Expectancy and Emotion Series in Affective Science Series editors: Richard J. Davidson and Klaus Scherer The Evolution of Emotional Communication Peter J. Marshall and Nathan A. Fox (eds.) Eckart Altenmüller, Sabine Schmidt, and Elke Science of Emotional Intelligence Zimmnermann (eds.) Knowns and Unknowns The Neuropsychology of Emotion Gerald Matthews, Moshe Zeidner, and Richard John C. Borod D. Roberts (eds.) Persons, Situation, and Emotions Expectancy and Emotion An Ecological Approach Maria Miceli and Cristiano Castelfranchi Herman Brandstätter and Andrzej Eliasz Affective Neuroscience Handbook of Emotion Elicitation and Assessment The Foundations of Human and Animal Emotions James A. Coan and John J.B. Ellen (eds.) Jaak Panskepp Anxiety, Depression, and Emotion Nonverbal Behaviour in Clinical Settings Richard J. Davidson Pierre Philippot, Robert S. Feldman, and Erik J. Coats (eds.) What the Face Reveals Basic and Applied Studies of Spontaneous Expression Emotion in Memory and Development Using the Facial Action Coding System (FACS) 2e Biological, Cognitive, and Social Considerations Paul Ekman and Erika L. Rosenberg (eds.) Jodi Quas and Robyn Fivush (eds). The Nature of Emotion Memory and Emotion Fundamental Questions Daniel Reisberg and Paula Hertel (eds.) Paul Ekman and Richard J. Davidson Emotion Explained The Psychology of Gratitude Edmund T. Rolls Robert A. Emmons and Michael E. McCullough (eds.) Emotion, Social Relationships, and Health Who Needs Emotions? The brain meets the robot Carol D. Ryff and Burton Singer (eds.) Jean-Marc Fellous and Michael A. Arbib (eds.) Oxford Companion to Emotion and the Affective Emotions in Psychopathology Sciences Theory and Research David Sander and Klaus Scherer William F. Flack and James D. Laird (eds.) A Blueprint for Affective Computing Shame A sourcebook and manual Interpersonal Behaviour, Psychopathology, Klaus R. Scherer, Tanja Bänzinger, and Etienne Roesch and Culture Appraisal Processes in Emotion Paul Gilbert and Bernice Andrews (eds.) Theory, Methods, Research Pleasures of the Brain K. Scherer, A. Schorr, and T. Johnstone (eds.) Martin L. Kringelbach and Kent C. Berridge Bodily Sensibility Infant Chimpanzee and Human Child Intelligent Action A Classic 1935 Comparative Study of Ape Emotions and Jay Schulkin Intelligence Boo! N.N. Ladygina-Kohts (deceased) and Frans B.M. de Culture, Experience, and the Startle Reflex Waal (eds.) Boris Vekker (translator) Ronald C. Simons Feelings Thinking and Feeling The Perception of Self Contemporary Philosophers on Emotions James D. Laird Robert C. Solomon Cognitive Neuroscience of Emotions Collective Emotions Richard D. Lane and Lynn Nadel (eds.) Christian von Scheve and Mikko Salmela (eds.) The Development of Social Engagement Neurobiological Perspectives Expectancy and Emotion Dr Maria Miceli Senior Researcher Institute of Cognitive Sciences and Technologies National Research Council Italy Dr Cristiano Castelfranchi Associate Director of Research Institute of Cognitive Sciences and Technologies National Research Council Italy Foreword by Andrew Ortony Professor Emeritus of Psychology, Education, and Computer Science Northwestern University Chicago, USA Great Clarendon Street, Oxford, OX2 6DB, United Kingdom Oxford University Press is a department of the University of Oxford. It furthers the University’s objective of excellence in research, scholarship, and education by publishing worldwide. Oxford is a registered trade mark of Oxford University Press in the UK and in certain other countries © Oxford University Press 2015 The moral rights of the authors have been asserted Impression: 1 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, without the prior permission in writing of Oxford University Press, or as expressly permitted by law, by licence or under terms agreed with the appropriate reprographics rights organization. Enquiries concerning reproduction outside the scope of the above should be sent to the Rights Department, Oxford University Press, at the address above You must not circulate this work in any other form and you must impose this same condition on any acquirer Published in the United States of America by Oxford University Press 198 Madison Avenue, New York, NY 10016, United States of America British Library Cataloguing in Publication Data Data available Library of Congress Control Number: 2014937966 ISBN 978–0–19–968586–8 Printed and bound by CPI Group (UK) Ltd, Croydon, CR0 4YY Oxford University Press makes no representation, express or implied, that the drug dosages in this book are correct. Readers must therefore always check the product information and clinical procedures with the most up-to-date published product information and data sheets provided by the manufacturers and the most recent codes of conduct and safety regulations. The authors and the publishers do not accept responsibility or legal liability for any errors in the text or for the misuse or misapplication of material in this work. Except where otherwise stated, drug dosages and recommendations are for the non-pregnant adult who is not breast-feeding Links to third party websites are provided by Oxford in good faith and for information only. Oxford disclaims any responsibility for the materials contained in any third party website referenced in this work. To the future. To our constant source of expectation and emotion: our respective sons, Giacomo, and Yurij and Vania, and their children, prospective and actual— Lorenzo, Alice, and Samuel. Foreword As a friend of Cristiano Castelfranchi for over 