Arousal and the Affective State
This discussion builds on recent conversations from my social media and blog, particularly about geldings and stallions "dropping" during training. While that topic sparked spirited debate, the larger issue here is understanding arousal levels and emotional states in training. Let’s break it down and explore what this means for both the horse and the trainer.
What Is Arousal?
Arousal refers to the physiological and psychological state of alertness or activation in an organism. It exists on a spectrum:
Low arousal: Drowsiness or lethargy
Moderate arousal: Focused and engaged
High arousal: Excitement, stress, or agitation
Physiological markers of arousal include changes in heart rate, cortisol levels, respiration, and pupil dilation. These markers influence a horse’s ability to focus, respond to stimuli, and learn effectively.
Observable Behaviors as Indicators of Arousal
Different species exhibit arousal levels through observable behaviors. For example:
Dogs: Barking—which may signify excitement (throw the toy!) or stress (an intruder alert!).
Humans: Flushed cheeks—this can happen when we’re embarrassed, surprised, or excited.
Horses: Pawing—this might indicate excitement (grain is coming!), stress (standing tied), or playfulness (younger horses interacting).
For geldings and stallions, "dropping" can sometimes indicate arousal. This behavior’s emotional motivation depends on the context, ranging from engagement to relaxation or frustration.
What Is Valence?
Valence refers to the emotional value of an experience:
Positive valence: Pleasant and rewarding emotions (e.g., contentment, curiosity, joy).
Negative valence: Unpleasant and aversive emotions (e.g., fear, frustration, sadness).
Valence and arousal work together to shape emotional experiences and behaviors. For example:
High arousal + positive valence = Excitement, playfulness
High arousal + negative valence = Fear, aggression
Low arousal + positive valence = Calmness, relaxation
Low arousal + negative valence = Sadness, disengagement
Why Do Arousal and Valence Matter in Training?
A horse’s affective state (a combination of arousal and valence) directly influences its learning, decision-making, and behavior.
Positive states: Promote engagement, focus, and responsiveness to reinforcement.
Negative states: Can lead to avoidance, defensive responses, or impaired learning.
The Yerkes-Dodson Law
The Yerkes-Dodson Law illustrates the relationship between arousal and performance as an inverted U-shaped curve. Optimal performance occurs at moderate arousal levels, while:
Too little arousal: Leads to disengagement or lethargy.
Too much arousal: Results in stress, fear, or aggression.
Research Insights
Key studies highlight the role of arousal and affective states in animal training:
Starling et al. (2013): Conceptualizing Arousal in Operant Conditioning
Optimal training occurs at moderate arousal and positive affective states.
Positive reinforcement is most effective for animals in positive affective states.
Excessive arousal reduces learning effectiveness across all methods.
McLean and McGreevy (2010): Arousal in Horse Training
Harsh punishment leads to heightened arousal and defensive behaviors (e.g., bolting, freezing).
Reward-based training promotes learning by maintaining moderate arousal and positive states.
Haverbeke et al. (2008): Arousal in Military Dogs
Positive reinforcement improved performance and reduced stress-related behaviors.
Punishment-induced high arousal caused inconsistent behaviors and aggression.
Mendl et al. (2010): Arousal and Problem-Solving in Primates
Moderate arousal enhances cognitive flexibility and problem-solving skills.
Application to Horse Training
Promote Positive Affective States
Use positive reinforcement to create pleasant associations with training.
Avoid aversive methods that increase negative affective states and impair learning.
Balance Arousal Levels
For low arousal: Use novel stimuli, high-value reinforcers, or increased energy in your movements to engage your horse.
For high arousal: Reduce distractions, use calming techniques (e.g., classical counter-conditioning, predictable routines), and reinforce calming signals like deep breaths or lowered head.
Task Complexity
For novel or complex tasks: Aim for low to moderate arousal to improve focus and learning.
For simple or practiced tasks: Slightly higher arousal can enhance performance.
Individual Differences
Horses have unique baselines for arousal. Sensitive horses may need gradual exposure to new stimuli, while calmer horses may require more stimulation to engage effectively.
Finding the Sweet Spot
Arousal and affective states are dynamic and context-dependent. The goal is to balance these factors for the horse in front of you, optimizing their learning experience while maintaining their emotional well-being. Remember, behavior is the study of one: no single rule applies universally, and training should always consider the individual horse and its context.
Further Learning
Drinking from the toilet: “Over the Top - High Arousal in Dogs” https://open.spotify.com/episode/6vL3FWwjwXx6DKx5vRT1eZ?si=zyoAx_XmSxu1wIyEa5FMNA
Yerkes, R. M., & Dodson, J. D. (1908). The Relation of Strength of Stimulus to Rapidity of Habit-Formation. Journal of Comparative Neurology and Psychology, 18(5), 459–482.
Summary: This seminal study investigated how varying levels of electric shock (as a stimulus) affected the learning speed of Japanese dancing mice in a discrimination task. The researchers discovered that mice exposed to moderate levels of shock learned the task more quickly than those exposed to very low or very high levels of shock. This observation led to the formulation of the Yerkes–Dodson Law, which posits an inverted U-shaped relationship between arousal and performance: optimal performance is achieved at moderate levels of arousal, while too little or too much arousal can hinder performance.
