Appraisal theory is the theory in psychology that emotions are extracted from our evaluations (appraisals or estimates) of events that cause specific reactions in different people. Essentially, our appraisal of a situation causes an emotional, or affective, response that is going to be based on that appraisal. An example of this is going on a first date. If the date is perceived as positive, one might feel happiness, joy, giddiness, excitement, and/or anticipation, because they have appraised this event as one that could have positive long-term effects, i.e. starting a new relationship, engagement, or even marriage. On the other hand, if the date is perceived negatively, then our emotions, as a result, might include dejection, sadness, emptiness, or fear. (Scherer et al., 2001)Scherer, K. R., & Shorr, A., & Johnstone, T. (Ed.). (2001). Appraisal processes in emotion: theory, methods, research . Canary, NC: Oxford University Press. Reasoning and understanding of one's emotional reaction becomes important for future appraisals as well. The important aspect of the appraisal theory is that it accounts for individual variability in emotional reactions to the same event.Smith, Craig A. & Lazarus, Richard S. (1990). Chapter 23. Emotion and Adaptation. In L.A. Pervin (Ed.). Handbook of Personality: Theory and Research. (pp. 609-637). New York: Guilford.
Appraisal theories of emotion are theories that state that emotions result from people's interpretations and explanations of their circumstances even in the absence of physiological arousal (Aronson, 2005).Aronson, E., Wilson, T.D., & Akert, R.M. (2005). Social psychology, 7th ed. Upper Saddle River, NJ: Pearson Education, Inc. There are two basic approaches; the structural approach and process model. These models both provide an explanation for the appraisal of emotions and explain in different ways how emotions can develop. In the absence of physiological arousal we decide how to feel about a situation after we have interpreted and explained the phenomena. Thus the sequence of events is as follows: event, thinking, and simultaneous events of arousal and emotion. Social psychologists have used this theory to explain and predict coping mechanisms and people's patterns of emotionality. By contrast, for example, personality psychology studies emotions as a function of a person's personality, and thus does not take into account the person's appraisal, or cognitive response, to a situation. Personality psychology relates to analyzing factors that influence how people are similar to one another and their unique differences.
The main controversy surrounding these theories argues that emotions cannot happen without physiological arousal.
History
For the past several decades, appraisal theory has developed and evolved as a prominent theory in the field of communication and psychology by testing affect and emotion. In history, the most basic ideology dates back to some of the most notable philosophers such as Aristotle, Plato, the Stoics, Spinoza and Hume, and even early German psychologist Stumpf (Reisenzein & Schonpflug, 1992).Scherer, K. R., & Shorr, A., & Johnstone, T. (Ed.). (2001). Appraisal processes in emotion: theory, methods, research . Canary, NC: Oxford University Press. p. 21 However, in the past fifty years, this theory has expanded exponentially with the dedication of two prominent researchers: Magda Arnold and Richard Lazarus, amongst others who have contributed appraisal theories.
The question studied under appraisal theories is why people react to things differently. Even when presented with the same, or a similar situation all people will react in slightly different ways based on their perception of the situation. These perceptions elicit various emotions that are specific to each person. About 30 years ago, psychologists and researchers began to categorize these emotions into different groups. This is where cognitive appraisal theory stems from. They decided to categorize these emotional reaction behaviors as appraisals. The two main theories of appraisal are the structural model and the process model. These models are broken down into subtypes as well (Smith & Kirby, 2009).Smith, Craig A., & Kirby, Leslie D. (2009). Putting appraisal in context: Toward a relational model of appraisal and emotion. Cognition and Emotion, 23 (7), 1352–1372. Researchers have attempted to specify particular appraisals of events that elicit emotions (Roseman et al., 1996).Roseman, I.J. and Smith, C.A. (2001). Appraisal theory: overview, assumptions, varieties, controversies.. New York, NY: Oxford University Press, USA.
Magda Arnold
Dating back to the 1940s and 1950s, Magda Arnold took an interest in researching the appraisal of emotions accompanying general arousal. Specifically, Arnold wanted to "introduce the idea of emotion differentiation by postulating that emotions such as fear, anger, and excitement could be distinguished by different excitatory phenomena" (Arnold, 1950). With these new ideas, she developed her "cognitive theory" in the 1960s, which specified that the first step in emotion is an appraisal of the situation.Scherer, K. R., & Shorr, A., & Johnstone, T. (Ed.). (2001). Appraisal processes in emotion: theory, methods, research . Canary, NC: Oxford University Press. p. 21,22 According to Arnold, the initial appraisals start the emotional sequence and arouse both the appropriate actions and the emotional experience itself, so that the physiological changes, recognized as important, accompany, but do not initiate, the actions and experiences (Arnold, 1960a).Scherer, K. R., & Shorr, A., & Johnstone, T. (Ed.). (2001). Appraisal processes in emotion: theory, methods, research . Canary, NC: Oxford University Press. p. 22 A notable advancement was Arnold's idea of intuitive appraisal in which she describes emotions that are good or bad for the person lead to an action. For example, if a student studies hard in a difficult class and passes the tough mid-term exam with an "A", the felt emotion of happiness will motivate the student to keep studying hard for that class.
