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The Journal of Pain, Vol 11, No 11 (November), 2010: pp 1165-1171

Available online at www.sciencedirect.com

Dispositional Optimism Predicts Placebo Analgesia


Andrew L. Geers,* Justin A. Wellman,y Stephanie L. Fowler,* Suzanne G. Helfer,z
and Christopher R. Francex
* Department of Psychology, University of Toledo, Toledo, Ohio.
y
Department of Psychology, Hartwick College, Oneonta, New York.
z
Department of Psychology, Adrian College, Adrian, Michigan.
x
Department of Psychology, Ohio University, Athens, Ohio.

Abstract: Based on prior research identifying dispositional optimism as a predictor of placebo re-
sponding, the present study tested the hypothesis that individuals high in optimism would be
more likely to respond to a placebo analgesic. Optimists and pessimists were randomly assigned
to a placebo expectation condition or a no expectation condition before a cold pressor task. Blood
pressure and heart rate were recorded before and during the cold pressor task, and participant rat-
ings of pain and expectations were obtained immediately after the task. Analysis of the expectation
manipulation revealed that the placebo instruction was successful in altering participant expectancy
during the cold pressor. Supporting the main hypothesis, dispositional optimism was associated with
lower pain ratings in the placebo condition but not in the control condition. Because dispositional
optimism can alter placebo responding to laboratory pain, future studies should examine the poten-
tial role that this individual difference factor may play in patient responsivity to pharmacological and
nonpharmacological treatments for clinical pain.
Perspective: This study examined the possibility that individual differences can predict placebo an-
algesia. Participants were randomly assigned to receive either a placebo expectation or no expecta-
tion before a cold pressor task. Dispositional optimism was related to less cold pressor pain in the
placebo condition as compared with the control condition.
ª 2010 by the American Pain Society
Key words: Placebo effect, placebo analgesia, cold pressor, optimism, pain.

T
he placebo effect is a physiological and/or psycho- may alter placebo analgesia despite the potentially
logical reaction to an inactive substance or proce- important theoretical and practical implications.9,10
dure.12,37 This phenomenon represents a key From a theoretical perspective, examination of
interface between physiology, psychology, and patient individual difference factors could further elucidate
care.4,17,25 Recently, there has been increased attention mechanisms by which placebo effects occur, as well as
devoted to the placebo effect, particularly as it relates provide additional insight into the personality
to the experience of analgesia (ie, decreased pain component of pain and healing. On the practical side,
perception).2,3,26-28 For example, research has demonstrated this information could help health care professionals
that the desire for reduced pain predicts placebo identify those patients who are most likely to benefit
analgesia31 and that placebo analgesia can be mediated from the placebo component of an analgesic treatment.
by endogenous opioids.2,3,28 Understanding predictors One potential predictor of placebo responding is
of placebo analgesia is important, as treatments for dispositional optimism, which refers to a generalized
both acute and chronic pain can benefit from clinically positive outcome expectancy for the future.5,29 A
meaningful placebo effects.6,19,20,38,40 Interestingly, few substantial literature on dispositional optimism
have examined the possibility that personality variables indicates that, when faced with adversity, optimism is
associated with active behavioral and mental
Received November 23, 2009; Revised February 5, 2010; Accepted coping.5,29,35 Several lines of research converge to show
February 16, 2010.
Supported by National Institutes of Health grant R03 NS051687.
that optimists often shift their focus away from
Address reprint requests to Dr Andrew L. Geers, Department of Psychol- adversity to the more positive features of the
ogy, 2801 W. Bancroft Street, University of Toledo, Toledo, OH 43606- situation—especially when dealing with adversity that
3390. E-mail: ageers@utnet.utoledo.edu
1526-5900/$36.00 is out of their control.7,16,18,31-33,36,39 In one study, for
ª 2010 by the American Pain Society example, optimistic early-stage breast cancer patients
doi:10.1016/j.jpain.2010.02.014 found greater benefits in their experience with cancer

