions. DBT has also shown improvement in patients with BPD. Other hints on mechanism
effect in treating BPD with several comorbidities and other of change come from the non-BPD-trial (Bamelis et al., 2013):
psychiatric conditions such as substance misuse (Linehan et al., Therapists in this trial were trained in two waves, with the second
1999, 2002; Dimeff and Linehan, 2008), eating disorder (Safer wave of therapists being trained mainly by practicing in role plays
et al., 2001; Telch et al., 2001; Kröger et al., 2010), post-traumatic and the first wave therapist by lecture and video-watching. The

second wave of therapists had significantly less drop-out and discussed, e.g., skill use and targeting experiential avoidance for
stronger effects than the first wave of therapists. Therapists of the DBT or therapeutic alliance and use of experiential techniques in
second wave reported to feel better equipped for the treatment ST. However, the therapeutic alliance also plays an important role
and to have integrated all techniques. It is hypothesized that these in DBT and ST is also targeting experiential avoidance, while skill
therapist felt more secure in experiential techniques and thus use and use of experiential techniques are more specific to one of
experiential techniques were used to a greater extent and that this the methods. The question of specificity in these processes is very
might have led to a better outcome. Several studies showed that interesting, since basic processes that overlap in both methods
imagery rescripting as a stand-alone technique is successful in and unique factors might be revealed and enable improvement
a broad range of psychiatric disorders, including post-traumatic of psychotherapy in general. Both treatments offer a variety of
stress disorder (Arntz et al., 2007; Grunert et al., 2007; Raabe techniques and features. Currently it is impossible to say which
et al., 2015), social phobia (Wild et al., 2008; Brewin et al., 2009; ones are the most relevant for change. Component-analysis-
Wild and Clark, 2011; Nilsson et al., 2012; Frets et al., 2014), or studies are needed to reveal the most important features.
depression (Wheatley et al., 2007; Brewin et al., 2009; Review in Treatment trials comparing DBT and ST are completely
Arntz, 2012). Therapeutic techniques using imagery instead of lacking, thus it remains an open question if one of the two
verbalization probably have greater impact on emotions (Holmes methods is superior in efficacy and if the two methods have
et al., 2009). It might be assumed, that imagery rescripting is an different efficacy for different groups of patients or different
important technique to facilitate change in ST, however empirical problems.
evidence to support this hypothesis lacks. Other techniques used
in ST, such as chair dialogs or historical role play, call for further
investigation. How all these techniques provided by ST and ST in
SUGGESTED READINGS AND FURTHER
general impact emotion dysregulation remains up to date unclear RESOURCES
and needs further study. Also, it would be very interesting to
For further information on DBT we suggest the recent manual
compare the effects on emotion dysregulation of ST to DBT and
from Linehan (2015a,b), and the chapter from Neasciu et al.
other methods.
for the transdiagnostic DBT treatment model for emotion
Future Directions dysregulation (Neacsiu et al., 2015). A meta-analysis on
From this comparison of DBT and ST with respect to emotion treatment effects for DBT in the treatment of BPD can be found
regulation several questions arise calling for further research. in Kliem et al. (2010).
Stated in a simplified manner, DBT argues that emotion For further information on ST we suggest the original book on
dysregulation skills deficits are the key to psychopathology, while ST from Young et al. (2003), a detailed manual on the work with
ST assumes that early maladaptive schemas and modes underlie the mode model from Arntz and Jacob (2012) and the manual
psychopathology and emotion dysregulation is a secondary for treating BPD from Arntz and van Genderen (2009). Recent
consequence. If it is hypothesized that a treatment which reviews summarize current research findings on ST for BPD
addresses the key underlying factors of psychopathology has (Sempértegui et al., 2013) and PD in general (Jacob and Arntz,
better treatment effects, the empirical question is to understand 2013).
what underlies psychopathology. A question that is complicated
to test, since assessment methods that specifically assess these AUTHOR CONTRIBUTIONS
underlying constructs with high validity need to be developed
first. EF, US, and AA planed the concept and design of the paper. EF
Other important questions address the mechanisms of change wrote the first draft of the paper. US, AA, DM, and OB provided
for each method, but also differences between the two methods. critical revisions both from DBT and ST perspective. All the
Above for each method putative mechanism of change are authors edited and revised the paper.
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behavior therapy for posttraumatic stress disorder related to childhood sexual 01448.x
abuse: a pilot study of an intensive residential treatment program. J. Trauma.
Stress 24, 102–106. doi: 10.1002/jts.20617 Conflict of Interest Statement: EF, US, OB and AA give trainings and/or
Stoffers, J. M., Völlm, B. A., Rucker, G., Timmer, A., Huband, N., and published books on Dialectical Behavior Therapy and/or Emotion Regulation in
Lieb, K. (2012). Psychological therapies for people with borderline Schema Therapy.
personality disorder. Cochrane Database Syst. Rev. 8:CD005652. doi:
10.1002/14651858.cd005652.pub2 The other author declares that the research was conducted in the absence of
Telch, C. F., Agras, W. S., and Linehan, M. M. (2001). Dialectical behavior any commercial or financial relationships that could be construed as a potential
therapy for binge eating disorder. J. Consult. Clin. Psychol. 69, 1061–1065. doi: conflict of interest.
10.1037/0022-006X.69.6.1061
Thiel, N., Jacob, G. A., Tuschen-Caffier, B., Herbst, N., Külz, A. K., Hertenstein, Copyright © 2016 Fassbinder, Schweiger, Martius, Brand-de Wilde and Arntz. This
E., et al. (2016). Schema therapy augmented exposure and response prevention is an open-access article distributed under the terms of the Creative Commons
in patients with obsessive-compulsive disorder: feasibility and efficacy of a Attribution License (CC BY). The use, distribution or reproduction in other forums
pilot study. J. Behav. Ther. Exp. Psychiatry 52, 59–67. doi: 10.1016/j.jbtep.2016. is permitted, provided the original author(s) or licensor are credited and that the
03.006 original publication in this journal is cited, in accordance with accepted academic
Wheatley, J., Brewin, C. R., Patel, T., Hackmann, A., Wells, A., Fisher, P., et al. practice. No use, distribution or reproduction is permitted which does not comply
(2007). I’ll believe it when I can see it: imagery rescripting of intrusive sensory with these terms.

REVIEW
published: 06 March 2017
doi: 10.3389/fpsyg.2017.00220
Mindfulness and Emotion Regulation:

Insights from Neurobiological,
Psychological, and Clinical Studies
Simón Guendelman 1*, Sebastián Medeiros 2, 3 and Hagen Rampes 4
1
Social Cognition Group, Berlin School of Mind and Brain, Humboldt Universität, Berlin, Germany, 2 Research Unit on
Psychotherapeutic Interventions and Change Processes, Millennium Institute for Research in Depression and Personality,
Santiago, Chile, 3 Health Psychology, Department of Psychology, Pontificia Universidad Católica de Chile, Santiago, Chile,
4
Community Mental Health Team East, Central North West London Foundation NHS Foundation Trust, London, UK
There is increasing interest in the beneficial clinical effects of mindfulness-based

interventions (MBIs). Research has demonstrated their efficacy in a wide range of
psychological conditions characterized by emotion dysregulation. Neuroimaging studies
have evidenced functional and structural changes in a myriad of brain regions mainly
involved in attention systems, emotion regulation, and self-referential processing. In
this article we review studies on psychological and neurobiological correlates across
different empirically derived models of research, including dispositional mindfulness,
mindfulness induction, MBIs, and expert meditators in relation to emotion regulation.
From the perspective of recent findings in the neuroscience of emotion regulation,
we discuss the interplay of top-down and bottom-up emotion regulation mechanisms
Edited by: associated with different mindfulness models. From a phenomenological and cognitive
Alessandro Grecucci, perspective, authors have argued that mindfulness elicits a “mindful emotion regulation”
strategy; however, from a clinical perspective, this construct has not been properly
Reviewed by:
Eric S. Allard,
differentiated from other strategies and interventions within MBIs. In this context
Cleveland State University, USA we propose the distinction between top-down and bottom-up mindfulness based
Stéphane Dandeneau,
emotion regulation strategies. Furthermore, we propose an embodied emotion regulation
Université du Québec à Montréal,
Canada framework as a multilevel approach for understanding psychobiological changes due
*Correspondence: to mindfulness meditation regarding its effect on emotion regulation. Finally, based on
Simon Guendelman clinical neuroscientific evidence on mindfulness, we open perspectives and dialogues
[email protected]
regarding commonalities and differences between MBIs and other psychotherapeutic
Specialty section: strategies for emotion regulation.
Keywords: mindfulness, emotion regulation, neuroimaging, top down and bottom up processing, emotion
Emotion Science,
dysregulation disorders, embodied cognition
Received: 01 May 2016 Increasing interest has emerged about the therapeutic effects of mindfulness meditation and its
Accepted: 06 February 2017
clinical applications. Several studies have shown positive results in fostering emotional mental
Published: 06 March 2017
health among clinical and healthy populations (Bohlmeijer et al., 2010; Fjorback et al., 2011; Gotink
Citation: et al., 2015). Neurobiological studies indicate that this type of mental training may have an effect
Guendelman S, Medeiros S and
on the plasticity of brain structure and functioning (Tomasino et al., 2013; Fox et al., 2014). Some
Rampes H (2017) Mindfulness and
Emotion Regulation: Insights from
of the main neurocognitive mechanisms implicated in mindfulness meditation include attention
Neurobiological, Psychological, and control, emotion regulation, and self-awareness (Tang et al., 2015). In this article, we will focus
Clinical Studies. Front. Psychol. 8:220. on the relationship between mindfulness and emotion regulation, taking into account diverse
doi: 10.3389/fpsyg.2017.00220 psychological, clinical and neuroimaging evidence.

Guendelman et al. Mindfulness and Emotion Regulation
Unlike other reviews on the topic, this article does not focus Taking into account how individual differences in emotion
on the problematic aspects involved in the operationalization regulation strategies influence mental health, and the extensive
and definition of mindfulness itself. Instead, the intention is role of emotion dysregulation in many psychopathological
to offer a comprehensive perspective linking different empirical conditions, it is reasonable to believe that clinical interventions
models including mindfulness as a trait, mindfulness inductions, focused on emotion regulation/dysregulation might have
MBIs and mindfulness experts, and emotion regulation-related substantial benefits for these psychological disorders. This
mechanisms including psychological and top-down/bottom-up argument is in line with several studies in which MBIs seem to
brain systems. Moreover, we propose a preliminary framework be particularly effective in clinical and non-clinical conditions
for better understanding of emotion regulation changes due to characterized by distress and negative emotions.
mindfulness practice, tackling problematic aspects of the notion Mindfulness meditation has its origin in the Buddhist
of “mindful emotion regulation” widely used in mindfulness psychology tradition, more specifically in the texts known as
clinical research, and complex involvement of top-down and Satipatthana Sutra (Analayo, 2003) and the Abhidharma (from
bottom-up mechanisms in MBIs. Sanskrit, means higher teachings), a cycle of teachings concern
about how the mind, including emotions and consciousness work
(Trungpa, 2001; Analayo, 2003; Rapgay and Bystrisky, 2009). The
MINDFULNESS, EMOTION REGULATION, word “mindfulness” corresponds to the translation of the original
AND CLINICAL APPLICATIONS terms smrti (from Sanskrit) or sati (Pali), which captures the
capacity to retain an object in the mind, but in a broad sense also
Contemporary psychology considers emotion regulation a implies being aware of and attentive to the present moment (Lutz
central component of mental health, and its imbalances might et al., 2015). In clinical and research contexts, mindfulness as a
underlie several mental disorders (Berenbaum et al., 2003; specific type of meditation practice has been described as a “non-
Mennin and Farach, 2007). Emotion regulation includes all of elaborative, non-judgmental awareness” of present-moment
the conscious and non-conscious strategies we use to increase, to experience (Kabat-Zinn, 2005), a non-reactive awareness that
maintain or decrease one or more components of an emotional emerges as a result of intentionally paying attention to
response (Gross, 1998). Originally, trying to bring together present experience, and a capacity that can be trained through
ideas from psychoanalysis and the field of stress and coping formal meditation practice. Several MBIs have been developed,
behaviors, Gross developed a process or time model of emotion including mindfulness meditation and other components, such
regulation, in which emotions can be modulated in five different as body awareness, yoga, and psychoeducation. These are
stages: selecting a situation, modifying a situation, deployment group interventions, specially designed for targeting specific
of attention, changing cognition (cognitive reappraisal), and psychopathological substrates (like emotion dysregulation), in
modulating the experience, behavior or physiological response particular those related to psychiatric conditions (Shonin et al.,
(Gross, 2001). Gross and John in a correlational study 2013).
demonstrated that individual differences in the usage of these The mindfulness-based stress reduction (MBSR) program
strategies (more cognitive reappraisal) were related to better was developed by Jon Kabat-Zinn during the late seventies
emotional health, well-being and interpersonal functioning (Kabat-Zinn, 2005). Several revisions and meta-analyses have
(Gross and John, 2003). highlighted its robust benefits for healthy subjects, increasing
In line with this approach, Aldao et al. performed a well-being, and decreasing stress and negative emotions (Eberth
meta-analytic review focused on how emotion regulation and Sedlmeier, 2012). For clinical population, highlights
strategies, measured by self-report scales, vary across different the decrease in pain intensity, stress, and psychological
psychopathological conditions. The main findings showed complaints among patients suffering from diverse chronic
that avoidance, rumination, and suppression (as strategies) pain/inflammatory diseases (Cramer et al., 2012; Lauche et al.,
were each positively associated with anxiety, depression and 2013) and cancer (Ledesma and Kumano, 2009). Recently, a
eating disorders. Problem-solving was negatively associated standardized review of meta-analysis of randomized controlled
with anxiety, depression and eating disorders. Reappraisal trials (RCTs) for MBSR and mindfulness-based cognitive therapy
and acceptance-based strategies were negatively associated, but (MBCT) demonstrated a significant improvement in different
not significantly, with anxiety and depression (Aldao et al., domains (calculated as Cohen’s d effect sizes): depressive
2010). Emotion dysregulation has been recognized as a core symptoms (d = 0.37), anxiety (d = 0.49), stress (d = 0.51), quality
psychopathological factor in many other psychological disorders of life (d = 0.39), physical functioning (d = 0.27; Gotink et al.,
such as borderline personality disorder (BPD; Linehan, 1993; 2015).
Schore, 2003), emotional trauma (Corrigan et al., 2011), attention MBCT is a program derived from MBSR, developed for
deficit hyperactivity disorder (ADHD; Shaw et al., 2014), bipolar preventing recurrence/relapse in recurrent major depressive
disorder (Van Rheenen et al., 2015), and anorexia and bulimia disorder (MDD; Segal et al., 2002). Several RCT and systematic
nervosa (Lavender et al., 2015). Emotion dysregulation has been reviews have demonstrated its effectiveness in relapse prevention
demonstrated to mediate the link between child abuse/neglect and residual symptoms (Chiesa and Serretti, 2011; Piet and
and later depressive disorder (Crow et al., 2014), and also the Hougaard, 2011; Clarke et al., 2015), and lately, also, in
link between cumulative adversity in lifetime and depressive depressive symptoms in MDD (Jain et al., 2015). Another
symptoms (Abravanel and Sinha, 2015). MBI is mindfulness-based relapse prevention (MBRP), which

TABLE 1 | Summary of mindfulness-based interventions (MBIs) and main lead to decreased mental proliferation (rumination narrative
evidence-based targeted conditions. based), and through this to salutary effects (Grabovac et al., 2011).
MBI Main conditions with evidence support for MBI
Other authors have proposed neurocognitive models,
integrating psychological and neuroscientific data. Vago and
MBSR Stress, burnout (health professions) Silbersweig proposed that mindfulness leads to changes in
Chronic pain (low-back pain, fibromyalgia) self-processing, through the development of self-awareness
Cancer (meta-awareness), self-regulation (modulation of behavior),
MBCT MDD (relapse prevention and acute treatment). BD and self-transcendence (prosocial characteristics). These
MBRP Substance use disorders (relapse prevention) changes reflect modulation in neurocognitive networks
ACT Chronic pain, anxiety and depressive disorders related to intention and motivation, attention and emotion
DBT Borderline personality disorder, substance use disorders regulation, extinction and reconsolidation, prosociality,
non-attachment, and decentering (Vago and Silbersweig,
MBSR, mindfulness based stress reduction; MBCT, mindfulness based cognitive therapy;
2012). Hölzel et al. proposed that mindfulness enacts its
MBRP, mindfulness based relapse prevention; ACT, acceptance and commitment
therapy; DBT, dialectical behavioral therapy. effects through plastic changes of mental and brain functions
related to attention regulation, body awareness, emotion
regulation and self-perspectives (Hölzel et al., 2011a).
is designed for preventing relapse in substance use disorders Recently, Lutz et al. developed a multidimensional model
(Bowen et al., 2010). Available studies have demonstrated its for understanding mindfulness in expert meditators and
efficacy in reducing relapse into drug and drinking use, as well as MBIs, proposing a neurophenomenological “matrix model”
substance usage after a period of abstinence (Bowen et al., 2014; in which categorical orthogonal dimensions, including object
for summary of results, see Table 1). orientation, dereification and meta-awareness, are central
Acceptance and commitment therapy (ACT) is a particular cognitive mechanisms underlying contemplative practices (Lutz
psychotherapeutic orientation developed from behavioral et al., 2015; for summary of models, see Table 2).
analysis, with mindfulness and acceptance as core principles As can be seen, the nature and usage of the construct of
(Hayes et al., 1999), whose effectiveness is similar to that of mindfulness are complex and elusive. In order to understand
cognitive behavioral therapy (CBT) for relevant mental disorders the myriad of studies reviewed in this article, it’s necessary
(A-Tjak et al., 2015). Dialectical behavioral therapy (DBT) was to clarify the different usage of the mindfulness construct.
developed within a CBT framework, and combines mindfulness Dispositional mindfulness is understood as a mental trait or
and ACT elements. It is organized as a yearlong program, stable characteristic of personality, which can vary between
targeting self-harm, and chronic suicidal behavior in BPD and within individuals across time. Mindfulness as practice
(Linehan, 1993). Systematic reviews of ACT find decreases in refers to the concrete practice of mindfulness meditation,
impulsivity and suicidal attempts, and improvements in general the deployment (and training) of a non-elaborative (non-
mental health (Stoffers et al., 2012). Interestingly, for the MBIs conceptual), present-centered, exploratory and non-judgmental
clinical programs, the central aim is to target dysfunctional (non-valorative) awareness. Mindfulness as a state corresponds to
strategies of emotion regulation, which are claimed to drive the the actual proper first-person experience of the non-elaborative,
maintenance and recurrence of these disorders. In this sense, the present-centered, non-judgmental awareness (Chambers et al.,
claim is that mindfulness might re-establish emotion regulation 2009; Davidson, 2010).
capacities, which leads to symptomatic and clinical recovery. Although most of these models include cognitive, self-
awareness, emotional, and attitudinal components, none of them
provide an in-depth understanding of the relationship between
PSYCHOLOGICAL MECHANISMS OF mindfulness and emotion regulation changes. As can be derived
EMOTION REGULATION INVOLVED IN from previous section, a lot of clinical evidence indicates that
MINDFULNESS MBIs seem to be particularly effective in psychological conditions
characterized by different forms of emotion dysregulation
Despite the effectiveness of MBIs in different psychological (see Table 1). In accordance with this, authors studying the
disorders, the underlying psychological and neurobiological psychological mechanisms underlying mindfulness as a trait or
mechanisms are still unclear. Several authors have proposed as a practice have focused specially on the relationship between
psychological models to account for the therapeutic effects of mindfulness and its capacity to enhance emotion regulation as a
MBIs. Shapiro et al. claim that mindfulness might act through key route to yielding mental health benefits.
changing attention, intention, and attitude (Shapiro et al., 2006).
Others suggest that positive effects of MBIs could be explained Cross-Sectional Studies
by mechanisms such as observing, describing, acting with Studies measuring dispositional mindfulness consist of cross-
awareness, non-judging of inner experiences, and non-reactivity sectional surveys using self-report scales in a healthy population.
to inner experiences (Baer et al., 2006). Based on an integration The frequency of these studies has grown exponentially and
of Buddhist psychology and empirical evidence, Grabovac et al. their scope has moved beyond psychiatry and psychology
proposed a model in which changes in acceptance, attention issues to include several other positive health-related outcomes.
regulation, ethical practice, and attachment/aversion to feelings For example, recent studies suggest that higher dispositional

TABLE 2 | Psychological and neurocognitive models of mechanisms of MBIs.
Author Type of model Components
Shapiro et al., 2006 Psychological Attention, attitude, intention

Baer et al., 2006 Psychological Observing, describing, acting with awareness, non-judging of inner experiences and
non-reactivity to inner experiences
Grabovac et al., 2011 Psychological Acceptance, attention regulation, ethical practice and decreased attachment/aversion to
feelings. Final pathway: decreased mental proliferation (rumination narrative based)
Vago and Silbersweig, 2012 Psychological-Neurocognitive Intention and motivation, attention and emotion regulation, extinction, and reconsolidation,
prosociality, non-attachment, and decentering. Final pathway: increasing self-awareness,
self-regulation, self-trascendence
Hölzel et al., 2011a Psychological-Neurocognitive Attention regulation, body awareness, emotion regulation, and change in perspective of the
self. Final pathway: increasing self-regulation
Lutz et al., 2015 Phenomenological-Neurocognitive Primary (orthogonal) dimensions: object orientation, dereification, and meta-awareness.
Secondary qualities: aperture, clarity, stability, and effort
mindfulness is correlated to improved self-care behaviors attention and acceptance of experience (for mindfulness), clarity
(Slonim et al., 2015), and among people with adverse childhood about one’s internal experience, and the ability to manage
experiences, mindfulness as a trait is related to fewer medical negative emotions (for emotion regulation). A path analysis
conditions, and better health behaviors (Whitaker et al., 2014). supported the stance that mindfulness (including the factors
Giluk performed a meta-analysis of 29 studies investigating “present-centered attention” and “acceptance of experience”),
the relationship between mindfulness and personality (Big Five) through clarity about one’s own experience, improves the ability
and aspects of affect/mood, finding a negative correlation to deal with negative emotions (the model had a good data
between mindfulness, neuroticism and negative affect, and a fit, having a RMSEA of 0.059; p < 0.0001). The authors also
positive correlation between mindfulness and conscientiousness found that clarity about experience was negatively correlated to
and positive affect (Giluk, 2009). Feltman et al., in a study with rumination and psychological distress, and positively related to
289 participants, found that mindfulness and neuroticism were flourishing (Coffey et al., 2010). Acknowledging methodological
independent and inverse predictors of depressive symptoms and limitations, studies using dispositional mindfulness as a trait or
trait anger; importantly the relationship between neuroticism personality characteristic (statistically as independent variable
and symptoms was stronger with low mindfulness, suggesting or predictor) provide interesting preliminary evidence that
that mindfulness might play a role in buffering the negative mindfulness, even though partially overlapping with emotion
emotionality of neuroticism (Feltman et al., 2009). In line with regulation constructs, might exert its beneficial salutary effects
this, Wupperman et al. found that deficits in mindfulness predict through higher emotion regulation capacities.
borderline symptoms in a healthy population, independently of
neuroticism (Wupperman et al., 2008). Longitudinal Studies
Other studies have evaluated what factors mediate the In the area of clinical and psychotherapy research, the question
effect of mindfulness on emotion symptomatology. Bao et al. of change mechanisms, or “active ingredients,” that drive
found a mediation effect of mindfulness, through increases therapeutic effects has been a central concern over the last 20
in emotional intelligence (including factors such as emotion years (Kazdin, 2007; Nock, 2007). As we stated in previous
regulation) over perceived stress (Bao et al., 2015). Selby et al. sections, hundreds of longitudinal studies have demonstrated the
looked at how borderline symptoms predict low mindfulness efficacy of MBIs in a healthy or clinical population, but also
levels. Performing a bootstrapping mediation analysis revealed a studies have evaluated change factors that might mediate the
significant effect of rumination as a mediator between borderline salutary effects of these interventions.
features and mindfulness deficits, indicating the maladaptive role Recently, Gu et al. performed a systematic review and
of rumination as a regulatory strategy (Selby et al., 2016). These meta-analysis only of MBSR and MBCT studies that included
results are congruent with intervention studies that highlight the mediation analysis. Starting from 169 trials and ending with
positive effect of DBT and ACT in the BPD population (Gratz and 20 included in further analyses, the authors found consistent
Gunderson, 2006; Stoffers et al., 2012). and strong evidence of emotional and cognitive reactivity,
Looking to further clarify and understand psychological repetitive negative thinking (such as rumination and worry),
mechanisms of mindfulness, Coffey et al. conducted a and mindfulness itself as change factors/mechanisms. Only for
correlational study with 399 healthy people using the five- mechanisms with sufficient studies (mindfulness and repetitive
factor mindfulness questionnaire, the difficulties in emotion negative thinking) was quantitative synthesis using two-
regulation scale and the trait meta-mood scale. Using factor stage meta-analytic structural equation modeling used, further
analysis and structural equation modeling, the authors found that confirming mindfulness and rumination/worry as mediators
mindfulness and emotion regulation corresponded to shared and of the effects of MBIs (Gu et al., 2015). In the same vein,
distinct constructs, distinguishing four factors: present-centered intending to understand change mechanisms using MBCT

TABLE 3 | Evidence-based putative psychological mechanisms of MBIs (pre-SMA and SMA) and parietal cortex are involved in explicit
(MBSR/MBCT). emotion regulation. These regions conform to the so-called
Author Emotional Cognitive Attitudinal
central executive network (CEN), usually involved in top-down
emotion regulation, but also in attention and voluntary cognitive
Gu et al., 2015 <Emotional reactivity <Cognitive reactivity >Mindfulness control. Finally, the ventral-anterior cingulate cortex (vACC) and
<Rumination the ventro-medial prefrontal cortex (vMPFC) are involved in
<Worry implicit emotion regulation, the outside of awareness processing
of emotion, but also in encoding subjective value of the stimuli
Van der Velden et al., >Self-compassion >Meta-awareness >Mindfulness or condition experienced by the subject (Frank et al., 2014; Kohn
2015
et al., 2014; Etkin et al., 2015). From now on, we will refer to the
<Worry
explicit emotion regulation system as the top-down system, and
<Rumination to the emotion generation and the implicit emotion regulation
systems as both part of a bottom-up system, since both feed up
the top-down system with information regarding arousal, visceral
for recurrent depressive disorder, Maj van der Velden et al. homeostasis, aversiveness and rewardingness of a given stimuli or
performed a systematic review of mediation studies. Out of 23 situation, among others.
studies, 12 showed that mindfulness skills, worry, rumination, It has been stated that different emotion regulation strategies
self-compassion and meta-awareness mediated or predicted might differentially activate these brain systems implicated in
treatment outcomes of MBCT (Van der Velden et al., 2015). emotion regulation processes. For example, Dörfel et al. found
From these meta-analytic reviews, including high-quality that detachment, distraction (two forms of reappraisal), and
RCT mediation studies, it is possible to state that mindfulness, expressive suppression increase brain activation in the same
emotional and cognitive reactivity, rumination/worry, self- regions of the right fronto-parietal network, reducing activation
compassion, and meta-awareness might be mechanisms of the left amygdala. This suggests a common underlying
underlying the therapeutic effects of MBIs (for summary neural process for these strategies, but somewhat contrary to
of mechanisms, see Table 3). On the one hand, increases theoretical predictions, since expressive suppression as a less
in mindfulness, self-compassion, and meta-awareness might adaptive strategy might have a different neural correlate from
account for adaptive emotion regulation strategies; on the reappraisal strategies. Interestingly, only reinterpretation induced
other hand, decreases in emotional, cognitive reactivity, a different activation pattern, recruiting the left vLPFC and
and rumination/worry might represent the dismantling of orbitofrontal gyrus, but not decreasing amygdala activation
dysfunctional emotional-cognitive and self-processing strategies (Dörfel et al., 2014). In another study comparing reappraisal
of emotion regulation. This evidence is concordant with the and affect labeling, authors found a common activation pattern
work of Aldao et al. in which avoidance, rumination, and including activation in the right and left dLPFC, right and left
suppression as emotion regulation strategies were correlated to vLPFC, and pre-SMA, and decreased amygdala and vMPFC
anxiety, depression, and eating disorders (Aldao et al., 2010). activation (Burklund et al., 2014). Recently, a meta-analysis of 48
Therefore, MBIs might target specific emotion regulation deficits studies of cognitive reappraisal emotion regulation neuroimaging
of emotion-related disorders. studies concluded that this strategy particularly activates the
bilateral dLPFC, vLPFC, dMPFC, posterior parietal cortex,
and left-middle temporal gyrus, and deactivates the amygdala
NEURAL MECHANISMS OF EMOTION bilaterally. Clearly involving the explicit emotion regulation
REGULATION INVOLVED IN network. Unexpectedly, no other regions related to emotion
MINDFULNESS reactivity decreased their activation level during reappraisal
down regulation (Buhle et al., 2014).
As we have stated before, emotion regulation can be defined Interestingly, some studies have demonstrated that the top-
as all the conscious and non-conscious strategies we use to down or explicit emotion regulation system (dLPFC, vLPFC,
increase, maintain or decrease one or more components of parietal cortex) can also be involved in generating emotional
an emotional response (Gross, 2001), including implicit, non- states and not only in controlling them, in conjunction or in
conscious, and automatic processes, as well as explicit, voluntary parallel with the implicit emotion generation system (Ochsner
and conscious mental processes (Gyurak et al., 2011). From et al., 2009; McRae et al., 2012). In particular, in two studies,
a neural perspective, these processes are realized by different applying cognitive reappraisal to emotions generated via implicit
and complex distributed brain systems. Subcortical regions stimulation resulted in a paradoxical increased activation of the
like the amygdala, periaqueductal gray, ventral striatum (VS), amygdala (Herwig et al., 2010; McRae et al., 2012). In Herwig
anterior insula (AI), and dorsal-anterior cingulate cortex (dACC) et al.’s study, the usage of emotional body-awareness strategy
are involved in emotional reactivity, as emotion generation decreased amygdala activation compared to reappraisal strategy
regions leading changes in arousal and valence regarding the (Herwig et al., 2010). These studies highlight the question of
triggering stimuli. Cortical regions such as the dorso-lateral whether top-down emotion regulation strategies are always the
prefrontral cortex (dLPFC), the ventro-lateral prefrontral cortex most appropriate, and whether there are other effective forms of
(vLPFC), the pre-supplementary and supplementary motor area emotion regulation that are not based on top-down mechanism.

