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VOL00011
EFTA02444849
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Page I41 aitSairr-WiCar-ir-a,„ in Way does not end with the physical -7A. .! severing of the umbilical cord but linvistie'Stitekna "(ten 1"WieVeisenrels " continues in a lengthy dependence on the leakintriltS1 _ua =Mit mother or primary caregiver(s) for food 41s112zXVIiIYi)o neimes S ificattits and safety. Years are needed for the 8 rizr.z.-- r - infant to reach physical and reproductive lentigiSetedinP maturation, but as Cacioppo notes, even more importantly these years are needed Chapter 44 for the infant to develop the social and Health by Connection: emotional skills necessary for survival in From Social Brains to Resilient Bodies a complex social world. We graduate We enter and leave the world from infantile dependence not to alone, but at no time do we exist independence but to interdependence disconnected from others. The (cooperation, trust, reciprocity, etc.). connection with the mother that begins That we are born to and for connection explains why feeling disconnected, 4 The lead author is Louise C. Hawkley, Ph.D., a isolated, and like we don't belong can be Senior Research Scientist (Assistant Professor), so painful. We call these feelings member of the Center for Cognitive and Social loneliness. Feelings of loneliness Neuroscience, and Associate Director of the function like physical pain or hunger or Social Neuroscience Laboratory at the University thirst; they motivate us to alleviate the of Chicago. Her research is concerned with the interplay of psychological and physiological social pain and to repair our sense of factors, and includes the study of autonomic, connectedness. This is an important neuroendocrine, immune, genetic, and behavioral adaptive function of loneliness because processes that contribute to physical and mental people who feel connected fare much health and well-being in individuals differing in better than those who feel disconnected. perceived social connectedness. She has published numerous articles and chapters on They are not only happier but also perceived social isolation (loneliness) and its healthier than their more lonely antecedents and consequences in young and counterparts. As we will see, the power aging adults. of felt connectedness reverberates Hawkley finds awe in the significance throughout the human body. As was of what it means to be a social species. Atul Gawande wrote, "We are social not just in the aptly stated by Frederick Buechner, trivial sense that we like company, and not just "You can kiss your family and friends in the obvious sense that we each depend on good-bye and put miles between you, others. We are social in a more elemental way: but at the same time you carry them with simply to exist as a normal human being requires you in your heart, your mind, your interaction with other people" (The New Yorker, March 2009). Hawkley believes that we are stomach, because you do not just live in social beings to our cellular core, and even that a world but a world lives in you."' We does not capture the full extent of our sociality. tend to take for granted our sense of For these reasons, she is increasingly social connectedness, but that should not uncomfortable with the term "loneliness," a term blind us to its powerful, albeit invisible, that is laden with popular definitions and understandings that only hint at the deeper influence on our lives. Its impact is best significance of our social nature. As she shows, exposed when we observe the effects of what the study of loneliness actually reveals is its absence (i.e., loneliness) on physical that feeling wanted and accepted and like one and mental health and well-being. belongs are as vital to our existence as the air we Loneliness is a Health Risk, but How? breathe. Nothing kills like being denied a socially meaningful existence. EFTA_R1_01522126 EFTA02444889
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Page 142 For research purposes, loneliness lonely individuals are actually more is typically measured on a continuum likely than nonlonely individuals to that ranges from not at all lonely (i.e., make use of health facilities and socially connected) to very lonely. It is physicians." informative, however, to get a sense of Most chronic diseases (e.g., the prevalence of loneliness when hypertension, coronary artery disease, assessed as present or absent. Loneliness diabetes) are the result of the interactive is a common experience; as many as 80 influences of genetic, environmental, percent of people under 18 years of age and behavioral factors on physiological and 30 percent of people over 65 years functioning. How do feelings of of age report being lonely at least loneliness penetrate to a level that affects sometimes. For most people, feelings of disease risk? Plausible pathways include loneliness are situational and transient poor health behaviors, stress-related (e.g., geographic relocation). For as processes, restorative "anti-stress" many as 15-30% of the general processes, and even differences in population, however, loneliness is a patterns of gene activity. In general, chronic state, and it is among these physiological systems exhibit individuals that loneliness wreaks its redundancies and compensatory greatest havoc. In a study of children processes that minimize the immediate followed through young adulthood, health effects of adverse heritable, those who were highly lonely at each of environmental, and behavioral factors. three measurement occasions (i.e., However, subtle changes in these childhood, adolescence, and at 26 years predisease pathways can be detected of age) exhibited a significantly greater prior to the onset of manifest disease and number of standard health risks. The may indicate the beginnings of a steeper chronically lonely individuals were more downward trajectory in resilience? likely to have higher body mass index Take health behaviors, for (BMI), elevated blood pressure, higher instance. Major risk factors for disease levels of total cholesterol, lower levels in Western society include high-caloric, of "good" HDL cholesterol, greater high-fat diets, and sedentary lifestyles, concentrations of glycosylated each of which contribute to being hemoglobin (an index of impaired overweight or obese. Feelings of glucose metabolism), and poorer loneliness have been associated with respiratory fitness than those who were greater incidence of these predominantly lonely at only two or one of the lifestyle risk factors. In a large cross- measurement occasions? In a study of sectional survey of adults 18 years and older adults, loneliness predicted older, the lonely group had a higher mortality over a 3-year period, and mean BMI and a greater proportion of increased mortality was explained by the overweight/obese individuals than did fact that lonely individuals had more the nonlonely group. Loneliness has chronic diseases and functional been associated with lower levels of limitations.3 Higher rates of mortality in physical activity in every age group from lonely individuals do not appear to be grade school to middle-age adults. In the attributable to inadequate healthcare latter study, lonely individuals were also utilization: even after accounting for the more likely to become inactive over presence and severity of chronic illness, time. Changes in health status also EFTA_R1_01522127 EFTA02444890
