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Received 25 October 1996; revised version received 17 March 1997; accepted 25 March 1997
Abstract
Stimulus substitution models posit that placebo responses are due to pairings of conditional and unconditional stimuli. Expectancy theory
maintains that conditioning trials produce placebo response expectancies, rather than placebo responses, and that the expectancies elicit the
responses. We tested these opposing models by providing some participants with information intended to impede the formation of placebo
expectancies during conditioning trials and by assessing placebo expectancies. Although conditioning trials significantly enhanced placebo
responding, this effect was eliminated by adding expectancies to the regression equation, indicating that the effect of pairing trials on
placebo response was mediated completely by expectancy. Verbal information reversed the effect of conditioning trials on both placebo
expectancies and placebo responses, and the magnitude of the placebo effect increased significantly over 10 extinction trials. These data
disconfirm a stimulus substitution explanation and provide strong support for an expectancy interpretation of the conditioned placebo
enhancement produced by these methods. 1997 International Association for the Study of Pain. Published by Elsevier Science B.V.
1. Classical conditioning and the placebo effect explained both by classical conditioning and response
expectancy hypotheses.
Although effects of placebos are well-established According to stimulus substitution models of placebo
(Kirsch, in press), the mechanisms by which those effects effects (Herrnstein, 1962; Ader, 1988; Wickramasekera,
are produced have only recently been seriously investigated. 1980; Turkkan, 1989), active treatments are unconditional
Hypothesized mechanisms include enhanced endorphin stimuli (USs) and the vehicles in which they are delivered
release (Levine et al., 1978), reduced anxiety (Sternbach, (i.e. pills, capsules, syringes, etc.) are conditional stimuli
1968), classical conditioning (Wickramasekera, 1980), and (CSs). The medical treatments that people experience dur-
response expectancy (Kirsch, 1985, 1990). Montgomery ing their lives constitute conditioning trials, during which
and Kirsch (1996) reported data that are difficult to recon- the vehicles are paired with their active ingredients. These
cile with the hypothesis that placebo responses are mediated pairings endow the pills, capsules, and injections with the
by such global mechanisms as anxiety reduction or the capacity to evoke therapeutic effects as conditional
release of endogenous opioids. They obtained a placebo responses (CRs).
effect by administering the placebo in the guise of a local Note that these models are based on a Pavlovian, stimulus
anesthetic and applying a pain stimulus to treated and substitution conception of conditioning. Research in the
untreated parts of the body. Because the pain stimulus broader field of classical conditioning has led to the repla-
was applied simultaneously to both the treated (by placebo) cement of stimulus substitution models by a conception of
and untreated locations, the differences in reported pain conditioning phenomena that is consistent with expectancy
could not have been due to any global changes in sensitivity, theory (Rescorla, 1988). An example of the kind of data
perception, or affect. Conversely, this placebo effect can be leading to the rejection of stimulus substitution models is
the finding that under certain circumstances, the pairing of a
CS with a US does not lead to associative learning. The
common feature of these circumstances is the fact that the
* Corresponding author. e-mail: irvingk@uconnvm.uconn.edu information value of the CS as a predictor of the US is
0304-3959/97/$17.00 1997 International Association for the Study of Pain. Published by Elsevier Science B.V.
PII S0304-3959 (97 )0 0016-X
108 G.H. Montgomery, I. Kirsch / Pain 72 (1997) 107–113
masked. For example, if the US has a high base rate of conflicting predictions derived from stimulus substitution
occurrence in the absence of the CS, the effect of US-CS and expectancy models of conditioned placebo effects.
