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Cognition and Emotion

ISSN: 0269-9931 (Print) 1464-0600 (Online) Journal homepage: http://www.tandfonline.com/loi/pcem20

Studying appraisal-driven emotion processes:


taking stock and moving to the future

Klaus R. Scherer

To cite this article: Klaus R. Scherer (2018): Studying appraisal-driven emotion processes: taking
stock and moving to the future, Cognition and Emotion, DOI: 10.1080/02699931.2018.1510380

To link to this article: https://doi.org/10.1080/02699931.2018.1510380

Published online: 28 Aug 2018.

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COGNITION AND EMOTION
https://doi.org/10.1080/02699931.2018.1510380

Studying appraisal-driven emotion processes: taking stock and moving to


the future
Klaus R. Scherera,b
a
Department of Psychology, University of Geneva, Geneva, Switzerland; bDepartment of Psychology, Ludwig-Maximilians-
University of Munich, Munich, Germany

ABSTRACT ARTICLE HISTORY


Appraisal theories of emotion, and particularly the Component Process Model, have Received 9 May 2018
claimed over the past three decades that the different components of the emotion Revised 23 July 2018
process (action tendencies, physiological reactions, expressions, and feeling Accepted 27 July 2018
experiences) are essentially driven by the results of multi-level cognitive appraisals
KEYWORDS
and that the feeling component constitutes a central integration and Emotion definition; emotion
representation of these processes. Given the complexity of the proposed components; emotion
architecture of emotion generation, comprehensive experimental tests of these process; multilevel appraisal
predictions are difficult to perform and thus evidence has been slow to appear. theory; component
Complementing earlier work on self-reported appraisal, a massive amount of synchronisation
empirical results from studies with experimental designs based on appraisal
manipulation, using electroencephalographic and electromyographic measures,
now confirms many of the theoretical predictions with respect to the effect of
different appraisal checks, their interactions, and their exact timing. A major issue
for future research is the nature of the coherence or synchronisation of the
appraisal-driven components in the unfolding emotion process. It is suggested
that interdisciplinary multi-team research will be needed to face the theoretical
and methodological challenges of experimentally investigating the dynamics of
the emotion process.

When Fraser Watts prospected the idea of creating a outlined by the two new editors– Rothermund and
new journal with the name of “Cognition and Koole (2018). They identify three periods of thematic
Emotion” in the mid eighties, he asked a number of preponderance in the history of the journal: 1) cognitive
emotion researchers, including me, for their opinion theories being applied to the scientific analysis of
concerning the chances for such a venture. I have to emotion, 2) more empirical research papers, particularly
shamefully admit that I advised against taking the automatic processing biases and their implications for
risk, arguing that there were already a sufficient clinical psychology, and 3) an emerging focus on self-
number of journals as potential outlets for the limited regulatory processes and their implications for
production of good research on emotion at that point emotion. Given my ignorance in the thematic fields of
in time. I did not, then, anticipate the explosion of automatic processing biases and self-regulatory pro-
research activity and the tremendous increase in popu- cesses, I limit my remarks to the first period, addressing
larity of all things emotional (nor the all time highs of the issue of emotion elicitation and differentiation and
the “publish or perish” pressure generated by the cita- the role of cognition in this process.
tion indices).
Since then, I had many opportunities to feel grateful
that Fraser went ahead anyway and founded Cognition The early blueprint (overly ambitious)
& Emotion. I do not need to expand on the terrific Rothermund and Koole (2018, p. 6) are probably
success story of the journal, which has been very aptly correct in stating that “Leventhal & Scherer’s [1987]