Of particular interest for the mindfulness-based emotion because of the nature of brain structural imaging, it is not
regulation field is the notion of bottom-up emotion regulation. At possible to derive any information about brain regions’ functions.
the brain mechanisms level, the main assumption of this model Another limitation of these studies is the variability of hours of
is that the bottom-up systems implying emotional generation meditation practice within this population, ranging from 1,000 to
regions (like the amygdala, dACC and AI) and implicit emotion 10,000 or more hours. Nevertheless, they might offer preliminary
regulation regions (like the vMPFC) can also be modulated evidence of the effects of long-term mindfulness practice on brain
without the involvement of cognitive control (like the v- plasticity.
d LPFC), or semantic processing regions (temporal cortex). During the last few years, longitudinal studies have assessed
Several authors have argued that mindfulness might exert a the impact of MBIs on brain morphology, particularly the
unique emotion regulation strategy, termed “mindful emotion MBSR 8-week program. Hölzel et al., using MRI voxel-based
regulation,” different from cognitive reappraisal (based on top- morphometry (VBM), found changes in gray matter density in
down system), mainly through the privileged engagement of the left hippocampus, posterior cingulate cortex, right temporo-
these bottom-up emotion regulation systems (Chambers et al., parietal junction (TPJ), some small regions in the brainstem,
2009; Farb and Segal, 2012; Chiesa et al., 2013; Grecucci and cerebellum (Hölzel et al., 2011b). In a similar uncontrolled
et al., 2015a). Nevertheless, whether mindfulness-based emotion longitudinal study with MBSR, the authors found that decreases
regulation is a unique phenomena, and whether it only relies in perceived stress were correlated to a decreased gray matter
on the involvement of bottom-up systems excluding cognitive density in the right amygdala (Hölzel et al., 2009). They also
control regions (top-down systems), and what the exact brain found a correlation between major psychological well-being
signature of mindfulness is as an emotion regulation strategy, and plastic changes in the brainstem (Singleton et al., 2014).
among other questions, are still a matter of debate and will be Santarnecchi et al. performed a controlled longitudinal study
addressed in the following sections of the article. with MBSR, finding a significant increase in cortical thickness in
two clusters: the right SSC and right paracentral lobule, and AI
and right inferior frontal gyrus (operculum). The authors found
Structural Brain Changes in Mindfulness a significant interaction between structural changes in the right
Experts and Mindfulness-Based insula and a decrease in alexithymia levels, suggesting “body or
Interventions interoceptive awareness” as a possible mechanism responsible for
Several studies have investigated the effect of MBIs and long-term salutary effects of mindfulness practice (Santarnecchi et al., 2014).
mindfulness meditation practice using structural brain imaging, These studies suggest that an 8-week MBI (MBSR)
like morphometry-based magnetic resonance imaging (MRI) might induce neuroplastic changes in key areas for
techniques. Cross-sectional design studies comparing healthy emotional reactivity (amygdala, insula), body awareness or
controls with expert meditators (EMs) from different meditation interoception/exteroception (insula, somatosensory cortex),
traditions have demonstrated structural MRI changes in: the self-consciousness (posterior cingulate cortex, pons), mood, and
hippocampus (Hölzel et al., 2008; Luders et al., 2009; Kang et al., arousal regulation (brainstem regions—locus coeruleus, and
2013); right anterior insula (AI; Lazar et al., 2005; Hölzel et al., raphe nuclei), perspective taking (TPJ) and memory systems
2008); orbitofrontal cortex (OFC; Hölzel et al., 2008; Luders et al., (hippocampus, cerebellum). Interestingly, none of these studies
2009; Kang et al., 2013); anterior cingulate cortex (ACC; Grant suggest changes in PFC areas or regions involved in the top-
et al., 2013); left temporal pole (TP; Hölzel et al., 2008; Luders down emotion regulation system, thereby indicating that salutary
et al., 2009; Kang et al., 2013); left frontal gyrus (Vestergaard- effects of MBI might be mediated mainly by changes in particular
Poulsen et al., 2009; Kang et al., 2013); right frontal sulcus relevant subcortical and cortical regions related to bottom-up or
(Lazar et al., 2005); corpus callosum (Luders et al., 2012; Kang non-emotion regulation related functional systems.
et al., 2013); and regions in the brainstem (Vestergaard-Poulsen
et al., 2009). Moreover, a study using machine learning structural
pattern recognition analysis estimated that brains of meditators Functional Brain Changes in Emotion
were 7.5 years younger than matched control subjects (Luders Tasks in Mindfulness Studies
et al., 2016). Dispositional Mindfulness
As can be seen, covering a wide range of brain regions, Cross-sectional studies in healthy populations have investigated
according to recent reviews and meta-analysis of neural bases how individual differences in mindfulness as trait might be
of emotion regulation (Frank et al., 2014; Kohn et al., 2014; related to specific brain functions during emotion elicitation
Etkin et al., 2015), would partially overlap with emotion reactivity task experiments. Creswell et al., in an affect labeling task
(AI, ACC), and with implicit emotion regulation regions (OFC during fMRI, found that levels of dispositional mindfulness
and vMPFC), and very loosely with explicit emotion regulation were related to higher activations in the right vMPFC and right
(medial PFC, but not lateral PFC regions) systems. From this, vLPFC and major deactivation of the right amygdala (Creswell
if mindfulness meditation would involve cognitive reappraisal, et al., 2007). In a similar study, participants were asked to
or top-down emotion regulation strategies, one would expect observe emotional faces during fMRI, and higher levels of DM
changes in lateral PFC morphometry. It is important to note that were correlated to less amygdala reactivity. Using resting-state
due to the design of the studies, it is not possible to infer causality functional connectivity (rs-fMRI) analysis, the authors found
between brain changes and long-term meditation practice; also, a relationship between higher dispositional mindfulness and

decreased connectivity within the midline regions, including time, no involvement of the PFC was detected (Westbrook et al.,
the PCC and MPFC (Way et al., 2010). Importantly, the 2013). Interestingly, sg-ACC, AI, and VS correspond to emotion
midline regions like the MPRC, PCC, precuneus, ACC, and generation regions, but are also implicated in other relevant
parietal cortex are part of the so-called default mode network affective functions such as craving and reward processing (VS),
(DMN; Raichle and Snyder, 2007), which has been related to processing of salient stimuli and interoception (AI), and the
mind-wandering (task-unrelated thought) and self-referential subjective encoding of value and processing of emotional conflict
processing (Qin and and Northoff, 2011). Brown et al. assessed (sgACC; Wilcox et al., 2016).
46 participants with an electro-encephalogram (EEG) while Lutz et al., in a cross-sectional study with healthy participants,
viewing emotionally laden pictures, particularly looking at compared one group applying mindfulness with a no-strategy
the late positive potential (LPP) as a marker of affective group while looking at a set of emotional pictures during
processing. Authors found that higher dispositional mindfulness fMRI. When expecting negative pictures, the mindfulness group
correlated to lower LPP during high-arousal negative images displayed increased activation of the left AI, right and left
(Brown et al., 2013). Finally, Kong et al., using rs-fMRI and dMPFC, and left dLPFC. During perception of negative pictures,
local synchronization measurements (estimated by regional the mindfulness group showed reduced activation in the right
homogeneity) with 290 subjects, found that major dispositional amygdala and parahippocampal gyrus, with no involvement
mindfulness correlated to local synchronization in the right of the PFC (Lutz J. et al., 2013). The same researchers also
insula, left OFC, left parahippocampal gyrus (regions involving compared groups using mindfulness vs. cognitive reappraisal
emotion reactivity, implicit emotion regulation), and decreased using the same emotional task as in fMRI. During the expectation
local synchronization with the inferior frontal gyrus (IFG; of negative pictures, both groups showed a similar pattern
related to explicit emotion-regulation). Furthermore, levels of of activation of the MPFC and the amygdala, and during
local synchronization in the OFC predicted positive emotions, the perception of negative images, decreased activation of
and in the IFG predicted a sense of meaning and purpose in the head of the right caudate in the mindfulness group was
life, both effects mediated by DM (Kong et al., 2016). This the only difference (Opialla et al., 2014). Interestingly, the
study suggests that local synchronization in key regions of first experiment comparing mindfulness vs. baseline conditions
emotion regulation might engage differently in subjects high suggests a bottom-up (targeting emotion reactivity regions, with
in dispositional mindfulness, accounting for positive emotions’ no changes in PFC) mechanism of mindfulness as emotion
salutary effects. Also it shows no correlation between lateral regulation strategy; instead, when adding an active regulatory
PFC local synchrony and dispositional mindfulness in emotion strategy as comparison, it is almost impossible to differentiate at
regulation-related variables, suggesting that individuals high the neural level between the two emotion regulation strategies.
in dispositional mindfulness might engage in emotion-related However, the observed deactivation of the right caudate head
processes involving different regulatory systems than top-down might index decreased engagement of automated cognitive and
ones (for summary of results, see Table 4). motor responses (Parent and Hazrati, 1995), which might be
Interestingly, these findings are concordant with linked to decreased automatic cognitive reactivity, known as a
psychological studies linking dispositional mindfulness to mindfulness mechanism (Gu et al., 2015).
better emotional life outcomes (positive affect and emotional Interestingly, this draws attention to the fact that even a
intelligence and minor neuroticism, negative affect, rumination, short mindfulness induction, in people naive about meditation,
and borderline symptoms) thereby providing preliminary can induce a distinguishable bottom-up brain activation pattern
support for the construct validity of DM. These studies face many when comparing mindfulness as a strategy to baseline or no-
limitations, such as the difficulty in deriving causal inferences, strategy condition. Nevertheless, when compared to cognitive
and disentangling relevant confounders such as psychological reappraisal, differences seem to vanish. This suggests that
traits and biological differences. Another problematic claim of mindfulness meditation in naive practitioners is performed with
these studies is the assumption that dispositional mindfulness the engagement of widespread brain regions including top-down
really reflects daily-life mindful attitudes. At this time, to the best and bottom-up regulatory systems. From the clinical perspective,
of our knowledge, no study has empirically clarified this point. these studies provide a valuable outlook for understanding
neurobiological substrates of brief meditation practices, which
Mindfulness Inductions are central components of many MBIs, like MBCT, ACT, or DBT,
Studies using brief meditation practice, or mindfulness that intend to elicit “mindfulness states” to face difficult emotions
inductions, have started to explore the clinical utility and emotion dysregulation states.
(effectiveness) and neural underpinnings of these types of As previously stated, these studies share limitations with
interventions. Westbrook et al. performed a cross-sectional study cross-sectional design studies. These investigations raise
with smokers looking to stop smoking. Participants were asked particularly relevant problems in the discussion of mindfulness
to watch specific craving-inducing images during fMRI, using and emotion regulation mechanisms, starting with the question
“mindful attention” vs. “passive viewing” as strategies. When of the acquisition of the so-called mindfulness emotion
applying “mindful attention,” subjects reported less craving regulation strategies—in other words, when and how a person
impulse; additionally, they presented decreased activation in the acquires the capacity to elicit a “mindfulness state,” different
subgenual ACC (sg-ACC), and reduced functional connectivity from other mental states. And also, when and how a person
between this same region and bilateral AI and VS. At the same acquires the capacity to use mindfulness as an emotion

TABLE 4 | Summary of neuroimaging studies using emotion-task experiments in different mindfulness conditions.
Guendelman et al.
Mindfulness condition Study design Population Sample size: Experimental task and Main finding: summarized in terms of References
(different models) vs mindfulness (M) neuro-imaging method: resting brain, and/or physiological response
control condition vs control state functional magnetic changes
(Waiting list, or active groups (C) resonance imaging (rs-fMRI), task
control) based functional magnetic
resonance imaging (fMRI),
electroencephalography (EEG)
DISPOSITIONAL MINDFULNESS
Dispositional Cross sectional/Uncontrolled Healthy M: 27 Affect labeling task during fMRI Level of DM mediates the relationship Creswell et al., 2007
mindfulness study between right vMPFC, right vLPFC
activation and right amygdala deactivation
Dispositional Cross sectional/Uncontrolled Healthy M: 27 Viewing negative emotional faces Higher DM correlated with less amygdala Way et al., 2010
mindfulness study during fMRI + rs-fMRI reactivity. Also with less resting connectivity
in midline brain regions (self-referential
processing)
Dispositional Cross sectional/Uncontrolled Healthy M: 46 Viewing negative/positive pictures Higher DM correlated to lower LPP during Brown et al., 2013
mindfulness study during EEG (LPP: late positive potential) high-arousal negative emotions
Dispositional Cross sectional/Uncontrolled Healthy M: 290 rs-fMRI—local synchronization Higher DM correlated to local synch in left Kong et al., 2016
mindfulness study OFC, left parahippocampal gyrus, right
insula. Local synch in OFC-predicted
positive affect, and in IFG-predicted
purpose/meaningful life
MINDFULNESS INDUCTION
Mindfulness induction Cross sectional/Uncontrolled Smokers looking for M: 47 Cue-induced craving during fMRI. Reduced neural activity in sg-ACC Westbrook et al., 2013
study treatment to stop [craving-related—emotion reactivity region]
smoking and a reduced functional connectivity
between this same region with the bilateral
insula and ventral striatum with no direct
involvement of PFC regions (*)
Mindfulness induction Cross Healthy M: 24/C: 22 Cued expectation and perception of During expectation major activations in Lutz A. et al., 2013
sectional/Non-randomized negative pictures during fMRI prefrontal regions: left AI, right and left
controlled study dMPFC and left dLPFC. During perception
reduced activation in right amygdala and
parahippocampal gyrus [emotion processing
reactivity] (*)
Mindfulness induction vs Cross Healthy M: 24/C: 23 Cued expectation and perception of Both groups: similar activity of the m-PFC Opialla et al., 2014
Reappraisal strategy sectional/Non-randomized negative pictures during fMRI and the amygdala. Major activations in MI
March 2017 | Volume 8 | Article 220 | 101
controlled study group, during expectation: vLPFC, vLPFC,
Mindfulness and Emotion Regulation

Supramarginal gyrus and left insula. During
perception: major activity in the caudate in
the cognitive group
MINDFULNESS-BASED INTERVENTIONS
Mindfulness-based Cross Healthy M: 20/C: 16 Self-reference task during fMRI Significant difference in the neural correlates Farb et al., 2007
stress reduction sectional/Non-randomized of the self-reference task, during experiential
controlled study (novice vs focus an increased activation in right brain
those who attended the regions: lateral PFC, insula, second
course) somatosensory area, and IPL
(Continued)
TABLE 4 | Continued
Guendelman et al.
Mindfulness-based Longitudinal/Non-randomized Healthy M: 20/C: 16 Sadness induction paradigm during MBI group changed activation pattern in key Farb et al., 2010
stress reduction vs controlled study fMRI emotion regulation regions: major activation
Waiting list in the right anterior insula, r-lPFC and
sg—ACC.
Mindfulness-based Longitudinal/Non-Controlled Social Phobia M: 16 Breath focus task during fMRI Reduced amygdala activity, major activation Goldin and Gross,
stress reduction trial in precuneus, SPL, IPL compared to 2010
distraction focus task
Mindfulness Training (4 Longitudinal/Non-Controlled Healthy (pain) M: 15 Breath focus meditation during noxious MBI reduction in pain intensity: major Zeidan et al., 2011
days) trial stimulation task in fMRI activation in ACC, anterior insula. MBI
reduction in pain unpleasantness: major
activation in OFC and thalamus (*)
Mindfulness-based Longitudinal/Randomized Social Phobia M: 31/C: 25 Self-reference task during fMRI MBIs during negative self-view: major Goldin et al., 2012
stress reduction vs controlled trial activation in PCC, and dMPFC
Aerobic exercise activity-associated less social anxiety
disability and mindfulness level
Mindfulness-based Longitudinal/Randomized Social Phobia M: 31/C: 25 Emotion regulation of negative MBI regulating negative self-beliefs: fewer Goldin et al., 2013
stress reduction vs controlled trial self-beliefs task during fMRI negative emotions, major activation in R-IPL,
Aerobic exercise R-SPL
Mindfulness-based Longitudinal/Randomized Generalized Anxiety M: 15/C: 11 Affect labeling of emotional expressions Both groups less amygdala activation. MBI Hölzel et al., 2013
stress reduction vs controlled trial Disorder during fMRI major activation in vLPFC. Increase
Stress management functional connectivity between amygdala
education and PFC regions
Mindfulness Training (6 Longitudinal/Randomized Healthy M: 30/C: 31 Affective Stroop conflict resolution task Both groups improved significantly in a Allen et al., 2012
weeks) vs Shared controlled trial during fMRI response inhibition task. MBI reduced
reading and listening emotional interference, in negative emotion
group processing: increased bilateral dLPFC, right
anterior insula and m-PFC (*)
Mindfulness Training (8 Longitudinal/Randomized Healthy M: 12/C: Observation of emotional pictures In MBI: decrease in right amygdala Desbordes et al., 2012
weeks) vs Compassion controlled trial 12/Compassion during fMRI activation (all valences). In Compassion
training vs Health Training: 12 Training: trend increase in right amygdala

discussion group response in negative pictures (*)

Mindfulness Training (4 Longitudinal/Randomized Healthy (pain) M: 80 Pain regulation strategy during noxious MBI reduction in pain intensity: major Zeidan et al., 2015
days) vs Sham controlled trial (four-arm) stimulation task in fMRI activation in sg—ACC, anterior insula, OFC.
mindfulness vs Placebo Placebo analgesia: major activation in
vs Control DLPFC and secondary somatosensory
cortex (*)
(Continued)
TABLE 4 | Continued
Guendelman et al.
EXPERT MEDITATORS
Tibetan Buddhist monks Cross sectional/Case-control Healthy M: 14/C: 16 Auditory stimuli during focus attention EM: amygdala deactivation Brefczynski-Lewis
study task in fMRI et al., 2007
Tibetan Buddhist monks Cross sectional/Case-control Healthy M: 15/C: 15 Auditory stimuli during active EM: increased activation in the anterior Lutz et al., 2008a
study compassion meditation in fMRI insula and ACC, proportional to compassion
experience intensity
Zen Western vs novices Cross sectional/Case-control Healthy M: 12/C: 8 Observation of emotional pictures EM during meditation: major deactivation of Taylor et al., 2011
meditators study during active meditation in fMRI m-PFC and PCC. Relative deactivation of
amygdala and insula vs novice meditators.
Novice during meditation: downregulation of
amygdala
Zen Western Cross sectional/Case-control Healthy M: 13/C: 13 Noxious stimulus during fMRI EM during pain: reduced activation in PFC, Grant et al., 2011
study amygdala, hippocampus. Major activations
in ACC, insula, thalamus.
Vipassana Cross sectional/Case-control Healthy M: 17/C: 17 Noxious stimulus during fMRI EM during pain in meditation: reduced Gard et al., 2012
study activation in lateral PFC, major activation in
ACC, R-posterior insula
Tibetan tradition Cross sectional/Case-control Healthy M: 14/C: 14 Noxious stimulus during fMRI EM: equal pain, less unpleasantness. During Lutz A. et al., 2013
study pain: major AI, ACC. Minor baseline
activation AI, ACC, amygdala
Buddhist Western Cross sectional/Case-control Healthy M: 18/C: 26 Dictator Game (DG) and Ultimatum EM: in DG reduced arousal, distress and Grecucci et al., 2015b
study Game (UG) during Skin Conductance SCL. In UG accept more unfair offers
Level (SCL)
Buddhist Western Cross sectional/Case-control Healthy M: 26/C: 40 Ultimatum game during fMRI EM: in UG accept more unfair offers. Major Kirk et al., 2011
study activation of the posterior insula
(interoception) versus anterior insula
(emotion reactivity) in controls; major
activation in somatosensory and posterior
superior temporal cortex
Zen Western Cross sectional/Case-control Healthy M: 34/C: 44 Monetary incentive delay during fMRI EM during reward anticipation: reduced Kirk et al., 2011

study activation in caudate nucleus, major
activation in bilateral posterior insula. During
reward receipt: reduced activation in vMPFC
Buddhist Western Cross sectional/Case-control Healthy M: 28/C: 30 Passive conditioning task during fMRI EM during reward prediction: reduced Kirk et al., 2015
study positive and negative prediction error BOLD
in putamen. Major activation in posterior
insula
*Finding indicates bottom-up mechanisms.

regulation strategy. Finally, the question of how this learning Other studies have evaluated the impact of MBIs on pain
process can be distinctly measured from behavioral and brain processing. Zeidan et al. performed a longitudinal uncontrolled
signatures. These are central questions that future studies need to study with 4-day MBI training, using Artetial Spin Labeling
unravel. (ASL), a technique for estimating cerebral blood flow with MRI
across time points. After the intervention, during a breathing
Mindfulness-Based Interventions: Longitudinal meditation task, the authors found decreased perfusion of the
Studies on Emotion, Pain, and Anxiety MPFC and PCC (DMN), and a major activation of the AI, ACC,
Over the last few years, longitudinal studies using fMRI have used pre-SMA, OFC, VS, SSC, and posterior insula (PI). During a
a myriad of experimental tasks investigating emotion regulation pain induction paradigm, minor activation of the contra-lateral
changes secondary to MBIs. Farb et al. studied the impact of SSC and increased activation in the ACC, AI, PI, and fronto-
MBSR using fMRI under a sadness induction paradigm. After parietal operculum were reported. It is worthy of note that
the intervention, the mindfulness group changed the activation participants reported a significant decrease in pain intensity and
pattern in key diverse emotion regulation regions: comparatively unpleasantness (Zeidan et al., 2011). Later, the same authors
increased activation in the right AI, right LPFC and sg-ACC. performed a four-arm RCT comparing MBI vs. placebo vs.
The control group showed major activation in the left PFC, sham mindfulness using a pain induction paradigm with ASL
left superior temporal sulcus (STS), precuneus, and PCC, areas MRI. Interestingly, all groups showed a significant reduction in
usually involved in self-awareness and semantic processing (Farb pain intensity and unpleasantness, but the MBI demonstrated
et al., 2010). From the same lab, using a self-referential task a unique brain mechanism including greater activation of
(self-narrative vs. self-experiential) during fMRI, an increased the OFC, sg-ACC, and AI. In line with previous evidence,
activation was found in similar right brain regions, LPFC, AI, these studies highlight emotion reactivity (AI, ACC, VS) and
second SSC and inferior parietal lobule (IPL), for the self- implicit emotion regulation (OFC, vMPFC) systems as the main
experiential focus. Conversely, a self-narrative focus engaged emotion regulation targets of MBIs, again notably without any
major activation in the left vMPFC, dMPFC, and PCC, all midline major involvement of PFC-related systems (top-down emotion
regions that mainly correspond with the DMN (Farb et al., 2007). regulation).
These studies indicate a different engagement of brain regions Other researchers have explored the effects of MBIs in
during emotion regulation; although both groups displayed top- clinical populations. In one of the first such studies, Goldin
down mechanisms linked to explicit emotion regulation systems and Gross conducted an MBSR longitudinal study with people
(right or left LPFC), only the MBI groups employed regions suffering from social anxiety disorder (SAD). Comparing two
related to emotion reactivity (AI, ACC), interoception (AI) and emotion regulation strategies using an anxiogenic task with
somatosensory awareness (SSC, IPL). negative self-beliefs, the authors found that being breathing-
Attempting to unravel the involvement of different emotion focused (vs. distraction-focused) produced minor negative
regulation systems implicated in mindfulness meditation, Allen emotional experiences, decreases in amygdala activation, and
et al. performed an RCT comparing a 6-week mindfulness increased activation of the PCC, SPL, and IPL (areas involved
training and an active control (sharing and listening training). in top-down emotion regulation, but also in self-awareness
Despite both groups improving significantly in a response and attention processing; Goldin and Gross, 2010). The same
inhibition task, only the MBI group showed reduced emotional authors performed an RCT comparing MBSR with aerobic
interference under an affective Stroop conflict resolution exercise (AE), also in SAD patients, in this case comparing
paradigm (a task known to activate implicit emotion regulation mindful attention (metacognitive perspective of mental content)
processes). The authors found no differences between groups and reacting (thinking according to negative self-beliefs) as
in behavioral and neural activations during negative affect strategies for dealing with negative-self-belief-induced emotions.
processing. Nevertheless, the greater amount of mindfulness During the task, the MBSR group reported fewer negative
practice predicted increased activation of bilateral dACC, right emotions, and showed differential engagement of attention
AI, and MPFC during implicit negative emotional processing, regulation areas, with increased activation of the right IPL and
suggesting both implicit and explicit emotion regulation SPL, and decreased activation of the culmen and left lingual
plasticity as mechanisms underlying mindfulness training (Allen gyrus (Goldin et al., 2013), areas involved in the orienting-
et al., 2012). Another RCT study compared the effects of attention network, implicated in early spatial detection of stimuli
an 8-week Mindful Attention Training (MAT) vs. Cognitively (Posner et al., 2006). The authors interpreted this finding as
Based Compassion Training (CBCT) vs. active control while suggesting that MBIs enhance approaching behavior/attention
participants passively viewed affective pictures during fMRI. In a toward anxiogenic stimuli, a core deficit in SAD (Goldin et al.,
region of interest analysis, the authors found decreased activation 2013). In the context of the same trial condition, both groups
in the right amygdala in the MAT group in response to images significantly decreased social anxiety symptoms, disability and
of all valences. Interestingly, a trend increase in activation of negative self-attribution, while also increasing positive self-views.
the right amygdala when viewing negative images in the CBCT Examining the neural correlate of self-views, the MBSR group
group was found, and the extent of this increase was significantly displayed larger responses in the PCC, and dMPFC, which
correlated to reductions in depressive symptoms (Desbordes correlated with minor social anxiety, disability, and increased
et al., 2012). Although not conclusive, both RCT studies provide mindfulness (Goldin et al., 2012). Finally, Hölzel et al. ran an RCT
evidence that MBIs might exert their effects on the level of with generalized anxiety disorder (GAD) patients, comparing
emotion reactivity and implicit emotion regulation. MBSR and psychoeducation treatment groups performing an

emotion labeling task during fMRI. The findings highlighted Other studies have used reward or economic behavioral
small increases in amygdala activation in both groups, and major paradigms for studying emotion processing in EMs. Grecucci
increases of activity in the vLPFC, as well as increased functional et al. compared EMs with a control group contrasting a
connectivity between these regions (Hölzel et al., 2013). These “cognitive” vs. an “experiential” emotion regulation strategy
studies point toward the idea that MBIs target basic cognitive during two monetary distribution tasks. While receiving offers in
processes broadly involved in attention regulation, including the dictator game, EMs showed decreased emotion arousal and
information updating, response inhibition, and goal maintenance physiological reactivity, with no effect of the strategy observed.
(Malinowski, 2013). Interestingly, these are core functions for the While receiving unfair offers in the ultimatum game (UG), EMs
CEN, and for the top-down emotion regulation system (Okon- accepted more unfair offers and performed less punishment,
Singer et al., 2015). In sum, these studies provide evidence particularly during the “experiential” emotion regulation strategy
that MBIs might exert their effects through top-down/cognitive- (Grecucci et al., 2015a). Another study used fMRI during the
control emotion regulation mechanisms. Besides sample size, execution of the UG. Compared to controls, EMs accepted
noteworthy limitations of these studies include the lack of control more unfair offers, and during that particular condition engaged
of basal cognitive deficits in patients, and of personality and a particular functional brain response with greater activation
comorbidity factors, which might influence basal neuroimaging of the PI than the AI, and major activation in the SSC and
results. posterior superior temporal cortex (Kirk et al., 2011). Note that
the PI is preferentially involved in interoception and the AI in
Expert Meditators (EMs): Cross-Sectional Studies on emotion reactivity/generation and emotional awareness (Craig,
Emotion, Pain, and Reward 2009; Gu et al., 2013). These studies show that during socially
Lutz et al. used an annoying auditory task during fMRI, induced negative emotions, EMs showed stronger modulation
comparing Tibetan monks and controls during active of their interactive behavior (less punishment) and greater
compassion meditation. They found increased activity in emotion regulation, which was mediated via increased activation
the AI and ACC, which were proportional to first-person of interoception and exteroception brain regions, modulating
experience of compassion intensity (Lutz et al., 2008a). Using emotion generation regions.
the same experimental task, but during focused-attention Kirk et al. used the monetary incentive delay task in EMs
meditation, researchers also found a direct relationship between during fMRI, looking to disentangle the neural differences
meditation expertise (total hours of practice) and amygdala between anticipation and receipt of monetary reward. Compared
deactivation (Brefczynski-Lewis et al., 2007). Taylor et al. to controls, during the anticipation phase EMs displayed
compared Western EMs with novel meditators using emotional decreased activation of the bilateral caudate, and increased
pictures during fMRI, and observed a decrease in activation activation of the bilateral PI. During the encoding of gains of
levels of the PCC and MPFC (DMN) during active meditation in reward, a minor activation of the vMPFC was seen (Kirk et al.,
EMs. During passive observation, beginner meditators showed 2015), indicating a dampening of the reward system. The same
major amygdala activation increases for negative affective authors used a passive conditioning task (pairing a yellow light
pictures (Taylor et al., 2011). These studies highlight a specific to juice intake) to evaluate how changes in the predictability
modulation of the emotion generation system in EMs during of reward, encoded by the prediction error (PR) neural signal,
emotion tasks. differ between EMs and matched controls. In this task, the delay
Other studies have explored the effects of EMs in pain of the reward decreases PE (negative PE), while the intake of
processing. Gard et al. compared Western EMs with controls, unexpected reward generates an increase in PE signal (positive
contrasting active meditation, and resting state using a pain PE). EMs were found to be less prone to positive and negative
induction paradigm with fMRI. The authors found no differences PE signals in the putamen (part of the striatum and the reward
between groups in pain intensity, but in active meditation system), which again was associated to major activation in the
during pain induction, EMs referred less unpleasantness and PI (Kirk and Montague, 2015). Interestingly, both studies show
a major activation in the right AI and a deactivation in the a specific modulation in value reward processing in the striatum
right and left inferior PFC (Gard et al., 2012). Grant et al. also and vMPFC, from interoceptive body awareness regions (PI) that
compared EMs with controls during a pain induction task in correspond to bottom-up emotion regulation systems, in line
fMRI. EMs showed decreased activation of the PFC, amygdala with the bottom-up mechanism hypothesis of emotion regulation
and hippocampus, and increased activity in the AI, ACC, and changes derived from mindfulness practice.
thalamus. Interestingly, the decreased functional connectivity
between PFC and AI and ACC predicted lower pain in EMs
(Grant et al., 2011). In a similar study, EMs showed lower
INTEGRATING PSYCHOLOGICAL,
baseline activation in the AI, ACC, and amygdala, and during CLINICAL AND NEUROSCIENCE
pain induction higher activation of AI and ACC regions than EVIDENCE ON EMOTION REGULATION IN
controls (Lutz A. et al., 2013). These studies indicate that EMs MINDFULNESS RESEARCH
specifically increases activation of subcortical emotion generation
regions, related to affective processing of pain, and deactivates The field of contemplative science, the scientific study of the
top-down mechanisms, evidencing a unique emotion regulation effects of mindfulness, and contemplative practices in mental
bottom-up mechanism. health and biological functions, is fairly new but growing quickly.