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Page 143 predicted an increased likelihood of engagement. And to add insult to injury, becoming inactive, but the effects of loneliness increases sensitivity to and loneliness were independent of changes surveillance for social threats. Anxiety, in health status. Similarly, individuals low self-esteem, and fear of negative with fewer social connections (i.e., a evaluation elicit self-defensive behaviors smaller social network) were less likely and effectively tax cognitive resources to be physically active, but the effects of that would normally be available to meet loneliness on physical activity did not the demands of daily life stress. Thus, depend on the size of the social network. what might naively be thought of as a The invisible force of loneliness seems circumscribed problem—the feeling of to play a unique role in this particular loneliness and isolation—may be seen predisease pathway. by the sufferer as a world of inescapable Another commonly cited risk threat! factor for disease is stress. In reality, How might these cognitions and "stress" refers to a family of predisease perceptions influence physiology and pathways, each of which may be health? As Berntson shows in his vulnerable to the influence of lonely chapter, the brain regions involved in feelings. Loneliness is itself a source of emotional and perceptual processes are stress, but lonely individuals also differ intimately related to brain regions in their exposure to stressful events and involved in the regulation of circumstances. This is less evident in physiological systems. This is young adults than it is in older adults in particularly evident in alterations of the whom loneliness was associated with functioning of the cardiovascular system having experienced a greater number of in lonely individuals. In young adults, stressful life events in the past year (e.g., this alteration is apparent in increased death in the family, marital crisis, resistance to blood flow in small arteries change in employment status) and more throughout the body. Increased vascular sources of chronic stress (e.g., resistance is a precursor and employment stress, marital stress).6 In predominant contributor to age-related addition, lonely individuals perceive life increases in systolic blood pressure as more stressful and less gratifying than (SBP), a major risk factor for their socially connected counterparts, cardiovascular disease. In middle-aged even when objective indications are that adults, SBP is significantly higher in lonely and nonlonely individuals do not lonely adults than in their nonlonely differ in the types of activities and counterparts. Moreover, loneliness behaviors they engage in on a daily accelerates the rate of increases in SBP," basis. Good quality social interactions indicating a faster decline in typically ameliorate feelings of stress, physiological resilience and a heightened but because lonely people perceive their risk for chronic cardiovascular disease. interactions to be less positive than those It's as though loneliness accelerates the of nonlonely people, they fail to derive aging process. the same benefit. Good coping strategies By virtue of extensive can also ameliorate feelings of stress, but interconnections among the brain, lonely individuals are more likely to peripheral nervous systems, and respond to stress with pessimism and endocrine glands, the feelings of avoidance than with optimism and active isolation and loneliness have a broad and EFTA_R1_01522128 EFTA02444891
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Page 144 deep reach. The hypothalamus plays a that loneliness is associated with key role in enabling communication increased risk of chronic conditions that from brain to periphery. Located in the are characterized by heightened lower central region of the brain, the inflammation (e.g., atherosclerosis, hypothalamus receives neural input on elevated cholesterol levels, heart disease, brain and body states (e.g., pain, diabetes, and even cognitive sadness, fear, hunger) and in response impairment). If cortisol dampens signals brain regions that control the inflammation, why might elevated levels autonomic nervous system and the of cortisol in lonely individuals be pituitary and adrenal glands. Signals to associated with more rather than less the autonomic nervous system permit inflammation? modulation of heart rate, blood pressure, It turns out that communication and numerous other factors that serve to among the hypothalamus, pituitary maintain homeostasis. Signals to the gland, and adrenal glands becomes pituitary gland (located at the base of the dysregulated when chronically brain, just below the hypothalamus) stimulated. Whereas cortisol effectively prompt the release of hormones that dampens immune and inflammatory ultimately permit modulation of almost responses on an acute basis, when every endocrine gland in the body, circulating cortisol levels are chronically including the adrenal glands (one is elevated, cells become resistant to its situated on top of each kidney). The immunosuppressant and anti- adrenal glands serve many functions, inflammatory effects. This alteration and one is to produce and secrete happens at the level of DNA where the cortisol. Cortisol is frequently referred to actions of genes in each cell of our body as a "stress hormone" because can be turned on (i.e., expressed) or off. circulating levels increase dramatically Recent evidence suggests that the effects in response to any stimulus that requires, of loneliness reach down to this level. or might require, metabolic resources. Circulating leukocytes (white blood Thus, cortisol increases blood sugar cells) from a small group of chronically levels, increases blood pressure, and lonely adults showed decreased reduces immune responses and expression of glucocorticoid response inflammation (hence the use of cortisone genes relative to expression rates in a cream or injections to control matched group of socially connected inflammation of the skin after exposure adults. These genes are important to poison ivy). This complex web of because they activate the production of physiological links may seem far proteins that "hear" the anti- removed from feelings of social inflammatory signal sent by cortisol. isolation, but loneliness has repeatedly Thus, despite higher levels of circulating been observed to be a risk factor for cortisol in the lonely group, the cortisol elevated levels of cortisol, especially in signal may still not be heard. The lonely the morning. For instance, in middle- group also showed increased expression aged adults, the more intense the degree of genes carrying pro-inflammatory of loneliness reported at day's end over elements which, together with reduced the course of three days in everyday life, expression of glucocorticoid response the higher the spike in cortisol the genes, provides a functional genomic subsequent morning. The conundrum is explanation for elevated risk of EFTA_R1_01522129 EFTA02444892
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Page I45 inflammatory disease in individuals who twice as great in lonely than in experience chronically high levels of nonlonely individuals. In addition, loneliness.9 loneliness was associated with lower The effects of loneliness are not cognitive ability at baseline and with a limited to an increase in health- more rapid decline in cognition during threatening processes. Loneliness has the 4-year follow-up. Similar results also been associated with a decrease in were reported for a sample of 75-85- health-restoring processes. Sleep is the year-old individuals over a 10-year quintessential example. Much of what follow-up. feels stressful and depressing at the end The effects of loneliness on of a long day is perceived differently cognition are evident at an even more following a good night's sleep. Good fundamental level." Self-regulation, or quality sleep is the clincher. Lonely and the ability to regulate one's attention, non-lonely individuals do not differ in cognition, emotion, and/or behavior to the amount of sleep they get, but lonely better meet social standards or personal people have poorer sleep quality than do goals, is impaired in lonely individuals. non-lonely people. They experience For instance, among young adults, more micro-awakenings during the night instructions to shift auditory attention and they awake feeling more tired and from the dominant right