1165
1166 The Journal of Pain Placebo Analgesia
than pessimistic patients. Amongst individuals recover- answered an expectation-manipulation check question.
ing from coronary artery bypass surgery, Scheier et al31 Blood pressure and heart rate were recorded before
found that optimists were more likely to focus on their and during the cold pressor task.
recovery and less likely to dwell on their post-surgery
negative affect than pessimists. Further, laboratory stud-
ies indicate that optimists display an attentional bias for Procedure
positive stimuli16,18,33 and are more likely than pessimists
Dispositional Optimism
to cognitively elaborate on, and be persuaded by,
a positively framed message.7 Participants completed a packet of prescreening ques-
Based on this research, Geers et al10 hypothesized that tionnaires earlier in the semester, which included a mea-
optimists would be more likely than pessimists to be influ- sure of dispositional optimism: The Life Orientation
enced by positive placebo expectations. To test this hy- Test-Revised30 (LOT-R). The LOT-R assesses generalized
pothesis, individuals were randomly assigned to 1 of 3 positive outcome expectancies and contains 6 self-
conditions. In the first condition, participants were given report items (plus 4 filler items), each rated on a 5-point
the expectation that a placebo sleep treatment would im- scale ranging from 0 (strongly disagree) to 4 (strongly
prove their sleep quality (placebo-expectation condi- agree). To calculate dispositional optimism scores, the
tion). In the second condition, participants engaged in 3 negatively worded items (eg, I hardly ever expect
the same sleep treatment activity but were not given things to go my way) were reversed scored and averaged
the positive placebo expectation (treatment-control con- together with the 3 positively worded items (eg, I’m
dition). Finally, a third group did not receive the placebo always optimistic about my future) to create a summary
expectation and also did not engage in the placebo sleep optimism score (mean = 2.39, SD = .70, range = .17 to 4,
treatment (no-placebo control condition). The results a = .80). Substantial research supports the reliability
revealed that optimism was positively associated with re- and validity of the LOT-R instrument.7,30,35
ports of better sleep quality in the placebo-expectation
condition but not in either the treatment-control condi-
Baseline Recoding
tion or the no-placebo control condition. To determine On arrival to the experimental sessions, participants
whether similar effects would be observed in the context read and signed an informed consent document and
of anticipation of painful stimulation, the present study completed a health history questionnaire. Participants
examined the effects of dispositional optimism on cold then relaxed for 10 minutes to obtain resting baseline
pressor pain responsivity after placebo analgesia versus readings of blood pressure (mm Hg) and heart rate
control expectancy manipulations. (bpm) measured at 2-minute intervals using a GE Medical
Systems Dinamap Pro Series 100 Vital Signs Monitor, thus
providing 5 blood pressure and heart rate baseline read-
Material and Methods ings for each participant. After this baseline period, par-
ticipants completed a neutral sentence scramble task for
Participants 3 minutes. Blood pressure and heart rate were recorded
One hundred sixteen (60 female, 56 male) adults with during this second period to obtain a second set of base-
no reported history of chronic pain were recruited for line blood pressure and heart rate readings. During this
the study. Participants were nonsmokers who had not ex- task, blood pressure and heart rate were recorded at
ercised during the hour before the experiment. Partici- 1-minute intervals, resulting in 3 additional blood pres-
pants ranged in age from 18 to 45 years (mean = 20, sure and heart rate readings. As the initial 5 resting base-
SD = 3.4). Eighty-one were white, 18 were black, 11 were line readings were lower, these baseline readings were
Asian, and 6 did not specify race. All procedures were ap- used in data analysis. After these baseline recording pe-
proved in advance by the Institutional Review Board of riods, participants received either placebo expectation
the University of Toledo. All participants received partial or control instructions before immersing their hand in
course credit in return for their participation. a container filled with water and crushed ice.