CONTACT Klaus R. Scherer Klaus.Scherer@unige.ch


© 2018 Informa UK Limited, trading as Taylor & Francis Group
2 K. R. SCHERER

view of emotions as multi-componential systems has recent graphic illustration of this theoretical com-
become widely adopted”. However, this is hardly sur- ponent process framework is shown in Figure 1.
prising as throughout the history of emotion theoris- Our theories immediately came under heavy attack
ing and research it has been acknowledged that from various sides – too deterministic, too cognitivis-
there are different components to emotion, with tic, mechanism much too slow to account for rapid
differential emphasis on specific components by emotion onset, too much based on self-report (see
different authors (see Sander, Grandjean, & Scherer, Van Reekum & Scherer, 1997, pp. 260–262). At the
2018). However, a more important (and hardly consen- time, Howard Leventhal was a visiting professor in
sual) issue concerns the nature of the links between my lab and we decided to integrate the processing
these components and the underlying causal struc- levels of his perceptual-motor theory (Leventhal,
ture of the emotion process in time. 1984) with my sequential stimulus evaluation check
Standing on the shoulders of Magda Arnold and model (Scherer, 1984, 1986) and sent the result (see
Richard Lazarus, Phoebe Ellsworth (with Ira Roseman Figure 2) to the new journal Cognition & Emotion,
and Craig Smith) and I had simultaneously and inde- which seemed to be the ideal outlet. The hope was,
pendently developed formal appraisal theories of of course, that this would provide a response to the
emotion. We discovered this when I gave a talk as a critics and a blueprint for hypothesis-guided research
visiting professor at Berkeley and Stanford in the into the emotion processes – not only for human
early eighties. Our theories both postulate that adults but also for infants and non-human mammals.
emotions are elicited and differentiated by the Later, we expanded the discussion of multilevel pro-
results of a process of event evaluation structured by cessing, referring to comparable positions in cognitive
a set of major appraisal criteria or checks, the results psychology in which different levels of processing (e.g.
of which determine the changes in the different com- reflective, effortful vs. automatic, schematic vs. con-
ponents (Roseman, 1984; Scherer, 1982, 1984; Smith & ceptual, propositional) had been proposed and
Ellsworth, 1985; see also Ellsworth & Scherer, 2003). A empirically tested (Van Reekum & Scherer, 1997).

Figure 1. Dynamic architecture of the Component Process Model (CPM) of emotion. (Adapted from Scherer, 2009a).
COGNITION AND EMOTION 3

Figure 2. Multi-level appraisal processing model. Columns show the sequential appraisal checks postulated by the Component Process Model
(CPM) of emotion, rows show the levels of information processing postulated by the perceptual-motor theory of emotion. Cell entries show the
different mechanisms that are expected to operate for each appraisal check on each structural level. (Adapted from Leventhal & Scherer, 1987).

However, the admittedly unrealistic hope that the pleasantness, goal conduciveness, and coping poten-
multilevel appraisal framework proposed in 1987 in tial/power; Aue, Flykt, & Scherer, 2007; Aue &
Cognition & Emotion would rapidly generate theoreti- Scherer, 2008, 2011; Brosch, Sander, & Scherer, 2007;
cal discussion and major research efforts on emotion Delplanque et al., 2009; Gentsch, Grandjean, &
elicitation and differentiation was not fulfilled. Scherer, 2015a, 2015b; Grandjean & Scherer, 2008;
Van Peer, Grandjean, & Scherer, 2014; Van Reekum,
2000; Van Reekum et al., 2004). In several of these
Moving forward – important developments studies, we were also able to examine the interactions
It was not before the mid 2000s that the presence of a between appraisal checks likely to occur on the sen-
large number of particularly competent and enthusias- sorimotor or schematic levels (e.g. novelty and intrin-
tic collaborators and generous funding by the insti- sic pleasantness) vs. the conceptual level (e.g. goal
tutions mentioned in the acknowledgement allowed conduciveness). Importantly, in those studies in
us to launch research in my own laboratory on the which EEG measures were used, we were able to
issues raised in the 1987 Cognition & Emotion paper. determine the exact timing (in milliseconds) of the
Specifically, we aimed at using experimental designs delay after stimulus onset in which the expected
with manipulations of different appraisal processes appraisal-specific EEG pattern occurred.
(through appropriately chosen stimuli in different An overview of the results of the aforementioned
sensory modalities, game settings with different incen- studies (Gentsch, Grandjean, & Scherer, 2015a, Figure
tives and power/mastery differentials, etc.) to measure 10) shows that appraisal checks expected to be pro-
the impact of the respective appraisal results on brain cessed on the sensorimotor or schematic level
processes (using electroencephalography, EEG), on showed effects within the first 100–200 milliseconds
facial expression (using facial electromyography, (novelty, intrinsic pleasantness) whereas more
EMG) and on somatovisceral physiological responses effortful, conceptual processing (goal conduciveness,
(using standard physiological assessment devices). coping potential/power) took between 300 and 500
We were able to obtain statistically significant milliseconds for the first marker to occur.
effects for all appraisal checks we manipulated accord- As to the phylogenetic and ontogenetic impli-
ing to theoretical predictions – novelty, intrinsic cations of the scheme shown in Figure 2, there has
4 K. R. SCHERER