ear to the non- less capable of meeting the demands of dominant left ear resulted in impaired the day. Poor sleep has been associated performance in lonely relative to with elevated blood pressure and nonlonely individuals. Loneliness also cardiovascular mortality, and this may alters emotion regulation. In middle- help to explain the poorer health aged and older adults, loneliness was outcomes of chronically lonely associated with a diminished tendency to individuals. In short, lonely days extend capitalize on positive emotions, and this into the nights and lessen the restorative explained why lonely individuals were nature of sleep. less likely than nonlonely individuals to Loneliness and I Icalt h: It's Not Just engage in physical activity. Impaired Peripheral cognitive regulation is evident in From this sampling of the experimental studies that manipulate widespread effects of loneliness on feelings of isolation. Participants who health, lifestyle behaviors, physiological receive feedback that induces a sense functioning, genetic transcription, and that they are doomed to a future of social sleep quality, it should be clear that the isolation perform significantly worse on invisible power of felt isolation has long tests of reasoning, behave more tentacles that have the potential to aggressively, and choose more tasty but influence all of physiology. Not only unhealthy foods than other participants physical health, but also cognitive health who receive feedback indicating a future is compromised. Indeed, one of the most of social connection or bad feedback of a sobering findings of recent years is that non-social nature, namely that their loneliness places people at risk for future will consist of general impaired cognition and dementia.10 In a misfortune.12 There seems to be 4-year prospective study of initially something uniquely threatening about dementia-free older adults, the risk of the prospect, and the reality, of feeling Alzheimer's Disease was more than EFTA_R1_01522130 EFTA02444893
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Page 146 isolated, disconnected, and like one ensues from happiness is also apparent doesn't belong. in the effects of happiness on income. In terms of emotional health, the Happiness predicted increases in prospect for lonely people is increasing household income over a 2-year period misery, at least over the short term. in middle-aged adults. However, Loneliness and depressed affect tend to relationship satisfaction also predicted be thought of as synonymous, but the increases in household income over this two are conceptually and empirically time period and, remarkably, distinct. If loneliness and depression relationship satisfaction helped to were synonymous, increases in explain the effect of happiness on loneliness would have no capacity to income. It seems that happy people predict increases in depressive experience increases in income in part symptoms because increases in one because of the general good will that would be exactly paralleled by increases surrounds the socially contented in the other. Instead, longitudinal data individual and that elicits tangible and have shown that loneliness predicts an intangible positivity from others. increase in depressive symptoms but It is perhaps precisely because depressive symptoms do not predict an most people feel socially connected and increase in loneliness over a one-year happy that we take for granted the interval." Importantly, the influence of invisible force of social connectedness loneliness on depressive symptoms was and its stabilizing and nurturing not attributable to fewer social influence in all aspects of life. Only in connections, general negativity, stress, its absence do we begin to comprehend or poor social support. These data its power. Western notions of the suggest that the relevant intervention autonomous individual notwithstanding, target is loneliness, and that modifying human beings are "wired" for social the cognitions, perceptions, and connections and need social bonds to expectations of the lonely individual feel safe, valued, motivated, and could help improve quality of life and competent.14 Among the lamentations overall well-being. expressed by some in Western societies Social Connectedness: Invisible Forces is a concern that our autonomy and Made Visible independence come at the expense of At this juncture, having become meaningful social relationships and a acquainted with the burden of loneliness, sense of belonging to a larger social unit. it is helpful to remember that most Family members are no longer people, most of the time, feel socially obligatorily part of our social connected. They derive satisfaction and community, while Facebook friends, meaning from their social relationships, some of whom we know only through and this makes them happier and more electronic media, are deemed essential to satisfied with life. Interestingly, fulfilling our need for a sense of happiness leads to higher levels of connectedness and belonging.15 The relationship satisfaction, indicating that broadening of our social worlds has not happiness and relationship satisfaction been accompanied by maintenance, feed forward to foster spirals of much less improvement, of the quality of increasing happiness and relationship our social relationships. One national satisfaction. The general positivity that study showed a threefold increase EFTA_R1_01522131 EFTA02444894
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Page X47 between 1985 and 2004 in the number of New York: HarperCollins Americans who reported no one with Publishers. whom to discuss important matters.16 2. Caspi, A., Harrington, H., We are a meaning-making species, and Moffitt, T.E., Milne, B.J., & relationships that offer security, comfort, Poulton, R. (2006). Socially trust, and pleasure, even if interactions isolated children 20 years later. are relatively infrequent, are much more Archives of Pediatric Adolescent effective at fostering a sense of Medicine, 160, 805-811. connectedness and belonging than are 3. Sugisawa, H., Liang, J., & Liu, more friends or more frequent X. (1994). Social networks, interactions that fail to meet these social support, and mortality standards. The challenge, especially for among older people in Japan. those of us who live in Western society, Journal of Gerontology, 49, S3- is to recognize that the invisible force of 13. social connectedness has benefits for 4. Cheng, S. (1992). Loneliness- health and well-being that we ignore at distress and physician utilization our peril. in well-elderly females. Journal Conclusion of Community Psychology, 20, The research on loneliness 43-56; Geller, J., Janson, P., highlights the need for and benefits of McGovern, E., & Valdini, A. human connections, but it speaks even (1999). Loneliness as a predictor more directly to the role of beliefs about of hospital emergency our connections. Loneliness, after all, is department use. The Journal of not about how many social relationships Family Practice, 48, 801-804. a person has, but is about a belief that 5. Hawkley, L. C., & Cacioppo, J. the existing social relationships fail to T. (2007). Aging and loneliness: satisfy a desired sense of social Downhill quickly? Current connectedness. All human relationships Directions in Psychological have a tangible existence in physical Science, 16, 187-191. interactions and an invisible existence in 6. Hawkley, L. C., Hughes, M. E., mental representations and beliefs. This Waite, L., J., Masi, C. M., human capacity expands the range of Thisted, R. A., & Cacioppo, J. T. possible relationships. For instance, (2008). From social structural humans form meaningful connections factors to perceptions of with pets, with television characters relationship quality and whom they have never met, and with loneliness: The Chicago Health, deities who lack a material existence. Aging, and Social Relations We have seen the health impact of the Study. Journal of Gerontology: invisible force of loneliness; do different Social Sciences, 638, 5375-5384. kinds of invisible forces have different 7. Cacioppo, J. T., & Patrick, B. effects? (2008). Loneliness: Human References nature and the needf or social 1. Buechner, F. (1977). Telling the connection. New York: W. W. Truth: The Gospel as Tragedy, Norton & Company. Comedy, and Fairy Tale (p. 3). 8. Hawkley, L. C., Misted, R. A., Masi, C. M., & Cacioppo, J. T. EFTA_R1_01522132 EFTA02444895