Emotion is a difficult concept to define as emotions are constantly changing for each individual, but Arnold's continued advancements and changing theory led her to keep researching her work within appraisal theory. The 1970s were difficult as fellow researchers challenged her theory with questions concerning the involvement of psycho-physiological factors and the psychological experiences at the Loyola Symposium on Feelings and Emotions. Despite this and re-evaluating the theory, Arnold's discoveries paved the way for other researchers to learn about variances of emotion, affect, and their relation to each other.
Richard Lazarus
Following close to Magda Arnold in terms of appraisal theory examination was Richard Lazarus who continued to research emotions through appraisal theory before his death in 2002. Since he began researching in the 1950s, this concept evolves and expands to include new research, methods, and procedures. Although Arnold had a difficult time with questions, Lazarus and other researchers discussed the biopsychological components of the theory at the Loyola Symposium ("Towards a Cognitive Theory of Emotion").Scherer, K. R., & Shorr, A., & Johnstone, T. (Ed.). (2001). Appraisal processes in emotion: theory, methods, research . Canary, NC: Oxford University Press. p. 23
Specifically, he identified two essential factors in an essay in which he discusses the cognitive aspects of emotion: "first, what is the nature of the cognitions (or appraisals) which underlie separate emotional reactions (e.g. fear, guilt, grief, joy, etc.). Second, what are the determining antecedent conditions of these cognitions." (Lazarus, Averill, & Opton (1970, p. 219) These two aspects are absolutely crucial in defining the reactions that stem from the initial emotions that underlie the reactions. Moreover, Lazarus specified two major types of appraisal methods which sit at the crux of the appraisal method: 1) primary appraisal, directed at the establishment of the significance or meaning of the event to the organism, and 2) secondary appraisal, directed at the assessment of the ability of the organism to cope with the consequences of the event. These two types go hand in hand as one establishes the importance of the event while the following assesses the coping mechanisms which Lazarus divided up into two parts: direct actions and cognitive reappraisal processes.
To simplify Lazarus's theory and emphasize his stress on cognition, as you are experiencing an event, your thought must precede the arousal and emotion (which happen simultaneously).Psychology 101. Chapter 7: Motivation and Emotion. Section 3, Emotion. All Psych Online. All Psych and Hefner Media Group, Inc. http://allpsych.com/psychology101/emotion.html . 21 March 2004 For example: You are about to give a speech in front of 50 of your peers. First, you think: "I've never spoken in front of such a big crowd. I'm going to make a fool of myself." Then, Your mouth goes dry, your heart beat quickens, your palms sweat, and your legs begin to shake and at the same time you experience fear.
Varieties
Structural model
The structural model of appraisal helps to explain the relation between appraisals and the emotions they elicit. This model involves examination of the appraisal process as well as examination of how different appraisals influence which emotions are experienced. According to Lazarus (1991),Lazarus, Richard S. (1991). Progress on a cognitive-motivational-relational theory of Emotion. American Psychologist, 46(8), 819-834. theories of emotion involve a relational aspect, a motivational aspect, and a cognitive aspect (Lazarus, 1991). The relational aspect involves the relationship between a person and the environment and suggests that emotions always involve an interaction between the two (Lazarus, 1991). The motivational aspect involves an assessment of the status of one's goals and is the aspect of the evaluation of a situation in which a person determines how relevant the situation is to his or her goals (Lazarus, 1991). Finally, the cognitive component involves one's appraisal of the situation, or an evaluation of how relevant and significant a situation is to one's life (Lazarus, 1991). Lazarus suggests that different emotions are elicited when situations are evaluated differently according to these three categories. In order to evaluate each emotion individually, however, a structural model of appraisal is necessary (Lazarus, 1991). This model allows for the individual components of the appraisal process to be determined for each emotion. In addition, this model allows for the evaluation of how and where the appraisal processes differ for different emotions (Lazarus, 1991).
Primary appraisal