been little appraisal-related research with pre-verbal conduciveness effects when power was high in con-
infants. However, in one large-scale study, we trast to invariant goal conduciveness effects when
studied the reactions of infants aged 5, 7, 9, 11–12, power was low.
and 14 months to novelty/expectancy violation in a
cross-sectional design. The results showed that behav-
Important open issues
ioural freezing and changes in gaze direction, but not
facial or vocal expression, are reliable responses to Critics of the component process approach have
expectancy violation. The pattern of results suggests argued that evaluation of events occurs all the time,
that a transition in the infant’s capacity for cognitive independent of emotions, and that physiological
evaluation of novel and discrepant events may occur symptoms and motor expressions are pervasive
around the age of 9 months (Scherer, Zentner, & elements of everyday life. This is why I define the
Stern, 2004). As expected, there has been little beginning of an emotion episode by the synchronisa-
research on nonhuman animals. However, in one tion or coherence of organismic subsystems beyond a
interesting series of studies it was shown that lambs certain threshold and the end of the emotion by the
responded to experimentally manipulated sudden- coherence dropping below threshold. I hold that the
ness with a startle response coupled with an increase nature of the emotion episode is exclusively deter-
in heart rate and to novelty with an orientation mined by the recursively generated appraisal results
response coupled with an increase of vagal activity. (see Scherer, 1984, 2001, 2004, 2009a). In conse-
The combination of suddenness and unfamiliarity quence, the synchronisation of physiological and
enhanced both the heart rate increase and the behav- expressive processes by the patterns of appraisal
ioural orientation response (Désiré et al., 2006). results plays a central role in the component process
Given the continued interest in automatic proces- model (see also Grandjean, Sander, & Scherer, 2008).
sing in other affective contexts, there may be some Unfortunately, there has been very little empirical
hope for more multilevel cognition research applied research in this theoretically central domain (for
to the emotion-constituent appraisal process in the exceptions see the Special Issue of Biological Psychol-
future. In any case, I still consider this issue as a ogy: “Whither Concordance? Autonomic Psychophy-
central concern for theory-guided investigations into siology and the Behaviors and Cognitions of
the emotion process, particularly with respect to neu- Emotional Responsivity”, Vol. 98, 2014; and the
ropsychological approaches to the “emotional brain” review in Sander et al., 2018). One of the major
(see the component network proposal in Sander reasons for this glaring neglect is the tendency of
et al., 2018). researchers to specialise in only one of the many
The research mentioned above is reviewed in emotion components (which is not surprising given
greater detail in an Annual Review article (Scherer & the high cost in time and money needed to acquire
Moors, in press), which also summarises the exper- equipment and expertise for multiple analysis
imental research on the impact of different appraisals methods).
on action tendencies (e.g. antisocial vs. prosocial ten- Synchronisation is a prerequisite for the rightmost
dencies, approach vs. avoidance tendencies, and ten- two boxes in Figure 1, representing the “feeling” and
dencies to be active vs. passive). Much of this work the categorisation and labelling components. The
was conducted in areas outside of emotion research, detailed argumentation and justification for both of
mostly in cognitive and social psychology. While the these components were provided on pages 1318–
literature reviewed in the Annual Review article pro- 1324 of my 2009 article in Cognition and Emotion
vides strong evidence for the causal assumptions and can only be summarised very briefly here. The
behind the arrows on the left side of Figure 1, many essential assumptions are shown in Figure 3. I define
questions remain open. For example, it is to be feeling as the subjective experience (Venn circles A
expected that appraisal effects on physiological and B) that integrates and centrally represents all
responses and expressive behaviour are at least information about the continuous patterns of
partly mediated by action tendencies. Also, there are change and their coherence in all other components,
only very few studies in which interaction effects serving to monitor and regulate the component
between different appraisals have been studied. One process and enabling the individual to communicate
of the exceptions is a study by Gentsch, Grandjean, (Circle C) his/her emotional experience to others. As
& Scherer (2015b), who found amplified goal the organising principle for the integration of
COGNITION AND EMOTION 5