In this article we have focused exclusively on the relationship mindfulness might be mediated by emotion regulation capacities
between mindfulness practices, using diverse empirical models (Coffey et al., 2010). Similarly, dispositional mindfulness has
(dispositional mindfulness, mindfulness inductions, MBIs, and been linked to a higher right PFC, minor amygdala activation and
EMs), and emotion regulation functions from psychological changes in rs-fMRI in regions from all the emotion regulation
and neurobiological perspectives. A range of MBIs have systems (see Table 4). These studies provide evidence of top-
demonstrated utility in several clinical conditions (see Table 1), down regulation mechanisms. As stated early, several limitations
targeting a myriad of emotion dysregulation symptoms (Gotink preclude an unequivocal interpretation of these findings in the
et al., 2015). context of mindfulness and emotion regulation research.
With the aim of understanding mechanisms underlying Two studies using mindfulness inductions (mindfulness
mindfulness health benefits, authors have proposed several as emotion regulation strategy) have provided preliminary
psychological and neurocognitive models (see Table 2) that evidence of direct bottom-up regulation engagement, changing
cover attention, emotion, and self-awareness systems as target the emotion generation system, with no involvement of the
mechanisms (Tang et al., 2015). Here we focused particularly PFC. However, these studies lack an alternative cognitive
on emotion regulation mechanisms targeted by mindfulness emotion regulation strategy for contrasting the specificity of the
meditation, reviewing different studies using psychological and strategy (see Table 4). In addition to the noted methodological
neuroimaging measurements, ranging from correlational to limitations, we argue that using a unique mindfulness induction
randomized longitudinal designs. session might be insufficient for eliciting a “mindful emotion
In the field of mindfulness and emotion regulation, one main regulation” strategy and the recruitment of the bottom-up brain
claim is that mindfulness might elicit a particular type of emotion systems. Secondly, central to this discussion is the question of
regulation strategy often called “mindful emotion regulation” how mindfulness as an emotion regulation strategy is defined and
that relies on bottom-up mechanisms, in contrast to cognitive operationalized. Is it a formal practice, identical or derived from
reappraisal, which relies on a top-down mechanism. Although mindfulness meditation? Or is it a particular state, related to the
there is no single definition, mindful emotion regulation notion of mindfulness as a transient state? We will return to this
is conceived as a unique emotion regulation strategy, that discussion in the next section.
results from encountering diverse emotional states from a Longitudinal studies have yielded mixed results regarding
mindful mental state, which includes awareness and acceptance the involvement of different emotion regulation systems (top-
(Chambers et al., 2009; Farb and Segal, 2012; Chiesa et al., 2013; down vs. bottom-up). Studies with healthy populations using
Grecucci et al., 2015a). In particular, it is stated that bottom-up self-experiential focus recruit emotion-generation (AI, sg-ACC)
emotion regulation strategies (like those implied in mindfulness) and body-awareness (AI, SSC) systems. Well-designed RCTs
don’t require PFC and top-down mechanisms (Chambers et al., with active control groups have mostly (but not exclusively)
2009; Farb and Segal, 2012; Chiesa et al., 2013; Grecucci et al., demonstrated changes in emotion generation (amygdala, AI,
2015a). In terms of neurobiological emotion regulation systems, ACC) and implicit emotion regulation systems (v-MPFC, OFC),
these strategies might rely on modification of implicit emotion while being effective in regulating negative emotions. Clinical
regulation and emotion generation systems, but not on changes studies with anxiety disorder populations have shown major
in the explicit emotion regulation system. In this section, in involvement of explicit emotion regulation systems (see Table 4).
accordance with the reviewed studies, we will assess whether this It is worth noting that these differences might be due to
claim and its assumptions are met. methodological limitations (e.g., simple size), but also to the
Studies measuring structural brain changes in EMs highlight specific cognitive demands of the experimental tasks (such as
changes in the MPFC and diverse subcortical regions, including self-reference, regulation of self-beliefs or affect labeling tasks)
regions devoted to meta-awareness, memory consolidation, that by nature require top-down regulation mechanisms. Overall,
extero-interoception, and emotion regulation (Fox et al., 2014), changes in bottom-up neural mechanisms are in line with the
with no exact matching to bottom-up systems, but with findings of psychological studies of MBIs, in which decreases
no involvement of typical LPFC. Longitudinal studies with in emotional cognitive reactivity, and rumination strategies,
MBIs have also implicated regions typically involved in the and increases in mindfulness skills, self-compassion, and meta-
same functions described above (like the AI and amygdala), awareness emotion regulation strategies, appear to underlie the
but no changes in the MPFC and LPFC have been found, beneficial effects of MBIs (see Table 3).
regions known for top-down emotion regulation. Strikingly, Finally, studies with EMs using emotion and pain paradigms
only AI and brainstem regions overlap between EM and MBIs have consistently demonstrated changes in bottom-up emotion
studies, suggesting neuroplasticity in key areas for emotion generation systems (amygdala, AI, sg-ACC), with reported
generation, interoception, mood, and viscerosomatic processing. deactivations in, or no involvement of, the PFC. In some
As mentioned, no inference about causality (in EM studies), nor studies involving social emotion or reward processing tasks,
about brain functions, can be derived from these studies. EMs displayed increased engagement of interoception brain
Studies measuring dispositional mindfulness have found system (mainly PI), modulating emotion generation, and
negative correlations with negative affect and positive implicit emotion regulation systems of reward-related areas
correlations with positive affect traits; factorial analysis has (caudate, putamen, v-MPFC; see Table 4), providing evidence
pointed out the distinct and interrelated nature of mindfulness of the engagement of a bottom-up emotion regulation system
and emotion regulation as constructs. Mental health outcomes of in EMs.

From the reviewed studies, we argue that there is support should the focus of attention be (external or internal stimuli)?
for the claim that mindfulness practice changes the bottom-up And, in terms of behavior, what exactly should be done to
emotion regulation systems (emotion generation and implicit perform the regulation (approach, stop, or hold back)? From
emotion regulation systems), although this effect diverges a psychological perspective, there is not a clear commitment
across different empirical models dispositional mindfulness, regarding the unique (or common) involvement of attentional or
mindfulness inductions, MBIs and EM studies. In line with emotional or body awareness processes. Thus, in line with clinical
Chiesa et al. (2013), studies with EMs show a clearer engagement evidence (Table 3), it is not clear whether “mindful emotion
pattern of bottom-up systems, suggesting that these types of regulation” is properly a unique emotion regulation strategy, with
strategies are developed through long-term meditation training. a unique neurocognitive underlying mechanism.
However, intervention studies with a RCT design are better In light of this debate, we argue that “mindful emotion
suited for providing evidence about a causal relationship between regulation” entails a variety of emotion regulation processes,
mindfulness training and bottom-up emotion regulation system including top-down processes which are cognitively based,
changes. involving attention and voluntary cognitive control, conscious
monitoring, and explicit regulatory functions; and bottom-up
processes, which are affect driven, based on emotion functions
The Problem of Mindful Emotion that modulates arousal, valence and the encoding of subjective
Regulation value regarding the triggering stimuli. We argue that “mindful
From psychological studies, including theoretical and evidence- emotion regulation” entails as well a variety of emotion
based psychological models (Table 3), as well as neuroimaging regulation strategies, in accordance with the different strategies
studies (Table 4), it becomes evident that mindfulness (in taught within MBIs and EMs trainings. In this context, we
MBIs and EMs) also engages and requires top-down emotion propose a distinction between primarily top-down mindfulness-
regulation. As Lutz et al. stated, mindfulness meditation based emotion regulation strategies and bottom-up mindfulness-
can be conceived as “a family of complex emotional and based emotion regulation strategies. Since emotions are multi-
attentional regulatory strategies developed for various ends” componential processes (Thompson, 1990), and like Gross’s
(Lutz et al., 2008b). From a traditional Buddhist psychology classification of emotion regulation strategies, our distinction is
perspective, the development and refinement of attention based on the primary component of the emotional response that
(attention regulation; Grabovac et al., 2011), and the capacity is targeted and drive the regulation of the emotional state (Koole,
for monitoring and labeling affective states (Analayo, 2003), 2009).
are central for achieving the intended effects of mindfulness Top-down mindfulness-based emotion regulation strategies
meditation. From this viewpoint, and taking into account models correspond to affect labeling, mindful detachment, dereification,
of different emotion regulation brain systems and different meta-awareness, and cognitive reappraisal, among others, for
emotion regulation strategies, the notion of “mindful emotion which cognitions and thought process are the primary targets of
regulation” (Chambers et al., 2009; Farb and Segal, 2012; Chiesa the strategy. Within this group we can find impulses control and
et al., 2013; Grecucci et al., 2015a) seems to imply certain emotion dysregulation managing strategies, like those delivered
problematic aspects. in MBIs (like in DBT and ACT) in which subjects use intentional
The notion of “mindful emotion regulation” entails two efforts to increase their attention and awareness capacities for
problematic aspects. The first refers to the nature and definition better regulation and control of emotions (Linehan, 1993; Hayes
of the construct “mindful emotion regulation” itself, and the et al., 1999). In this group, dereification and meta-awareness
second refers to its brain correlates or engagement/functioning would correspond to more sophisticated strategies, since they
of emotion regulation systems, which we will address separately. involve the development of insight into the nature of the
Although we have extensively shown that emotion regulation thought process itself (e.g., see thoughts not as facts; Dahl
is (somehow) enhanced by mindfulness practice, we argue et al., 2015). Using the process model of emotion regulation by
that the notion of “mindful emotion regulation” has not been Gross, we can understand that increases of mindfulness can
accurately and properly defined. Is “mindful emotion regulation” indeed modulate any of the five stages: selecting or modifying a
a psychological trait, stable in time, that diverges across subjects? situation, deployment of attention, changing cognition (cognitive
Or is it a particular mental practice derived from mindfulness? reappraisal), modulating the experience, and behavior, or
Or is it a mental state, like a transient moment of mindfulness? physiological response (Gross, 2001). This distinction is in line
Generally, the common view across authors is that “mindful with findings in MBIs (Table 4), and by Chiesa et al. (2013), and
emotion regulation” is a somehow unique emotion regulation is consistent with the claim that novel practitioners in MBIs use
strategy, the result of encountering diverse emotional states from primarily top-down emotion regulation strategies.
a mindful mental state, including awareness and acceptance In bottom-up mindfulness-based emotion regulation
(Chambers et al., 2009; Farb and Segal, 2012; Chiesa et al., 2013; strategies, sensory-perception and interoceptive-proprioception
Grecucci et al., 2015a). From a first-person perspective, this are the primary aspects of the emotional response targeted
definition does not make explicit specifications regarding what by the strategies. The bottom-up strategies are characterized
the practitioner should do while engaging within the emotional by the intentional stance to directly feel (instead of think) or
state, only succinctly suggesting the gradual development of to experience, thus targeting primarily the feeling processes
experiential qualities (attentiveness, acceptance, etc.). What (sensory-perception and interoceptive-proprioception).

Bottom-up mindfulness-based emotion regulation strategies nature of emotions (Damasio, 1999; Prinz, 2004). As Colombetti
include concrete experiential explorations that focus for example et al. noted, cognitivist theories of emotions have neglected the
on unimodal body sensations, like feeling the temperature of the role of the body in the generation of emotional states (Colombetti
skin, or exteroceptive sensations, feeling the peri-personal space and Thompson, 2008), and as we argue, as well in the regulation
around, to interoceptive sensations, like feeling the internal of emotional states.
sensations of the body. Other strategies focus on the broad multi- In this context, one of the problematic aspects of Gross’s
modal sensory perception of the body, in which interoceptive, “process model” of emotion regulation is the assumption of a
exteroceptive sensations, and basic sensory (auditory and visual) linear fixed sequence through which emotions are generated,
perceptions are used as a whole as the main focus of intentional starting from attention to relevant external stimuli, cognitive
experiential explorations (Kabat-Zinn, 2005). appraisals, to emotional responses and behaviors as secondarily
From the above, the bottom-up mindfulness-based emotion generated (Koole, 2009). Nevertheless, relevant stimuli can
regulation strategies range from the titrated exposure to negative trigger emotions without cognitive reappraisal (e.g., Neumann
sensations (e.g., physical pain), to different body and perception et al., 2003) and emotions can be generated from the bottom-
modalities conscious explorations, to the exposure to the up systems (Ochsner et al., 2009; McRae et al., 2012). Using
complete range of negative and positive emotions without magneto-encephalography Rudrauf et al. showed that emotional
holding or avoiding/rejecting, which are thought within MBIs stimuli elicited early brain activation in the visual cortex,
and EMs trainings. In sum, there is an explicit intention of spreading through the ventral visual stream, temporopolar
experiential exploration of bodily sensations (e.g., the felt sense) regions, to OFC/vMPFC, ACC, and SSC. This early activation
underlying all type of emotion and mental content (Hölzel et al., was correlated to arousal ratings and heart beats changes
2011a). For example in the MBCT program, participants are (Rudrauf et al., 2009). Also, it is known that bodily movements
instructed to use the “opening the door of the body” strategy, can actively influence emotions (Strack et al., 1988; Niedenthal
which invites to be aware of the body sensations that accompany et al., 2005), the manipulation of body posture can alter the
any intense emotions, stepping back from cognitive analysis and regulation of mood (Veenstra et al., 2016), and intentional
rumination and thus cultivating “intimacy” with the raw and movement can regulate emotional states (Shafir et al., 2013).
usually rejected experience of emotions (Segal et al., 2002). As we From this, even more relevant is the fact that previous emotional
have argued, these strategies are primarily the result of changes in states can strongly influence cognitions and attention processes
bottom-up emotion regulation systems (e.g., exposure to painful (Okon-Singer et al., 2015), which then will drive the emotion
feelings), and can be present in mindfulness inductions, MBIs regulation process. We argue that this model is fairly reductionist
and EMs. (neurocentric), since it denies the constitutive interwoven nature
We further noted that studies applying cognitive reappraisal of body and brain and that their widely known continuous bi-
to emotions generated via bottom-up stimulation can result in a directional interactions are essential for adaptive behavior (Chiel
paradoxical increase in amygdala reactivity (Herwig et al., 2010; and Beer, 1997).
McRae et al., 2012), which in turn can be related to ruminative We argue that the cognitivist “neurocentric” model also
or repetitive negative thinking as maladaptive cognitive emotion disregard the complex reciprocal influences between cortical
regulation strategies (see Table 3), characteristic of anxiety and (high-order) and subcortical (low-order) regions (Okon-Singer
depression disorders (Aldao et al., 2010). Dysfunctional top- et al., 2015). This “corticocentric” model of the brain, in which
down emotion regulation in psychiatric conditions such as MDD “high”-order regions dominate “low”-order regions (Parvizi,
(Johnstone et al., 2007) might be related to dysfunctional forms 2009), fits very well with the “process model” of emotion
of self-evaluative processes such as rumination and worry (Farb regulation, in which only the cortical top-down emotion
and Segal, 2012). In this sense, emotions can be generated from regulation system has a privileged role for regulating emotional
top-down and bottom-up systems (Ochsner et al., 2009; McRae states. As we have shown in this article, bottom-up (mindfulness-
et al., 2012), and the way/pathway emotions are generated seems based) emotion regulation strategies modulate sensory-perception
to play a crucial role in the successfulness of emotion regulation and interoceptive-proprioception components of the emotional
strategies. Bottom-up-generated emotional states, as pain and state, due to changes in bottom-up emotion regulation systems.
reward in EM studies reveal, might be best targeted by bottom-up These subcortical systems are central in the homeostatic
mindfulness emotion regulation strategies (see Table 4). regulation of neuro-vegetative and visceral functions which
provide the bodily aspect of emotion experience (Bechara et al.,
2000; Critchley et al., 2002).
Embodied Emotions and Emotion The enactive approach to mind-brain considers cognition,
Regulation emotion, and body functions as parts of an integrated system at
Classical theories of emotions from Aristoteles, Spinoza, and neurobiological, psychological, and phenomenological domains
Hume have highlighted the importance of the body and (Thompson and Stapleton, 2009). One of its central principles
physiological aspects of emotions, conceiving them essentially is the notion of embodiment, or embodied cognition, which
as psychosomatics states (Colombetti and Thompson, 2008). in simple terms claims that the whole body (not only the
Post Jamesian contemporary authors like Damasio and Prinz brain) is involved in building up cognition (Varela et al., 1991;
assert that emotions are basically the perception of the actual Kiverstein, 2012), and in this particular case the experience
physiological condition, affirming in a broad sense the embodied of emotions (Colombetti and Thompson, 2008; Slaby et al.,

2013; Colombetti, 2014). From this perspective, the emotional or states and regulatory mechanisms as inseparable, relying in
affective dimension is connatural and constitutive of organism’s shared neural networks. It offers a preliminary new framework
adaptation and agency in the world. Organisms have to be for integrating neurobiological, psychophysiological, and
“sensible” to their environment in order to make sense and psychological systems perspectives on emotion regulation
adaptively respond to new demands, in this account emotions are and clinical interventions. It aims to be a multilevel and
inseparable from cognitions (Colombetti, 2014). Central for the non-reductive paradigm to advance the understanding of
affective constitution of organisms, three interrelated activities emotion dysregulation psychopathologies and their changes
characterize the embedded body-brain system: the capacity of in the context of various biological and psychological
self-regulation of internal states, sensorimotor coupling with the treatments.
environment and intersubjective interaction with other agents
(Thompson and Varela, 2001).
In this context, we argue that emotions are the ensuing and CLINICAL IMPLICATIONS: EMOTION
guiding state of the organism engagement with the environment REGULATION, MINDFULNESS, AND
(world), in which the regulation of its own internal homeostatic PSYCHOTHERAPY
states (humoral, visceral, somatic-motor) is inseparable from
the emotional state itself (that is targeted with the regulation). As we have seen, MBIs have shown efficacy in a myriad of
As an example, we cannot think that body temperature (the psychological disorders, characterized by emotion dysregulation
target of the regulation) is something separate and distinct psychopathology (see Table 1). From the perspective of
from the homeostatic mechanisms that continuously regulate longitudinal, clinical, and affective neuroscience studies, we
body functions to keep the temperature constant (regulation hypothesize that changes in bottom-up emotion regulation
mechanism). In fact, the actual body temperature emerges as systems might be a key differential feature of MIBs vs.
the result of the reciprocal interactions of diverse regulatory the usual Western psychotherapeutic approaches—more
mechanisms. Derived from this, we propose a preliminary specifically, not in the sense that only MBIs elicit changes
account of emotion regulation as an embodied process, basically in these systems (which is not the case), but in the sense
rejecting the dualism between emotional states (and its somatic that MBIs explicitly involve the engagement of bottom-up
expressions, motor and autonomic systems), and the processes mindfulness emotion regulation strategies, using the sensory and
and mechanisms of emotion regulation. Emotions and its interoceptive components of emotions as targets and vehicles for
experience are the result of the continuous reciprocal interactions emotion regulation (according to embodied emotion regulation
of top-down, bottom-up, sensory-perception and interoception account).
processes, in which top-down and bottom-up systems can serve From a clinical psychotherapeutic perspective, this means
as generative and regulatory mechanisms. As we have reviewed that the therapist (or MBI instructor) will be able to guide the
in this paper, both emotion systems participate in the generation patient/client into the application of different top-down and
and expression of emotional states (Ochsner et al., 2009; McRae bottom-up mindfulness based strategies. In the case of bottom-
et al., 2012), at the same time, both are engaged in the regulation up strategies, the clinician encourages the participants to focus
of internal homeostatic states (humoral, visceral) and expressive on the “bodily” components of different emotional state, always
somatic-motor responses (Frank et al., 2014; Kohn et al., 2014; conveying the attitudinal stance of acceptance and openness.
Etkin et al., 2015). In this way, discouraging the intend to control and subjugate
The embodied approach to emotion regulation regarding the negative emotional states, but more importantly, discouraging
problem of “mindful emotion regulation” allows us to conceive the use of maladaptive top-down emotion regulation strategies
top-down and bottom-up mindfulness based strategies in a like avoidance, rumination, and suppression among others.
dimensional and continuous way. These strategies primarily In this sense, there is a constant incentive to shift from a
target different aspects of the emotional state, cognitions self-narrative perspective (ruminative), based on past or future
and thought process, sensory-perception, and interoceptive- stories, to a self-experiential present-centered perspective, so the
proprioception, and their corresponding neural substrates, in experience of emotion is decoupled from maladaptive evaluative
this way, at the same time regulating and ensuing the current cognitions. As stated by Chambers, one main difference between
emotional state. From this, it is possible to understand that psychotherapeutic interventions like psychoanalysis and CBT,
even mindfulness induction and MBIs can deploy bottom-up and MBIs, is that the former aim to change the content of
regulation strategies, and also EMs can use top-down emotion emotional states (self-narratives and cognitions), while MBIs
regulation strategies as part of their repertoire. At the same time, focus on changing the relationship (and not the content) with the
different mindfulness related practices (as samatha, vipashyana emotional (painful) states (Chambers et al., 2009); changing the
and compassion, etc.), as taught within MBIs and EMs trainings perspective from which it is experienced, encouraging acceptance
might differentially engage the components of the emotional state and curiosity about the experience itself (self-experiential focus).
(Dahl et al., 2015). From an emotional learning perspective, this process can be seen
In sum, our approach to emotions and emotion regulation as an exercise of exposure (to certain emotions or experiences),
intends to overcome the “neurocentrism” and “corticocentrism” extinction of maladaptive cognitions or reactive responses, and
of current cognitivist model of emotion regulation. Our reconsolidation as a new relationship pattern regarding own
embodied account of emotion regulation considers emotional experiences or daily life problems (Hölzel et al., 2011a).

Mindfulness and Mentalization in the mentalization interventions, in which the focus is to explore,
Context of Psychotherapy cognitively understand and change mental contents, which
Mindfulness and mentalization can be conceived as different may be referred to future or past life events, but also to
heuristics and approaches to understand mental health, clinical emotions and dysregulated emotional states (Allen, 2006). In
interventions, and psychopathological developments. The notion line with this, mentalization as an emotion regulation strategy
of mentalization has a heterogeneous origin, starting from has been considered a top-down strategy, relying in the
the construct of theory of mind developed in the field of explicit emotion regulation and in the theory of mind brain
etiology/cognitive science (Premack and Wooddruff, 1978), the systems (Fonagy and Luyten, 2009; Vrticka and Vuilleumier,
concept of symbolization from psychoanalysis (Choi-Kain and 2012). As we have stated, MBIs engages bottom-up emotion
Gunderson, 2008) and the notion of meta-cognition from novel regulation strategies, which constitutes the distinctive ingredient
developments in the empirical study of attachment (Main, 1991). from other forms of psychotherapies. From our perspective,
In clinical terms mentalization is defined as the capacity to mindfulness and mentalization have common and different
understand one’s own actions and those of others in terms psychobiological functions, which are complementary in the
of intentional mental states like desires, needs, and feelings context of treatments for diverse psychopathologies related to
(Choi-Kain and Gunderson, 2008). According to psychodynamic emotion dysregulation and mentalization deficits. Nevertheless,
theories, mentalization is a developmental capacity that depends further research needs to be done with a view to achieving a better
on the quality of the early mother–infant relationship, the understanding of the biological and psychological differences
development of secure attachment in the infant and a mother’s between these constructs, as well as integrating them properly in
capacities for mentalization (Fonagy et al., 2002). Originally psychotherapeutic treatments.
developed to understand BPD psychopathology, actually its
deficit has been implicated in a wide range of conditions
including autism and schizophrenia, among others (Roffman CONCLUSIONS AND FUTURE
et al., 2012). Enhancing mentalization is viewed as a common DIRECTIONS
factor responsible for psychotherapeutic change processes, not
only in psychodynamic approaches, but also in other clinical Over the last few years, research on contemplative and affective
perspectives (Björgvinsson and Hart, 2006 for CBT; Lewis, 2006 sciences has grown considerably. In this article we have
for DBT). Moreover, in patients with BPD, increased capacity for shown how mindfulness is related to emotion regulation using
mentalization is considered the central mechanism of change in different theoretically and empirically derived models. The main
all effective treatments (Fonagy and Bateman, 2006). hypothesis explored is that emotion regulation changes are a
Exploring the common ground between mindfulness core mechanism underlying the salutary effects of mindfulness
and mentalization, Goodman (2014) uses four aspects of and MBIs. Nevertheless, many of the psychological and
mentalization: (1) observing mental phenomena, (2) describing neurocognitive theoretical models of mindfulness’s mechanisms
or labeling mental phenomena, (3) describing the meaning and are not properly and empirically validated. At the same time,
motivation of one’s own and others’ behavior as the product empirical studies face many methodological limitations as well.
of mental states, and (4) understanding the intrinsic linkage One important problem is the notion of mindfulness itself.
and mutual influence of mental states in oneself and others. As was mentioned, it has been used for referring to a wide
Taking into account Baer et al.’s models (see Table 2), Goodman range of psychological phenomena, like a trait (or dispositional
suggests that mentalization and mindfulness overlap in two key mindfulness), a proper meditation practice or a mental state
areas: observing mental phenomena, and labeling/describing (Davidson, 2010). Even the concept of mindfulness lacks a unique
mental phenomena. From the perspective of emotion regulation operationalization, since many authors have proposed different
systems, both mental processes correspond to top-down definitions, understanding it as an attention capacity, an attitude,
emotion regulation strategies, such as metacognitive awareness a characteristic type of awareness, or even a combination of
and affect labeling. However, the capacity for attributing these (Quaglia et al., 2015). As Grossman states, the complexity
intentionality to mental states and for understanding the of the concept seems more related to a lack of consensus
interpersonal influences of mental states, are distinctive factors between experts, among other critical issues that constructors of
of mentalization (Goodman, 2014). Given the interpersonal inventories might disregard (Grossman, 2008).
nature of psychotherapy, mentalization capacities constitute On one side, studies measuring dispositional mindfulness
central skills for the therapist (to work with patients) and for using self-report scales have demonstrated good reliability and
the patients (to be developed within the treatment; Fonagy and convergent validity (Quaglia et al., 2015) and a preliminary
Bateman, 2006). coherent putative neural correlate (see Table 4). Coffey et al.
Another important difference between mindfulness and have demonstrated that mindfulness and emotion regulation
mentalization, is the type of relationship intended with mental correspond to related but different constructs (Coffey et al.,
contents and temporality of life events. As we stated, MBIs don’t 2010). Nevertheless, the construct of dispositional mindfulness
intend to change mental contents, neither explore life events from entails several problematic aspects, starting from the assumption
the past or future possibilities, its main focus is the present- that self-report mindfulness scales (basically the self-perception
centered non-evaluative awareness of the self-experience. Unlike of a person) actually tap into the proper practices of mindfulness