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Page 148 (under review). Loneliness 14. Dunbar, R. 1. M., & Shultz, S. predicts increased blood (2007). Evolution in the social pressure: Five-year cross-lagged brain. Science, 317, 1344-1347. analyses in middle-aged and 15. Pappano, L. (2001). The older adults. Connection Gap: Why Americans 9. Cole, S. W., Hawkley, L. C., Feel So Alone. Piscataway, NJ: Arevalo, J. M., Sung, C. Y., Rutgers University Press. Rose, R. M., & Cacioppo, J. T. 16. McPherson, M., Smith-Lovin, L., (2007). Social regulation of gene & Brashears, M. T. (2006). expression in humans: Social isolation in America: Glucocorticoid resistance in the Changes in core discussion leukocyte transcriptome. Genonte networks over two decades. Biology, 8, R189.1-R189.13. American Sociological Review, 10. Wilson, R. S., Krueger, K. R., 71,353-375. Arnold, S. E., Schneider, J. A., Kelly, J. F., Barnes, L. L., et al. (2007). Loneliness and risk of Alzheimer's disease. Archives of General Psychiatry, 64, 234- 240. 11. Cacioppo, J. T., & Hawkley, L. C. (2009). Perceived social isolation and cognition. Trends in Cognitive Science, 13, 447-454. 12. Baumeister, R.F., DeWall, C. N., Ciarocco, N. J., & Twenge, J. M. (2005). Social exclusion impairs self-regulation. Journal of Personality & Social Psychology, 88, 589-604; Twenge, J.M., Baumeister, R. F., Tice, D. M., & Stucke, T. S. (2001). If you can't join them, beat them: Effects of social exclusion on aggressive behavior. Journal ofP ersonality & Social Psychology, 81, 1058- 1069. 13. Cacioppo, J. T., Hawkley, L. C., & Thisted, R. (2009). Perceived social isolation makes me sad: Five year cross-lagged analyses of loneliness and depressive symptomatology in the Chicago Health, Aging, and Social Relations Study. Psychology and Aging, in press. EFTA_R1_01522133 EFTA02444896
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Page X49 From Relationships to People and Groups to Relationships with God The extent and quality of our social connections can have profound consequences for our physical well- being. In her essay, Louise Hawkley explores in particular the consequences that feelings of inadequate social connection have on such physical outcomes as sleep quality, high blood pressure, reduced ability to respond to inflammation, cognitive health in aging, and cardiovascular health. While Hawkley emphasizes the relationship between the invisible forces of social connection and health and the biological mechanisms responsible for this relationship, Gary Bemtson takes things one step further by exploring a person's perceived connection with God and its effects on our basic biological systems. Many of our basic biological processes, such as breathing or maintaining sufficient blood pressure to oxygenate the brain, are reflexes that are so automatic that they become invisible to us. Bemtson shows that thoughts and beliefs alter not only behaviors, but also the regulation of these reflex-like mechanisms. And he suggests that the root of these effects may lie in the way that humans and other animals maintain biological equilibrium with regulatory mechanisms that, under ordinary circumstances, keep each other in check. This theory describes a biological mechanism that could explain why spirituality is associated with generally better health. EFTA_R1_01522134 EFTA02444897
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Page ISO understanding. We consider the most common of these to be empirically 1=7-- ela `ss pirituality Inv ygcrpistt--,15,-, --assurrc ontrolfra acquired, learned facts, relations, sirpiramriathigitradd _ associations, and perceptual and motor skills. Such learned associations serve as —syYfirat 0er• i tiele4 01111 powerful determinants of thought and behavior. But other sources of heaititter information and knowledge also affect our interaction with the environment, Chapter 55 including reflex-like (constitutionally Psychosomatic Relations: From endowed) circuits that are independent Superstition to Mortality of explicit teaming. Examples include central networks for pain withdrawal, People have many sources of hunger circuits for the ingestion of information, knowledge and essential nutrients, social affiliation networks, and neural systems that s The lead author is Gary G. Benison, Ph.D., a promote maternal bonding. Each of Professor of Psychology, Psychiatry and these sources of information or Pediatrics and a member of the Neurosciences knowledge can impact thoughts and Graduate Faculty at the Ohio State University. beliefs, and thoughts and beliefs can He is a co-founder (with John Cacioppo) of the impact behaviors and other bodily field of social neuroscience, is a co-editor of the Handbook of Psychophysiology and the functions. Handbook of Neuroscience for the Behavioral "...a Maori woman who, Sciences, and is the President of the Society for having eaten somc fruit, was told that it Psychophysiological Research. Benison's had been taken research focuses on the evolutionary development of the neuraxis, with special regard from a tabooed place; she to levels of organization in neurobehavioral exclaimed that the sanctity of the chief systems, affective processes and autonomic had been profaned regulation. He has published over 200 articles in and that his spirit would kill scientific outlets and six books. her ... the next day ... she was Benison begins with the fact that dead.11) knowledge, thoughts and beliefs can influence our behaviors. Behaviors, of course, are physiological processes entailing neural "I have seen a strong young operations and muscular actions. Here we see a man die .... the same day he was tapued clear intersection between the psychological domain on the one hand (knowledge, thoughts (tabooed); the victims die and beliefs) and the physical domain under it as though their strength ran out (neuromuscular effector systems) on the other. as water... "( I ) But mind-body relations extend beyond the observable actions or skeletal muscles. The mind A superstition is a belief, based and its organ, the brain, also impact powerfully not on reason or knowledge, but on on internal bodily functions associated with the legend, magical thinking, or other non- autonomic nervous system, the endocrine rational basis. Beliefs color the way we system, and the immune system, to name just a perceive the world, they direct and shape few. Through these interactions, psychological our actions, and define our personalities. processes can be translated in outcomes that have powerful significance for adaptation and health. Beliefs are powerful determinants of Benison explores the processes by which action. A useful illustration of the power thoughts can manifest in fundamental changes in of beliefs comes from the parable of the internal physiology and health. EFTA_R1_01522135 EFTA02444898