Figure 3. The reflection of component emotion processes in a monitor system (circle A), the emergence of Consciousness (circle B), and categ-
orisation and verbalisation (circle C). (Adapted from Scherer, 2009a).

information from the antecedent component pro- pertinence. Temporal integration, in the sense of
cesses on the unconscious level (circle A), I suggested experiential chunking, is most likely determined by
coherence spreading (as described for memory pro- the period during which a certain level of component
cesses; Raffone & Van Leeuwen, 2001, p. 368) in line synchronisation persists.
with the general emphasis on synchronisation (see
also Dan Glauser & Scherer, 2008; Gentsch, Grandjean,
& Scherer, 2014; Péron, Frühholz, Vérin, & Grandjean,
Debates: problem areas and possible dead
2013; Sander et al., 2018).
ends
Circle B, which, importantly, only partially overlaps How can the feeling component be empirically
with A, represents that part of the integrated central assessed? Starting with Wundt’s (1896) pioneering
representation that becomes conscious, correspond- suggestion to measure subjective feelings on three
ing directly to what is more generally called “feelings” dimensions: excitement-calm; pleasure-displeasure;
or qualia (see Scherer, 2009a, p. 1321). I have and tension-relaxation, there have been many propo-
suggested that the degree of synchronisation of the sals for an assessment of feelings (which are unfortu-
components (which might in turn be determined by nately often not differentiated from emotions) by
the pertinence of the event as appraised by the organ- asking for ratings on a number of varying dimensions
ism) generates awareness (Scherer, 2000, 2005; see (see Fontaine, 2009; Rubin & Talarico, 2009). The most
also Grandjean et al., 2008). The central feature of influential of these models has probably been Russell’s
emotion processes is that they are dynamically inte- (1980) two-dimensional circumplex model (valence x
grated over time. Therefore, the term “emotional arousal). Still, the question remains what is the
state” is misleading, as it suggests a static, unitary optimal affective space that allows sufficient discrimi-
phenomenon rather than a flow of continuously chan- nation of a multitude of different feelings with a
ging component states that constitute emotion epi- minimal number of dimensions?
sodes. Although people can focus on micro- We used a semantic feature analysis in the form of
momentary changes of feeling, they tend to become a grid in which several emotion terms (in the rows) are
aware of their feelings in “experiential chunks”, the defined in terms of a fixed set of features or facets (in
result of breaking up the continuous flow of experi- the columns) to quantitatively measure the meaning
ence into discrete blocks that provide phenomenal of emotion terms (the GRID method, Scherer, 2005)
unity to a particular feeling quality or quale. Linguists to answer this question. The method consists of
refer to this process in terms of what a speaker having groups of judges in different languages rate
chooses to focus on and how it is structured proposi- emotion words on a large list of facets representing
tionally, taking into account conceptual salience and all emotion components. The use of principal
6 K. R. SCHERER