(Grossman, 2011). For instance, the specificity of the instruments cognitive and emotion processes within homeostatic regulatory
to MBIs is unknown, e.g., other interventions not based on mechanisms, as well as a non-hierarchical view for conceiving
mindfulness might change the mindfulness level (Lutz et al., cortical and subcortical systems, as well as brain and body
2015). Finally, using these instruments in the context of MBIs interactions. Further developments might complement this
might induce biased responses because of the verbal exposure framework integrating first-person phenomenological accounts
to the word and concept of mindfulness itself, and not because of emotions and emotion regulation, looking for further integrate
of any actual acquired capacity (Van Dam et al., 2012). Another experiential and subjective reports with psychophysiological
problematic issue with dispositional mindfulness is the wide and neurobiological measurements (see Colombetti, 2014, for
range of confounders or variables that actually impact the affective neuro-physiophenomenology).
dispositional “mindfulness level,” including other overlapping In line with these recommendations and limitations, from the
and related psychological traits that also vary within normative perspective of methodological and measurement techniques, we
and clinical populations, like: attention and emotional functions, suggest that research on mindfulness and emotion regulation
attitudinal and biased dispositions, prior socialization with the should take advantage of mobile device technologies, for example
construct and experience with related practices (like yoga or using experience sampling methods, or biological measurements
psychotherapy; Quaglia et al., 2015). Future studies will have including mobile EEGs or galvanic response devices, thereby
to control for these factors to better disentangle the nature of increasing the ecological validity of measurements, variables and
dispositional mindfulness as a construct itself. constructs of interest. Serum biological markers of inflammatory
For longitudinal clinical studies, RCTs with active control response and neuroplasticity (BDNF, for example) are also of
groups and multi-arm designs seems to be methodologically relevance as putative biological mechanisms of MBIs. As regards
the “gold standard” for unraveling the efficacy and effectiveness neuroimaging technologies, future studies might integrate
of a given therapeutic intervention, either for inferiority or different methods, taking advantage of the specificity of each, for
superiority studies. As in Zeidan et al. (2015), comparing example combining the spatial resolution of MRIs with positron
mindfulness, sham mindfulness, placebo, and control could emission tomography (PET), which might help to disentangle
demonstrate the efficacy of all interventions for pain relief, but differences in neurotransmitters or neuroradiological markers
noting a differential brain mechanism in emotion regulation of neuroinflammation. Within MRI techniques, the use of
of pain (Zeidan et al., 2015). For further understanding the computational modeling might help to build and test more
differential engagement of the emotion regulation systems in precise and sophisticated theoretical models for understanding
MBIs, future neuroimaging longitudinal studies will have to cognitive emotional systems underlying mindfulness and
explicitly compare different mindfulness instructions within the emotion regulation. Finally, multivariate pattern analysis is
experimental manipulations (i.e., top-down—attention based situated at a privileged level for decoding mental states (certain
vs. bottom-up bodily-based). Then they can explore the emotion regulation strategies or mindfulness states) from brain
acquisition and development of the strategies and their neural signatures using trained classifiers.
correlates. For avoiding problematic aspects of self-report scales, Clinical applications of MBIs will require a very good
clinical studies should try to include behavioral outcome understanding of what’s better for whom, and distinguishing
measures of mindfulness. For better understanding putative what types of psychological treatments, regular psychotherapy
mechanisms, longitudinal studies should use several prospective (of different types) or MBIs (of different types) are better
measurements of variables of interest to better disentangle how for different types of depression or anxiety disorder. This
changes in independent variables and mediators affect dependent leads to another question regarding how to combine different
variables (Kazdin, 2009). forms of psychotherapy with MBIs in the context of a wider
Using neurobiologically based emotion regulation systems and more comprehensive model of healthcare, even including
as a framework, we have described how top-down strategies psychopharmacological treatments. A better understanding of
(explicit emotion regulation system) and bottom-up strategies emotion regulation mechanisms underlying mindfulness and
(emotion generation and implicit emotion-regulation systems) psychotherapy, from biological and clinical perspectives, will
can be present within novice and expert meditators. In order foster new insights into emotional life and its disturbances,
to deal with the controversy of emotion regulation mechanisms with the purpose of refining and developing better therapeutic
underlying mindfulness in MBIs and EMs, we have proposed interventions for the widespread mental health disorders
the distinction between mindfulness-based top-down emotion characterized by emotion dysregulation.
regulation strategies based on attention and acceptance, vs.
mindfulness-based bottom-up strategies, which target bodily
representations of emotional states. We proposed an embodied AUTHOR CONTRIBUTIONS
perspective on emotion regulation as a preliminary framework
as a means for understanding different emotion regulation SG: conceive the original idea of the article, decided the design
systems, rejecting the dualism between somatic emotional states of each part. Completed the revision of all scientific literature.
and the processes and mechanisms of emotion regulation. Performed all draft versions of the document, as well as the final
From this, the experience of emotional states is build up (approval) version to be published. SG is totally accountable for
from the continuous reciprocal interactions of regulatory all aspects of the work, and ensures that all different questions
mechanisms. This perspective offers an integrative view of regarding any part of the work can be appropriately investigated

and resolved. SM: conceive the original idea of the article, decided questions regarding any part of the work can be appropriately
the design of each part. Completed the revision of all scientific investigated.
literature. Performed all draft versions of the document, as well
as offering important intellectual content for the final version. FUNDING
Also, gave the final approval of the version to be published. HR:
conceive the original idea of the article, decided the design of This review paper was supported by the Fund of the following
each part. Completed the revision of most scientific literature. institutions: CONICYT (National Commission for Scientific and
Participated in the elaboration of almost all draft versions of Technological Research, Chile). Beca-Chile Scholarship. Berlin
the document, as well as offered very important intellectual School of Mind and Brain, Humboldt Universität. Fund for
content for the final version. Also, gave the final approval of Innovation and Competitiveness (FIC) of the Chilean Ministry of
the version to be published. HR and SM are totally accountable Economy, Development and Tourism, through the Millennium
for all aspects of the work, and ensures that all different Scientific Initiative, Grant N◦ IS130005.
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ORIGINAL RESEARCH
published: 04 April 2017
doi: 10.3389/fpsyg.2017.00500
Online Coaching of
Emotion-Regulation Strategies for
Parents: Efficacy of the Online
Rational Positive Parenting Program
and Attention Bias Modification
Procedures
Oana A. David *, David Capris and Alexandra Jarda
Department of Clinical Psychology and Psychotherapy, Babes-Bolyai University, Cluj-Napoca, Romania
Parenting programs are currently treatment of choice for behavioral disorders in

children and one of their main components is reducing the negativity bias in the
child–parent dyad. The Rational Positive Parenting Program (rPPP) is a program with a
special focus on parent emotion-regulation functional reappraisal strategies, which has
recently received consistent support for reducing child externalizing and internalizing
disorders. In the last years, online interventions were proliferated and the Attention
Bias Modification (ABM) becoming a promising implicit therapeutic intervention based
on attention deployment emotion-regulation strategy, or adjunctive module to usual
Edited by: treatments, with results in multiple domains, varying from pain to self-esteem and
University of Trento, Italy emotional disorders (e.g., anxiety). We conducted two studies to investigate (1) the
Reviewed by: efficacy of the ABM procedures applied to parents and (2) the efficacy of the online
Philipp C. Opitz, version of the rPPP augmented with an ABM module. A total of 42 parents of children
University of Southern California, USA
Viviana Capurso,
aged 2–12 years old participated in the first study, being allocated either to the ABM
Sapienza University of Rome, Italy training or wait-list. Positive results were reported by the parents participating in the
*Correspondence: ABM group for own distress, satisfaction, positive interactions with the child, and child’s
Oana A. David strengths. In the second study, 53 parents and their children were allocated either in the
[email protected]
rPPP group or in the rPPP + ABM group. Results show that ABM training can boost
Specialty section: the effects of the rPPP on the strengths of children reported by the parents after the
intervention. Findings are discussed in the light of limited research on using online tools
Emotion Science,
a section of the journal for coaching effective emotion-regulation strategies for parents.
Keywords: parent attention bias modification, the rational positive parenting program, positive parenting, parent
Received: 23 March 2016 reappraisal, acceptance parenting
Accepted: 16 March 2017
Published: 04 April 2017
Citation: INTRODUCTION
David OA, Capris D and Jarda A
(2017) Online Coaching Attentional distraction is considered an antecedent emotion-regulation strategy (Gross, 1998)
of Emotion-Regulation Strategies that involves shifting attention from one aspect of a situation to another one, or shifting ones’
for Parents: Efficacy of the Online
attention away from the situation altogether. It is well known that in the case of children with
Rational Positive Parenting Program
and Attention Bias Modification
externalizing disorders, a negative interaction cycle arises, which is affecting the child–parent
Procedures. Front. Psychol. 8:500. relationship and is thus contributing to maintaining children’s problems (Barkley, 1997). Parents
doi: 10.3389/fpsyg.2017.00500 get biased to pay attention preponderantly to the negative behaviors of their children, which in turn
Frontiers in Psychology | www.frontiersin.org April 2017 | Volume 8 | Article 500 | 117

David et al. Parent Attention Bias Modification
impacts negatively on the parent–child relationship and their alternative that train attention toward positive or rewarding
parenting style. Parenting programs (cognitive-behavioral) are stimuli (Dandeneau et al., 2007).
considered treatment of choice for child disruptive behavior, When involved in the ABM training to positive stimuli
receiving considerable support (Lundahl et al., 2006). More [e.g., visual search task training (VSTT) paradigm; Dandeneau
recently, parent emotion-regulation has started to be addressed in and Baldwin, 2004; Dandeneau et al., 2007], participants are
such parenting programs and this was shown (David et al., 2014b) instructed to preferentially process happy faces to the expense of
to augment their effects on both parent and child outcomes. the angry ones. Although it represents a work in progress (due to
Starting from the promising results regarding the effects mixed findings and unknown mechanisms of change), the ABM
of computerized psychological treatments, during the past 15 could be an essential component for parenting programs.
years parenting programs have started to be adapted for being It is known that negative cognitive biases in parents can affect
implemented online (Feil et al., 2008; Enebrink et al., 2012), their parenting skills (Podina et al., 2013; David et al., 2014a),
in order to make them more accessible to the parents in need. and at the same time parental cognitive biases can facilitate an
A recent review shows (see Nieuwmboer et al., 2013) robust intergenerational transmission of mental health issues. Thus, the
positive effects of such parenting programs, similar to those present paper aims to extend the existing ABM paradigm, namely
of the “face to face” programs. The online format of such to investigate for the first time its efficacy in boosting parenting
programs, however, opens unlimited opportunities for innovative skills. More specifically, we intend to use faces of children to
procedures which could improve their outcomes. reduce negative biases in parents. The novelty of this approach
Newly developed interventions aimed at modifying negative is that the beneficiaries of the ABM training will not be the
attentional biases (i.e., attention preferentially allocated to user, meaning the parents, but their children. Given the previous
negative, disliked, or threat like stimuli) by training implicit arguments, such a procedure would be useful especially in the
associations have been recently suggested (David and Podina, context in which parents’ negative biases regarding their children
2014) as offering important strategies in fostering positive behaviors interferes with a good parent–child relationship.
parenting. Training of implicit attentional associations from The current study aims at investigating the efficacy of
negative stimuli toward to positive or neutral stimuli has received an ABM intervention delivered by itself in reducing parents’
much interest with the introduction of the Attention Bias negative interactions with children, distress, and improving
Modification (ABM) training. Negative attention biases have their parenting, self-efficacy, satisfaction, and child externalizing
been etiologically linked (Bar-Haim et al., 2007; Hakamata et al., and internalizing reported symptoms. We will compare in a
2010; Hallion and Ruscio, 2011; Eldar et al., 2012; Waters et al., superiority trial design the efficacy of the ABM intervention for
2013) to various mental health issues in both adults and children. parents with a wait-list (WL) group. Thus, we expect that the
In parents, current negative attention biases toward their parents participating in the ABM intervention will report better
children’s negative behavior can impede them in implementing outcomes compared to the WL condition.
the strategies learned during a parenting program. In this context,
we consider that ABM bares the promise of helping parents Methods
to allocate attentional resources toward prospective positive Participants
responses in children, which in turn could increase the efficacy A total of 42 parents participated in this study, 36 mothers and 6
of the parenting programs. fathers of children aged 2–12 years old (M = 5.93, SD = 2.59).
Although the ABM paradigm has not been extended to Their age range varied between 24 and 43 years old, with a
the parenting field up until now, there is great potential for mean age of 32.96 (SD = 5.31). Forty-one percent of the parents
this domain. Our aim was to investigate the efficacy of the included in the study had only one child, while 25% had two
ABM as an online intervention based on attention deployment children, and 2% had three children. They were asked to report
emotion-regulation mechanisms delivered to parents on various regarding the behavior on one child, and 25 of the children
parenting and child outcomes; then, in a second step, we aimed to selected were boys, while the rest were girls. Ninety-two percent
investigate the additive effect of including an ABM module within of the parents were married, one parent was in an unofficial
an online parenting program curriculum. relationship, and three were divorced. Most of the parents had
bachelor (33.8%) and college education (45.6%), while most of
them (89.7%) had urban residence; 41 had a socio-economic
STUDY 1 background above the minimum wage of the country, while 22
were earning above the mean medium salary of the country.
ABM is based on the emotion-regulation attentional deployment
strategy, considered a new intervention within the cognitive- The ABM Procedure
behavioral therapy framework, that has been documented to have We chose the standard ABM procedure (Amir et al., 2009;
promising clinical effects in both youth and adult population Bar-Haim, 2010; Waters et al., 2013) using the faces of children.
(Bar-Haim, 2010; Hakamata et al., 2010; Hallion and Ruscio, The parent ABM task aims to redirect the attention of parents
2011; Eldar et al., 2012; Waters et al., 2013), regarding anxiety from angry faces of children to happy faces of children, for
and emotional related issues. The initial forms of ABM trained prevention purposes.
attention to neutral benign stimuli and was found to have mixed We used a modified version of the dot-probe task (MacLeod
results. More recent procedures were developed, however, as et al., 1986), and developed our training using the Inquisit

3 version of the software Milliseconds, which is used on a of supportive/engaged parenting. The total scores for the
large scale by researchers (e.g., Thoern et al., 2016). During the hostile/coercive scale range from 0 to 35, with higher scores
probe, participants view pictures with faces of children. The representing higher levels of hostile/coercive parenting. The scale
faces represent negative emotions (e.g., anger), positive (e.g., has adequate psychometric properties (α = 0.82, Bruce et al.,
joy), or neutral emotions, with two types of emotions being 2006; and α = 0.72 in our sample).
presented at once. After being presented with the pair of pictures,
participants are asked to press the E or F keyboards that appear The Parent Stress Scale (PSS; Berry and Jones, 1995)
in their places. During the ABM training, similar with the The PSS is an 18-items self-report scale which measures
probe task, the letters E and F follow only pictures presenting the positive aspects of parenthood (emotional benefits,
faces of children that convey positive emotions in order to self-enrichment, personal development) as well as negative
train orientation of implicit attention from negative stimuli indicators (demands on resources, restrictions, and opportunity
toward the positive ones. The underlying mechanism is classical costs). The final score is given by the sum of items, higher scores
conditioning, and thus the focus of attention is associated with indicating greater stress. This scale demonstrated good internal
positive stimuli. reliability on the national population included (Cronbach’s
The training was delivered over the course of 1 week, with α = 0.85; David et al., 2014a used on national population) and in
five online sessions, as recent studies indicate that even a few our sample (α = 0.82).
(one to two) sessions are sufficient to train a positive bias.
We chose to use more sessions as we wanted to boost the The Parenting Sense of Competence Scale (Gibaud-Wallston
learning of positive stimuli and provide the opportunity for the and Wandersman, 1978)
training to be delivered in multiple contexts (e.g., at home, at The Parenting Sense of Competence (PSOC) Scale is a 16 items
work). The chosen stimulus set consisted of angry and happy questionnaire which measures parents’ views of their competence
faces of children selected from the NIMH-ChEFS data base as parents. This questionnaire includes two subscales: satisfaction
(Egger et al., 2011). Each training session lasted approximately with their parenting role and feelings of efficacy as a parent.
15 min daily and thus 60 min per week. Participants had Satisfaction subscale examines parents’ anxiety, frustration,
a first contact with a clinical psychologist, and then they and motivation, while the efficacy subscales examines parents’
maintained contact via email and phone, being provided with competence, capability levels, and problem-solving abilities in
information regarding their status and following steps. Parents their parenting role. High scores suggest a higher level of
were instructed not to take breaks during the training session satisfaction, while low self-efficacy scores were correlated with
and the completion of their training was monitored online behavioral problems in children. Psychometric proprieties of the
daily. total score and the subscales are adequate (alpha Cronbach’s for
the total score is α = 0.71; Johnston and Mash, 1989; for national
Measures population: David et al., 2014a, and α = 0.85 in our sample)
Parents completed questionnaires regarding their child strengths showing that it can be used in research.
and difficulties and their own parenting practices, stress,
and attitudes. The measures used were chosen based on Mean Positive and Negative Interactions
their relevance for outcomes considered in the study, their Parents were asked to estimate the weekly number of positive and
psychometric properties and large use in the parenting or negative interactions which they had with their child, keeping
emotion-regulation field. in mind the number of daily interactions. The examples of
positive interactions taken into account by parents were the
The Strengths and Difficulties Questionnaire (SDQ;
following: praise, physical affection, laughter, performing an act
Goodman, 1997)
requested by the child, positive gestures or any other positive
SDQ is an instrument measuring behavioral and emotional
interaction. The examples of negative interactions were the
problems in children and adolescents. The instrument produces
following: yelling, negative physical contact (pulling, pushing,
scores for five subscales: conduct problems, hyperactivity,
slapping), not performing an act requested by the child, negative
emotional problems, peer problems, and prosocial behavior. Each
gestures, repeating a request insistently or any other negative
subscale consists of five items (Graf et al., 2014). The scale
interaction.
has demonstrated adequate psychometric properties on national
population (Colvert et al., 2008) and in our sample (α = 0.82).
Procedure
We used the standard SDQ in the study.
Parents were recruited from the kindergartens and schools where
The Parent Behavior Inventory (PBI; Lovejoy et al., 1999) their children were enrolled. Parents were randomly distributed
The PBI is a 20-item self-report scale. Parents rate the frequency among the experimental group and the waitlist. They filled
of various parenting behaviors (e.g., hugging, teaching new the baseline assessment (pre-test) and the same questionnaires
things) using a 6-point Likert scale (0, never true to 5, after 1 week (post-test). Participants signed an online informed
almost always true). This instrument includes two factors: consent about participating in the study and received detailed
supportive/engaged parenting and hostile/coercive parenting. information about study procedure. This study was approved by
The total scores for the supportive/engaged parenting subscale the Institutional Review Board of the Babes-Bolyai University
range from 0 to 50, higher scores representing higher levels (GTC-34060/2013).

Data Analysis Inferential Analyses

We used repeated measures ANOVA with Time (pre–post) as For parental distress, multivariate tests show a significant main
a within-subject factor and Group (ABM, WL) as a between effect of Time, F(1,47) = 9.73, p = 0.004, χ2 = 0.166, a significant
subjects variable, for each of the outcomes. Pre-test data main interaction effect of Time × Group, F(1,47) = 13.32,
was lost in the case of the SDQ and PBI questionnaires p = 0.001, η2p = 0.221, and a non-significant main effect of Group
due to an error in the online platform and thus only (p > 0.05). No significant differences were obtained pre–post for
univariate analyses of the post-test data were possible for these the experimental group (p > 0.05), while the WL group reported
measures. We use intent to treat analyses, imputing the missing increases in stress [t(21) = 3.69, p = 0.001].
data at post-test in order to minimize the risk for type 1 For parent satisfaction, multivariate tests show a significant
error. main effect of Time, F(1,49) = 6.59, p = 0.013, η2p = 0.11,
a significant main interaction effect of Time × Group,
Results F(1,49) = 7.47, p = 0.009, η2p = 0.1032, and a non-significant
No significant differences were found in terms of the main effect of Group (p > 0.05). Pre–post significant reductions
demographics among the groups (ps > 0.5). The phases of in parent satisfaction were registered only in the WL condition
the trial are presented in Figure 1. Due to high drop-out rates [t(23) = 4.38, p < 0.001].
registered (54% in the ABM group and 40% in the WL), we For parent self-esteem, multivariate tests show a marginally
analyzed potential reasons, and found that drop-outs had significant effect of Time, F(1,49) = 3.10, p = 0.084, η2p = 0.06,
significantly lower educational level [χ2 (4) = 0.38, p = 0.034], a significant main interaction effect of Time × Group,
and monthly income [χ2 (5) = 15.69, p = 0.008]. F(2,56) = 5.19, p = 0.003, η2p = 0.17, and a non-significant
main effect of Group (p > 0.05). No significant differences were
Descriptive Analyses obtained pre–post for the experimental group (p > 0.05), while
Means and standard deviations for the outcomes in each group the WL group reported increases in self-esteem [t(23) = 3.62,
are presented in Table 1. p = 0.001].
FIGURE 1 | Consort flow diagram of the phases of the ABM versus WL trial.

TABLE 1 | Means and standard deviations for the outcomes in each of the groups.
Group Time ABM WL Total
M SD M SD M SD
Parental distress Pre 34.82 4.79 31.00 7.62 32.37 6.24

Post 34.73 6.01 35.22 11.36 33.58 8.38
PSOC—self-efficacy Pre 32.82 4.14 35.20 6.49 34.20 5.23
Post 33.45 5.05 33.95 5.89 34.20 5.26
PSOC—parent satisfaction Pre 40.86 4.31 41.45 8.12 41.80 6.04
Post 40.68 5.58 38.95 8.59 40.76 6.60
PSOC—self-esteem Pre 73.68 6.47 76.65 13.59 76.00 9.73
Post 74.18 8.10 72.90 13.46 75.14 10.12
Positive interactions Post 7.38 4.09 5.75 1.69 6.39 3.57
Negative interactions Post 5.10 4.00 3.31 0.79 4.24 3.60
PBI-supportive parenting Post 43.88 7.08 38.20 6.94 41.40 7.43
PBI coercive parenting Post 19.88 7.64 12.80 3.79 16.36 6.64
SDQ strengths Post 12.40 1.96 4.50 3.03 7.93 4.19
SDQ difficulties Post 35.30 3.43 18.80 5.49 26.15 8.85
For parental self-efficacy, multivariate tests show a significant STUDY 2

main interaction effect of Time × Group, F(1,49) = 10.21,
p = 0.002, η2p = 0.172, and a non-significant main effect of Time One of the key components of any parenting program is
or Group (p > 0.05). No significant differences were obtained to train parents for detecting and reinforcing positive (i.e.,
pre–post for the experimental group (p > 0.05), while the WL adaptive) behaviors, attitudes, and emotions in children in order
group reported pre–post significant increases in self-efficacy to increase their frequency in the expense of the maladaptive
[t(23) = 2.51, p = 0.019]. ones. Although numerous advantages can be derived from
In terms of the child and parenting at post-test, univariate positive reinforcement of the adaptive responses in children
analyses showed that parents in the ABM group reported and obvious focus of the parenting programs of reinforcing
significantly more daily positive interactions F(1,22) = 6.29, an adaptive response when detected, the actual detection and
p = 0.012, η2p = 0.059, more child strengths F(1,22) = 6.29, reinforcement to positive responses in children remains an issue
p = 0.005, η2p = 0.70, and more supportive parenting of concern. Most parenting programs fail to provide parents with
F(1,20) = 3.25, p = 0.086 (not statistically significant), η2p = 0.14, training on how to spot and recognize the targeted cluster of
compared to the WL group. No significant differences were positive responses (behavior, attitudes, and cognitions) in their
obtained in terms of daily negative interactions, child difficulties children. Such training would be most important for a specific
or coercive parenting between groups at post-test. group of parents, the ones with children who display disruptive
behaviors.
Some online parenting programs curricula have been recently
Discussion investigated (Feil et al., 2008; Enebrink et al., 2012) in terms
We investigated the efficacy of a 1 week ABM procedure of their effects for child and parent outcomes. A meta-analytic
in parents compared to a wait-list. Parents participating in review of these studies (see Nieuwmboer et al., 2013) shows
the intervention group registered significantly better outcomes medium effect sizes of the online parenting programs across
compared to the wait-list, in terms of parent distress, satisfaction, both parent and child outcomes. The Rational Positive Parenting
and child strengths, as reported by the parents. However, we Program (rPPP; Gavita et al., 2013; David and DiGiuseppe,
cannot exclude the fact that the effects could be explained by the 2015) is a cognitive-behavioral program which has recently
wait-list condition changes rather than the significant changes received support for both its full-length format (David et al.,
in the ABM group. There are findings in the literature showing 2014b) and short-lenght format (Gavita et al., 2012), face to face
that patients on the wait list can improve during the trial (Hesser and self-help (Gavit˛a and Călin, 2013). Moreover, this program
et al., 2011) due to factors such as the therapeutic contact or is emphasizing the focus on parent emotion-regulation skills
expectations, and thus such an effect could have arisen in our and has documented (David, 2014) the importance of these
study. Future studies would need to also investigate potential improvements as mechanisms for child outcomes.
mechanisms involved, such as hope or expectancies. Since it This study aims to investigate the efficacy on the online version
was suggested (Bar-Haim, 2010) that the ABM procedure might of the rPPP compared with its version augmented with the
augment the effects of the standard treatments, further research ABM procedure in improving parent and child outcomes. We
should investigate the efficacy of such programs. An important hypothesize that the parents participating in the rPPP + ABM
limitation of the study is the missing baseline data regarding child intervention will report better outcomes compared to the parents
behavior and parenting. participating in the rPPP intervention.

Methods with a module, participants who did not access it, were sent a
Participants reminder via e-mail and a text message by phone. If they did
A total of 53 parents participated in this study, 48 mothers not reply, the next day they received a phone call. The first
and 5 fathers. Parents were aged 24–57 years old (M = 35.97, module of the program offers a rationale for the program, sets
SD = 5.25). 60.4% the parents (30) had only one child, while goals for change, and educates about the behavioral problems
33.2% had two and 6.9% had three children. Parents chose of children and their causes. Parents are asked to monitor their
the child to which they referred while responding to the child’s behavior using a chart based on functional analysis. The
questionnaires. Children referred to were aged 2–12, with a mean next two modules aim to teach participants emotional regulation
age of 6.45 (SD = 3.34), 30 of them being boys and 23 girls. strategies based on the cognitive-behavioral theory. Parents are
79.2% of the parents were married and 1.9% declared themselves taught the ABC model and how to identify the cognitions
to be unmarried, while 5.7% were in an unofficial relationship, that cause their emotions toward their children, and how to
7.5% were divorced, and 5.7% were separated. 92.5% of the tackle these cognitions. A difference between dysfunctional and
parents had earnings above the minimum country wage, while non-dysfunctional negative emotions is made and homework
43.4% of them earned above the mean country wage. In terms is given (to fill cognitive ABC forms and rational statements).
of the educational status, 71.7% had graduate and higher level of After participants learn to manage their parental stress, the
education. Forty-three of the parents lived in the city, while the next five modules aim to teach them positive parenting skills
rest lived in the rural areas. and strategies needed for child behavior management (e.g.,
functional analysis of the behavior, efficient rewarding, ignoring
Measures and distraction, family rules, prompting, efficient usage of
The SDQ, PBI, PSS, PSOC, and positive/negative daily consequences, time-out, reflective listening). The last of the
interactions were measured using the same measures presented modules is used to help parents to establish a prevention plan,
above. The Parent Rational and Irrational Beliefs Scale (P-RIBS; teach them problem solving skills, and summarize what has been
Gavita et al., 2011a) was used to measure irrational cognitions in learned in the program.
parents.
The Rational Positive Parenting Program plus Attention Bias
The P-RIBS (Gavita et al., 2011a) Modification (rPPP + ABM)
P-RIBS is measuring rational and irrational beliefs conceptualized The rPPP + ABM consisted, besides the standard rPPP, of the
as opposite constructs, but not at opposite poles. The scale ABM component described in Study 1, delivered in the so called
contains 20 items, constructed to reflect the four irrational beliefs 7th+ session, with the purpose of reducing the cognitive bias of
(demandingness, awfulizing, low frustration tolerance, and global parents toward the negative stimuli (angry faces of children) and
evaluation) and four rational beliefs (preferences/flexibility, training it toward the positive emotion faces. Participants were
negative evaluations, frustration tolerance, and unconditional asked to follow the ABM training at least once a day for 1 week.
acceptance). The first part of the scale measures the child behavior
and the second, the parent behavior. The total score of the scale Data Analysis
is given by the sum of items, with rational items scored in a We used repeated measures ANOVA with Time (pre–post) as
reversed way. Internal consistencies of the scale showed adequate a within-subject factor and Group (rPPP, rPPP + ABM) as a
psychometric properties on national population (Gavita et al., between subjects variable, for each of the outcomes. Pre-test data
2011a; α = 0.85 in our sample). could not be used the case of the SDQ and PBI questionnaires due
to the online platform error and thus only univariate analyses of
Procedure the post-test data was possible for these measures.
All parents were recruited from the kindergartens and schools
where their children were enrolled. Parents were randomly
allocated 25 in the rPPP group and 28 in the rPPP + ABM
Results
No differences were found between groups in terms of the
group, as presented in Figure 2. Participants signed an online
demographic variables. In terms of the attrition rate, 10 parents
informed consent form prior to being included in the study, and
of the rPPP group dropped out, while 14 of the rPPP + ABM
were informed about the main purposes of the study, about the
dropped until the end of the trial. The phases of the trial are
confidentiality of the data, risks and the possibility to withdraw
presented in Figure 2. We used intent to treat analyses in order
from the study at any time. Participants had a first face to face
to minimize the risk for type 1 error. Due to the high drop-
contact with the clinical psychologist delivering the program,
out rate, we analyzed the differences between completers and
after which they were provided with information regarding their
dropouts in terms of their demographic characteristics and found
status, following steps, and reminders via the email and phone
that significantly more fathers dropped-out [χ2 (1) = 0.0368,
texts.
p = 0.032].
The Rational Positive Parenting Program
The online version of the rPPP consists of eight modules (David Descriptive Analyses
and DiGiuseppe, 2015). Participants received via e-mail web Table 2 presents the means, standard deviations, and effect sizes
links in order to access each module, with a constant rhythm of the pre–post changes (Cohen’s d) for the outcomes in each of
of tow modules per week. At 2 days after receiving the e-mail the groups.

FIGURE 2 | Consort flow diagram of the phases of the rPPP versus rPPP + ABM trial.
TABLE 2 | Means, standard deviations, and effect sizes (Cohen’s d) for the outcomes in each of the groups.
Variable Group Time/coefficient rPPP rPPP + ABM d
M N SD M N SD
Parental distress Pre 31.40 25 7.35 34.61 28 8.68 –

Post 28.64 25 7.86 32.50 28 9.10 −0.49
Parent irrational beliefs Pre 53.40 25 6.38 55.29 28 8.50 –
Post 51.64 25 5.92 52.85 28 10.43 0.14
Parental self-efficacy Pre 34.12 25 6.23 33.07 28 4.89 –
Post 37.32 25 6.34 36.35 28 6.48 −0.15
Parental satisfaction Pre 41.52 25 7.98 42.14 28 6.71 –
Post 43.96 25 7.55 44.78 28 8.03 0.10
Parental self-esteem Pre 75.64 25 12.82 75.21 28 9.43 –
Post 81.28 25 13.16 79.78 28 12.32 −0.11
Supportive parenting Post 47.27 11 3.00 46.50 10 2.64 −0.27
Coercive parenting Post 15.45 11 8.35 14.80 10 9.54 −0.07
Child strengths Post 10.18 11 4.17 13.27 11 1.56 0.98
Child difficulties Post 16.27 11 7.20 16.82 11 5.64 0.08
Daily positive interactions Post 6.50 24 1.93 6.57 28 3.01 0.02
Daily negative interactions Post 3.21 24 2.30 3.79 28 2.35 0.24
Inferential Analysis effect of Group (ps > 0.05). We obtained significantly lower
For parental distress, multivariate tests show a significant main scores in parent’s distress from pre to post intervention for both
effect of Time, F(1,51) = 11.73, p = 0.001, η2p = 0.187, a the rPPP group [t(24) = 3.22, p = 0.004], and marginally for the
non-significant interaction effect of Time × Group, and main rPPP + ABM group [t(27) = 1.90, p = 0.067].