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Page I51 Sultan (who had studied psychology) Power of Beliefs and his "lie-detecting" donkey. Lore has Beliefs may be potent it that the Sultan was missing a valuable determinants of behavior, but can they vase from his estate and suspected that kill? And if so, how? How can these one of his servants had stolen the piece. invisible, intangible entities impact To identify the culprit, the Sultan health? In a now classic article published gathered his servants in front of a dark in the American Anthropologist in 1942, room in which a donkey was tied, and Walter Cannon, a leading Harvard then asked each of his servants if they physiologist and expert on the had stolen the item. Each said "no". The autonomic nervous system, proposed an Sultan explained that inside the room answer (1). Investigating phenomena was a magical donkey, specially trained such as voodoo practices of the Haitians to detect liars, who would bray when and "bone-pointing" among Australian slapped by someone who had lied. The aborigines, Cannon found a common servants were sent into the room, one by feature among the victims of such rituals one, and were instructed to close the was a strong belief in the curse and an door, slap the donkey and return. "When associated morbid fear of the outcome. the donkey brays," the Sultan That fear, he argued, could trigger a proclaimed, "I will have my culprit". "fight-or-flight reaction" (a phrase he The first servant was sent into the room had earlier coined), characterized by and returned shortly thereafter— powerful and exaggerated activation of tremendously relieved as the donkey had the sympathetic nervous system. The not brayed. One by one, the remaining resulting vascular constriction servants entered the room and returned. diminishes blood flow to critical tissues The donkey had not brayed and all the (i.e., ischemia), with consequent hypoxia servants looked quite relaxed. The (decreased oxygen) and disturbances in Sultan was sanguine -- he knew this normal metabolism and cellular donkey never brayed under any function. These reactions may be circumstances. The Sultan asked the exacerbated by the lack of food and servants to show him their hands. He water as the victim "pines away." then pointed to one of them and declared Cannon argued that these reactions could "we have our thief," instructing the become life-threatening—fulfilling the guards to take him away. How had he gruesome legacy of the ritual—based on identified the culprit? Rather than a belief in the supernatural, the veracity relying on a magical donkey, the Sultan, of which is largely irrelevant. More who recall was a student of psychology, relevant is the emotion triggered by the took a more rational approach. belief, specious as it may be. Understanding the impact of beliefs on behavior, the Sultan had surreptitiously Beliefs and emotions have infiltrated powdered charcoal into the consequences, both behavioral and donkey's hair. When the servants physiological. A recent example comes slapped the donkey, the charcoal marked from the contemporary medical their hands—with the exception of the literature. There is now a well- guilty servant who had not slapped the documented condition, sometimes donkey, out of a belief and associated triggered by something as innocuous as a fear that the donkey could detect a liar! spousal argument or a surprise birthday party, which entails the hallmark clinical EFTA_R1_01522136 EFTA02444899
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Page 152 and physiological features of a heart for cold sores (HSV type I) and genital attack, including chest pain, herpes (HSV type II). Once contracted, abnormalities on the electrocardiogram, herpes virus infections generally remain and elevated cardiac enzymes (reflecting for life, although they are characterized damaged heart muscle) (2). The by periodic eruptions and remissions. condition has variously been termed During the latter, the immune system takotsubo cardiomyopathy, left- effectively dampens viral activity and ventricular apical ballooning, the virus retreat to a more or less myocardial stunning, stress dormant state. Although multiple factors cardiontyopailty, or in the more likely contribute to the reactivation of vernacular parlance of the New York HSV, one trigger appears to be stress— Times, broken heart syndrome the defacing cold sore that erupts, for (prompted by a medical review that was example, just before the prom or an published just before Valentine's Day). important date. Ohio State researchers In general accord with the speculation of sought an animal model of this Cannon, broken heart syndrome appears reactivation, so the underlying links and to be triggered by an exaggerated mediators could be studied. Try as they autonomic nervous system response, might, however, the research group was characterized by sympathetic activation unable to reactivate HSV infections in and high levels of the stress hormone mice with standard laboratory stressors, epinephrine (adrenalin) (3). It is such as restraint-stress or shock. In a important to note in these cases that collaborative effort, we pointed out that psychological states, as mild as they may the stressors that lead to HSV be, are able to induce a clear and reactivation in humans were often of a demonstrable organ pathology. social nature. indeed, for both humans and mice, social relations are central to Physiological abnormalities or happiness, adaptation and even survival. dysfunctions underlie medical In light of this, a social stressor was conditions, and indeed, constitute the introduced into the project (changing the defining features of disease states. An housing groupings and thus disrupting important question, however, is how established social relations). The social those dysfunctions come to be. There are stress, but again not physical stressors, many ways in which disease develops — resulted in significant HSV reactivation traumatic injuries, biotic infections, (4). Psychological factors, and in this degenerative conditions — and the list case a specific social psychological goes on. The fields of psychophysiology, variable, uniquely impacted an important psychosomatic or behavioral medicine, aspect of viral immunity. This early and health psychology arc particularly finding led to a series of studies that concerned with how psychological and have elucidated physiological pathways behavioral factors impact physiological that mediate the relationship between systems and thus health. Of particular social stress, immune function and HSV interest are those psychological reactivation. But, what is it that makes dimensions that uniquely impact social stress unique and distinct from physiology. physical stressors? An example comes from the We have identified a probable study of Herpes Simplex viral infections. general contributor to the differences Herpes Simplex viruses are responsible EFTA_R1_01522137 EFTA02444900
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Page I53 between lower-level physical or such as a decrease in blood pressure and homeostatic challenges and higher-level compromised circulation. psychological and social stressors. Basic Although this reciprocal mode of homeostatic reflexes, reflexes that keep regulation of the autonomic branches has in balance various critical bodily considerable utility, and is characteristic processes such as blood pressure, body of basic reflex organizations, it may not temperature, and blood sugar, are largely always be optimal. The autonomic hard-wired and organized at relatively nervous system provides the basic low levels of the nervous system, such as support for action and adjustment, and the brainstem and spinal cord. An although it figures prominently in example comes from autonomic nervous survival related functions, it also system regulation of cardiovascular provides the basic visceral support for function. The sympathetic division of the emotional and cognitive operations as autonomic nervous system is an well. It has long been recognized that activational, energy mobilization system cognitively demanding tasks elicit that comes into play in the face of greater autonomic activation than is adaptive challenges. Sympathetic needed to meet the metabolic demands activation increases heart rate and results of the tasks. Moreover, ascending neural in peripheral vasoconstriction, both of signals to the brain from visceral organs which tend to increase blood pressure. In such as the heart and blood vessels serve contrast, the parasympathetic division is to modulate and regulate