Appraisal Theory of Emotions: How Perception Shapes Emotions

Appraisal Theory of Emotion is the psychological theory that emotions arise from our appraisals of persons, places, and events. The appraisal, not the thing or event, arouses the physiological system. For example, we hire a person to perform carpentry work at our home. Upon meeting the person, we gather an array of information from our senses (sound of their voice, mannerisms, style of dress, punctuality, knowledge, etc…). From the vast information, we make appraisals of trustworthiness and competence and then those appraisals prompt an emotional reaction.

Appraisal theory of emotion accounts for individual emotional variance to the same experience. Appraisals are based upon past experience. If the person resembles someone from a painful memory than our appraisal of their trustworthiness may be impacted, prompting a negative emotional reaction.

Sequence Leading to Emotion

Most theories of emotion deal with the order of occurrences, moving between triggering event, arousal, felt experience, and action. Often the debate rages over where does conscious cognitive processing fall into the sequence. William James proposed that appraisal occurs late in the process, even after an action has been initiated (Murphy, 2012). Lisa Feldman Barrett proposes that emotions are the interpretation of states of arousal. While Joseph LeDoux’s research discovered a duel line of neuronal communication, one moving through areas of the cortex associated with cognitive processing and another moving slightly faster (nanoseconds) to the amygdala—an area of commonly associated with emotional arousal.

Like many theories of emotion, the appraisal theory includes the interactive components of arousal and cognitions. Aaron Pepe and colleagues explain, “The goal of appraisal theorists is to discover the variety of evaluations that are integral to the wide range of emotions experienced” (Pepe, et al., 2007).

Basic Emotions

Many researchers and early emotional theorists suggest there are evolutionary defined basic emotions. They suggest that these basic emotions are innate, universal, and fundamental to human experiences. They are considered to be biologically determined and are shared across different cultures and societies. Psychologist Paul Ekman proposed the existence of six basic emotions: happiness, sadness, anger, surprise, fear, and disgust (Ekman & Friesen, 1975). These emotions are characterized by distinct facial expressions and physiological responses, and play a crucial role in motivating behavior to satisfy basic needs. The concept of basic emotions provides a framework for understanding and studying human emotional experiences across different contexts and societies.

Most theories of appraisal suggest an appraisal of one of the basic emotions. However, some scientists suggests evolution simply created a system of arousal and valence, everything beyond these simple characteristics of feeling is a construct of appraisal.

See Basic Emotions for more on this topic

​Emotional Arousal and Appraisal Theory

​One of the main critiques of appraisal theory is failing to account for primary biological arousal. Appraisal theory stems from early philosophies of notable figures such as Aristotle and Plato. The explicit theory of appraisal was developed in the 1940’s and 1950’s by Magna Arnold. According to Arnold, the initial appraisals start the emotional sequence and arouse the system.

Many positive pop psychology basics hold onto the appraisal theory. We hear remnants of this theory when motivational speakers proclaim, “we choose our emotions,” suggesting happiness, sadness, and anger are completely dependent on our personal appraisal. Agnes Moors explains that according to emotional theories, “Emotional episodes or components are not determined by intrinsic stimulus features but by features of factors characterizing the interaction between stimulus and the internal or external context” (Moors, 2014).

Primary and Secondary Appraisals

Overtime, like most theories, appraisal theory has integrated new findings to address growing concerns about arousals role and place in the experience/emotion sequence. One of the adaptations was integrating the dynamic nature of emotions. We over simplify in our effort to understand. We create a theory, such as the appraisal theory, depicting emotions has a single step in a process. Yet, the experience of emotion is complex, constantly changing in valence, and arousal. Each change sparks new appraisals and an ever changing incident of emotion.

This dynamic cycle of change and appraisal is understood through primary and secondary appraisals.

Primary Appraisal

The primary appraisal is a simple evaluation between our needs and the environmental circumstances (or trigger). We appraise the relevance of the situation and the the weight of the opportunity or threat. Importantly, the primary appraisal is the initial reaction to pull-away or approach.

Secondary Appraisal

The secondary appraisal is influenced by the emotions arising from the primary appraisal. Subsequently, we not only have the event, but also our anger, fear, or joy associated with the event. Michael A. Tompkins, Ph.D., warns, “Secondary judgments only make things worse.” He continues, “You feel not only anxious, but also guilty, ashamed, or depressed, and then you try to avoid these emotions the same way you avoid your anxious response.” We feel emotion and the experience of that emotion conjures up our history with the that particular emotion. These cyclical experiences of secondary appraisals can bring us into a full blown panic attack.

Tompkins suggests learning to mindfully step away from the secondary appraisals, allowing for a clearer evaluation. He explains, “Once you step away from your secondary anxious response, you can truly see whether it accurately reflects the situation you’re in right now” (Tompkins, 2013). 