For parent irrational cognitions, multivariate tests show a This is the first study investigating the additive effects of an
significant main effect of Time, F(1,51) = 10.88, p = 0.002, ABM enhanced online parenting program, namely the rPPP.
η2p = 0.176, a non-significant interaction effect of Time × Group, The study offers important preliminary data regarding the effects
and main effect of Group (ps > 0.05). Significant pre–post of integrating the ABM module within the well-researched
reductions in irrational thinking were obtained for the rPPP parenting programs. Considering the accessible format of the
group [t(24) = 2.21, p = 0.036] and for the rPPP + ABM group online parenting programs, the ABM computer-based format
[t(27) = 2.51, p = 0.018]. is especially suitable. However, more studies are necessary
In terms of parent satisfaction, multivariate tests show a for documenting the cost-benefits balance, considering the
significant main effect of Time, F(1,51) = 11.005, p = 0.002, high attrition rate of a longer intervention and the little
η2p = 0.177, and a non-significant interaction effect of support for augmented changes. Moreover, future studies should
Time × Group, or main effect of Group (ps > 0.05). Significant use a componential analysis, while incorporating intermediate
pre–post improvements in parents’ satisfaction were obtained for measures. An important limitation of our study is the lack of
both the rPPP group [t(24) = −3.27, p = 0.003], and for the the baseline measure for child behavior and parenting, the small
rPPP + ABM group [t(27) = −2.24, p = 0.034]. sample size and high attrition rate.
For parent self-esteem, multivariate tests show only a
significant main effect of Time, F(2,51) = 18.18, p < 0.001,
η2p = 0.263, and a non-significant interaction effect of GENERAL DISCUSSION AND
Time × Group or main effect of Group (p > 0.05). Significant CONCLUSION
pre–post changes in parents’ self-esteem were obtained for the
rPPP group [t(24) = −3.65, p = 0.001], and for the rPPP + ABM Training parents for detecting positive responses in children can
group [t(27) = 2.54, p = 0.017]. be considered central to current parenting programs, in that
For parental self-efficacy, multivariate tests show a significant it can assist parents in effortlessly detecting positive behaviors
main effect of Group, F(2,51) = 20.99, p < 0.001, η2p = 0.292, in their children, and giving them the chance to reinforcing
a non-significant main interaction effect of Time × Group them. We proposed (see also David and Podina, 2014) that the
or main effect of Group (ps < 0.05). Significant pre–post ABM procedures can be especially suited for online delivered
improvements in parents’ self-efficacy were obtained for the rPPP parenting programs. Thus, we integrated the ABM training at
group [t(24) = −3.13, p = 0.004], and for the rPPP + ABM group the end of the rPPP but found no benefits on most of the
[t(27) = −1.27, p = 0.002]. outcomes compared with the parenting program alone. However,
In terms of the daily positive or negative interactions reported this could be due to the fact that its integration might be
at post-test, we did not obtain significant differences between most useful in the initial phases of the parenting intervention,
the groups (ps > 0.05). For coercive parenting and supportive for helping parents in detecting positive responses from their
parenting we did not found significant differences between the children. The ABM procedures could be also integrated both
groups (ps > 0.05). No differences were obtained regarding throughout the parenting programs, and during additional
the difficulties experienced after the programs (ps > 0.05). In booster sessions. Additionally, ABM could be an especially
terms of the strengths of children reported by parents after useful tool for parents with a negative cognitive pattern (e.g.,
the interventions, rPPP + ABM worked better F(1,19) = 5.31, distressed or depressed mothers). Since a positive attentional bias
p = 0.032, compared with the rPPP group. can transfer to other processing levels, such as interpretation
or memory bias, boosting emotion-regulation could bring
Discussion important effects on optimal parent–child interaction. In fact,
The present study investigated the efficacy of the online it might be that parents of children with externalizing disorders
version of the rPPP as standalone versus its augmented would profit from the addition of the ABM training to standard
version with ABM. Results show that both versions of the parenting tools. For these parents ABM could offer special
rPPP proved to be effective in improving the emotional and coaching in detecting positive behaviors in their children, due
attitudes outcomes, with high effect sizes. The magnitude to their pre-existing biases to primarily detect the negative
of changes obtained following participation in the online ones.
sPPP, both in terms of parent-related outcomes (parenting, An important limitation of both studies is that we used a
self-efficacy, self-esteem, distress) and child-related outcomes classical ABM paradigm as opposed to the VSTT paradigm
(interactions), is in line with findings in the literature (Dandeneau and Baldwin, 2004) which showed positive results
reporting comparable effects of the online parenting programs and offers the gaming advantage. David and Podina (2014)
to those delivered face to face (see Nieuwmboer et al., developed a parent VSTT involving a game-based search for
2013). No significant differences were obtained between the a happy child face embedded in a matrix of angry faces.
effects of the programs, as hypothesized, regarding parent The nature of the task and its interactive features make it
distress, parent self-efficacy, satisfaction, self-esteem, parenting and attractive and promising tool for boosting self-esteem,
practices. The additive effects of the rPPP augmented with based on the previous findings regarding improvement of
the ABM was found to be significantly higher only in the self-referential processing. Future studies should document its
case of parent reported child strengths, with a high effect effectiveness in training parents’ attention toward positive child
size. cues.

We believe that online delivered parenting tools with implicit To sum up, we aimed to test an implicit parenting intervention
components, like the ABM training, are in support of their for tracking positive responses in children is taking a step
aims. The online format can make the intervention more easily further explicit strategies used in parenting interventions for
accessible and bring cost-effectiveness benefits compared to the enhancing the positive facets of parent–child relationship. Our
standard parenting programs Moreover, the implicit component findings are in line with novel lines of research in the clinical
is could ease the work of parents, by automatizing the negative field, providing initial support for the positive effects of implicit
bias correction. Future studies will need to document ways to attention deployment and reappraisal-based emotion-regulation
minimize the high dropout rates registered by us and reported strategies used within online parenting programs. Future studies
in the internet-based and parenting programs literature (Gavita should focus on integrating innovative tools for improving
et al., 2011b). Since another limitation of present studies is emotion-regulation strategies in parents within online parenting
the lack of follow-up assessment, future studies will need to programs and test their cumulative efficacy. Positive results could
investigate the long-term efficacy of such parenting interventions. offer short enhancements to current evidence-based parenting
Also, future studies will need to investigate comparative efficacy programs with great benefits for children.
of the online parenting program with an active control group,
such as parental support.
Building on studies indicating that cognitions are key
determinants of parenting skills (Gavita, 2011), the rPPP brings a AUTHOR CONTRIBUTIONS
new spin to available programs, in that it focuses on components
OD designed the study, the online platform, analyzed the data,
related to boosting emotion-regulation of parents; it builds on
and wrote the manuscript; DC and AJ contributed to the
developing effective reappraisal strategies in the form of rational
implementation of the protocol and data collection.
cognitions, known as protective factors against psychopathology.
It seems that the ABM procedures focused on positive attention
deployment emotion-regulation can be next incorporated in this
program, given that it is a short intervention, which in newly FUNDING
developed game interface can be enjoyed by both parents and
their children, with potential positive benefits for parental skills This work was supported by a grant awarded to OD from the
and parent–child relationships. Moreover, future studies should Romanian National Authority for Scientific Research, CNCS –
test whether involving children in the program, for playing an UEFISCDI, project number PN-II-PT-PCCA-2013-4-1937. Part
attention training game, would bring benefits in terms of its of this work was supported by a grant awarded to OD from the
efficacy for child outcomes. Babes-Bolyai University, project number GTC_34060/2013.
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PERSPECTIVE
published: 23 September 2016
doi: 10.3389/fpsyg.2016.01451
Using Movement to Regulate

Emotion: Neurophysiological
Findings and Their Application in
Psychotherapy
Tal Shafir 1,2*
1
The Graduate School of Creative Arts Therapies, Faculty of Social Welfare and Health Sciences, University of Haifa, Haifa,
Israel, 2 The Department of Psychiatry, University of Michigan, Ann Arbor, MI, USA
Emotion regulation is a person’s active attempt to manage their emotional state

by enhancing or decreasing specific feelings. Peripheral theories of emotion argue
that the origins of emotions stem from bodily responses. This notion has been
reformulated in neurophysiological terms by Damasio, who claimed that emotions are
generated by conveying the current state of the body to the brain through interoceptive
and proprioceptive afferent input. The resulting brain activation patterns represent
unconscious emotions and correlate with conscious feelings. This proposition implies
that through deliberate control of motor behavior and its consequent proprioception
and interoception, one could regulate his emotions and affect his feelings. This concept
is used in dance/movement (psycho)therapy where, by guiding to move in a certain
Edited by:
Alessandro Grecucci, way, the therapist helps the client to evoke, process, and regulate specific emotions.
University of Trento, Italy Exploration and practice of new and unfamiliar motor patterns can help the client
Reviewed by: to experience new unaccustomed feelings. The idea that certain motor qualities
Angelo Compare,
University of Bergamo, Italy
enhance specific emotions is utilized by the therapist also when she mirrors the client’s
Jorge Leite, movements or motor qualities in order to feel what the client feels, and empathize with
University of Minho, Portugal
them. Because of the mirror neurons, feeling what the client feels is enabled also through
*Correspondence:
observation and imagination of their movements and posture. This principle can be
Tal Shafir
[email protected] used by verbal therapists as well, who should be aware of its bi-directionality: clients
seeing the therapist’s motor behavior are unconsciously affected by the therapist’s bodily
Specialty section:
expressions. Additional implications for psychotherapy, of findings regarding mirror
Emotion Science, neurons activation, are discussed.
Frontiers in Psychology Keywords: emotion regulation, dance/movement therapy, psychotherapy, embodiment, embodied simulation,
empathy, neuroscience, motor behavior
Received: 22 March 2016
Accepted: 09 September 2016
Published: 23 September 2016 One of the goals often sought out in psychotherapy is emotion regulation. Emotion regulation is
Citation: defined as a person’s active attempt to manage his emotional state by enhancing or decreasing
Shafir T (2016) Using Movement specific feelings. This is the “processes by which individuals influence which emotions they
to Regulate Emotion:
have, when they have them, and how they experience and express these emotions” (Gross,
Neurophysiological Findings and Their
Application in Psychotherapy.
1998, 2002). Emotion regulation is essential for healthy psychological functioning. Deficits in
Front. Psychol. 7:1451. the regulation of interpersonal emotions have been linked to psychiatric disorders, and teaching
doi: 10.3389/fpsyg.2016.01451 patients emotion regulation strategies has improved symptoms in a variety of emotional disorders

Shafir Using Movement to Regulate Emotion
(Farchione et al., 2012). While most previous studies of applied processes, which generate a myriad of physiological changes
techniques for emotion regulation concentrated on cognitive (e.g., alterations in the levels of hormones, neurotransmitters,
strategies such as reappraisal, distancing, and distraction, or trophic factors, endocannabinoids, immune system function)
on behavioral strategies such as exposure for desensitization that both elevate mood and contribute to the reduction of
or response modulation, one of the most readily available but stress, anxiety, and depression. In addition, there is evidence to
underutilized strategies is emotion regulation through changes suggest that qualitative modifications of motor behavior, such
to posture and movement. Until recent years this strategy was as engaging in specific facial expressions, postures, and whole
considered a body-mind based alternative therapy approach and body movements, probably use a different mechanism to enhance
was rarely studied scientifically, but it is in fact highly compatible their corresponding affects. This mechanism is likely based on
with neurophysiological findings. proprioceptive input to the brain regarding the current state of
Peripheral theories of emotion argue that the origin of the body’s muscle activation pattern and joint configuration, and
emotional feelings stem from bodily responses. This notion, existing associations in the brain between certain proprioceptive
suggested by Darwin (1872) and James (1884), has been reformu- input and specific emotions (Lee et al., 2006; Hennenlotter et al.,
lated in neurophysiological terms by Damasio. According to 2009). These associations are probably partly innate and partly
Damasio, emotions are generated by conveying the current learned: some associations, such as between freezing and fear,
state of the body to the brain through interoception (input between shrinking and lowering the body and expression of
representing the physiological state of the body, such as thermal, timidity and submissiveness, or between displacement activities
metabolic, hormonal) and proprioception (input from muscles such as grooming or lip biting and stress (Troisi, 2002),
and joints). The resulting brain activation patterns represent exist also in the animal kingdom and are probably innate.
unconscious emotions, and correlate with subjective conscious Other associations are probably learned through the process of
feelings (Damasio, 1999; Damasio et al., 2000; Damasio and Hebbian learning, similar to the learning process of conceptual
Carvalho, 2013). Damasio’s framework implies that through representations of actions, based on the theory of embodied
deliberate control of motor behavior and its consequent semantics for actions (Aziz-Zadeh and Damasio, 2008), although
proprioception and interoception, one could regulate one’s this proposition has yet to be proven by research. Two other
feelings (Riskind, 1984). muscle-activation based strategies for emotion regulation are
Another neurophysiological finding supporting emotion progressive muscle relaxation, which reduces stress (Pawlow
regulation through movement, is the mirror neurons activation and Jones, 2005), and specific breathing patterns, which are
during motor observation. Although the linkage between mirror capable of reducing stress (Brown and Gerbarg, 2005) or inducing
neuron activity and the behavior of larger neuronal networks differentiated emotional states (Philippot et al., 2002).
is unknown, it was suggested that mirror neurons have a role Exercise (i.e., quantitative changes in motor behavior) has
in embodied simulation. It is posited that embodied simulation been shown to be effective in reducing mild to moderate
creates in the observer an internal simulation of the observed depression in both clinical and non-clinical populations
movements, leading to elicitation of the same emotions felt and (Rethorst et al., 2009; Josefsson et al., 2014) as well as reducing
expressed by the observed moving person (Niedenthal, 2007; anxiety in a variety of anxiety disorders (Strohle, 2009;
Heberlein and Atkinson, 2009; Gallese and Sinigaglia, 2011). Asmundson et al., 2013). As a result, exercise is now increasingly
This embodied simulation process that takes place during motor recommended as a natural, safer, low-cost alternative to
observation is the base for emotional empathy (Nummenmaa medication, or as an augmented intervention alongside
et al., 2008; Decety, 2011). medication, for a series of mental conditions and disorders.
Lastly, it was found that during motor imagery, the motor Progressive muscle relaxation and specific breathing patterns
system is activated similar to its activation during motor are often taught and used for stress reduction as part of the
execution (Grezes and Decety, 2001; Filimon et al., 2007), except strategies taught in cognitive behavioral therapy. As for the
for an additional inhibition of the final motor output (Guillot associations between certain postures and movements and
et al., 2012), leading to embodied simulation of the movements. specific emotions, they are widely used in somatic therapies and
This in turn generates a simulated sensory experience of in dance/movement (psycho)therapy (DMT). These associations
those movements (Naito et al., 2002) and sometimes even real between specific movements and corresponding emotions are
changes in heart rate and respiration (Decety et al., 1991) that used in DMT for regulation (i.e., elicitation or diminution) of
consequently can elicit the associated emotion, similar to its specific emotions through motor execution, motor observation,
elicitation by motor execution of the same movements. The and motor imagery of their associated movements, and all three
following paragraphs will demonstrate how the regulatory effects of these processes can be used in the practice of other forms of
on emotions, of motor execution, observation and imagery, are psychotherapy as well.
utilized in psychotherapy. During motor execution, as mentioned above, the proprio-
Different types of motor-behavior modifications contribute to ceptive input from the muscles and joints to the brain evokes an
emotion regulation based on different underlying mechanisms associated emotion. Since our body is always in some type of a
(Shafir, 2015). Quantitative changes in motor behavior, i.e., posture, whether we lie down, sit, stand or are in motion, the
increased intensity and/or duration of muscular activity such posture that an individual assumes and the type of movements
as during exercise, produce changes in autonomic nervous he is engaged in have a constant and continuous effect on
system activation (e.g., increased heart rate) and in metabolic his affective state. Different postures and movement patterns

are associated with and evoke different emotions (Duclos and in the therapist the same emotions that are felt by the moving
Laird, 2001; Carney et al., 2010; Shafir et al., 2013, 2016; Koch, client. This too can be done by a verbal psychotherapist. By
2014; Koch et al., 2014). This concept is used in behavioral mirroring the sitting posture of a client and the changes in
therapy, when patients are encouraged to smile as a behavioral his posture throughout the therapeutic session, the therapist
intervention to help them elevate their mood, even when the can better feel the client’s emotional fluctuations during the
smile is initially artificial. The activation of the facial muscles session.
into an expression that is associated with happiness evokes or In addition to motor execution, motor observation can
enhances this associated emotion, leading to the improvement also enhance in the observer the emotion associated with the
in mood. This notion is similarly used in DMT in various ways, observed movements (Shafir et al., 2013). This is accomplished
by activating muscles of the entire body: to help clients bring up probably through activation of the mirror neurons, as explained
and/or process their feelings, dance/movement therapists guide above. By observing the client’s movements while paying special
clients to move their entire bodies in particular ways. attention to the feelings they evoke within her, the therapist
Clients are often encouraged during a DMT session to can better feel what the client is feeling. This is true not only
embody, improvise and express in movement the problem they for dance/movement therapists but for any (verbal or other)
are trying to solve and how they would go about solving it, as therapist observing clients’ movements both as they enter the
well as their attitude toward a certain person or situation, or room and during the therapy session. Movements for this
their behavioral or emotional response to specific conditions or purpose need not only be big movements involving the entire
stimuli (Bernstein, 1995). These movements elicit and enhance body, as are often performed during DMT sessions, but can
the emotions that are associated with them, helping the client to be any type of movement performed while sitting and talking,
consciously identify, fine-tune and process the associated feelings including facial expressions, gestures, displacement activities that
(Mills and Daniluk, 2002). In addition, therapists help clients to express stress (Troisi, 2002), changing sitting positions, etc.
explore their feelings by suggestions to move in ways associated It should be mentioned, however, that although motor
with different attitudes (Ginsburgs and Goodill, 2009). Therapists observation enhances the feelings associated with the observed
also guide clients to regulate their emotions by suggesting to movements, research has shown that motor execution leads to
move in specific ways which promote movements associated with more intense feelings when compared to the feelings evoked
a desired emotion, and/or by suggesting to reduce and avoid by motor observation of the same movements (Shafir et al.,
motor patterns associated with undesired emotions. For example, 2013). Thus, if a therapist observing a client is unsure about
by suggesting to practice moving with the head erect, the gaze the client’s feelings, mimicking the client or moving with similar
directed straight forward, and with his back straight and chest motor qualities (Shafir et al., 2016) could help the therapist clarify
raised and expanded, a therapist can help a client to experience and identify those feelings, by enhancing them within herself.
and increase feelings of self-confidence and pride. Conversely, Indeed, Sletvold (2015) adopted this idea in his model for clinical
giving “homework” to a client, to consciously avoid looking supervision, in which the supervisee is asked to assume physically
down, slumping his shoulders and chest, etc., during daily the position of his patient and from there to explore embodied
activities, can help reduce feeling “down.” Another important empathy in depth.
way by which dance/movement therapists use movements to Although mirroring the client’s movements is a technique
affect their clients’ emotional state is inviting the client to explore often used in DMT, it is sometimes inappropriate, and the
and practice new and unfamiliar motor patterns. By guiding the therapist must rely solely on motor observation to understand
client to expand their motor vocabulary, the therapist helps them and empathize with the client’s emotions. On such occasions, it
to learn and practice new motor patterns, leading to experience is important to know that the ability to transform observations
of desirable feelings that the client may not have had access to of motor expressions into an internal simulation of those
before. movements and thus feel the associated emotions is a skill
The principle of motor execution as a mean to affect emotion that therapists can develop and improve. Two neuroscientific
can be used not only in DMT but also in other forms of findings support this notion. The first is Catmur et al.’s (2007,
psychotherapy by, for example, asking clients to change their 2008) finding that the mirror neuron system is plastic and
sitting posture during a verbal therapy session: if a client who is develops through sensorimotor learning. The implication of this
used to sitting in a closed, bent posture changes his sitting posture finding is that by practicing unfamiliar movements which are
into an open, erect one, this could affect his entire experience not normally within a therapist’s motor repertoire, such as for
during the therapy session. example, stereotypical movements of autistic children, dyskinetic
The principle of motor execution as a way to enhance the movements of people with Parkinson, or very fast, frantic
associated feelings can be utilized not only by clients, but by movements for a therapist whose natural motor behavior is slow
therapists as well. It is not uncommon for a DMT therapist and calm, dance/movement therapists can teach themselves to
to mirror her client’s movements or motor qualities. While better sense the feelings associated with and evoked by such
motor mirroring usually serves to give feedback to the client unfamiliar movements. The second discovery is that of Calvo-
and/or a feeling of being noticed and accepted, it is also used Merino et al. (2005, 2006) who found that the mirror system
to increase the therapist’s empathy and understanding of the is activated more when we observe movements that are within
client’s emotional state (McGarry and Russo, 2011). Imitating our motor repertoire, as compared to movements that we have
the client’s movements or the quality of their movements evokes little or no experience doing. This finding implies that the

more personal experience one has moving a certain movement, his movements. Such behavior of the therapist often makes
the easier it will probably be for her to internally simulate the client feel reassured, supported and empathized by the
that movement and feel its associated emotion. This finding therapist, and it strengthens the connection between client and
emphasizes the importance for dance/movement therapists of therapist (McGarry and Russo, 2011). This strategy too, can
having a wide range of movement experiences and large motor be utilized by other types of therapists, who can consciously
vocabulary: the more experience a dance/movement therapist has imitate their clients’ small gestures or changes in sitting position
in a variety of different movement styles, the easier it will be for during therapeutic sessions. In fact, extant literature contains
her to mirror, empathize and “feel” a variety of people moving several examples that demonstrate the effectiveness of such a
with diverse motor patterns. strategy: Maurer and Tindall (1983) found that high school
One important thing to remember in relation to the activation juniors perceived their counselors’ level of empathy as higher
of the mirror neurons during motor observation is that it happens when the counselors sat in a posture that was congruent with their
to everyone. This means that, similar to the ability of the therapist own posture during the counseling session when compared to a
to infer what the client is feeling based on the client’s movements non-congruent posture. Ramseyer and Tschacher (2011) found
and posture, the client can feel the therapist’s feelings when that psychotherapeutic relationships that were characterized by
observing the therapist’s body language. Therapists should be higher non-verbal synchrony between the patient and therapist
aware of this reciprocity and constantly monitor and control during face to face sessions were rated by the patients as having
their body language, avoiding movements and postures that can higher relationship quality between the patient and therapist, and
negatively affect clients, and adopting postures and movements they increased the patients’ self-efficacy more than therapeutic
that can positively affect the therapeutic process. We all have relationships characterized by lower such non-verbal synchrony.
a natural tendency to automatically and unconsciously mimic In addition, patients with high synchrony had a higher reduction
the behavior of the people we interact with (Chartrand and of symptoms and less insecure attachment patterns at the end of
Lakin, 2013). During a therapeutic session with for example, a treatment.
depressed client, the therapist should be aware of how much Motor imagery has also been found to enhance the emotions
she automatically adopts the hopeless, lethargic posture of the associated with imagined movements (Shafir et al., 2013).
client in front of her. While adopting a slightly similar posture Motorically disabled or physically sick clients with limited motor
may give the client a sense of empathy, fully adopting the client’s capabilities can use motor imagery instead of motor execution
helpless, slumped posture might give the client a message of to elicit desired emotions, imagining themselves, for example,
despair and the inability of the therapist to help him. Another running on the beach or dancing at a party, to improve their
obvious example would be to consciously avoid any facial or mood. Clients can also use motor imagery as part of practicing
bodily expression of disgust that a client may evoke in a through mental simulation a desired behavioral response, for
therapist. example, by imagining themselves standing in a grounded, open,
Although some clients may feel uncomfortable seeing and firm posture, to help themselves feel more confident and
themselves being mirrored, studies have shown that most people self-assured when mentally practicing being assertive during a
feel more positive about someone who imitates them. While difficult social interaction. Therapists, on the other hand, could
some researchers ascribed this phenomenon to increased social use motor imagery to enhance the empathic effects of motor
bonding and interpersonal closeness (Lakin et al., 2003) or observation, by imagining themselves doing the movements they
an indication of pre-existing rapport (Scheflen, 1964), recent observe their clients doing.
findings suggest that the reason is that observing mimicry In conclusion, based on peripheral theories of emotion, the
triggers reward related processing regions in the brain, leading mirror neuron system, and specific brain activation during motor
to elicitation of positive affect. Kühn et al. (2010) has shown observation and motor imagery, motor behavior, its observation,
that being imitated compared to not being imitated activates and its imagination can affect one’s emotional state, and these can
brain areas that have been associated with emotion and reward be utilized in various ways during psychotherapy.
processing, namely the medial orbitofrontal cortex/ventromedial
prefrontal cortex, and that these regions show higher effective
connectivity with the striatum and mid posterior insula AUTHOR CONTRIBUTIONS
while being imitated compared to not being imitated. This
phenomenon is used in DMT when the therapist joins the The author confirms being the sole contributor of this work and
client and moves in front of him or at his side, mirroring approved it for publication.
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Troisi, A. (2002). Displacement activities as a behavioral measure of Copyright © 2016 Shafir. This is an open-access article distributed under
stress in nonhuman primates and human subjects. Stress 5, 47–54. doi: the terms of the Creative Commons Attribution License (CC BY). The use,
10.1080/102538902900012378 distribution or reproduction in other forums is permitted, provided the original
author(s) or licensor are credited and that the original publication in this
Conflict of Interest Statement: The author declares that the research was journal is cited, in accordance with accepted academic practice. No use,
conducted in the absence of any commercial or financial relationships that could distribution or reproduction is permitted which does not comply with these
be construed as a potential conflict of interest. terms.

HYPOTHESIS AND THEORY
doi: 10.3389/fpsyg.2016.00862
Synchrony in Psychotherapy:
A Review and an Integrative
Framework for the Therapeutic
Alliance
Sander L. Koole * and Wolfgang Tschacher
1
Department of Social Psychology, Vrije Universiteit Amsterdam, Amsterdam, Netherlands, 2 University Hospital of
Psychiatry Bern, University of Bern, Bern, Switzerland
During psychotherapy, patient and therapist tend to spontaneously synchronize their

vocal pitch, bodily movements, and even their physiological processes. In the present
article, we consider how this pervasive phenomenon may shed new light on the
therapeutic relationship– or alliance– and its role within psychotherapy. We first review
clinical research on the alliance and the multidisciplinary area of interpersonal synchrony.
We then integrate both literatures in the Interpersonal Synchrony (In-Sync) model
of psychotherapy. According to the model, the alliance is grounded in the coupling
of patient and therapist’s brains. Because brains do not interact directly, movement
synchrony may help to establish inter-brain coupling. Inter-brain coupling may provide
Edited by:
patient and therapist with access to another’s internal states, which facilitates common
Alessandro Grecucci, understanding and emotional sharing. Over time, these interpersonal exchanges may
improve patients’ emotion-regulatory capacities and related therapeutic outcomes. We
Reviewed by:
discuss the empirical assessment of interpersonal synchrony and review preliminary
Lynden K. Miles,
University of Aberdeen, UK research on synchrony in psychotherapy. Finally, we summarize our main conclusions
Gianluca Esposito, and consider the broader implications of viewing psychotherapy as the product of two
interacting brains.
*Correspondence:
Sander L. Koole Keywords: interpersonal sychrony, linguistic alignment, co-regulation, inter-brain coupling, interpersonal neural
[email protected] synchronization, interpersonal emotion regulation, implicit emotion regulation
Specialty section:
This article was submitted to Psychotherapy is traditionally known as ‘the talking cure’, a term that originates from Bertha
Emotion Science, Pappenheim, one of the first patients to receive psychotherapeutic treatment (Breuer and Freud,
a section of the journal 1895/1995). Patient and therapist undeniably do much talking in modern psychotherapy. Yet,
psychotherapy is more than mere talk. Patient and therapist have bodies that interact with each
Received: 14 February 2016 other in space and time. Consequently, patient and therapist do not just communicate through
Accepted: 24 May 2016 words, but also through their bodily behavior. Indeed, the bodily behavior of patient and therapist
Published: 14 June 2016
tends to become synchronized during psychotherapy, such that they display coupled patterns in
Citation: vocal pitch (Imel et al., 2014), head movements (Ramseyer and Tschacher, 2014), and whole body
Koole SL and Tschacher W (2016)
movements (Ramseyer and Tschacher, 2011, 2014). Patient and therapist may even literally get
Synchrony in Psychotherapy:
A Review and an Integrative
under each other’s skin, as evidenced by matching levels of skin conductance (Marci et al., 2007).
Framework for the Therapeutic The pervasive synchrony between patient and therapist have so far received little attention
Alliance. Front. Psychol. 7:862. within mainstream clinical psychology. This seems unfortunate because research outside
doi: 10.3389/fpsyg.2016.00862 the clinical domain has shown that synchrony plays a key role in establishing rapport

Koole and Tschacher Synchrony in Psychotherapy
(Vacharkulksemsuk and Fredrickson, 2012), perspective taking psychoanalysis, recognized that a positive attachment between
(Wheatley et al., 2012), and the development of adaptive patient and therapist helps the patient to stay committed to
emotion-regulation (Feldman, 2007). There are thus strong psychotherapy (Freud, 1912, 1913) (see Horvath and Luborsky,
grounds to suspect that synchrony is highly relevant to 1993). Sterba (1934) later spoke of an “alliance” between
psychotherapy. The need to understand non-verbal processes the therapist and the rational parts of the patient’s ego,
in psychotherapy has become especially urgent now that new an idea also present in Freud’s later writings (Freud, 1937).
technologies make it possible to conduct psychotherapy without The work of Greenson in the 1960s helped to make the
face-to-face contact (Newman et al., 2011) and large-scale alliance a widely used concept within psychoanalysis (Greenson,
implementation of these new technologies is at hand (Kazdin and 1965, 1967). According to Greenson, the alliance reflects the
Blase, 2011). patient’s motivation and capacity to perform psychoanalytic
In the present article, we develop a theoretical framework for work. The alliance has remained a major focus in contemporary
understanding the role of synchrony in psychotherapy. In the first psychoanalytic approaches, which regard the patient-therapist
section, we begin by reviewing prior theory and research on the relationship as a bond that can become deeply meaningful and
patient-therapist relationship, or alliance. In the second section, highly emotionally charged for the patient (Shedler, 2010).
we discuss the notion of synchrony and the pervasive influence The alliance has further been a major interest in the
that it has on interpersonal relationships. In the third section, humanistic tradition in psychotherapy, which has developed in
we integrate the alliance and synchrony literatures. Specifically, the 1950s from the ideas of philosophers such as Kierkegaard,
we propose the Interpersonal Synchrony (In-Sync) model, a new Husserl, and Heidegger (Cain, 2002; Yalom, 2002; Van
theoretical model that explains how patient-therapist synchrony Deurzen, 2012). The humanistic tradition has mainly held
may foster the alliance, and thereby, adaptive emotion regulation. the therapist responsible for the alliance. Particularly influential
We also consider recent advances in the empirical assessment of has been client-centered therapy (Rogers, 1951; Erekson and
patient-therapist synchrony and review relevant research. Finally, Lambert, 2015), which suggests that the therapist should relate
in the fourth section of this article, we summarize our main authentically with the patient, while offering acceptance and
conclusions and discuss some of the broader implications of the empathy for the patient’s perspective. Carl Rogers, the founder of
In-Sync model. client-centered therapy, believed that the effectiveness of every
form of psychotherapy is ultimately due to the therapist’s capacity
to form an authentic, accepting, and empathic relationship with
THE ALLIANCE the patient (Rogers, 1957).
Compared with the psychoanalytic and humanistic traditions,
During psychotherapy, patient and therapist work together the alliance has received less attention within the cognitive-
in structured sessions to alleviate the patient’s problems. behavioral tradition to psychotherapy (for a comprehensive
This working together is the alliance, also known as the overview, see Dobson, 2009). Although cognitive-behavioral
therapeutic bond, therapeutic relationship, treatment alliance, therapists have regarded a good alliance as a precondition for
helping alliance, or working alliance. It seems intuitively obvious psychotherapy, most of them do not regard the alliance as directly
that a good alliance should benefit psychotherapy. However, the curative. Focusing on the alliance has also been taken as a
therapeutic significance of the alliance has been highly debated devaluation of specific therapeutic techniques that are advocated
among clinical psychologists (Elvins and Green, 2008; Horvath by the cognitive-behavioral tradition, given that the alliance is
et al., 2011; Wampold and Imel, 2015). In this section, we common to all psychotherapies. However, therapeutic effects
selectively review theories of and research on the alliance. We of the alliance are by no means incompatible with specific
begin by situating the alliance among the major therapeutic factors, and indeed, the two types of factors are likely to interact
traditions within clinical psychology. Next, we turn to the main in psychotherapy (Tschacher et al., 2014a). Consistent with
empirical findings that have accumulated with regard to the this, there is a growing consensus in clinical psychology that
alliance. We conclude by discussing how scientific understanding common and specific factors jointly shape therapeutic outcomes
of the alliance may be further enhanced. (Hofmann and Barlow, 2014; Laska et al., 2014).
Even though the therapeutic significance of the alliance
Conceptualization of the Alliance has not been directly investigated by cognitive-behavioral
There are presently at least 500 psychotherapies within clinical psychologists, the cognitive-behavioral tradition has had a
psychology, which share certain formal characteristics (e.g., major influence on the conceptualization of the alliance. Most
delivery by a trained therapist, structured sessions), but differ in of this influence occurred indirectly, through the cognitive-
contents (Prochaska and Norcross, 2013). Because of the large behavioral psychologists’ emphasis on objective empirical
number of psychotherapies, it is convenient to group them into methods. Psychoanalytic and humanistic notions of the alliance
psychoanalytic, humanistic, and cognitive-behavioral traditions were originally complex and hard to observe empirically.
(Wampold and Imel, 2015). These three major therapeutic Under the influence of the cognitive-behavioral tradition, the
traditions have each contributed in their own way to the modern empirically less tractable elements of the alliance have gradually
notion of the alliance (for more details, see Hougaard, 1994). shifted in to the background, whereas empirically observable
Notions related to the alliance first arose within the aspects have been given more weight (for a conceptual geneology
psychoanalytic tradition. Sigmund Freud, the founder of of the alliance, see Elvins and Green, 2008).