cognitive an energy-conserving, deactivational activities (5). The notable early brake that generally opposes the psychologist, William James, proposed sympathetic system, yielding decreases that emotion is the experience of in heart rate and blood pressure. The somatovisccral sensory feedback. James baroreceptor heart rate reflex is a suggested that we do not run from the homeostatic reflex that functions to bear because we are afraid, but rather we maintain blood pressure within are afraid because we run from the bear homeostatic limits. Unique pressure (6). Although the strong form of this sensitive receptors in the heart and large theory has not been supported, it remains arteries detect changes in blood pressure, the case that ascending visceral signals and a decrease in blood pressure triggers can modulate learning, attention, and the baroreceptor heart rate reflex, cortical/cognitive processing (5). The increasing sympathetic activity and autonomic nervous system is not only reciprocally decreasing parasympathetic for lower level reflexive adjustments. tone. Both effects serve to increase heart Indeed, it is increasingly recognized that rate (and thus cardiac output) and there is a highly complex, even intricate, constrict arteries throughout the body, interaction between the autonomic thereby restoring the pressure nervous system and higher level brain perturbation. In basic reflexes, the two structures (e.g., frontal cortex) involved autonomic branches are generally in human behavior. Importantly, these regulated in this reciprocal fashion, and circuits and their interactions with the thus synergistically amplify the effects autonomic nervous system are highly of the other. This is a useful mechanism flexible and are not constrained by the to adjust to severe adaptive challenges simple organization rules that govern basal functions such as homeostasis and EFTA_R1_01522138 EFTA02444901
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Page 154 reciprocal control of the autonomic of demographics, health behaviors, body branches. Rather, higher level systems mass index, blood pressure, and other engage in highly sophisticated "banter" potential explanatory factors. Short of with the autonomic nervous system. divine intervention, was there a rational explanation for this relationship? We In contrast to the reciprocal certainly know that psychological factors control characteristic of autonomic can impact autonomic control, among reflexes, higher level brain circuits exert other aspects of physiology. more flexible control over the autonomic nervous system. This can include the As considered above, when classic reciprocal control pattern, but can extreme or prolonged, sympathetic also include an independent control activation may have harmful pattern in which only the sympathetic consequences. Heightened sympathetic branch or only the parasympathetic activation is known, for example, to branch of the autonomic nervous system predict a poorer outcome after heart is activated, and a coactive control attack. In contrast, parasympathetic pattern in which both branches are activity may have beneficial or activated. This greater flexibility in protective effects. From the perspective control may have behavioral and health of a reciprocal model of autonomic significance. control, high parasympathetic/low sympathetic control would be optimal Beliefs about One's Relationship with whereas high sympathetic/low God and Autonomic Functioning parasympathetic control would be Recently, we used a population- considered a risk. But we also know that based sample of 50-68-year-old adults in higher level neurobehavioral systems the Chicago Health, Aging and Social may not be constrained to reciprocal Relations Study to examine risk factors autonomic controls. Moreover, it has for heart attack, a health outcome known been argued that more autonomic control to be influenced the autonomic nervous is better than little control, in that if system. We were particularly interested affords greater capacity for adjustment in whether spirituality influenced risk for of visceral functions. Could high levels heart attack. With very few exceptions, of parasympathetic control, for example, everyone in our sample expressed a mitigate the negative effects of belief in God. However, individuals sympathetic activation and perhaps yield differed in how they perceived the an even more advantageous health quality of their relationship with God, outcome? much as individuals differ in how they To examine these questions. we perceive the quality of their relationships developed two quantitative measures of with other people. We defined autonomic control (7). The first was a spirituality as the degree to which a common metric of autonomic balance personal relationship with God was (Cardiac Autonomic Balance), which believed to offer safety, security, represents the relative dominance of the contentment, and love. One observation two branches along a single autonomic that emerged from this study was that continuum that ranges from purely spirituality was associated with a lower parasympathetic control to purely incidence of heart attack (7). This sympathetic control. This metric is remained true after ruling out the effects consistent with the classical model of EFTA_R1_01522139 EFTA02444902
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Page I55 reciprocal control, characteristic of status and was associated with a lower reflex processes, where autonomic incidence of heart attack. Participants balance can be biased toward one or the who had low Cardiac Autonomic other of the autonomic branches. High Regulation were more likely to have scores indicate sympathetic dominance suffered from a heart attack. and low scores parasympathetic Could higher Cardiac Autonomic dominance. Independent estimates of Regulation scores explain why sympathetic and parasympathetic control spirituality was associated with less risk were obtained using standard for heart attack? That is, could a pattern measurement procedures, and the level of autonomic regulation associated with of parasympathetic control was spirituality explain the link between subtracted from sympathetic control to spirituality and heart attack? In order to derive a measure of Cardiac Autonomic address this question, we conducted Balance. A second metric was designed statistical tests of these linkages. As we to capture an alternative mode of already knew, both spirituality and autonomic control (Cardiac Autonomic Cardiac Autonomic Regulation are Regulation) that assesses the degree of associated with a lower incidence of relative coactivation (rather than heart attack. When the predictive effects reciprocal activation) of both branches. of spirituality were statistically This is a metric that taps into the non- extracted, Cardiac Autonomic reciprocal regulatory influences of Regulation continued to be a significant higher neural structures. Cardiac predictor of a lower incidence of heart Autonomic Regulation scores were attack. However, when the linkage test derived by essentially summing was reversed and the effects of Cardiac activities of the sympathetic and Autonomic Regulation were extracted, parasympathetic branches to afford a spirituality was no longer a significant measure of total overall autonomic predictor. This indicates that Cardiac cardiac control. High scores indicate Autonomic Regulation is a plausible high activation and low scores indicate mediator that may explain the low activation of both branches of the relationship between spirituality and autonomic nervous system. heart attack. In the 50-68-year-old adults in By capturing higher levels of our sample, spirituality was found to be parasympathetic control and the associated not only with a lower associated autonomic coactivation of the incidence of heart attack, but a higher sympathetic and parasympathetic level of Cardiac Autonomic Regulation. branches, Cardiac Autonomic That is, people who felt closer in their Regulation provided a critical metric that relationship with God exhibited higher permitted the study of a previously overall autonomic regulation—both "invisible" and mysterious link between sympathetic and parasympathetic. This spirituality and health outcomes. This in was associated, in part, with lesser no way diminishes the relationship diminution of parasympathetic control between spirituality and health, but and a greater degree of coactivation. rather offers an important hypothesis as Moreover, Cardiac Autonomic to how spirituality may impact Regulation (but not Cardiac Autonomic physiology and health status. Spirituality Balance) predicted better overall health reflects an important aspect of the EFTA_R1_01522140 EFTA02444903