pairings can be negligible. Data of this sort have led con- We did this in two ways. Firstly, in addition to replicating
temporary theorists to describe conditioning as the learning the conditioning procedure used by Voudouris et al., we
of relations between events. Conditioning leads to the acqui- added an informed pairing condition, in which participants
sition of expectancies that certain events will follow other were told that the stimulus intensity was being lowered
events, and its occurrence depends of ‘the information that during conditioning trails. If the conditioning effect demon-
the CS provides about the US’ (Rescorla, 1988, p. 153), strated by Voudouris et al. (1985, 1989, 1990) is a direct
rather than on contiguity. The unconditional response consequence of CS-US pairings, it should not be hindered
(UR) can be viewed as an anticipatory response that pre- by informing participants of the manipulation. Conversely,
pares the organism for the occurrence of the anticipated US if the conditioning effect is mediated by expectancy, non-
(Siegel, 1983). The response may be compensatory (e.g. deceptive pairings should fail to produce conditioning. We
when performance inhibition is anticipated) or preparatory also included an extinction condition. According to the sti-
(e.g. when food is anticipated). mulus substitution model of placebo effects, repeated
The informational view of classical conditioning can be administration of a placebo should weaken its effects
applied to placebo phenomena (see Kirsch, 1990, 1997). (Wickramasekera, 1980). In contrast, from an informational
Doing so begins with the premise that for a stimulus to perspective, the effect of a treatment is the US that rein-
function as a US, it has to be perceived. But the active nature forces expectancies. Thus, placebo effects should confirm
of a drug, with which its vehicle is paired, is perceived only the expectancies that generate them, thereby preventing
by its effects. Therefore, in terms of information value, the extinction. Unlike Voudouris et al. (1985, 1989, 1990), we
drug response is the US, rather than the UR. What is learned also assessed pain response expectancies after the experi-
during conditioning is that active drugs produce particular mental manipulations, so as to evaluate the extent to which
effects. Thus, classical conditioning is one means by which changes in reported pain were preceded by changes in
the response expectancies are acquired (Kirsch, 1990). expected pain.
The question that is not answered by a cognitive inter-
pretation of classical conditioning is how expectancies pro-
duce the expected responses. Kirsch has hypothesized that 2. Method
response expectancies, defined as the anticipation of non-
volitional responses, are capable of eliciting the expected 2.1. Participants
response in much the same way that intentions elicit vol-
untary behaviors (cf. Ajzen and Fishbein, 1980). Because Participants were 24 female and 24 male undergraduate
conscious thoughts and feelings are covert stimuli and students, ranging in age from 18 to 26 years old, who volun-
responses (Hull, 1930), response expectancies can be teered to participate in exchange for partial course credit
thought of as unconditional stimuli for corresponding sub- and who reported an absence of medical conditions and
jective experiences (covert responses). The effect of place- medication use that might interfere with pain sensitivity
bos depends on the strength of the person’s expectancies, or pose an increased risk of resultant tissue damage.
not on how those expectations were formed. The neurobiol- These conditions and medications were: high blood pres-
ogy of the effects of expectancies and intentions remains to sure, circulatory problems (e.g. Reynaud’s disease or family
be established. history of the same), diabetes, heart disease or any other
Conditioned enhancement of placebo pain responses has heart problems, asthma, seizures, frostbite, past trauma to
been demonstrated in a series of studies by Voudouris et al. hands, lupus erythematosus, arthritis, other large or small
(1985, 1989, 1990). In each of these studies, Voudouris et joint disease or injury, or use of psychoactive drugs, analge-
al. reported enhanced placebo effects following a series of sics, antihistamines, and anti-inflammatory medications.
conditioning trials, during which the intensity of a pain Participants were randomly assigned to groups with the
stimulus was surreptitiously lowered when paired with pla- restriction that there would be the same proportions of
cebo administration, and in one of the studies (Voudouris et males and females in each condition.
al., 1990), they reported that this conditioning effect was
greater than that of a verbal expectancy manipulation. From 2.2. Setting and materials
a cognitive perspective, conditioning trials are themselves
ex-pectancy manipulations. So what was demonstrated by Pain was generated by an iontophoretic pain stimulator
Voudouris et al. (1990) can be interpreted as indicating that modeled closely after the apparatus used by Voudouris et al.