component analysis allows determining the number measurement of non-verbal subjective feelings – the
of factors needed to sufficiently discriminate the Facet Assessment of Qualia (FAQ). Except for the
emotion terms into the major classes or families. Ana- proven significance of the facets for emotion word
lyses of data for 25 languages and 24 emotion terms differentiation, this instrument has not been tested
clearly suggests that four dimensions are needed: on a large scale but I invite all those interested to
Valence, power, arousal, and novelty, in this order of have a go with it.
importance (Fontaine et al., 2013; Fontaine, Scherer, Finally, there is circle C, categorisation and label-
Roesch, & Ellsworth, 2007). More recent work using ling. Some have defined this as a “conceptual act”
80 emotion terms for English, French, and Indonesian, (Barrett, 2009). The problem is that the proposal of
clearly confirms the need of a four-dimensional model such an “act” is strongly reminiscent of nominalist
to represent of the whole gamut of human emotions. metaphysics, when it is declared as constitutive for
The results of these studies also reveal both linear and the existence of an “emotion”, justified by “psychologi-
non-linear relationship structures between the four cal constructionism”. I find it difficult to accept this
dimensions, which are similar across the three definitional act, which is also inconsistent with the
languages (Fontaine, Gillioz, Efrata, Soriano, & phylogenetic and ontogenetic continuity of the func-
Scherer, 2018). tional emotion mechanism (see Tooby & Cosmides,
Using an abbreviated list of the component facets 2008), because I defend a definition of emotion as a
that we have found in the GRID research to best dis- process, albeit often a very short process. If research-
criminate major emotion families allows to develop a ers are referring to different things when using the
new instrument to assess, in a highly differentiated very same term, one can expect serious confusion as
fashion, the nature of the conscious part of the a result. I am afraid that this is currently happening
central representation of the feeling before it is in emotion research.
labelled with an emotion word or expression. In Everyone is free to come up with their own
Table 1, I propose a concrete instrument for the definitions, of course, but definitions should be
clearly labelled. What about distinguishing between
Table 1 Proposal for a differentiated assessment instrument for non- c-emotions, defined as states created by conceptual
labelled feelings/qualia acts, and p-emotions, defined as fuzzy processes
Direction and probability of facets characterised by multicomponent synchronisation
Facets applying to your present feeling driven by appraisal? For the latter, no obligatory categ-
Appraisals orization or labelling is required. This corresponds to
Valence appraisal <<<<<<<<<<<0>>>>>>>>>>>
Novelty/ chance cause <<<<<<<<<<<0>>>>>>>>>>> the high frequency of mixed or blended emotions in
Coping ability <<<<<<<<<<<0>>>>>>>>>>> every day life that has been empirically observed
Expected/ familiar <<<<<<<<<<<0>>>>>>>>>>> (Scherer & Ceschi, 1997; Scherer & Tannenbaum,
Goal relevance <<<<<<<<<<<0>>>>>>>>>>>
Norm violation <<<<<<<<<<<0>>>>>>>>>>> 1986; Scherer, Wranik, Sangsue, Tran, & Scherer,
Self vs other cause <<<<<<<<<<<0>>>>>>>>>>> 2004). Furthermore, persons experiencing a strong
Action tendency emotion do not always label their emotions (except
Defensive/appetitive <<<<<<<<<<<0>>>>>>>>>>>
Disengagement/intervention <<<<<<<<<<<0>>>>>>>>>>> for communication and social sharing) and are often
Submit vs attack <<<<<<<<<<<0>>>>>>>>>>> quite uncertain on how exactly the emotion should
Facial expression be called (see Scherer & Meuleman, 2013). I suggest
Frown vs. Smile <<<<<<<<<<<0>>>>>>>>>>>
Jaw drop/eyebrows up <<<<<<<<<<<0>>>>>>>>>>> that the semantic GRID approach mentioned above
Eyes closed/tears <<<<<<<<<<<0>>>>>>>>>>> may be helpful for further work in this area.
Vocal expression
Vocal energy <<<<<<<<<<<0>>>>>>>>>>>
Firm vs perturbed speech <<<<<<<<<<<0>>>>>>>>>>> Desiderata for future development of
Bodily reaction
Distress symptoms <<<<<<<<<<<0>>>>>>>>>>> cognition and emotion research on the
Autonomic arousal <<<<<<<<<<<0>>>>>>>>>>> elicitation and differentiation of emotion
Body temperature <<<<<<<<<<<0>>>>>>>>>>>
Overall feeling I think the most important prerequisite for progress in
Bad vs good <<<<<<<<<<<0>>>>>>>>>>> the field is to finally come to grips with the tiresome
Weak vs strong <<<<<<<<<<<0>>>>>>>>>>>
Calm vs restless <<<<<<<<<<<0>>>>>>>>>>> issue of how an emotion should be defined. Mulligan
Tired vs. awake <<<<<<<<<<<0>>>>>>>>>>> and Scherer (2012) have proposed a working
Surprised vs. familiar feeling <<<<<<<<<<<0>>>>>>>>>>> definition of emotion that could be acceptable to
COGNITION AND EMOTION 7