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Page 156 general domain of sociality and social 2. Wittstein, I.S. (2007). The broken relationships, a domain heavily heart syndrome. Cleve Clin JM ed, 74, influenced by our genetic constitution as Suppl 1, S17-22. a social species. Indeed, the importance 3. Wittstein, Thiemann, D.R., Lima, of sociality may be more related to J.A., Baughman, K.L., Schulman, S.P., beliefs and aftitudes about the Gerstenblith, G., Wu, K.C., Rade, J.J., meaningfulness of relationships than Bivalacqua, T.J., & Champion, H.C. their existence or number. And again, (2005). Neurohumoral features of beliefs about social relationships also myocardial stunning due to sudden have real consequences. emotional stress. NE ngl JM ed, 352, Conclusion 539-48. Beliefs impact thoughts and 4. Padgett, D. A., Sheridan, J. F., Dome, actions. This may be reflected in J., Berntson, G. G., Candelora, J., & phenomena as diverse as biasing a Glaser, R. (1998). Social stress and the behavioral disposition (such as slapping reactivation of latent herpes simplex a donkey), coloring our perception of the virus-type I. Proceedings oft he environment, or determining how we National Academy ofS ciences, 95, 7231- perceive the quality of our social 7235. (including spiritual) relations. 5. Bemtson, G. G., Sarter, M. & Psychology can also impact physiology, Cacioppo, J. T. (2003). Ascending and physiology, in turn, can influence visceral regulation of cortical affective our thoughts and emotions. information processing. European Psychophysiology is the study of these Journal ofN euroscience, 18, 2103-2109. relationships, and promises to illuminate the intricacies of psychosomatic 6. James, W. (1884). What is an relations and the heretofore "invisible" emotion? Mind, 9, 188-205. mechanisms that mediate these links. 7. Berntson, G. G., Norman. G., The relations between the mind and the Hawkley, L., & Cacioppo, J. T. (2008). body, the so-called mind-body problem, Spirituality and autonomic arc complex and still rather obscure. cardiovascular control. Annals of Nevertheless, the mind-body problem is Behavioral Medicine, 35, 198-208. yielding to science, and the problem it 8. Bemtson, G. G., Norman, G. J., poses is progressively diminishing. Hawkley, L. C. & Cacioppo, J. T. Among the components of the mind- (2008). Cardiac Autonomic Balance vs. body problem yielding to rigorous Cardiac Regulatory Capacity. scientific inquiry are the effects of Psychophysiology, 45, 643-652. spiritual beliefs including feelings of closeness to God. References 1. Cannon, W.B. (1942). "Voodoo" death. American Anthropologist, 44 (new series), 169-181. EFTA_R1_01522141 EFTA02444904
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Page X57 the supra-individual source can be The Mind and Body Are One explained as shared motor The Cartesian view of the mind representations and ongoing monitoring as distinct from the body persists in of observed actions that, under certain twenty-first century discourse as the conditions, lead to dissolution of the mind-body problem alluded to by Gary boundary between self and other. The Bemtson. Berntson provides evidence resulting shared experience of unity and that the mind and the body, psychology collective identity may feel and physiology, are not independent of transcendental, but the mechanisms are each other but represent different levels as real and explicable as those governing of organization of human organisms. individual behaviors and experiences. Beliefs influence thoughts, behaviors, and physiology, and peripheral physiological processes signal central neural networks that influence cognitions and feelings crucial for the generation and moderation of beliefs. Spiritual beliefs are considered by some to be contentious candidates for scientific examination, yet Berntson argues that spiritual beliefs can be identified, measured, and subjected to scientific investigation in the same fashion as any other belief or invisible force. Accordingly, Berntson examines the effects of a specific spiritual belief— the belief that one has a close personal relationship with God. As documented by Bemtson, this belief is associated with rather profound physiological and health effects. Whereas Bemtson focuses on the influence of the mind es the body and vice versa, Gun Semin speaks of the mind in the body and, more specifically, in several bodies simultaneously. In his social cognition model, Semin challenges the limits of individual social cognition and argues that regulation and co-regulation of social behavior are distributed across brains. When several individuals exhibit spontaneous synchronized behaviors (e.g., hand- clapping), the human tendency is to invoke a "supra-individual" explanation. Semin describes a mechanism by which EFTA_R1_01522142 EFTA02444905
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Page 158 individual within the group, the group 1•—•-• beluZe-thi i... 11—_,,hiayt lfir t seems to be an entity of its own and the if hi Mier flp individual soldier seems to have become eirizestyiritlivta latOrna. 7 1,0:;ateanTif isltlit 'tor a cog in the social machine. Mob behavior, crowds at sporting events, and soldiers in formation all suggest that 71-11Albliatilit1 ti when we are organized to act together, the group becomes an emergent entity Chapter 66 that can submerge the sense of the individual self. This apparent social The Suspension of Individual absorption stands in contrast to our Consciousness and typical experience of being autonomous, The Dissolution of Self and Other self-aware agents in the world. The Boundaries dissolution of the boundary between the When we watch a group of self and the group is one manifestation soldiers marching in formation, we see of the social brain and the mechanisms the behavior of the group synchronized. that support our ability to connect with Although we can make out the others. Although not everyone has the 6 The lead author is Gun R. Semin, Ph.D., an experience of marching in a band or Academy Professor, Royal Netherlands running with a mob, most people have Academy of Arts and Sciences, at Utrecht been part of an audience at a concert or University, The Netherlands. He is the founding play. At the end of a particularly Scientific Director of the Kurt Lewin Graduate School , a past president of the European thrilling performance, an audience can Association of Experimental Social Psychology, be moved spontaneously as a group to and the Chair of the international Committee of clap wildly. In these situations, we the Association for Psychological Science. know the feeling of surging to our feet as Semin's research is primarily driven by an a collective, hands clapping and faces interest in communication, social cognition as jointly recruited process, and language and the beaming with approval. As the clapping diverse uses that language can be put to in social blooms, individual clappers merge into a interaction (ranging from the regulation of synchronized unit.l. 2 Similarly, prejudice to that of interpersonal relationships) thousands of individual sports fans have as well as the embodied grounding of meaning been observed to stand and raise their and communication. A puzzle that has occupied Semin much hands in a synchronized fashion to of his career is how it is possible to understand produce a collective wave that travels social behavior by explaining individual around the stadium. In both cases, processes. Another purzle has been why one individual people act as a collective unit, should focus on stills when human behavior is a a superorganismal structure, with movie: behavior is self evidently dynamic and highly responsive to contextual variations. capacities and behaviors beyond the Finally, Semin has been puzzled by how it is reach of any single individual in the possible to think that all there might be to group. psychological processes is some symbolic computation taking place somewhere between These examples are instances of the ears. As outlined in this essay, he has come behavioral uniformity in large groups. to conceptualize the social in terms of jointly What is distinctive about these examples recruited processes rather than individual ones, is that the observed behavioral social behavior as situated, and psychological synchrony can be understood in terms of processes as embodied. EFTA_R1_01522143 EFTA02444906