By becoming more empirically grounded, the alliance a treatment causes patients’ improvements. Unfortunately, the
has become increasingly a trans-theoretical construct, whose trial method does not easily lend itself to studying alliance effects.
meaning cuts across therapeutic traditions. This trans-theoretical The effects of the alliance are typically very broad and cut across
orientation is clearly apparent in the work of Bordin (1979), specific psychotherapies (Flückiger et al., 2012). This makes it
who merged different theoretical contributions in his general difficult to determine what a plausible placebo treatment without
concept of the working alliance, as (1) agreement of goals; (2) a good alliance would look like. The alliance may even interact
assignment of tasks; and (3) the development of a bond between with the placebo, given that placebo effects may become enhanced
patient and therapist. Bordin saw these features as central to when the treatment provider evokes a strong (rather than weak)
all psychotherapies. The alliance is the most widely endorsed alliance with the patient (Kaptchuk et al., 2008). The effects of the
factor that is common among all psychotherapies (Grencavage alliance thus go beyond the traditional logic of the randomized
and Norcross, 1990; Frank and Frank, 1993). Accordingly, controlled trial.
the alliance has been a key interest within the psychotherapy Because of the difficulties in applying the trial method to the
integration movement, which seeks to draw together the different alliance, almost all research to date on the alliance has been
psychotherapy traditions (Grawe, 1997, 2007; Norcross and correlational. In most studies, the patient and the therapist (or
Goldfried, 2005; Stricker and Gold, 2013). sometimes an external observer) rate the quality of the alliance
The modern notion of the alliance subsumes all collaborative on a questionnaire. Various standardized scales exist to this end
elements within the therapeutic relationship (Horvath et al., (for overviews, see Elvins and Green, 2008; Ardito and Rabellino,
2011), regardless of how these elements are associated with 2011). For instance, the widely used Working Alliance Scale has
the patients’ prior interpersonal attachments. Most researchers items such as “[My therapist] and I understand each other” and
distinguish between the personal/social-emotional aspects of the “We agree on what is important for me to work on” (Horvath and
alliance and its task-related aspects (Bales, 1950; Bordin, 1979; Greenberg, 1989). A factor-analytic study of three widely used
Hougaard, 1994). Empirically, however, ratings of personal and alliance scales found that the core of patients’ view of the alliance
task alliance tend to be highly correlated (Elvins and Green, consists of being confident in and committed to a process that
2008). Researchers from different therapeutic traditions have feels promising and helpful (Hatcher and Barends, 1996). Items
emphasized either the patient’s or the therapist’s contributions relating to goals and tasks emerged as a single factor, and tend to
to the alliance. However, the latter may be mainly a matter be correlated in other studies as well (Elvins and Green, 2008),
of perspective, given that the alliance emerges from the suggesting Bordin’s (1979) distinction between goals and tasks
mutual interactions between patient and therapist (Bordin, 1979; may be too strongly drawn.
Hougaard, 1994; Tschacher et al., 2015). The relation between the alliance and therapeutic outcomes
has been extensively investigated. In a meta-analysis of
Alliance Research 190 independent studies, Horvath et al. (2011) found an
The alliance is one of the most frequently studied topics within average correlation of the alliance and outcomes of individual
contemporary clinical psychology (Elvins and Green, 2008; psychotherapy of 0.275. Other meta-analyses have yielded
Horvath et al., 2011; Wampold and Imel, 2015). Nevertheless, similar correlations (e.g., Martin et al., 2000). It thus appears
the therapeutic significance of the alliance remains controversial. that prevailing measures of the alliance on average account
One important reason for this controversy is that alliance effects for about 7% of psychotherapy outcomes. Although the latter
do not fit very well into the standard medical model, which relation is statistically modest, it is robust across different kinds
has been widely applied to psychotherapy (for an extended of studies (randomized controlled trials or other), different types
discussion, see Wampold and Imel, 2015). In the medical model, of psychotherapy (e.g., cognitive-behavior therapies or other),
the patient suffers from a physical condition that is treated with a different alliance measures, and different types of outcomes (e.g.,
cure that is specifically designed toward alleviating this condition. specific symptoms or general wellbeing). Moreover, the average
For instance, a patient suffering from a bacterial infection may effect of the alliance is larger than the effects of other treatment
be treated with antibiotics by her physician. A basic assumption variables such as therapist adherence to treatment manual or
of the medical model is that the effectiveness of a cure is largely therapist competence (Webb et al., 2010).
independent of the relationship between the patient and the Because research on the alliance-outcome link has been
person providing the cure. After all, most bacteria get killed by correlational, the causal direction of this link remains uncertain
antibiotics, regardless of who provides them. The medical model (for an extended discussion of this point, see DeRubeis et al.,
hence leaves little, if any, room for a potential curative role of the 2005). It could be, for instance, that ratings of the alliance reflect
alliance. how well the therapy has progressed. However, the alliance-
The methodological gold standard of the medical model is outcome link is only slightly reduced (to r = 0.25), and still
the randomized controlled trial, in which patients are randomly statistically significant, in studies that assessed the alliance during
assigned to either a treatment that is expected to be active or the first few sessions of psychotherapy (Flückiger et al., 2012). The
a control (placebo) treatment that is expected to be inactive latter pattern suggests that the alliance is more than just the result
(Danziger, 1994; Shapiro and Shapiro, 2000). To the extent that of therapeutic success.
treated patients do better than patients who received the placebo, Another possibility is that the alliance is linked to outcomes
the treatment is considered effective. The major strength of the because “better” patients more easily form a strong alliance.
randomized controlled trial is that it allows one to determine if However, variations in patients’ contribution to the alliance are

not linked to better outcomes (Flückiger et al., 2012). By contrast, et al., 2012), emotion science (Rimé, 2009), and dynamical
therapists who form stronger alliances tend to achieve better systems theory (Tschacher et al., 2015). Consequently, alliance
outcomes with their patients than therapists who form weaker research would do well to nurture a more multidisciplinary
alliances (Baldwin et al., 2007; Del Re et al., 2012). Therapists orientation.
who achieve better therapeutic outcomes also score higher on a
standardized measure of interpersonal skills such as empathy and Outlook
warmth (Anderson et al., 2009). Overall, empirical findings are Alliance research has achieved important progress, by conceiving
consistent with the idea that the alliance is an active ingredient of of the alliance as the collaboration between patient and therapist,
psychotherapy. and by establishing that patients’ and therapists’ reports of the
alliance can account for about 7% of psychotherapy outcomes.
Taking Alliance Research Further Still, many basic questions remain about the nature of the
As we have seen, modern alliance research has achieved alliance. How does the alliance emerge from the mutual
important theoretical and empirical progress. Even so, important interactions between patient and therapist? How is the alliance
aspects of the alliance remain incompletely understood and, manifested in body and brain? And what can disciplines outside
in some cases, even hardly investigated. One of the greatest clinical psychology tell us about the alliance? In what follows,
challenges is to understand the dynamic interpersonal nature we seek to derive some answers to these questions from the
of the alliance. The alliance is more than the sum of the multidisciplinary area of synchrony research.
individual contributions of the patient and therapist. Indeed, the
alliance emerges from the mutual interactions between patient
and therapist, that reciprocally influence each other as the actions SYNCHRONY
of the patient influence the actions of the therapist, which then
go on to influence the patient whose actions again influence the The alliance is an interpersonal phenomenon. Principles that
therapist, and so on. Theoretical accounts of the alliance should govern interpersonal relations are thus clearly relevant to
do justice to these interpersonal dynamics, which go the heart understanding how the alliance works. Among the most
of the alliance as a trans-active, relational phenomenon (Bordin, basic of these principles is interpersonal synchrony. Whenever
1979; Hougaard, 1994; Tschacher et al., 2015). people interact, they are inclined to spontaneously synchronize
A second aspect that needs to be further developed is the their neural, perceptual, affective, physiological, and behavioral
methodology of alliance research. So far, most alliance research responses (Semin and Cacioppo, 2008; Wheatley et al., 2012;
has relied on subjective ratings by the patient and the therapist, Repp and Su, 2013). This interpersonal synchrony is part of a
and sometimes external observers (Elvins and Green, 2008). broader family of synchrony phenomena that occur throughout
When research has gone beyond rating scales, it has mainly the natural and life sciences (Pikovsky et al., 2003; Strogatz, 2003).
examined the verbal-linguistic interactions during psychotherapy The word “synchrony” derives from the Greek words syn, which
(e.g., Muntigl et al., 2013). Alliance research has thus focused means the same or common, and chronos, which means time.
almost exclusively on the subjective aspects of the alliance that “Synchrony” thus literally means “occurring at the same time”.
can be directly explicated in the words of the patient and the In this section, we selectively review synchrony theory and
therapist. However, there are also physical aspects of the alliance research. We begin by discussing how synchrony is a unifying
that can be observed objectively, such as patient and therapist’s principle that can explain many different kinds of complex,
movements, along with their physiological responses (e.g., heart self-organizing systems, from pendulum clocks to the human
rates), and neurological activations. Measuring these objective, brain. After this, we zoom in on interpersonal synchrony. We
physical aspects of the alliance is often technically difficult, which end this section with significance of interpersonal synchrony
may be why these kinds of measures have been understudied. for emotion regulation, a topic that is particularly relevant for
Nevertheless, the scientific analysis of the alliance will not be psychotherapy.
complete until it addresses both the subjective-linguistic and
the objective, physical aspects of the alliance (Tschacher et al., Synchrony and Self-Organization
2015). Synchrony operates throughout many biological systems.
A third and last aspect that needs to be developed lies in Well-documented examples of synchrony can be found in
the connections between alliance research and other scientific cell assemblies, morphogenesis, and evolutionary mutation
disciplines. To date, research on the alliance has been essentially (Kauffman, 1993; Karsenti, 2008). Synchrony is further
a mono-disciplinary enterprise that is conducted exclusively by important in the functioning of neural networks (Haken,
clinical psychologists. This approach seems overly restrictive, 2013). We consider neural synchronization in somewhat more
given that the alliance is a multi-faceted phenomenon that detail because it illustrates how synchrony works in a biological
has many meaningful relations with topics that are studied system that is of central interest to psychologists.
in other scientific disciplines. Indeed, several disciplines have The human brain consists of nearly 100 billion neurons
made advances that seem potentially relevant to the scientific that operate in assemblies of functionally specialized regions.
analysis of the alliance, including relationships science (e.g., The activities of these neural assemblies must somehow be
Fitzsimons et al., 2015), social-cognitive neuroscience (e.g., integrated to yield coherent patterns of thoughts, feelings, and
Konvalinka and Roepstorff, 2012), cognitive linguistics (Fusaroli behaviors. This large-scale neural integration may be achieved

by synchronizing the activity of neural assemblies (Varela does not depend on intentions or any other quality of the
et al., 2001). More specifically, activated neural assemblies individuals who are behaving in synchrony. Rather, synchrony
have the intrinsic property to oscillate electrically in certain arises as a self-organized behavioral pattern from people’s mutual
rhythms (Herrmann et al., 2015). Because these oscillations interactions.
modulate neural excitability, neural assemblies communicate
most effectively when their oscillations are synchronized Interpersonal Synchrony
(Fries, 2005). Especially oscillatory rhythms in the beta/gamma Synchrony emerges in a wide range of social contexts. For
range (20–80 Hz) may help facilitate communication between instance, synchronous behavior often characterizes the behavior
distributed neural functions (Varela et al., 2001; Fries et al., 2007; of large groups, ranging from termite nests and schools of
Uhlhaas et al., 2009). Neural synchrony thus appears to play a key fish (Camazine et al., 2001) to highway traffic (Lee et al.,
role in coordinating brain functions. 1998). Moreover, synchrony in face-to-face interactions plays
Although synchrony is nowadays a major topic in the life a key role in the formation of interpersonal bonds (Feldman,
sciences, research on synchrony started in the natural sciences. 2007; Wiltermuth and Heath, 2009; Vacharkulksemsuk and
Indeed, first scientific description of synchrony was rendered Fredrickson, 2012). The latter, interpersonal, forms of synchrony
by Dutch scientist and mathematician Christiaan Huygens seem most relevant for psychotherapy.
in the 17th century (see Pikovsky et al., 2003). Having just In an early field study, independent judges observed more
patented the first pendulum clock, Huygens was working to movement synchrony in videotaped interactions between high
adapt its design for ships on the open sea. During one sea school students and their teachers, relative to control videos
trial, he suspended two pendulum clocks with hooks on a composed of randomly selected interactions (Bernieri, 1988).
wooden beam (Huygens, 1673/1986). Huygens then observed These field observations have been corroborated by the results
that the motions of each clock became so much in agreement of behavioral experiments using well-defined cognitive-motor
that that they never receded from another and their sounds tasks, in which participants can move more or less in synchrony
were always heard simultaneously. He further noted that the with another. Research on interpersonal movement coordination
agreement between the clocks became quickly reestablished if developed out of studies of intrapersonal synchrony (bimanual
it was disturbed. Huygens carefully examined this “sympathy finger movements), which resulted in the synergetic model
of two clocks” and discovered that the pendula communicated of Haken et al. (1985). Across experiments, participants have
their oscillations onto the wooden beam to which they were been found to display a consistent tendency to synchronize
suspended, which led the pendula to produce exactly contrary their movements, even when they were previously unacquainted
swings. (e.g., Oullier et al., 2008; van Ulzen et al., 2008; Varlet et al.,
The development of electrical engineering in the 1920s 2011).
provided a major impetus to synchrony research (Pikovsky et al., Synchrony has further been documented in linguistic
2003). As it turned out, the frequency of a generator can be communication. For instance, people’s breathing patterns during
synchronized by a weak external signal of a slightly different conversation are highly correlated, either negatively (out of
frequency, a principle that became the basis of the modern phase) or positively (in phase) (Yang, 2007). Breathing is
radio. It gradually became clear that synchronization phenomena most closely synchronized near turn-taking and periods of
are part of a broader class of self-organizing systems, in which simultaneous laughter or speech, indicating that breathing
order arises from the non-linear interactions between individual synchrony is closely tied to the communicative process (Warner,
parts. The basic principles of self-organization were formulated 1996; McFarland, 2001). Furthermore, conversants tend to have
by Hermann Haken in the 1970s and 1980s, who was initially highly coordinated postural sway and match each other’s eye gaze,
trying to understand laser light transitions. Haken’s work led to even when they cannot see their partner (Shockley et al., 2003;
synergetics theory, a mathematical approach to self-organizing Richardson D.C. et al., 2007; Brown-Schmidt and Tanenhaus,
systems that has been applied to both non-living and living 2008). Finally, people are spontaneously inclined to synchronize
systems (Haken, 2012). their word use, a tendency that occurs not only for content
Haken’s (2012) synergetics theory shows how the words (what someone is saying) but also for function words (how
unpredictability of complex systems is often greatly reduced by someone is saying it) (Pickering and Garrod, 2004; Ireland and
the emergence of order parameters. Notably, there is a circular Pennebaker, 2010).
causality between the order parameters and the individual Though interpersonal synchrony is ubiquitous, it occurs more
components of the system: The individual components generate readily in the context of positive relationships. For example,
the order parameters that, in turn, determine the behavior of the in the aforementioned field study among teachers and students
individual components. Non-linear dynamics can thus explain (Bernieri, 1988), significantly more movement synchrony was
how synchronous patterns can emerge ‘spontaneously’ (i.e., observed when teachers and students mutually trusted each
without a central coordinating agent) within a complex system. other. Likewise, mothers synchronize their movements more
The latter has important implications for the study of human with their own children than with unfamiliar children (Bernieri
behavior, because there is a deeply engrained tendency among et al., 1988), and couples high on marital satisfaction synchronize
lay people and scientists to attribute coherent patterns in social more than couples low on marital satisfaction (Julien et al.,
behavior to the intentions or other qualities of the individual 2000). In addition, people synchronize more with people with
person. The emergence of synchronous behavior, however, whom they wish to develop positive relationships (Miles et al.,

2011), and with people with whom they have self-disclosed to distinguish between internal and external regulation, as long as
(Vacharkulksemsuk and Fredrickson, 2012). their mutual dependencies are acknowledged.
Once interpersonal synchrony emerges, it has important During early developmental stages, interaction patterns
individual and social consequences. Several experiments have between the child and caregivers set the stage for interpersonal
shown that leading people to move in synchrony promotes synchrony (see Feldman, 2007, for an overview). Already
cooperation and helping behavior (Wiltermuth and Heath, within the first hours after birth, mothers strategically initiate
2009; Kirschner and Tomasello, 2010; Valdesolo and DeSteno, vocal and tactile stimulation when the child displays an alert
2011). The behavioral effects of synchrony may be partly state, establishing the first contingency between the infant’s
explained by increases in pro-social motivation, given that internal state and the caregiver’s behavior. Such maternal
moving in synchrony has been found to increase liking, stimulation is associated with the onset of non-verbal synchrony
compassion, and rapport with partners (Hove and Risen, between child and mother, and between child and father
2009; Valdesolo and DeSteno, 2011; Vacharkulksemsuk and (Feldman and Eidelman, 2007). Developmentally primary forms
Fredrickson, 2012). However, synchrony may do more than of interpersonal synchrony are thus closely coordinated with
merely shift people’s motivational state. A recent study showed systems that self-regulate arousal and attention within the child
that moving in synchrony led participants to display greater (Feldman, 2006).
perceptual sensitivity to movements, which in turn was associated By the age of 9 months, the child’s ability to respond to
with greater success in a subsequent joint-action task (Valdesolo changes in caregiver’s affect results in mutually synchronous
et al., 2010). Consequently, interpersonal synchrony may not affective exchanges in brief episodes of about 10 s (Feldman,
only increase people’s willingness to coordinate their actions with 2007). These micro-level affective exchanges play an important
others, but also their capacity for doing so. role in the development of the child’s capacity for self-regulation,
Research has further begun to illuminate the neural bases particularly in regulating own emotional states (Tronick, 1989;
of interpersonal synchrony. In so-called hyper-scanning Hofer, 1995). For instance, one study showed that mutual affect
studies, researchers have used various techniques (such as synchrony with the mother when the child was 9 months
electroencephalographs, magnetic resonance imaging, near predicted self-control abilities at age 2 years, even after
infrared spectroscopy) to make simultaneous recordings of statistically controlling for temperament, IQ, and maternal style
brain activities while participants are sharing a task (for reviews, (Feldman et al., 1999). In a related vein, another study found
see Konvalinka and Roepstorff, 2012; Babiloni and Astolfi, that greater parent–child synchrony predicted better emotion
2014; Hari et al., 2015). The types of shared tasks that so regulation skills at a later point in time over a period of 10 years
far have been investigated have ranged from simple button (Feldman, 2015). The later findings are consistent with the idea
presses to interactive games and group discussions. Across that interpersonal synchrony enhances the capacity for emotional
studies, a consistent finding is that joint activities lead to self-regulation.
interpersonal synchronization of neural activations. For instance, It seems straightforward that interpersonal synchrony
one experiment simultaneously recorded the brain actions of regulates children’s emotions during interactions with their
guitarists playing a short melody together (Lindenberger et al., caregivers. After all, synchronous interaction is associated
2009). The results showed that interpersonally coordinated with emotional security (Feldman, 2007), which should down-
actions (i.e., behavioral synchrony) are preceded and regulate emotional distress. However, interpersonal synchrony
accompanied by interbrain oscillatory couplings in the prefrontal also enhances children’s capacity for emotion regulation when
cortices. Other studies have shown that interpersonal neural their caregivers are physically absent (Feldman, 2015). The latter
synchrony is associated with better joint performance (Cui et al., may occur because interpersonal synchrony leads the self to
2012) and more effective communication (Jiang et al., 2015). become more involved in the interaction (Paladino et al., 2010;
Although more work is needed, the available findings suggest Pinel et al., 2015). People’s memory for what is associated with
that interpersonal synchrony at the behavioral level gives rise to the self is considerably better than people’s memory for what is
interpersonal neural synchronization. dissociated with the self (Symons and Johnson, 1997). Moreover,
affect-regulatory processes may become associated with the
self (Kuhl, 2000; Koole and Coenen, 2007). Consequently,
Interpersonal Synchrony and Emotion interpersonal synchrony may help children to internalize the
Regulation emotional security that is associated with the relationship with
The term ‘interpersonal synchrony’ seems to suggest that what their caregiver.
is synchronized happens entirely between persons, leaving Although the links between interpersonal synchrony and
unchanged what happens within the person. In reality, however, emotion regulation have been mostly investigated among
interpersonal synchrony continually interacts with the person’s children, these links are likely to remain important in adulthood.
inner regulatory resources. The boundaries between internal and The clearest support for this notion has been found in the
external regulation thus become blurred. Indeed, synchronous domain of close relationships (Butler and Randall, 2013; Ferrer
activity may actually lead people’s perceptions of the self and the and Helm, 2013; Timmons et al., 2015). People in close
synchronous other to become merged, both at the level of the relationships are usually attuned to their partner’s emotions,
body and at the conceptual level (Paladino et al., 2010; Mazzurega leading to synchronization of emotional responses between
et al., 2011). Nevertheless, for analytic purposes, it remains useful relationship partners, or ‘co-regulation’ (Butler and Randall,

2013). Co-regulation is linked to synchronization of non-verbal As can be seen in Figure 1, the In-Sync model distinguishes
behavior (Marci and Orr, 2006; Feldman et al., 2011). Synchrony three levels of processing. The different levels are descending in
of emotional processes may thus transfer to close relationships terms of their processing speed and ascending in terms of the
in adulthood. Notably, co-regulation entails more than merely complexity of cognitive inferences that are involved. Processes at
matching of each other’s emotional responses, because this may Level 1 operate on a phasic time-scale, which runs from a few
easily lead to escalating arousal levels, or ‘codysregulation’ (Reed hundred milliseconds to about 10 s, and involves the simplest
et al., 2015). Instead, co-regulation maintains emotional arousal forms of cognitive inferences, namely, automatic associations
of the dyad around a healthy homeostatic balance (Timmons between perceptions and action. Processes at Level 2 operate
et al., 2015). on a tonic time-scale, which runs from 10 s to about an hour,
and involves more complex forms of social cognition, such as
Outlook language and reasoning. Finally, processes at Level 3 operate on
Synchrony, or the temporal coordination of interacting parts, a chronic time-scale, which runs from several weeks to years,
can be observed in complex self-organizing systems throughout and involves the development of complex emotion-regulatory
the natural and life sciences. A growing number of studies abilities. In what follows, we discuss each level in more detail.
have examined interpersonal synchrony in neural, perceptual- Notably, there are likely to exist multiple feedback loops between
motor, emotional, social, and behavioral processes. This research levels, represented in Figure 1 as double-sided arrows.
has achieved important progress, for instance, by showing that Level 1 of the In-Sync model (perceptual-motor processes)
interpersonal synchrony may facilitate positive exchanges and starts with movement synchrony, the most basic form of
enhance adaptive emotion regulation. Nevertheless, the field interpersonal synchrony in psychotherapy. Movement synchrony
has remained somewhat scattered. Neural, perceptual-motor, may occur in any perceptual-motor system that can operate
emotional, social, and behavioral forms of synchrony have been automatically, such as facial expressions (Feldman, 2007), eye
studied separately, without considering how they relate to each gaze (Richardson D.C. et al., 2007), breathing patterns (Yang,
other and function together in an interpersonal relationship. We 2007), or whole-body movements (Ramseyer and Tschacher,
consider a potential integration of these sub-processes in the next 2011). Movement synchrony presumably promotes inter-brain
section, on synchrony in psychotherapy. coupling between patient and therapist. The synchronization of
motor movements is ideally suited for this purpose because the
link between perception and motor action is highly automatic
(Prinz, 1990; Dijksterhuis and Bargh, 2001; Wheatley et al., 2012).
SYNCHRONY IN PSYCHOTHERAPY Motor movements thus provide a continuous stream of behavior
that can be rapidly and effortlessly synchronized, even when
As we have seen, synchrony plays a pervasive role in
patient and therapist’s conscious attention is directed elsewhere
interpersonal relationships. It thus seems likely that interpersonal
(Oullier et al., 2008; Varlet et al., 2011).
synchrony extends to the patient-therapist relationship during
At Level 2 of the In-Sync model, inter-brain coupling
psychotherapy. To analyze how this may occur, we present the
facilitates more complex social-cognitive processes that together
Interpersonal Synchrony (In-Sync) model of psychotherapy, a
constitute the alliance. The key distinction with Level 1 is
new framework that combines insights from various literatures,
that cognitive representations at Level 2 no longer have a
including social-cognitive neuroscience, cognitive linguistics,
direct connection with motor systems. Consequently, Level 2
psychophysiology, developmental science, relationship science,
cognition is capable of forming goals and intentions that are
and emotion science. After laying out the In-Sync model, we
maintained over longer periods of time (Goschke and Kuhl,
discuss the empirical assessment of interpersonal synchrony.
1993). In addition, Level 2 cognition is capable of retrieving
Finally, we review the available literature on synchrony in
prior autobiographical experiences and connecting these with
psychotherapy on the basis of the In-Sync model.
new experiences in a coherent self-memory system (Conway
and Pleydell-Pearce, 2000; Kuhl et al., 2015). Traditionally, the
Interpersonal Synchrony Model of higher cognitions of Level 2 are conceived as separate from
Psychotherapy the more elementary perceptual-motor processes of Level 1.
The core idea of the In-Sync model is that the alliance emerges However, research has shown that complex forms of information
from the coupling of the neural activity of the brains of the patient processing build upon and extend basic perceptual-motor
and therapist. The more tightly patient and therapist’s brains are processes (Barsalou, 2008; Williams et al., 2009; IJzerman and
coupled, the better the alliance. Of course, patient and therapist’s Koole, 2011). In a similar vein, the In-Sync model assumes that
brains do not communicate directly. Their coupling can thus the complex cognitions that form the alliance are grounded in
be achieved only indirectly, through the mutual coordination elementary perceptual-motor processes.
of the patient and therapist’s behavior and experiences. For analytic purposes, the In-Sync model breaks the alliance
This mutual coordination is achieved through synchronous down into three different –but closely interacting– component
activities of the patient and therapist. Synchrony thus helps processes. The first component of the alliance is the development
to establish the alliance, which in turn promotes adaptive of shared mental representations of meanings, that is, a common
emotion regulation in the patient, and thereby good therapeutic language. The development of a common language occurs
outcomes. through mutual adaptation to another’s linguistic behaviors, a

FIGURE 1 | The Interpersonal Synchrony (In-Sync) model of psychotherapy.
process that is also known as linguistic alignment. Research The third and last component of the alliance is affective
within cognitive linguistics has shown that more abstract forms co-regulation (Butler and Randall, 2013), and consists of the
of linguistic alignment build upon more basic perceptual- joint regulation of affective responses and their physiological
motor processes during face-to-face interaction –the elementary correlates. Co-regulation will often be achieved automatically,
synchronization processes of Level 1 (Pickering and Garrod, through the synchronization of patient and therapist’s motor
2004). Having a common language facilitates joint problem actions. For instance, when patient and therapist are talking
solving and coordination (Fusaroli et al., 2012). Common with each other, their breathing patterns will often become
language is thus particularly relevant to the task- and goal-related synchronized (Warner, 1996; McFarland, 2001), which in turn
aspects of the alliance (Bordin, 1979). may synchronize their heart rates and their associated levels of
The second component of the alliance consists of patient and physiological arousal (Hirsch and Bishop, 1981). However, co-
therapist’s mutual sharing of subjective experiences. This process regulation entails more than automatic physiological matching.
is also known as I-sharing (Pinel et al., 2015), after William For instance, when a patient gets upset during psychotherapy,
James’ classic term for the subjective self, the “I”. Experiments it will not be helpful if the therapist becomes similarly
have shown that I-sharing promotes social bonding and works upset. Instead, it will be more beneficial if the therapist finds
as a powerful antidote to feelings of existential isolation (Pinel complementary ways of responding to the patient so that they
et al., 2004). I-sharing is therefore most relevant to the personal both return to their homeostatic balance. The latter form of
aspects of the alliance (Bordin, 1979). Synchrony is likely to co-regulation requires more active regulation, especially on the
promote I-sharing, by reinforcing the impression that patient part of the therapist. Presumably, effective therapists know how
and therapist are undergoing similar experiences (Paladino et al., to keep the physiological variations during the therapy within
2010). Furthermore, to the extent that synchrony fosters the healthy homeostatic limits (for a description of experiential-
coupling of patient and therapist’s brain states, synchrony may dynamic techniques for co-regulation, see Grecucci et al.,
allow patient and therapist to share each other’s experiences 2015). Co-regulation thus appears to be a vital, though largely
(Semin and Cacioppo, 2008). uncharted, aspect of the alliance.