proponents of different theoretical persuasions. usual, we found a way to organise research in such a
However, this approach will only work if there is a way as to produce accumulation of knowledge that
serious concerted effort by the community of really increases our understanding of the functions
emotion researchers to agree on such a minimal set and mechanisms of emotion? Let me take the
of defining features for the concept of “emotion”. example of the postulated synchronisation or coher-
Otherwise, the only option is to clearly state with ence of different components in the emotion
what definition one is working (p-, c-, or yet another process. The empirical investigation of these phenom-
kind of emotion, as proposed above). And then, for ena typically require expertise in different disciplines,
each of these, there should be a clearly specified over- theoretical domains, and analysis methods, in particu-
arching theoretical framework with concrete predic- lar if an appropriate experimental design based on a
tions and hypotheses. I underline “overarching” – in sophisticated theoretical framework is desired.
terms of the proposed mechanisms not just some iso- A group of experienced researchers from different
lated ad hoc hunches for possible relationships. If the disciplines and theoretical domains, with complemen-
current uncontrolled proliferation of definitions and tary methodological competence, could form an
quasi-theories continues, there is little hope for Emotion Coherence Consortium and organise a
accumulation of knowledge on the emotion process. working meeting to jointly decide on a number of
As stated in the introduction, if indeed emotion central research issues concerning the determinants
researchers agree that there are multiple components of synchronisation, potential interactions, the time
to the phenomenon they study, the expected relation- course involved, contextual effects as well as potential
ships and interactions between these components outcomes. In addition, one or more concrete exper-
need to be theoretically analyzed and empirically imental paradigms could be developed (for example,
examined. This requires complex measurement oper- an emotion-generating computer game setting allow-
ations in many highly technical domains requiring ing experimental manipulation of major determinants
appropriate competences. It is unlikely that individual and their interactions), which would permit to system-
researchers can readily acquire all of the appropriate atically investigate these issues (including a list of the
skills. Thus, collaborative work between different variables in different components that could be
special areas and even different disciplines is a precon- reasonably measured).
dition for conducting complex research projects on The next step would be to invite representatives of
multicomponent relationships. While such collabora- leading emotion theories to make concrete predic-
tive ventures between different laboratories have tions for the expected effects in the chosen exper-
become standard for ambitious research aims in the imental design, based on their theoretical
natural sciences, they are rarely found in psychology framework. In addition, experts from the pertinent
in general, and in emotion research in particular. methodological approaches that should be employed
One of the reasons for this is that there is no incen- in the research should be invited. In particular, this
tive in terms of publication success. Before editors and concerns specialists in neuroscience and psychophy-
reviewers, all submissions are created equal. Further- siological methods but also experts in psychometrics,
more, the increasing limitation of word counts for behavioural coding, and, last not least, mathematical
major articles makes it virtually impossible today to and statistical approaches given the central role of
publish studies that address a more ambitious theor- complex coherence of time series (see Rügamer, Broc-
etical framework and to appropriately discuss khaus, Gentsch, Scherer, & Greven, 2017, for a recent
complex patterns of results. I suggest that journals suggestion). Past research has identified frequent
create a special category for large-scale collaborative and sizeable interaction effects as mentioned earlier.
studies examining a multifaceted theoretical frame- This suggests that many of the relationships to be
work requiring extensive measurement in different investigated are essentially nonlinear (see reviews in
domains. In order to justify the investment in time Scherer, 2000, 2009b), suggesting that it might be
and money, and to encourage potential collabor- useful to include expertise from nonlinear systems
ations, such studies could be pre-registered (following theory.
extensive review) and thus have a certain guarantee of With the constant collaboration of such an expert
a return on investment. group, the core research teams could then systemati-
I realise that these suggestions are unrealistic. But cally test the different predictions or hypotheses
would it not be fantastic if, apart from business as against each other in experimental studies conducted
8 K. R. SCHERER

by experienced collaborators having the required so, I predict a major breakthrough for emotion
competencies. If possible, parallel studies should be theory and research.
conducted in different laboratories in order to avoid
the problem that later replication studies may not
Disclosure statement
have the required resources and have difficulties to
match the manipulations and context conditions of No potential conflict of interest was reported by the author.
the original study.
This multi-team research strategy will require Funding
extensive resources and thus important funding. In
addition to the normal channels for research funding This work was supported by funds granted to K. R. Scherer by the
Schweizerischer Nationalfonds zur Förderung der Wissenschaftli-
in different countries, one might think of contacting chen Forschung under [grant number 100014-122491] and by
major private foundations and try to convince them the European Research Council (ERC) under [Advanced Grant
that this new form of multi-team research in the cog- PROPEREMO 230331].
nitive, social, and behavioural sciences is the only feas-
ible approach to obtain valid and reliable results on
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