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Page I59 a shared social goal. Sometimes the goal individual-centered reasons, motives, is spontaneous as in clapping to intentions, and causes may be at odds demonstrate appreciation and sometimes with some forms of spontaneously the goal is imposed by the situation (e.g., synchronized behaviors and group musicians following a musical score and action. instructions of a conductor, soldiers Towards a Biology of Social marching to the call of a drill sergeant). Interaction However, when we behave in synchrony with others, there is a sense of becoming Consider the perspective of an part of something larger than ourselves. engaged spectator at a singles tennis match. Although we may be sifting To the people engaged in distant from competitors, if we identify spontaneously synchronized behavior, with one of the players we are not there is a clearly identifiable and merely passive observers. On the seemingly individual 'cause' for their contrary, our observation of the events in emergent behavior. But when a group the game can serve to activate some of shares the same goal—demonstrating the same neural mechanisms that would approval—and engages in the same be active if we were playing the game action—clapping—the stage is set for rather than just observing it. We can feel such behavior to become coordinated the moves, feel the impetus to defend an and organized even without an external attack, and feel the urge to slam the ball agent (conductor or drill sergeant). How as if we ourselves are playing, albeit do those moments of spontaneous social without actually flailing our arms aggregation occur? How does the social around. We may even anticipate a move brain work to join with others to form by the opponent and imagine ourselves the emergent group? making the potential response. Research We have begun to understand the over the last I 0 years or so has revealed underlying dynamics of how and when that our brains can map the movements such phenomena are likely to occur and of other human beings onto our own even how such phenomena can be bodies almost as if we were making potentially engineered. New insights those movements. This ability to put afforded by developments in social ourselves in another person's shoes psychology, developmental psychology, makes it possible to identify with either and social neuroscience have suggested player. the way in which our brains respond to By comparison to the audience, the invisible force of social connection. consider how this ability can serve us as These scientific developments suggest one of the players. This capacity neural mechanisms that may be provides an important facility for important to the way we interact with anticipating our opponent's moves others. At the same time, the insights allowing us to plan a response even also reveal the likely conditions under before the opponent has completed a which individual self merges into the groundstroke. This kind of anticipation group. Such situations when the sense of does not depend on explicit reasoning or self is suspended contrast sharply with conscious reflection—it seems to operate the modern Western notion of the as an automatic mechanism 3'4. This individual standing apart from others. kind of mechanism may facilitate Indeed, the traditional Western focus on EFTA_R1_01522144 EFTA02444907
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Page 160 understanding the behavior of others. If the social brain includes monitoring and your brain mirrors the neural activity in motor systems that function in parallel. the brain of someone you see acting, this The mirror system puts the player in the could provide a basis for understanding opponent's shoes and monitors the the motivation for the action. If your opponent's actions in an anticipatory brain resonates to the observed action as manner. Other parts of the social brain if you were acting, this could call to maintain the distinction between player mind previous experiences acting that and opponent by shaping the way providing a memory for why you implementation of one's actions, namely acted that way. That is, our social brain by engaging a counteraction. may directly resonate to the actions of In sum, a tennis game or any others without reasoning explicitly about social interaction depends on a complex those actions. This kind of mechanism, network of brain regions that mediate through which intentions might be perception and action, and the inferred, could then prepare responses relationship between observed action quickly to facilitate the smooth flow of and one's own behavior. The overlap in social interactions whether in a game or brain regions responsible for these two a dialogue. Of course, a critical aspect important social functions suggests how of such a mechanism is to differentiate tightly coupled and coordinated social our resonance to other people's actions interactions can be. However, these two and the control of our own. This kind systems cannot operate in isolation from of neural system for mapping the actions our knowledge of the context in which and intentions of others has been behavior occurs. We, therefore, turn to identified with a network of regions this topic next. called the mirror neuron system 3, and this system may help to induce a degree The Social Context of reflexive similarity or identification In a tennis game or any social between self and other. The mirror interaction (e.g., dancing, conversation), neuron system appears to be the behavior of one individual continuously engaged unless it is constitutes a stimulus for others. If a actively suppressed by inhibition, so that behavior is meaningful, then neural this system may continuous monitor the mechanisms responsible for social behavior of `others' in our social perception and social interaction are environment. likely to be activated to engage in Of course, mapping the complementary action. In a competitive movements of the opponent is useful, context, such as the tennis game, the but certainly not sufficient to defend our motor system is engaged in the position, score a point, or win a match. preparation and execution of One needs to execute countermoves. complementary actions to those This is the domain of the motor system observed and anticipated based on the in the brain, which includes regions inferred goals and intentions of the involved in the preparation and competitor. However, if everyone shares execution of motor action. The motor the same goal, for example, as in an system is responsible for the audience clapping, the neural systems implementation of one's goals and for monitoring the actions of others and intentions to perform an action°. Thus, executing one's own actions can be EFTA_R1_01522145 EFTA02444908