At Level 3, the therapeutic effects of the alliance lead to The most commonly used statistical method for assessing
improvements in the patient’s self-regulatory capacities. These interpersonal synchrony relies on determining the correlations
self-regulatory improvements are likely to apply particularly between the activities of interaction partners. Researchers first
to the patient’s ability to deal with her or his emotions. The record the activities of each of the interaction partners over time.
alliance is intimately tied to emotional processes (Greenberg Most studies of interpersonal synchrony to date have examined
and Safran, 1989). Furthermore, over 75% of the categories movement dynamics, which may be recorded by means of
of the Diagnostic and Statistical Manual of Mental Disorders video images or dedicated motion-tracking devices (Delaherche
(American Psychiatric Association, 2013) are characterized by et al., 2012). However, there is growing interest in interpersonal
problems with emotion regulation. Emotion dysregulation thus synchrony in physiological responses (Butler and Randall, 2013),
underlies many of the most common forms of psychopathology, and neurological responses (Hari et al., 2015). After the responses
including anxiety and mood disorders (Barlow et al., 2004; Kring have been recorded, their relevant features are extracted and
and Sloan, 2009; Gratz et al., 2015; Grecucci et al., 2015). The subjected to statistical analysis. Typically, the time series of the
In-Sync model therefore assumes that the therapeutic effects of interaction partners are analyzed by computing a time-lagged
the alliance are achieved by improving the patient’s capacity for cross-correlation within brief time windows.
emotion regulation. Notably, the In-Sync model does not rule out The duration of these time windows is a critical factor and
that the alliance may also have beneficial effects for the therapist. may be determined theoretically or through empirical means.
However, because of the model’s clinical focus, our theoretical Adopting an empirical approach to this matter, one study
emphasis is on the patient’s outcomes. analyzed videos of 51 same-sex dyads from Stanford University
The In-Sync model further distinguishes between explicit who were engaged in several conversation tasks (e.g., planning a
and implicit emotion regulation. Explicit emotion regulation is meal together, finding out what they had in common) (Tschacher
based on self-insight and conscious emotion-regulatory strategies et al., 2013). The results showed that the dyads’ body movements
and techniques. Because explicit emotion regulation is mediated were significantly associated within time windows of about 6 s.
by language, it may benefit most from the common language Beyond this time window, the associations between the dyads’
(goal-related) component of the alliance. Implicit emotion movements were at chance levels. The time window of non-
regulation, by contrast, does not require conscious intentions verbal synchrony may represent the ‘social present’, that is, the
(Gyurak et al., 2011; Koole and Rothermund, 2011; Koole time duration that interaction partners subjectively experience
et al., 2015). The In-Sync model assumes that skills at implicit their togetherness in the here and now. The social present may
emotion regulation derive from the combined effects of co- be akin to the individual present, the time window that people
regulation and I-sharing. Through co-regulation, the patient’s subjectively experience as ‘now’ (Pöppel, 2009).
physiological arousal becomes stabilized around a healthy To determine the time window of interpersonal synchrony,
homeostatic balance. When co-regulation occurs together with the aforementioned study had to separate genuine synchrony
I-sharing, the patient’s self-involvement will be high, which allows from randomly coinciding movements. This problem applies
the patient to internalize the calming effects of co-regulation. This more generally to synchrony research. Let us say that a
internalization makes it possible for the patient to implicitly self- patient and a therapist just moved their arm within a
regulate similar affective states on subsequent occasions (Kuhl second of each other. This could mean that patient and
et al., 2015). therapist’s movements are indeed synchronized. However,
it could also be that patient and therapist independently
decided to move their arm and, by a mere stroke of
Empirical Assessment of Interpersonal fortune, their individual movements occurred simultaneously.
Synchrony How can we separate synchrony from such chance events?
The study of interpersonal synchrony, whether in psychotherapy A sophisticated solution to this problem is to construct
or other settings, involves a unique set of challenges (see ‘pseudo-interactions’, that is, artificial datasets of behavior
also Delaherche et al., 2012). The first major challenge is to of individuals who did not really interact with each other
specify in concrete terms what interpersonal synchrony is and (Bernieri, 1988). This approach has recently been implemented
what it is not, so that it can be distinguished from other in automated computer algorithms that can generate pseudo-
phenomena. Interpersonal synchrony refers to the temporal interactions by randomly sampling from actual interpersonal
coordination of behavior between interaction partners. When interactions at very brief time intervals (Ramseyer and Tschacher,
interaction partners become synchronized, they become adapted 2010). Such stringent statistical controls are necessary to
to each other’s rhythms and cycles of activity, like people who conclude whether interpersonal synchrony has occurred or
are dancing together. This mutual adaptation may mean that not.
interaction partners come to display similar behaviors. However, A final set of challenges derives from the need to record and
interpersonal synchrony does not always involve imitation or process activities that become synchronized during interpersonal
mimicry (Chartrand and Lakin, 2013). For instance, if one interactions. Interpersonal synchrony involves a variety of non-
interaction partner nods her head in response to another’s verbal responses such as bodily movements, shifts in intonation,
hand movements, this still qualifies as interpersonal synchrony. or changes in heart rate. Because these non-verbal responses
Interpersonal synchrony thus depends on the mutual timing of are often subtle and may occur within seconds or mere
responses, regardless of the precise form of these responses. fractions of seconds, registering them often requires specialized

equipment. Fortunately, technological developments have greatly sessions were analyzed using the automated movement algorithm
improved the user-friendliness and affordability of the relevant MEA. The results showed that non-verbal synchrony between
measurement devices. Physiological variables such as heart rate patient and therapist was significantly higher than would be
and electrodermal responses can be assessed with ever lighter and expected by chance (i.e., a baseline of pseudo-interactions).
smaller devices at increasingly affordable prices (Cacioppo et al., Moreover, a reanalysis of a subset of the sample showed that
2007). Likewise, neurological measures have become increasingly the patient-therapist synchrony occurred both for movements
non-invasive and adaptable to the investigation of interpersonal of the head and of the rest of the body, (Ramseyer and
dynamics (Hari et al., 2015). These and other technologies have Tschacher, 2014). Thus, synchrony in psychotherapy was not
helped to make the assessment of interpersonal synchrony at once only driven by speech activity. Taken together, these findings
more efficient, more accurate, and more comprehensive. provide convincing evidence for movement synchrony during
After the data have been recorded, researchers have to psychotherapy.
extract the relevant features from people’s activities. For instance, The In-Sync model further predicts that movement synchrony
in one classic study, judges coded the amount of movement should facilitate inter-brain coupling between patient and
synchrony between students and teachers in frame-by-frame therapist. As far as we know, there have been no studies
video recordings (Bernieri, 1988). Such manual coding is time- on this topic. Nevertheless, the link between movement
consuming, and typically takes up more time than actual data synchrony and inter-brain coupling has been confirmed in
collection. Again, technological innovation has gone a long motor tasks (Lindenberger et al., 2009). Moreover, inter-brain
way toward addressing this problem. The costs of coding may coupling is higher when conversations partners are facing each
be considerably reduced if the process can be automated. For other than when they are sitting back-to-back (Jiang et al.,
instance, researchers at the University of Bern, Switzerland, 2012), presumably because face-to-face communication allows
have developed Motion Energy Analysis (MEA), a software more movement synchrony. Though research in psychotherapy
package for automated coding of whole body movements from settings is needed, the available evidence is consistent with
video images. MEA has become a useful tool for investigating the notion that movement synchrony fosters inter-brain
interpersonal synchrony in clinical and non-clinical contexts coupling.
(e.g., Ramseyer and Tschacher, 2011; Paxton and Dale, 2013).
An added advantage is that MEA eliminates the subjectivity of Level 2: The Alliance
human observers, and thus provides more objective coding. In The second major prediction of the In-Sync model is that
future years, comparable software will likely become available movement synchrony will improve the quality of the alliance.
for the coding of non-verbal affect (e.g., Huis in ‘t Veld et al., Consistent with this, several experiments that examined
2014; Lewinski, 2015) and vocalizations (e.g., Lee et al., 2014), simulated psychotherapy sessions have shown that therapists
modalities that currently still rely on manual coding. are rated more favorably and as more empathic when they are
instructed to make their movements more (rather than less)
Research on Synchrony in synchronized with the patient (Trout and Rosenfeld, 1980;
Psychotherapy Maurer and Tindall, 1983; Sharpley et al., 2001). In addition, the
Building on the aforementioned technological and previously discussed clinical study by Ramseyer and Tschacher
methodological advances, recent research has begun to (2011) found that movement synchrony between patient
systematically address the role of synchrony in psychotherapy. and therapist, assessed at the start of the psychotherapy, was
In the following paragraphs, we review this emerging area. In so predictive of the quality of alliance, as rated by the patient at the
doing, we use the In-Sync model as a framework of organizing end of each session. Thus, converging findings support the idea
and interpreting the available findings. For each level of the that movement synchrony fosters the alliance.
model, we discuss the extent to which key predictions of the The aforementioned studies assessed the alliance via subjective
In-Sync model have been supported by empirical findings, have reports. However, the In-Sync model also distinguishes objective
remained unexamined, or when findings appear inconsistent components of the alliance. These objective components have
with the model. For each topic, we also note which kinds so far received only little research attention. Nevertheless, we
of research are still needed to fill the gaps in our scientific discuss some preliminary work on this topic. The first objective
understanding of synchrony in psychotherapy. component of the alliance is the emergence of a common
language between patient and therapist. One pioneering study of
Level 1: Movement Synchrony language use during psychotherapy examined 122 sessions by 122
The first major prediction of the In-Sync model is that patient therapists in the USA (Lord et al., 2015). Using written transcripts
and therapist should be inclined to synchronize their movements of the sessions, the study assessed linguistic style synchrony, that
during psychotherapy. A relevant study that examined this is, whether patient and therapist used the same function words
issue selected 104 sessions from an archive of videotaped (e.g., personal pronouns, prepositions) at each conversational
psychotherapies at the outpatient psychotherapy clinic of the turn. Linguistic style synchrony was significantly correlated with
University of Bern in Switzerland (Ramseyer and Tschacher, empathy of the therapist, as rated by trained observers in a
2011). Patients suffered from a wide range of problems, including standardized test. Though preliminary, these findings fit with the
anxiety disorders, affective disorders, and other diagnoses In-Sync model’s proposed link between common language and
except for psychotic disorders and substance dependency. The the alliance.

The second objective component of the alliance is I-sharing, Level 3: Emotion Regulation
or the sharing of subjective experiences between patient and The third and last major prediction of the In-Sync model is
therapist. Given that I-sharing is based on shared subjective that patient-therapist synchrony, through its beneficial effects
experiences, it may not be considered an objective component on the alliance, should foster adaptive emotion regulation.
of the alliance. From the perspective of the In-Sync model, The link between movement synchrony and emotion is well-
however, shared experiences are closely tied to the interpersonal established in parent–child interactions (Feldman, 2007), but
synchrony. Thus, even though the phenomenological contents has been less investigated in the adult literature. Nevertheless,
of a person’s experience may be subjective, the degree to there are indications that the synchrony-emotion link emerges
which the experience is shared can be determined through among adults. One study (Tschacher et al., 2014b) examined
objective means. Interpersonal synchrony can be assessed the synchrony-emotion link during conversations, a setting that
with neuro-imaging methods, or inferred from synchrony in has some similarity with psychotherapy. Specifically, this study
movements, language use, or physiological activations. These recorded movement synchrony and affective changes among 84
various forms of interpersonal synchrony are necessary, but previously unacquainted dyads while they were conversing about
not sufficient to conclude that I-sharing has taken place. various pre-selected topics (e.g., tuition fees at the university).
I-sharing means that the person’s self has become involved The results showed that movement synchrony was associated
in the interpersonal interaction. This self-involvement may be with increases in positive affect and decreases in negative affect.
verified by assessing the accessibility of self-related knowledge Moreover, this association was only found after a conversation,
(Koole and Jostmann, 2004) or memory for self-related material consistent with the notion that movement synchrony caused the
(Baumann and Kuhl, 2003). At present, we are not aware affective change, rather than the other way around.
of any research that has used this methodology to examine Additional findings suggest that synchrony may also foster
I-sharing in psychotherapy. The role of I-sharing in the alliance emotion regulation in clinical settings. In the aforementioned
must therefore await future research (see also Pinel et al., clinical study by Ramseyer and Tschacher (2011), movement
2015). synchrony between patient and therapist was a longitudinal
The third objective component of the alliance is affective co- predictor of symptom reduction at the end of psychotherapy.
regulation. To study co-regulation in psychotherapy, researchers Because the majority of patients in this sample suffered from
need to assess the inter-relations between patient and therapist’s emotional disorders, this finding fits the idea that patient-
affective responses while they are interacting (Ferrer and therapist synchrony fosters emotion regulation. Nevertheless, the
Helm, 2013). One study that meets these criteria examined evidence is indirect, because psychological symptoms may also
patient-therapist concordance in skin conductance, assessed become reduced though non-emotion related processes (e.g.,
among 20 patient-therapist dyads in 15-s windows during more regular sleeping hours, better nutrition). Future work on
a 45 min session of psychodynamic therapy (Marci et al., synchrony in psychotherapy should therefore include more direct
2007). Skin conductance concordance was associated with higher measures of patients’ emotion-regulatory skills. In addition, it
patient ratings of therapist empathy, and more positive social- would be important to assess both implicit and explicit measures
emotional interactions for both patients and therapists, as rated of emotion regulation, and to investigate if these show the
by independent observers. These findings suggest that skin relations with the different components of the alliance that are
conductance concordance may tap into co-regulation processes proposed by the In-Sync model.
within the alliance. Taken together, research has supported several important
Two other studies measured the relation between therapist aspects of the In-Sync model, particularly for movement
empathy and patient-therapist synchrony in vocal pitch (Imel synchrony between patient and therapist. At the same time,
et al., 2014; Reich et al., 2014). Vocal pitch synchrony is relevant research on synchrony in psychotherapy is still in an early
to affective co-regulation because vocal pitch is associated stage. More well-controlled studies are needed to study the role
with emotional arousal (Scherer et al., 2003). One study of synchrony in psychotherapy and to test various predictions
found that vocal pitch synchrony was positively associated of the In-Sync model. In particular, future research should
with therapist empathy (Imel et al., 2014). However, the address the effects of synchrony on inter-brain coupling within
other study found that vocal pitch synchrony was negatively psychotherapy and on the three objective components of
associated with therapist empathy and therapeutic outcomes the alliance, common language, I-sharing, and affective co-
(Reich et al., 2014). The latter may mean that effective therapists regulation. Moreover, research should be aimed at the transitions
sometimes dampen the patient’s emotions to prevent emotional between the different levels of the In-Sync model, to understand
escalation. Such would be in line with the close relationships how the movement synchrony and inter-brain coupling may
literature, where some forms of physiological linkage between become translated into improvements in the alliance and how the
partners (e.g., in cortisol levels) are negatively correlated with alliance may facilitate emotion regulation.
relationship satisfaction (Timmons et al., 2015). Though more
research is needed, these preliminary findings suggest that Outlook
patient and therapist coordinate their affective responding According to the Interpersonal Synchrony (In-Sync) model,
within psychotherapy. This is consistent with the affective co- movement synchrony supports the alliance –common language,
regulation within the alliance that is presumed by the In-Sync I-sharing, and affective co-regulation between patient and
model. therapist– and thereby facilitates adaptive emotion regulation in

the patient. Though research on synchrony in psychotherapy is 2012; Repp and Su, 2013). Because interpersonal synchrony
challenging, recent innovations have enabled rigorous research in has been studied in various disciplines, findings and paradigms
this domain. Initial findings are supportive of the In-Sync model, have tended to remain somewhat isolated from each other. For
but more research is needed to fully assess the validity of the instance, adult research on motor synchrony (Repp and Su, 2013)
model. has so far made little contact with developmental research on
synchrony in facial affect (Feldman, 2007), and both lines of
research have just started to connect with research on inter-brain
CONCLUSION coupling (Konvalinka and Roepstorff, 2012) and research on
affective co-regulation in close relationships (Butler and Randall,
In the present article, we have highlighted the role of synchrony 2013). The In-Sync model helps to draw together these and other
in the therapeutic alliance. As the term is used here, synchrony lines of research, by using them jointly to analyze the nature of the
refers to the temporal coordination of the activities of patient and alliance. In this manner, the alliance may form a center of gravity
therapist. After reviewing the alliance and synchrony literatures, for interpersonal synchrony researchers, where they can develop
we integrated both literatures in the Interpersonal Synchrony and test ideas about the interplay of various forms of synchrony.
(In-Sync) model. According to the In-Sync model, synchrony The resulting insights into the alliance may subsequently be used
facilitates the alliance, which in turn promotes the patient’s to understand other kinds of interpersonal exchanges.
emotion-regulatory skills. Consistent with this, research has The In-Sync model inevitably has limitations. A first limitation
shown that patient and therapist synchronize their movements is that the In-Sync model assumes the alliance has therapeutic
during psychotherapy and that such movement synchrony is benefits. This assumption seems reasonable given the current
positively associated with the alliance and therapeutic outcomes. state of the psychotherapy literature (Horvath et al., 2011;
Moreover, there is suggestive evidence that synchrony plays a role Wampold and Imel, 2015). Nevertheless, in cases where the
in establishing a common language and affective co-regulation alliance has no or only limited benefits, the In-Sync model
between patient and therapist. The In-Sync model is thus a is not or only partly applicable. A second limitation is the
promising framework for understanding the alliance and its role In-Sync model does not include patient expectancies that may
in psychotherapy. give rise to placebo effects, which are part of some models of
The In-Sync model builds on and complements prior theory the alliance (e.g., Wampold and Imel, 2015). Expectancies derive
and research on the therapeutic alliance (Horvath and Luborsky, from relatively stable individual beliefs, which are relatively
1993; Elvins and Green, 2008; Wampold and Imel, 2015). In independent from the moment-to-moment synchrony between
line with this work, the In-Sync model regards the alliance as patient and therapist. Synchrony may influence the patient’s
a collaborative relation between patient and therapist that is beliefs indirectly, by increasing receptiveness to the therapist’s
important in shaping therapeutic outcomes. The In-Sync model suggestions (Tanner and Chartrand, 2008; Kelley et al., 2009).
adds a number of new elements, however, including the idea that However, direct benefits of positive expectancies –placebo
movement synchrony and inter-brain coupling are foundational effects– cannot be explained by the In-Sync model.
to the alliance; a specification of objective components of Finally, a third limitation is that the In-Sync model, like
the alliance, common language, I-sharing, and affective co- all models, is a simplified version of reality. In years to
regulation; and an emphasis on emotion regulation as a major come, research is likely to uncover new factors that shape the
outcome of alliance effects. Moreover, the In-Sync model effects of synchrony in psychotherapy. For instance, the In-Sync
introduces a highly multidisciplinary perspective to the alliance, model does not differentiate between whether the therapist is
by including insights from social-cognitive neuroscience, leading or following the patient in their synchronous behavior.
cognitive linguistics, psychophysiology, developmental science, Nevertheless, there are preliminary indications that leading
relationship science, and emotion science. versus following in synchrony may have different therapeutic
More generally, the In-Sync model treats psychotherapy as effects (Ramseyer and Tschacher, 2011). If these findings are
the product of two interacting brains. This is a fundamentally empirically confirmed, the In-Sync model will have to be
new perspective because psychotherapy research to date has extended. In a related vein, models of self-organized systems
only considered the patient’s brain as the locus of therapeutic predict that synchronous actions may fall into one of only
effects (Etkin et al., 2005; Beauregard, 2014; Weingarten and two dynamically stable states: inphase or antiphase (Haken
Strauman, 2015). Although the single-brain approach has et al., 1985). This prediction has been amply confirmed for
generated important insights, we believe that it falls short of joint movement coordination (Richardson M.J. et al., 2007;
explaining the dynamic interpersonal aspects of psychotherapy. Schmidt and Richardson, 2008). These two modes of behaving
Ignoring these dynamics denies the inherent interpersonal nature in synchrony (Beauregard, 2014) could have differential effects
of the alliance, including those aspects of the alliance that are in psychotherapy, but this remains to be investigated in future
most likely to bring relief from psychological suffering. To research. The In-Sync model thus represents a work in progress,
fully understand how psychotherapy works, researchers should which is to be elaborated and revised on the basis of new
therefore adopt an inter-brain perspective, by unraveling the empirical findings.
interactions between the patient’s and the therapist’s brains. Despite these caveats, the In-Sync model has great potential
The In-Sync model further contributes to the interpersonal for clinical applications. One possible application lies in
synchrony literature (Semin and Cacioppo, 2008; Wheatley et al., improving clinical training programs. Therapists vary

substantially in clinical effectiveness, and at least some of these article, people appear to be biologically prepared to respond
variations are due to their different abilities in forming a strong to synchrony in positive, relational terms. This response was
alliance (Del Re et al., 2012). Improving one’s alliance-building already apparent in Huygens’s (1673/1986) description of this
abilities requires accurate feedback, but such feedback is difficult synchronized pendulum clocks as having “sympathy” for each
to provide using subjective ratings of the alliance, which are other. Consequently, if a virtual therapist can be made to
currently standard in the field. The In-Sync model could fill behave in synchrony with patients, patients are likely to respond
this gap, by fostering the development of objective, standardized positively, and may even become attached to it in ways that
measures (e.g., movement synchrony, common language) that parallel what clinicians have traditionally called “the alliance”.
can provide valid feedback for therapists regarding their ability These notions must currently remain speculative. Nevertheless,
to form an alliance with patients. In this manner, the In-Sync we hope that they invite readers to consider the fundamental
model could help therapists to build and strengthen their clinical significance of synchrony in psychotherapy.
expertise.
Another possible application of the In-Sync model is in the
domain of online psychotherapy. Because the traditional format AUTHOR CONTRIBUTIONS
of face-to-face psychotherapy is time-consuming and expensive,
clinicians are increasingly turning to online modes of delivery SK and WT together conceived of the article. SK wrote the first
(Kazdin and Blase, 2011). Online psychotherapy can be effective, draft and WT made critical revisions. After receiving the reviews,
especially when it is guided by a trained professional (Andersson SK drafted the revision and WT made critical revisions.
and Titov, 2014). However, field studies have shown dropout rates
in the range of 75 to 95% (Fleming et al., 2016). One reason
for this high dropout may be the reduced physical contact with FUNDING
the therapist during online psychotherapy. From the perspective
of the In-Sync model, patient commitment to the therapy and The authors acknowledge the support of a Consolidator Grant
therapeutic effectiveness, may be improved by adding non- from the European Research Council (ERC-2011-StG_20101124)
verbal modalities to online interventions. For instance, patient to SK.
and therapist could hold videoconferences. A related option
would be to add non-verbal synchronizing modalities to a virtual
psychotherapist. There already exist virtual agents with therapist- ACKNOWLEDGMENTS
like functionalities that are capable of responding to people’s
non-verbal behavior (DeVault et al., 2014). The In-Sync model SK, Department of Clinical Psychology, Vrije Universiteit
could provide a systematic theoretical framework for guiding Amsterdam, Netherlands. WT, University Hospital of Psychiatry
these developments. and Psychotherapy, University of Bern, Switzerland. The authors
To many, the idea that patients could form a genuine thank Agnes van den Berg, Emily Butler, Julius Kuhl, Tobias
therapeutic relationship with a virtual agent may sound far- Maldei, Carina Remmers, Heleen Riper, Caroline Schlinkert,
fetched. Nevertheless, underneath this heretical idea lies a and two anonymous reviewers for inspiring discussions and
deeper theoretical insight. As we have seen throughout this constructive comments on earlier versions of this article.
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ORIGINAL RESEARCH
doi: 10.3389/fpsyg.2016.00859
Tuned In Emotion Regulation

Program Using Music Listening:
Effectiveness for Adolescents in
Educational Settings
Genevieve A. Dingle *, Joseph Hodges and Ashleigh Kunde
School of Psychology, The University of Queensland, Brisbane, QLD, Australia
This paper presents an effectiveness study of Tuned In, a novel emotion regulation
intervention that uses participant selected music to evoke emotions in session and
teaches participants emotional awareness and regulation skills. The group program
content is informed by a two dimensional model of emotion (arousal, valence), along
with music psychology theories about how music evokes emotional responses. The
program has been evaluated in two samples of adolescents: 41 “at risk” adolescents
(76% males; Mage = 14.8 years) attending an educational re-engagement program and
216 students (100% females; Mage = 13.6 years) attending a mainstream secondary
Edited by: school. Results showed significant pre- to post-program improvements in measures of
emotion awareness, identification, and regulation (p < 0.01 to p = 0.06 in the smaller
Università degli Studi di Trento, Italy
“at risk” sample and all p < 0.001 in the mainstream school sample). Participant ratings
Reviewed by:
Stefan Sütterlin, of engagement and likelihood of using the strategies learned in the program were high.
Lillehammer University College, Tuned In shows promise as a brief emotion regulation intervention for adolescents, and
Norway
Yamin Wang,
these findings extend an earlier study with young adults. Tuned In is a-theoretical in
Chinese Academy of Sciences, China regard to psychotherapeutic approach and could be integrated with other program
*Correspondence: components as required.
Genevieve A. Dingle
[email protected] Keywords: emotion regulation, emotion awareness, music, engagement, adolescents
Specialty section:
This article was submitted to INTRODUCTION
Emotion Science,
a section of the journal Effective emotion regulation relies on an individual’s awareness of their own and others’ emotions,
Frontiers in Psychology the development of a lexicon to label a range of emotional states, and strategies to modulate
Received: 29 March 2016 emotions to suit the context. These abilities develop throughout childhood and adolescence,
Accepted: 24 May 2016 although the rate of acquisition varies across emotions and stimuli. There is some evidence that
Published: 07 June 2016 the development of emotional skills slows down during the onset of puberty – at a time when
Citation: young people typically experience intense emotions and when their regulatory skills are not yet
Dingle GA, Hodges J and Kunde A fully developed. The Tuned In program was designed to train young people in emotion awareness,
(2016) Tuned In Emotion Regulation
labeling, and regulation, using music listening as an engaging and meaningful way of evoking
Program Using Music Listening:
Effectiveness for Adolescents
emotions during sessions. An early trial of the program found it to enhance emotional clarity and
in Educational Settings. regulation among young adults (Dingle and Fay, under review), and the current study extends on
Front. Psychol. 7:859. this work with an investigation of the effectiveness of Tuned In for enhancing emotion awareness
doi: 10.3389/fpsyg.2016.00859 and regulation of healthy and at-risk adolescents in educational contexts.