conditioning trials are more effective than at least some (1985, 1990). Iontophoresis is the driving of ions into a
verbal manipulations in altering expectancies, a finding participant’s skin with electric current. The intensity of
that had previously been reported by expectancy theorists the pain stimulus is dependent on the amount and duration
(Wickless and Kirsch, 1989). of electric current utilized. Iontophoresis of potassium ions
The purpose of the present study was to provide a test of causes a prickling sensation at lower intensities and a
G.H. Montgomery, I. Kirsch / Pain 72 (1997) 107–113 109
cramping sensation at higher intensities (Voudouris et al., and introduced to the experimenter, who wore a white lab
1985, 1989, 1990). The effect has been shown to be inde- coat and was described as a ‘Behavioral Medicine Re-
pendent of skin resistance (Benjamin and Helvey, 1963). searcher’. Participants were told that a new, topical, local
Our iontophoretic pain stimulator was powered by a ser- anesthetic was being tested for its pain reducing effects.
ies of 12 volt direct current (DC) batteries. The console was They were told the drug’s name was, ‘Trivaricane,’ and
separate from the battery pack to provide increased maneu- that it had been proven effective in reducing pain in preli-
verability of the apparatus. The console contained controls minary studies at other universities. The number of pain
for intensity and duration of electric current and a battery trials was described to each participant as part of the
monitor to provide an easy check on battery levels. A cylin- informed consent procedure. Participants were told they
der was attached to participants’ arms with Velcro strips, could discontinue participation at any time, without nega-
such that the skin on the ventral side of the forearm formed tive consequences. Those agreeing to participate then com-
the bottom of a cup. The interior of the cylinder (cup) con- pleted the medical screening form. Acceptable participants
tained a platinum anode. When filled with 3% potassium were randomly assigned to one of four groups: extinction,
chloride solution, the solution formed the contact between no treatment, informed pairing, or uninformed pairing.
skin and anode. On the dorsal side of the middle forearm, a The design of the study is depicted in Table 1. Partici-
metal cathode was covered by a 0.9% sodium chloride satu- pants in the informed pairing, uninformed pairing and
rated gauze to complete the circuit. Wires attached the extinction groups experienced four blocks of pain trials
anode and cathode to the console. The apparatus could deli- (calibration trials, pretest trials, manipulation trials, and
ver a range of 0–50 mA of current. posttest trials). Participants in the no treatment group did
The placebo was a mix of iodine, oil of thyme, and water not participate in the block of manipulation trials. Calibra-
which produced a brownish, medicinal smelling effect when tion, pretest, and posttest trials were identical for all groups.
applied topically. The placebo was placed in a medicinal Order of administration (placebo trials first or second) was
looking bottle and labeled, ‘Trivaricane: approved for counterbalanced during pretest, manipulation, and posttest
research purposes only’. Placebo was applied to areas on trials.
the ventral part of the forearm surrounding the cylinder. A
constant current source was incorporated in the apparatus to 2.4.1. Calibration trials
control for changes in skin conductance due to use of pla- To control for individual differences in pain perception, a
cebo and ensure that differences in skin conductance would calibration procedure adapted from Voudouris et al., 1985
not be confounded with placebo treatment (Voudouris et al., was utilized. In order to lessen the overall aversiveness of
1985). An office in the University Health Center was used as study participation, we decreased the number and intensity
the setting for the experiment to alleviate skepticism on the of calibration trials. Voudouris et al., 1985 increased
part of participants that might have been caused by prior ascending calibration trials until a subjective ‘10’ on a 0–
associations with the psychology department. 10 scale was reported by participants, and descending trials
were followed by 15 trials of randomly chosen stimulus
2.3. Measures intensity values sampled from each of their participants’ 0
(no pain) to 10 (intolerable pain) range. In the present study, informed pairing participants were told that the intensity
all participants were given an ascending series of pain sti- level during medication trials would be raised to its original
mulation trials, beginning at 1 mA and then increasing by 3 setting.