Appraisal Theories

I should note that there isn’t a single appraisal theory for emotion. Rather, appraisal theories of emotion emphasize the cognitive component in labeling an emotional episode as a specific emotion.

Key Appraisal Theories of Emotions

• Magda Arnold’s Appraisal Theory: Arnold was one of the first theorists to emphasize the role of appraisal in emotions. She proposed that emotions are immediate and automatic evaluations of events as beneficial or harmful.
• Lazarus’ Cognitive Processing Theory: This theory posits that emotions arise not directly from external stimuli, but from our interpretations and evaluations of those stimuli. This “appraisal” process involves two key stages: primary appraisal (assessing the significance of the event—is it irrelevant, positive, or stressful?) and secondary appraisal (evaluating our ability to cope with the event).
• Klaus Scherer’s Component Process Model: Scherer’s model suggests that emotions are the result of several cognitive evaluations regarding the event, including its novelty, pleasantness, goal significance, and coping potential.
• Roseman’s Theory of Appraisal: This theory proposed by Ira J. Roseman focuses on how individuals evaluate and assess events and situations in their lives. According to the theory, individuals appraise events based on their relevance to their well-being, their potential to affect their goals, and their congruence with their beliefs and values.
• Nico Frijda’s Laws of Emotion: Frijda proposed several laws that describe how appraisals lead to specific emotions. For example, the “Law of Apparent Reality” states that emotions are based on what appears to be true about an event, rather than the objective facts.
• Ortony, Clore, and Collins’ (OCC) Model: This model categorizes emotions based on different types of evaluations, such as events, agents, and objects. It is known for its detailed analysis of the different causes of emotions and their complex structure.

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These theories share the common belief that our emotions are not just automatic reactions but are shaped by our interpretations and evaluations of events. They highlight the cognitive aspect of emotions, showing that how we think about a situation can significantly influence how we feel about it.

Associated Concepts

• Cognitive Appraisal: This is the central process in the appraisal theory where individuals assess and interpret an event in relation to their well-being and interests.
• Two-Factor Theory of Emotion: This theory, proposed by Schachter and Singer, states emotions result from physiological arousal and cognitive interpretation. Physiological arousal alone is not emotion. Cognitive labeling is key.
• Emotional Regulation: This concept refers to an individual’s ability to regulate emotions in such a fashion that they motivate goal directed action.
• Emotional Intelligence: This refers to an individual’s ability to recognize, understand, and manage our own emotions, as well as to recognize, understand, and influence the emotions of others.
• Emotional Style: This refers to six different style for experiencing and expressing emotions that influence our emotional traits, states, and moods.
• Hot Cognitions: This concept, also known as emotionally charged thoughts, significantly influence behaviors, decisions, and memory.
• Coping Potential: This involves an evaluation of one’s ability to cope with or adapt to an event. It affects how one emotionally responds to challenges and stressors.

A Few Words by Psychology Fanatic

No theory can adequately explain the complex nature of emotions. The dynamic, ever changing nature of felt experience, leaves us humans in stunned awe. Appraisal theory directs attention to an important aspect of experience—integration. We do not experience each moment in an isolated chamber but as part of an ever changing internal universe. Our minds constantly seek to make order from the morass of incoming data—this is an appraisal of sorts. These initial appraisals are largely unconscious, beginning internal movements of change. Continual appraisals some unconscious, some conscious, begin to integrate the feelings with the experience, giving the changes a label and a story—I’m mad because he disrespected me.

The important aspect of appraisals is we can stop the cycle, create a break, and infuse an experience with better appraisal that invite greater wellness.

Last Updated: May 19, 2024

Resources:

Ekman, Paul; Friesen, Wallace V. (1975). Unmasking the Face: A Guide to Recognizing Emotions From Facial Expressions. Malor Books. ISBN-10: 1883536367; APA Record: 1975-31746-000

Moors, Agnes (2014). Flavors of Appraisal Theories of Emotion. Emotion Review, 6(4), 303-307. DOI: 10.1177/1754073914534477

Murphy, T. Franklin (2012). James-Lange Theory of Emotion. Psychology Fanatic. Published: 3-22-2012; Accessed: 12-15-2024. Website: https://psychologyfanatic.com/james-lange-theory-of-emotion/

Pepe, Aaron, Sims, V., & Chin, M. (2007). Applying the Appraisal Theory of Emotion to Human-Agent Interaction. Proceedings of the Human Factors and Ergonomics Society Annual Meeting, 51(22), 1491-1495. DOI: 10.1177/154193120705102205

Tompkins, Michael A. (2013). Anxiety and Avoidance: A Universal Treatment for Anxiety, Panic, and Fear. ‎New Harbinger Publications. ISBN-10: 1608826694