Dingle et al. Tuned In Emotion Regulation Program
Most pre-school children (aged 3 to 5 years) are able to is still developing (Ritschel et al., 2015). Some of these treatments
correctly identify primary emotions in facial expressions, body (e.g., DBT) are intensive and long term; designed to treat
postures and a combination of cues (Nelson and Russell, 2011). diagnosed personality disorders. It is unlikely that all adolescents
Studies of older children and adolescents suggest that the with emotion regulation difficulties require this level of treatment
development of facial emotion recognition may slow down in or indeed can access a specialist DBT program. There is clearly
early puberty. For example, in one study participants were asked room for a brief and engaging emotion regulation program for
to decide if happy, sad, angry or neutral faces matched with one enhancing emotional skills in adolescents.
of four emotion words. Compared to 10 year old participants, In the Tuned In program, music listening is used as the
reaction times were significantly slower for making a correct method for evoking and experiencing emotions in session for
decision at 11 and 12 years of age (the approximate ages of the purpose of emotion psycho-education and skills building.
puberty onset), then stabilized by 15 years of age (McGivern Personalized music listening has been consistently listed by
et al., 2002). Other studies have found that sensitivity to anger 18–25 year old Australians as their number one emotion
expressions remained relatively stable between upper childhood management strategy in the annual national survey of Australians
and puberty and then increased from middle to late puberty Stress and Wellbeing (Australian Psychological Society, 2015).
(Thomas et al., 2007; Lawrence et al., 2015). Adolescents and young adults are the biggest consumers of
Recognition of one’s own emotions doesn’t necessarily develop music, with one study reporting that young people listened with
at the same rate as recognition of emotions in others. The intention to an average of 18 h of music per week (Papinczak
development of a lexicon for affect labeling has long been et al., 2015). Furthermore, music psychology research attests
considered a precursor for emotion regulation – particularly to the influence music listening has over emotional states
the regulation of negative emotions (Lieberman et al., 2007). captured in subjective ratings (Hunter et al., 2011), physiological
The recognition of emotion words doubles in size every two responses like skin conductance and heart rate (Krumhansl,
years between 4 and 11 years old, but plateaus between 12 2002; Sharman and Dingle, 2015), and imaging studies showing
and 16 years old (Baron-Cohen et al., 2010). Adolescence and that the brain’s emotion centers are activated while listening to
the onset of puberty is a time of great physical, social and either pleasant and unpleasant music (Salimpoor et al., 2011;
emotional change, and the findings summarized here suggest that Hodges and Wilkins, 2015). Experience sampling and mobile
adolescents may find the processing and regulation of their own application research shows that music-based emotion regulation
emotions particularly challenging. differs from non-music emotion regulation in several key ways,
Emotion regulation can be conceptualized as the ability and is a strategy that allows listeners to reach specific emotional
to modify emotion in flexible and adaptive ways in response goals (Randall and Rickard, 2014; Hides et al., 2015). Due to
to social context (Campos et al., 2011). Those with better individual variations in musical preference, research indicates
emotion regulation skills are more socially competent, have better that personally selected music is more effective at evoking
quality friendships and show more prosocial behaviors than emotional responses than music selected by experimenters
those with poor emotion regulation capacity (Eisenberg et al., (Chafin et al., 2004; Weth et al., 2015). Therefore, participants’
2007; Wranik et al., 2007). Adolescents commonly experience own music selections are used in the Tuned In program.
intense emotional states during puberty and the transition The Tuned In program was designed to enhance participants’
from childhood to adulthood (Casey and Caudle, 2013). At emotional awareness, identification of emotions, and emotion
the same time, their full regulation capacity is still developing regulation skills. Participants are introduced to a two dimensional
(Hannesdottir and Ollendick, 2007; Beauchaine, 2015). Emotion model of emotion consistent with Hevner’s (1936) taxonomy
dysregulation is considered an important trans-diagnostic risk of emotional adjectives in music, and most closely aligned
factor for mental disorders in adolescents (McLaughlin et al., with Russell’s (1980) circumplex model of emotion, in which
2011). the full gamut of emotions can be located in relation to two
There are currently no interventions designed to specifically dimensions: valence (from pleasant to unpleasant) and arousal
address emotion dysregulation in adolescents. Cognitive behavior (from high to low energy). Studies using music stimuli have
therapy (CBT) is an evidence based treatment for a range of reliably mapped emotional responses onto this two dimensional
emotional disorders in children and adolescents (Weisz and model (Schubert, 1999; Eerola and Vuoskoski, 2013). The model
Gray, 2008). However, strong emotions are rarely evoked during provides a visual psycho-educational tool assisting participants to
cognitive restructuring, and CBT has been criticized for lacking become proficient in identifying their current and desired state.
a focus on emotion dysregulation (Hannesdottir and Ollendick, Each Tuned In session is based on a different emotion, taking
2007). Several other psychotherapy programs include emotion participants to a different co-ordinate on Russell’s model. Table 1
regulation components, such as: dialectical behavior therapy shows the content of the 8 session version of the program.
(DBT; Linehan, 1993), acceptance and commitment therapy Prior to each session, participants are asked to select a song
(ACT; Hayes et al., 1999), emotion focused therapy (EFT; that makes them feel the focal emotion for the next session and
Greenberg and Bolger, 2001), and mindfulness based cognitive bring it along on their portable music device. An emotional
therapy (MBCT; Segal et al., 2002). These treatments seek “Tune In” procedure is conducted at the start of each session, in
to increase clients’ awareness and attention to their internal which participants are asked to indicate their current emotional
emotional states, and to build their tolerance of these states. The state on the two dimensional model, and their desired emotional
research evidence in support of these therapies with adolescents state (either the same or different), and what type of music

TABLE 1 | The Eight Session Version of Tuned In Used with the At-Risk Adolescent Sample.
Session Content Activities Homework
(1) Welcome to Tuned In Building group alliance, establishing group Completion of Find a low energy, pleasant
guidelines, brief program overview, Introduction pre-program surveys song to share for next
to Russell’s Circumplex model of emotion. Place the emotion on week.
the model.
(2) Music to calm you down. Positive valence, low arousal music. Review of Imagery task Find a high energy, pleasant
Russell’s Circumplex model of emotion. Body scan song to share next week.
Discussion of music characteristics (tempo, Lyric analysis
voice, instruments) and when to use calming
music.
(3) Music to power you up. Positive valence, high arousal music. Imagery task Find a medium-to-high
Discussion of musical characteristics and when Body scan energy, pleasant song to
energizing music may be helpful. Lyric analysis share next week.
(4) Music to make you happier. Positive valence, medium to high arousal. Imagery task Find a low energy,
Discussion on extending/intensifying happy Body scan unpleasant song to share
emotions through music. Lyric analysis next week.
(5) Music to be sad to. Negative valence, Low arousal. Listening to Imagery task Find a high energy,
music to explore feelings of sadness. Body scan unpleasant song to share
Discussion on knowing when enough is enough Lyric analysis next week.
and strategies to use when feeling sad.
(6) Music to shout to! Negative valence, high arousal. Discussion on Imagery task Find a low to high energy,
current strategies for coping with anger, shame, Body scan pleasant song to share next
jealously and positives/negatives of these. Lyric analysis week.
(7) Music that inspires you. Positive Valence, low to high arousal, Imagery task Continue to compile your
discussion on what is inspiring and future Body scan emotion playlists!
directions. Lyric analysis
(8) Keep on Groovin’. Concluding comments and group discussion. Post program surveys Review booklets as
Review of Russell’s Circumplex model of needed.
emotion and strategies to change mood states
through music listening.
listening or other emotion regulation strategy would help them to The third task is a lyric analysis with participants asked to listen
reach their desired emotional state. For example, if a participant to a piece of music while reading the lyrics in their manuals,
felt flat and unmotivated at the start of the session, they would circling or underlining any lyrics that are particularly emotionally
locate this emotional state as low on the arousal dimension and moving for them. Participants are then invited to discuss what
on the negative side of the valence dimension. They might want the lyrics meant to them, along with sharing any emotional
to feel more energized, so they would indicate a spot higher responses they evoked. According to McFerran (2010, p. 89–92),
in arousal and on the positive side for valence. The participant analyzing the lyrics of a meaningful song can assist young people
would be asked to nominate some music that would help them to to explore difficult feelings and experiences. Furthermore, Juslin
achieve this energized state, and some other strategies they could et al. (2008, 2010) purported that imagery and lyrics are two of the
use (such as exercise) if music listening was not suitable. psychological mechanisms by which music is related to emotional
Several participants’ songs are played in each session, and responses (Juslin and Västfjäll, 2008; Juslin et al., 2010). Thus,
participants engage in three activities designed to focus their the music listening and concurrent activities were designed to
attention on the music in order to enhance their emotional enhance participants’ emotional experience during listening in
responses. The first is an imagery task in which participants are order to increase their skills in recognition of their own emotions
instructed to draw any images that come to mind while they listen and their ability to label and tolerate these emotions.
to the music. According to Holmes et al. (2008) and Holmes and A pilot study of a 6 h version of Tuned In was conducted
Mathews (2010), imagery plays a role in many mental disorders, amongst 50 dysphoric university students aged 18–25 years (67%
with cognitions in the form of mental images reported to have female). Participants were randomly assigned to Tuned In or
a greater impact on emotions than verbal representations alone. a wait-list control. Tuned In involved groups of around eight
In the second task, participants are provided with an outline of a participants with two psychologist facilitators. Mixed repeated
human body and instructed to illustrate where they experienced measures ANOVA results showed that Tuned In participants
any physiological sensations in response to the music. This task experienced greater improvement in emotional awareness and
is based on research suggesting that paying mindful attention to clarity and total emotion regulation scores than controls. Weekly
the physical sensations of emotions, without trying to change ratings also indicated significant improvements in emotional
or alter them, can assist individual’s to build awareness and awareness, ability to name emotions, and ability to regulate
tolerance of their emotional experiences (Chambers et al., 2010). emotions. Ratings of engagement were high and the overall

attendance rate was 98% (Dingle and Fay, under review). As such, Emotion Variables
preliminary data supports the efficacy of this program amongst a At pre- and post-program, participants were asked to rate the
non-clinical sample of university students. extent to which five purpose-written emotion statements were
The aim of this study was to investigate the effectiveness true of them over the past week, on a 7-point Likert type scale
of Tuned In among two adolescent samples in real world from 1 = Never True, to 7 = Always True. The statements were:
educational contexts: a sample of adolescents who had I was aware of what happened in my body when I felt strong
disengaged from school due to learning and psychosocial emotions; I was able to name these feelings (e.g., I’m happy, sad,
problems and were enrolled in an experiential learning program anxious, etc); I felt confident that I could manage my strong
run by the non-Government organization BoysTown; and a emotions, I used music as a way of managing my emotions, and
sample of students at a mainstream girls secondary school in a I have a range of healthy ways of managing my emotions. The
suburb of a metropolitan city in Australia. It was hypothesized internal consistency of the emotion variables in sample 1 was
that: α = 0.83 at pre-program and α = 0.90 at post-program.
(1) Participants’ ratings of emotional awareness, ability to
name emotions, strategies for regulation and confidence in using Emotion Regulation Questionnaire
their strategies would increase from pre to post intervention; The ERQ (Gross and John, 2003) is a widely used 10-item
(2) Participants would show improvements from pre to post emotion regulation scale measuring use of cognitive reappraisal
intervention on validated measures of emotion regulation; and (e.g., When I want to feel more positive emotion (such as
(3) Participants would find Tuned In to be an engaging joy or amusement), I change what I’m thinking about); and
program, as indicated by their ratings of interest and enjoyment suppression (e.g., I keep my emotions to myself ). Longitudinal
in the program collected at the end of the program. research indicates that use of emotional suppression is related
(4) That the program could be scaled up from the original to negative social connectedness and wellbeing while cognitive
small group size of around 8 participants to an en masse reappraisal is associated with positive social connectedness and
school group of over 100 students while remaining effective and wellbeing among young people (English et al., 2012). Participants
engaging. provided a rating for each item on a 7-point Likert type scale
ranging from 1 = Strongly disagree to 7 = Strongly agree. The
internal consistency for the two subscales in the current sample
MATERIALS AND METHODS was α = 0.72 and α = 0.61 (for reappraisal and suppression,
respectively). As the internal consistency for suppression was low
in this sample, the results should be interpreted cautiously.
Sample 1 – At-Risk Adolescents
Participants Kessler-6
Forty-one participants (76% males), aged between 14 and The K6 is a widely used six-item screen for mental illness
17 years old (M age = 14.83) were recruited from the BoysTown designed by Furukawa et al. (2003). The K6 asks respondents
experiential learning program in a regional city in Australia. All to rate how often in the past 30 days they have experienced
consenting members of the program during the study period were three symptoms of depression and three symptoms of anxiety.
recruited to the study. A majority of the sample was born in Participants rated their experience of each on a 5-point Likert
Australia (88%), with five participants identifying as Aboriginal type scale from 0 = None of the time to 4 = All of the time, which
and Torres Strait Islander and the remaining 12% hailing are summed to a total score in the range of 0 to 24. A cut off score
from New Zealand, the Philippines and Liberia. Participants 13 and above is interpreted as indicating a clinical level of distress.
in this sample experienced multiple barriers to learning and The internal consistency of the K6 in sample 1 was α = 0.87.
social inclusion resulting in their drop out or exclusion from
formal secondary schooling. Furthermore, 18% were reportedly Program Evaluation
undergoing treatment for a psychological disorder at the time of Upon completion of the program, three additional items were
this study. The sample mean on the K6 (see Measures) was 5.7 included to assess responses to the program overall: how helpful
(SD = 4.9), which is in the normal range, with no participants participants found the program in helping them to regulate
falling over the cut off of 13 indicative of mental health problems. mood; how enjoyable and interesting they found Tuned In; and
So although this was not a clinical sample of adolescents, they the likelihood they will continue to use music to regulate their
could be characterized as “at risk” of mental health problems. Less emotion. These were rated on a 7 point Likert type scale from
than a quarter of the sample (24.3%) had received a year or more 1 = Never True to 7 = Always True.
of formal musical training.
Procedure
Measures Participants took part in the Tuned In program as a component
Demographic Information of their 2-days a week BoysTown experiential learning program.
Participants were asked to report their age in years, sex, ethnicity, Participants from five different cohorts were recruited across
and country of origin, and their highest grade completed at three terms, with data collection spanning an 8-month period
school. Musical involvement was assessed with items about music in 2014. Participants completed the online surveys prior to the
listening engagement, music education and playing. Tuned In program and immediately following the completion

of the program. Participants in the BoysTown program did not the School leaders, emotions related to three specific themes
receive any other psychological intervention during this time, were emphasized: academic anxiety, relationship problems, and
with the curriculum focused solely on literacy, numeracy and enhancing wellbeing. This was done through the use of age
life skills. There was a 29% attrition rate during the 10 weeks appropriate scenarios asking the students to imagine themselves
term, with 29 participants completing the post-program survey in the scenario, and how it would make them feel. Data were
(and some measures not being completed accurately). Attrition collected by means of a short pre- and post-program survey
was due to a range of factors including that the young person completed on paper. Participants were given confectionary as
started a vocational training program, had to appear in court, or a token of appreciation for their involvement in the study.
experienced an increase in family difficulties that was associated Methods and procedures were approved by the University
with their disengagement with the learning program. The Human Research Ethics Committee (approval #2009001748).
Tuned In program was facilitated by provisional psychologists
enrolled in postgraduate clinical psychology internships at the
University of Queensland under the supervision of the first RESULTS
author. Participants received $20 in vouchers for each completed
survey as compensation for their time. Sample 1 means on the emotion variables at pre- and post-
program are shown in Figure 1. Repeated measures analysis of
Sample 2 – Mainstream Adolescents variance results showed a significant increase in participant’s self-
Participants reported emotional awareness from pre to post, Mpre = 4.03,
Comprised of 216 female students aged 12 to 15 years SD = 1.59; Mpost = 4.83, SD = 1.26; F(1,28) = 5.28, p = 0.029,
(M age = 13.6 years) attending an independent school. There η2 = 0.16. There was also significant increase in their ability to
were 117 year eight girls and 99 year nine girls. This was a name their emotions: Mpre = 4.25, SD = 1.35; Mpost = 5.00,
convenience sample in which participants were given a brief SD = 1.39; F(1,27) = 6.32, p = 0.018, η2 = 0.19. Furthermore,
survey to complete before and after an en-masse half day Tuned a significant increase in participants’ confidence to manage
In workshop, so only a small selection of variables was assessed. their emotions was observed from pre to post, Mpre = 3.61,
No information was collected on psychological problems or SD = 1.64; Mpost = 4.75, SD = 1.11; F(1,27) = 12.43, p = 0.002,
musical training. η2 = 0.32. The use of music to regulate emotions did not
change significantly: Mpre = 4.84, SD = 1.90, and Mpost = 4.90,
Emotion Variables SD = 1.60. Finally, self-reported range of healthy strategies to
The same emotion variables as collected from Sample 1 were regulate emotions improved from Mpre = 3.74, SD = 1.74 to
collected at pre- and post-program, with some additional Mpost = 4.56, SD = 1.53, however, this change did not quite reach
confidence items: I am confident that I can regulate my anger, I significance: F(1,26) = 3.882, p = 0.06 (see Figure 1). According
am confident that I can regulate my sadness, I am confident that I to scores on the Emotion Regulation Questionnaire, there was
can regulate my anxiety, and I am confident that I can be happy a significant decrease in the use of emotional suppression as
without negative consequences. The internal consistency of these a regulation strategy from pre- to post-program, Mpre = 4.53,
emotion variables in sample 2 was α = 0.75 at pre-program and SD = 1.02; Mpost = 3.88, SD = 0.97; F(1,24) = 6.44, p = 0.018,
α = 0.89 at post-program. η2 = 0.21. No significant difference was found for the use of
reappraisal, Mpre = 4.27, SD = 0.86; Mpost = 3.77, SD = 1.1;
Program Evaluation F(1,24) = 3.35, p = 0.08, see Figure 2.
Participants were asked to rate three statements at the end of the Depression and anxiety symptoms on the K6 were in the
program on a 7 point Likert type scale from 1 = Never True normal range for the majority of participants and although the
to 7 = Always True: I enjoyed the Tuned In program; I would sample mean increased slightly from pre- to post-program this
recommend this program to other students in my year at school, did not reach significance, Mpre = 5.64, SD = 4.92; Mpost = 7.56,
and I am likely to continue to use the music emotion regulation SD = 4.06; F(1,24) = 4.16, p = 0.053. Participants rated Tuned In
strategies learnt in the program. to be helpful in managing their emotions (M = 5.00, SD = 1.6),
they found Tuned In interesting and enjoyable (M = 5.87,
Procedure SD = 1.4) and reported that they were likely to continue to use
The mainstream school study was conducted in two half-day music to manage their emotions (M = 5.45, SD = 1.76).
workshops, with all of the year nine girls and then all of the The mainstream secondary school sample means on the
year eight girls together in the school auditorium. The students’ emotion variables at pre- and post-program are shown in
usual teachers were present although they were not directly Figures 3 and 4. Repeated measures analysis of variance
involved in running the program. Facilitators were the three results showed a significant increase in participants’ emotional
authors and two other provisionally registered psychologists. awareness from Mpre = 4.59, SD = 1.44 to Mpost = 5.59,
This en masse version of the program included key components SD = 1.23; F(1,213) = 103.13, p < 0.001, η2 = 0.326. There was
of the program content such as the two dimensional model also a significant increase participants’ affective labeling of their
of emotion, identifying current and desired emotion on this emotions, Mpre = 5.70, SD = 1.10; Mpost = 6.11, SD = 1.02;
model, and sharing participants’ music while completing body F(1,214) = 27.33, p < 0.001, η2 = 0.113. The use of music to
scan, imagery and lyric analysis activities. On the request of regulate emotions increased from Mpre = 4.97, SD = 1.83 to

FIGURE 1 | Sample means from 41 at-risk adolescents on the emotion variables at pre- and post-program. (Bars are standard errors; significance
∗ p < 0.05, ∗∗ p < 0.01, # 0.10 > p > 0.05).
F(1,212) = 22.067, p < 0.001, η2 = 0.094. The program was

rated an average of 5.85 (SD = 1.26) out of 7 for enjoyment,
5.61 (SD = 1.42) for recommended to other students, and 5.86
(SD = 1.27) for likelihood of continuing to use the emotion
regulation strategies learned.
DISCUSSION
The aim of this study was to assess the effectiveness of
the group program Tuned In to enhance emotion awareness
and regulation skills of at-risk and mainstream adolescents
in educational settings. The at-risk adolescents were offered
an eight session version of the program in groups of around
eight participants and showed significant improvements in self-
FIGURE 2 | Sample means for 41 at-risk adolescents on the emotion reported emotional awareness, affective labeling of their own
regulation questionnaire cognitive reappraisal and suppression emotions, and confidence in using a range of emotion regulation
subscales at pre- and post-program. (Bars are standard errors;
strategies. Interestingly, the use of music as a strategy for
significance ∗ p < 0.05).
regulating emotions did not increase from pre- to post-program,
however, scores were highest at pre-program for this variable.
This finding is consistent with previous research showing that
Mpost = 5.76, SD = 1.43; F(1,212) = 43.655, p < 0.001, η2 = 0.171. adolescents are high consumers of music and use music listening
Furthermore, participants’ range of healthy strategies to regulate naturally as a way of managing their emotions (Saarikallio and
emotions improved from Mpre = 4.89, SD = 1.46 to Mpost = 5.68, Erkkilä, 2007; Australian Psychological Society, 2015; Papinczak
SD = 1.31, F(1,213) = 63.52, p < 0.001, η2 = 0.230. Confidence et al., 2015).
in regulating anger increased from Mpre = 4.97, SD = 1.55 to Further supporting these improvements in emotion variables,
Mpost = 5.50, SD = 1.42, F(1,210) = 30.76, p < 0.001, η2 = 0.128. scores on the validated emotion regulation questionnaire showed
Confidence in regulating sadness improved from Mpre = 4.73, that participants used the maladaptive strategy of emotional
SD = 1.52 to Mpost = 5.39, SD = 1.46, F(1,215) = 55.187, suppression significantly less at post-intervention. No significant
p < 0.001, η2 = 0.204. Anxiety regulation confidence increased change was observed in the use of adaptive, cognitive reappraisal.
from Mpre = 4.55, SD = 1.79 to Mpost = 5.31, SD = 1.49, This pattern of results made sense given that the Tuned
F(1,211) = 52.36, p < 0.001, η2 = 0.199. Finally, confidence In program did not provide participants with cognitive-
that they could be happy without negative consequences was based strategies for emotion regulation, instead encouraging
rated Mpre = 5.37, SD = 1.52, and Mpost = 5.78, SD = 1.21, participants to explore emotional experiences using music. With

FIGURE 3 | Sample means for 216 mainstream adolescents on emotion variables at pre- and post-program. (Bars are standard errors; significance
∗∗∗ p < 0.001).
FIGURE 4 | Sample means for 216 mainstream adolescents on confidence in regulating primary emotions at pre- and post-program. (Bars are
standard errors; significance ∗∗∗ p < 0.001).
participants encouraged to notice and then share the physical use of maladaptive strategies proposed to be more harmful than
sensations and imagery that arose during the course of a the absence of adaptive strategies. These results are encouraging
song, they were being exposed to their emotions in a safe as they lend support to the effectiveness of the program as a
environment (Baker et al., 2007). It follows that scores on preventative intervention.
emotional suppression, a strategy aimed at preventing emotional The improvement in measures of emotion awareness and
expression, decreased at post-intervention as the expression of regulation did not translate to symptom change on the K6,
participant’s emotional experiences had been normalized and although there was limited room for improvement as the mean
validated through the Tuned In program. Research suggests was in the normal range at pre-program. In fact, there was
that ongoing emotional suppression plays a central role in a slight increase in the K6 mean from pre- to post-program
the development of social problems (English et al., 2012) and although this could be accounted for by the usual fluctuations
psychopathology (Aldao and Nolen-Hoeksema, 2012), with the over time within the non-clinical range on this measure. It

failed to reach statistical significance or move into the clinical number of limitations to the study. Due to practical and resource
range (of 13 or above using the suggested cut off score given limitations there were no control groups so our conclusions are
in Kessler et al., 2003). Further research with adolescents who based on within group changes only. The lack of follow up means
experience clinical levels of depression and anxiety is necessary to we can’t account for whether any gains were maintained over
test whether the emotion regulation training translates to mood time. The Emotion Regulation Questionnaire subscale scores
symptom improvement. Further research is also necessary to used in sample 1 had low to moderate internal consistency
establish whether the emotional skills learned in the program reliability values. Further analysis indicated that participants
generalized to the home or other environments and were did not respond especially differently to any one item on the
sustained over time – questions which were unfortunately beyond subscales (that is, item deletion did not significantly improve
the scope of the current study. Importantly, given that these the Cronbach’s alpha values). However, the participants may
adolescents were disengaged from mainstream school and many have found the scale difficult to understand due to the meta-
experienced social disadvantage and exclusion, they rated the cognitive nature of the items, e.g., “when I want to feel more
Tuned In program as interesting and enjoyable, and that they positive emotion, I change what I am thinking about”. It
were likely to continue to use the strategies taught in the program. would therefore be recommended that future research with at-
This indication that a music based program was engaging to risk adolescents use a different measure of emotion regulation
young people has been found in other research, for instance, that is less reliant on meta-cognitive awareness. Alongside
in educational contexts (Cheong-Clinch, 2009) and in clinical of the measure of emotion regulation, future research would
contexts (Dingle et al., 2008). Taken together, this pattern of need to include broader measures of social and academic
results for the emotion variables provides proof of concept that functioning – potentially including teacher and parent reports
the Tuned In program enhances at-risk adolescents’ emotional to address the issue of demand characteristics on participants’
skills. self-reports.
In the mainstream school sample, despite the limited Questions that remain to be investigated include: what are
opportunity for individual participants to share their music the moderators and mediators of the effectiveness of Tuned In?
and to discuss their emotional experiences in this en masse Other research shows that individual factors such as reward
format, results indicated that Tuned In was effective at improving sensitivity, emotional sensitivity to music and absorption in
adolescents’ confidence in regulating a range of emotions, and music contribute to its effect on listeners (Sandstrom and
enhanced their self-reported emotional awareness and regulation Russo, 2011; Loxton et al., 2016). Several recent studies
strategies. Although the emotion variable means were higher have found that a tendency to ruminate or brood influences
at pre-program in the mainstream sample (around 4.5 to 5.5 whether people listen to music in ways that are helpful or
out of 7, see Figures 3 and 4) than in the at-risk sample unhelpful to their mood (McFerran and Saarikallio, 2013;
(around 4, see Figure 1), a significant improvement was also Garrido and Schubert, 2015; McFerran, 2016). Music with lyrics
seen across all emotion measures in the mainstream sample. may have a particularly powerful influence on the mood of
Of all of the primary emotions assessed, students reported the adolescents who score more highly in ruminative thoughts
lowest confidence in regulating their anxiety at pre-program, than adults of older age groups (Sütterlin et al., 2012). In
and this was one theme that the program particularly attended respect to sad music in particular, variations in the ways people
to. Further research is required to ascertain whether this conceptualize sadness and music lead to differences in the
increase in anxiety regulation confidence at post-program might emotion regulation processes at play (Peltola and Eerola, 2016).
translate to decreases in academic anxiety around assignment It would be interesting to investigate the mechanisms through
and exam time, and improvements in performance across which music influenced participants’ emotions in Tuned In
academic, sporting, and music domains where anxiety can be a beyond those specifically targeted in the program (appraisal
barrier to performance (Osborne, 2012; Ringeisen and Raufelder, of lyrics, imagery, and bodily sensations). Other mechanisms
2015). have been described in work by Juslin et al. (2008, 2010)
The program ratings indicated that participants in the such as emotional contagion and evaluative conditioning to the
mainstream school found it to be an interesting and engaging music.
program that they would recommend to same age peers.
Furthermore, they rated their likelihood to continue to use the
strategies learned in the program as high, although because the CONCLUSION
workshops were conducted in the final week of the school year,
we were unable to conduct a follow up assessment to confirm this. The findings of this study show evidence that Tuned In helps
The effectiveness on emotion variables and the program ratings build emotional awareness and regulation amongst at-risk and
lend support for the fourth hypothesis that the program can be mainstream adolescents, and results are consistent with previous
scaled up to large school groups, which makes it a cost effective findings in a young adult sample (Dingle and Fay, under review).
intervention. Adolescence is a time of growth, change, and emotional upheaval
Overall, the findings of this study indicate support for during which individuals’ capacity for self-regulation of emotion
the four hypotheses and provide a proof of concept that the is still developing. The Tuned In program is engaging and
Tuned In program enhances emotion awareness and regulation effective at enhancing participants’ emotional skills in small and
of adolescents in educational settings. However, there were a large groups.

AUTHOR CONTRIBUTIONS ACKNOWLEDGMENTS

GD developed the intervention program, designed the study, The authors gratefully acknowledge the students of Boystown
set up the collaboration with the stakeholders of Sample 1, Goodna, staff members Steve McNie, Trudy Hatcher and John
and took overall responsibility for the manuscript. JH set up Sebire, and intern psychologists Gemma McKeon, Hugh Walker,
the collaboration with the stakeholders of Sample 2 and was Richard Bunker, Diana da Costa Neves, Kiri Patton, Kate
involved in facilitating the program with both Samples, data Worsfold, Jen Worsfold, Sarah Teo, and Pip Moore for their
collection, and input into the written manuscript. AK was support of the project. We also thank the students and staff of
involved with facilitating the program with both Samples, data Moreton Bay College who took part in the study, along with
collection and analysis of Sample 1 data, and input into the Nick Carter and Pip Moore who helped to facilitate the sessions.
written manuscript. Adele’s Someone Like You will never be the same again.
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ADVANCES IN EMOTION

Frontiers in Psychology 1 August 2017 | Emotion Regulation Neuroscience and Psychotherapy

Frontiers in Psychology 2 August 2017 | Emotion Regulation Neuroscience and Psychotherapy

05 Editorial: Advances in Emotion Regulation: From Neuroscience to Psychotherapy

Part 1: Advances in the Neurocognitive Mechanisms of Emotion Regulation

Part 2: New Therapeutic Protocols to Foster Emotion Regulation in Psychotherapy

Frontiers in Psychology 3 August 2017 | Emotion Regulation Neuroscience and Psychotherapy

Frontiers in Psychology 4 August 2017 | Emotion Regulation Neuroscience and Psychotherapy

Editorial: Advances in Emotion

Keywords: emotion regulation, psychotherapy, affective neuroscience, memory reconsolidation

Editorial on the Research Topic

Advances in Emotion Regulation: from Neuroscience to Psychotherapy

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Frontiers in Psychology | www.frontiersin.org June 2017 | Volume 8 | Article 985 | 8

Abnormal Default System

Depression is widely seen as the result of difficulties in regulating emotions. Based

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Abnormal Default System in Depression

2009 (2)∗ 60 s Treatment with L Angular gyrus R VLPFC

Monkul et al., PET 20 DD No antidepressant HDRS PCC ACC Thalamus DLPFC

Abnormal Default System in Depression

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Commentary: The Neural Bases of

Keywords: defense mechanisms, implicit emotion regulation, psychodynamic psychotherapy, psychoanalysis,

The Neural Bases of Emotion Regulation

Frontiers in Psychology | www.frontiersin.org March 2016 | Volume 7 | Article 476 | 19

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The Association among Difficulties in

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AUTHOR CONTRIBUTIONS analysis, interpretation of the results. IP: Data collection,

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The Sex Differences in Regulating

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FIGURE 2 | Schematic illustration of the experimental procedure.

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