mA until the participant rated the pain intensity as 7 or
higher. The highest mA level was then repeated and fol- 2.4.4. Posttest
lowed by a descending series of trials, each 3 mA less Posttesting was begun 3 min after the conclusion of the
until reaching 1 mA. Pain trials were separated by approxi- manipulation trials. Procedurally, the posttest was identical
mately 5 s, and participants verbally rated pain intensity to the pretest. For all participants, the intensity level
immediately following each trial. At the conclusion of cali- remained at 6 for placebo and no-placebo trials. Participants
bration trials, a separate regression equation was calculated were debriefed following completion of data collection.
for each participant by imputing the verbal intensity ratings
and their corresponding stimulus intensity levels in milli-
amperes. This was used to calculate the stimulus intensity 3. Results
level corresponding to each individual’s rating of 6 and 3, as
predicted by the regression equation. For brevity, these Following the procedures used by Voudouris et al. (1985,
numbers will be used to indicate the corresponding stimulus 1989, 1990), pain intensity ratings on trials with placebo
intensity level, although this level differs between indivi- were subtracted from pain intensity ratings on trials without
dual participants according to their personal perceptions of
pain. Table 2
Means and standard deviations for pain ratings, expected pain ratings,
2.4.2. Pretest placebo effect, and expected placebo effect as a function of placebo ad-
The pretest consisted of two trials with placebo and two ministration and experimental condition
trials without placebo. The mA setting during pretest was
Variable Group
always equivalent to each participant’s 6 for all trials. The
medication was allowed at least 1 min to take effect and at Extinction No Informed Unin-
least 1 min to wear off following cleaning of the skin with treatment pairing formed
pairing
70% rubbing alcohol. Placebo was applied liberally with a
cotton swab to areas on the forearm surrounding the cup. Pain ratings
Pretest
Placebo
2.4.3. Manipulation trials
Mean 4.83 5.50 5.71 5.75
Three minutes after the conclusion of the pretest, manip- SD 1.34 1.48 1.42 1.73
ulation trials were commenced. All participants in the No-placebo
extinction, informed pairing, and uninformed pairing Mean 5.13 5.79 6.17 5.88
groups received ten pain trials with placebo and ten without SD 1.17 1.16 1.54 1.13
Placebo effect
placebo. No treatment participants waited for 5 min, follow-
Mean 0.29 0.29 0.46 0.13
ing which, the posttest trials were administered. Stimulus SD 0.84 0.99 1.08 1.26
intensity levels depended on group assignment. The unin- Posttest
formed pairing group replicated the conditioning groups of Placebo
Voudouris et al. (1985, 1990). Participants received stimu- Mean 5.42 5.38 5.96 4.71
SD 1.33 1.15 1.05 1.27
lation corresponding to their level 3 ratings on placebo trials
No-placebo
and to their level 6 ratings on no-placebo trials. They were Mean 5.63 5.96 6.33 6.75
not informed that stimulus intensity levels were being SD 1.45 1.16 1.23 1.48
altered. The informed pairing group was designed to test Placebo effect
the importance of verbal information and expectancies in Mean 0.21 0.58 0.38 2.04
SD 1.12 1.02 1.03 1.54
establishing placebo analgesia. Stimulus intensity levels
were identical to those in the uninformed pairing group. Expected pain
However, unlike the uninformed pairing group, the ratings
informed pairing group was advised of the intensity reduc- Placebo
tion on placebo trials prior to the administration of the Mean 5.50 5.33 4.92 2.75
SD 1.51 1.07 0.67 1.22
manipulation trials. The experimenter stated that the inten-
No-placebo
sity would be reduced on medication trials to examine the Mean 6.42 6.58 6.83 6.92
effectiveness of Trivaricane at lower intensities. For the SD 1.31 1.08 1.40 1.16
extinction group, both placebo and no-placebo trials had Expected placebo
an intensity level corresponding to their rating of 6. Follow- effect
Mean 0.92 1.25 1.92 4.17
ing completion of the manipulation trials, the expectancy
SD 0.79 1.22 1.16 1.47
measure was administered. Prior to its administration,
G.H. Montgomery, I. Kirsch / Pain 72 (1997) 107–113 111
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Kirsch, I., Response expectancy as a determinant of experience and beha-
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