25 years, I was delighted and flattered when he and his long-time colleague, Maria Miceli, asked me whether I would write a Foreword for this book. I suspect that they asked me not only because of our long acquaintance, but also because they knew that the two concepts on which they focus have for years been of great interest to me. They also knew that I am firmly committed to the kind of interdisciplinary cognitive science approach that characterizes their work. All this means that they had plenty of reason to believe that mine would be a receptive ear, and indeed, the wonderfully eclectic book that they have written, representing as it does the culmination of over 20 years of collaborative work on their topic, is in my opinion, masterful. Maria and Cristiano are the perfect people to have written this work. Between them, they are as comfortable in the realm of philosophy and linguistics, where they have made significant contributions in the area of pragmatics and the structure of conversa- tion, as they are in cognitive, social, and clinical psychology, where they are leaders in the study of social communicative behavior and its relation to social emotions. At the same time, their longstanding interest in artificial intelligence, and their development of ideas relating to social behavior in autonomous agents qualifies them like no other to explore even more broadly the issue of central concern in this book. And what is this issue? It is the question of how emotional states are related to some of the most central aspects of human mental life, namely our capacity for anticipation and prediction, together with our ability mentally to represent future possible states of the world. Maria and Cristiano explore the relationship between these constructs with extraordinary analytical sophistication. They give us detailed and insightful elabora- tions of such things as the relation between surprise and curiosity, and between discour- agement, helplessness, and hopelessness, and they tell us how and why emotions such as these, as well as regret and guilt, help and harm us. They identify and explain, with powerful, illuminating examples, all manner of nuances that most treatments of emo- tions overlook, and in some cases they discuss the real-world, clinical, implications of the subtle distinctions that they articulate. And as though this feast were not sufficient, in addition to their account of the role that anticipation plays in emotions, they treat us to an account of how the anticipation of emotions influences motivation, persuasion, and decision-making. Emotions are ineffable. We can’t touch them or see them; we can only feel them, and we can, at best, only clumsily talk about them. For these reasons, emotions are difficult to study, and characterizing them in a scientifically appealing way is really challenging. But it is a challenge that Maria and Cristiano meet with grace and rigor; grace in that viii FOREwORD their criticisms of the positions of those with whom they disagree are explicated with generosity and respect, and rigor, as evidenced by their clear articulation of so many important distinctions—distinctions that make a difference in our understanding of the causes and consequences of emotions. In all my years of thinking about the various types of emotions and how best to char- acterize their differences, as well as my thinking about the nature of surprise, I have never been able to be as insightful, as profound, and as rigorous as these two authors are in this book. What they have done is not only unique, it is brilliant. As I read it, I stopped worrying about whether I agreed with them that this or that mental state is or isn’t an emotion. Instead, I realized that sometimes it doesn’t matter—that what matters is that there is a family of interesting and psychologically important, related states that we need to understand, regardless of how we categorize them. To make a die-hard purist like me ignore my prejudices is quite an achievement, and yet I feel all the better for it—indeed, almost liberated! Quite simply, this is a wonderful, compelling book for which I heartily congratulate my friends, the authors. I loved reading it. I wish I had written it. Andrew Ortony Chicago, USA Contents 1 Introduction 1 2 Anticipation and emotion: Basic premises 3 2.1 The anticipatory nature of the human mind 3 2.2 A cognitive-motivational approach to emotions 8 3 Anticipation and emotion: A two-way street 20 3.1 From emotion to anticipation 20 3.2 From anticipation to emotion: Anticipation-based emotions 26 4 Kinds of anticipatory representations 31 4.1 Belief of possibility 31 4.2 Prediction 32 4.3 Interested anticipatory representation (IAR) 37 4.4 Expectation 41 5 Emotions elicited by invalidated anticipatory representations 47 5.1 Surprise 47 5.2 Disappointment 58 5.3 Sense of injustice 71 5.4 Discouragement 77 5.5 Regret 88 5.6 Relief 102 5.7 Are there emotions elicited by confirmed anticipatory representations? 110 5.8 Individual differences in dealing with invalidated positive expectations or the risk of invalidation 112 6 Anticipatory emotions 124 6.1 Fear 124 6.2 Anxiety 131 6.3 Hope 159 6.4 Trust 171 7 Anticipated emotions 184 7.1 Anticipated emotions, motivation, and decision-making 185 7.2 The accuracy of anticipated emotions 188 7.3 Is there a dichotomy between immediate and anticipated emotions? 190 7.4 Anticipated disappointment and anticipated regret 192 7.5 Anticipating others’ emotions: A means for persuasion 194 7.6 Are anticipated emotions just cognitions? 197