Starling, M. J., Branson, N., Cody, D., & McGreevy, P. D. (2013). Conceptualising the Impact of Arousal and Affective State on Training Outcomes of Operant Conditioning. Animals, 3(2), 300–317.
Summary: This paper explores how an animal's arousal and affective (emotional) states influence the effectiveness of different operant conditioning techniques. The authors introduce "response landscapes," three-dimensional models that depict the probability of desired behaviors occurring under various combinations of arousal and affective states. The study emphasizes that training efficacy is maximized when animals are in a positive affective state with moderate arousal levels. It also highlights the necessity of tailoring training approaches to individual animals, considering their unique emotional and arousal conditions.
Direct link: https://doi.org/10.3390/ani3020300
Bray, E. E., MacLean, E. L., & Hare, B. A. (2015). Increasing Arousal Enhances Inhibitory Control in Calm but Not Excitable Dogs. Animal Cognition, 18(6), 1317–1329.
Summary: This study examines how arousal levels affect inhibitory control in dogs with different temperaments. The researchers found that increasing arousal improved inhibitory control in dogs characterized as calm but did not have the same effect on dogs identified as excitable. These findings suggest that the relationship between arousal and performance is influenced by individual temperament, aligning with the Yerkes–Dodson Law's principle that optimal arousal levels for performance vary among individuals.
Direct link: https://doi.org/10.1007/s10071-015-0901-1
Cohen, R. A. (2011). Yerkes–Dodson Law. In J. S. Kreutzer, J. DeLuca, & B. Caplan (Eds.), Encyclopedia of Clinical Neuropsychology (pp. 2737–2738). Springer.
Summary: This encyclopedia entry provides an overview of the Yerkes–Dodson Law, discussing its historical background, empirical support, and applications in various fields, including psychology and neuroscience. It elaborates on how the law explains the relationship between arousal levels and performance, emphasizing that while moderate arousal can enhance performance, too much or too little arousal can be detrimental.
Direct link: https://link.springer.com/referenceworkentry/10.1007/978-0-387-79948-3_1348
Haverbeke, A., Laporte, B., Depiereux, E., Giffroy, J. M., & Diederich, C. (2008). Training Methods of Military Dog Handlers and Their Effects on the Team’s Performance. Applied Animal Behaviour Science, 113(1–3), 110–122.
Summary: This study investigates the impact of different training methods used by military dog handlers on the performance and welfare of the dogs. The findings indicate that positive reinforcement techniques are associated with better performance outcomes and lower stress levels in dogs, whereas aversive methods can lead to increased stress and reduced effectiveness. The study underscores the importance of considering the affective state of animals in training programs to optimize performance and well-being.
Direct link: https://doi.org/10.1016/j.applanim.2007.11.009
Mendl, M., Burman, O. H. P., & Paul, E. S. (2010). An Integrative and Functional Framework for the Study of Animal Emotion and Mood. Proceedings of the Royal Society B: Biological Sciences, 277(1696), 2895–2904.
Summary: This paper presents a framework for understanding animal emotions and moods, integrating findings from behavioral, cognitive, and neurophysiological studies. It discusses how affective states influence decision-making processes in animals and proposes methods for assessing these states. The framework aids in comprehending how emotions and moods can affect learning and behavior, which is crucial for developing effective and humane training practices.
Direct link: https://doi.org/10.1098/rspb.2010.0303
Panksepp, J. (1998). Affective Neuroscience: The Foundations of Human and Animal Emotions. Oxford University Press.
Summary: In this comprehensive work, Jaak Panksepp explores the neural mechanisms underlying emotions in humans and animals. He identifies primary emotional systems in the brain and discusses their evolutionary significance. Understanding these systems provides insight into how affective states are generated and regulated, which is essential for applying concepts like the Yerkes–Dodson Law in animal training to ensure that training methods align with the animals' emotional capacities and promote positive welfare outcomes.
Direct link to the book: https://global.oup.com/academic/product/affective-neuroscience-9780195096736
Bradley, M. M., & Lang, P. J. (2007). The International Affective Picture System (IAPS) in the Study of Emotion and Attention. Handbook of Emotion Elicitation and Assessment, 29, 70–73.
Summary: This chapter discusses the development and application of the International Affective Picture System (IAPS), a standardized set of images used to study emotion and attention. The IAPS has been instrumental in research exploring how emotional stimuli affect physiological responses and behavior, contributing to the broader understanding of affective states and their impact on cognitive processes. While not directly related to animal training, the methodologies discussed have parallels in assessing and interpreting affective responses in animals.
Eysenck, M. W. (1982). Attention and Arousal: Cognition and Performance. Springer-Verlag.
This book explores the intricate relationship between arousal, attention, and cognition, providing an in-depth analysis of how variations in arousal levels influence performance on cognitive tasks and learning processes. Eysenck integrates psychological and neuroscientific perspectives to explain the mechanisms underlying arousal and its effects on behavior.