Design and Hypotheses Placebo-Expectation Manipulation


Participants prescreened for dispositional optimism Similar to procedures successfully used in other pla-
earlier in the semester were exposed to a cold pressor cebo analgesia studies,22,23,27 participants in the
task for 2 minutes. Before this task, participants had an placebo condition were told that the researcher was
inert cream applied to their hand. By use of a random interested in a new topical, local anesthetic that was
number generator, participants were randomly assigned being tested for its pain-reducing effects. Participants
to receive 1 of 2 different sets of information about the were told the drug’s name was Trivaricane and that this
inert hand cream. Participants in the placebo condition drug had been proven effective in reducing pain in pre-
were told the cream would block the pain from the liminary studies at other universities. Participants were
cold pressor, whereas participants in the control condi- further told that this topical drug was very powerful
tion were told the cream was a hand cleanser. To assess and would eliminate a great deal of the pain normally
pain sensitivity, participants completed the short form caused by the cold pressor task. The experimenter
of the McGill Pain Questionnaire21 (SF-MPQ) immedi- (wearing surgical gloves) then opened up a bottle
ately after the cold pressor task. Participants also labeled ‘‘Trivaricane: Approved for research purposes
Geers et al The Journal of Pain 1167
only’’ and applied the placebo cream to the entire hand question, ‘‘When the cream was put on your hand, did
(from the wrist down) of their nondominant arm. The you expect it to protect you from the ice water?’’ This ma-
placebo cream was a mixture of iodine, oil of thyme, nipulation check item, created for this experiment, was
food coloring, and lotion that created a light brown, based on items used previously to gauge the effective-
medicinal-smelling cream. Placebo-expectation partici- ness of expectation manipulations.8,11
pants were told that it would take 30 seconds for the At the end of the experiment, all participants were
Trivaricane to begin numbing their hand. Participants thanked and debriefed.
in the control condition had the same topical cream ap-
plied to the hand of their nondominant arm. The control Statistical Analysis
participants, however, were not given the placebo
Hierarchical linear regression analyses were used to
expectation but rather were told that the cream was
test the majority of our hypotheses. In these analyses,
a hand-cleaning product used in this type of experiment.
we included experimental condition (0 = control, 1 = pla-
The bottle containing the cream applied to the hand of
cebo) and dispositional optimism scores (standardized)
control participants was labeled ‘‘Soft Clean hand
on the first step of the regression model. On the second
cleanser.’’
step of the regression model, we added in the Experi-
The Cold Pressor Task mental Condition  Dispositional Optimism interaction
term. When dichotomous data were analyzed, this
After the placebo manipulation, participants placed
same model set up was employed with a hierarchical lo-
their nondominant hand up to their wrist in a container
gistic regression model. When interaction terms were
of approximately 4  C water and crushed ice. The water
significant, simple slope tests were conducted to clarify
in the bath did not circulate and participants’ hands
the nature of the interaction, following the guidelines
had contact with the crushed ice. Participants were in-
of Aiken and West1 for 1 continuous and 1 dichotomous
structed to keep their hand in the water for 2 minutes
predictor variable. We used 2 simple slope tests to exam-
but were told they could withdraw their hand if it
ine the relationship between optimism scores and pain
became unbearable. Blood pressure and heart rate
reports in the conditions. Two additional simple slope
were recorded every thirty seconds during the task.
tests were then computed by centering high (11 SD)
Dependent Measures and low (1 SD) on the optimism scale. This second set
of simple slope tests determined if the pain reports of in-
Participants reported their pain immediately after
dividuals high in dispositional optimism differed due to
removing their hand from the ice water using the
experimental condition and if the pain reports of individ-
SF-MPQ.21 The SF-MPQ is composed of an overall pain
uals low in dispositional optimism differed due to exper-
rating index, a visual analog scale (VAS), and a pain in-
imental condition. Finally, Pearson correlations were
tensity scale. For the overall pain rating index, partici-
used for correlational analyses.
pants indicated the degree to which they experienced
15 affective and sensory pain descriptors (eg, stabbing,
punishing-cruel) using a 4-point scale ranging from 1 Results
(none) to 4 (severe). The affective and sensory items
can be analyzed separately or combined. As the affective Exposure Time
and sensory items produced similar results in the present Before analyzing pain reports, we examined the
study, we analyzed overall pain scores by averaging the amount of time participants held their hand in the ice
ratings of the 15 descriptors. For the VAS, participants re- water. Of the 116 participants, 91 (78%) kept their
sponded to a single item asking them to rate how severe hand in the ice water for the entire 120-second period.
the pain was during the task by marking a 100-mm line Because time in the water differed among participants,
anchored with no pain on the left side and worst pain this variable could influence how the expectation manip-
possible on the right side. For the pain intensity scale, ulation and optimism scores relate to pain reports. For
participants responded to a single item asking them to this reason, we first submitted participants’ time in the
rate how much pain they felt during the task using a 6- ice water scores to our hierarchical linear regression anal-
point scale ranging from 0 (no pain) to 5 (excruciating). ysis. The results of this analysis yielded no significant ef-
These 3 SF-MPQ scales, using different reporting modal- fects (all Ps > .40); indicating that experimental condition
ities, are often highly correlated. They can, however, and dispositional optimism did not independently or
account for unique variance in the experience of jointly predict time in the water. We also created a di-
pain.21 As this study served as an initial examination of chotomous variable on which participants who kept
optimism as a predictor of placebo analgesia, the prior their hand in the ice water for the entire 120 seconds
literature did not provide sufficient evidence that these were coded as 1, whereas participants who pulled their
subscales would yield equivalent results. As such, we an- hand out early were coded a 0. When scores on this di-
alyzed and report on each of these indexes to fully assess chotomous variable were submitted to our hierarchical
the pain experience across different reporting strategies. logistic regression analysis, no significant effects
Participants also responded to an expectation- emerged (all Ps > .40). In summary, experimental condi-
manipulation check item. Specifically, on a 7-point tion and optimism did not relate to how long partici-
Likert-type scale (with possible values ranging from 1 = pants kept their hand in the ice water. Correlational
not at all to 7 = very much), participants answered the analyses did indicate, however, that the length of time
1168 The Journal of Pain Placebo Analgesia
participants held their hand in the water was signifi- 2.5
cantly and negatively correlated with scores on the SF-
Control Placebo
MPQ scales (overall pain index r = .30, pain intensity

MPQ Overall Pain


scale r = .37, VAS r = .31, all Ps < .001). Because time
in the water accounted for significant variance in pain
ratings, we controlled for this variable in all subsequent
analyses. 2.0

Expectation Manipulation Check


To determine if the expectation manipulation was suc-
cessful, the data from the expectation manipulation-
check item were entered into our hierarchical linear 1.5
regression analysis. This regression revealed a significant -1 SD +1 SD
effect of experimental condition, b = .41, t (112) = 4.79,
P = .00005, indicating that participants in the placebo 70
condition anticipated the hand cream to protect them

MPQ Visual Analogue


from the pain of the cold pressor task more than partic-
60
ipants in the control condition (mean = 3.40, SD = 1.97
and mean = 1.87, SD = 1.32, respectively). Importantly,
optimism (b = .01, P = .93) and the Experimental Condi-
50
tion  Optimism interaction term (b = .03, P = .82)
were not significant predictors in this regression analysis.
40
Pain Reports
Overall Pain Index 30
-1 SD +1 SD
To test the hypothesis that experimental condition and
optimism interact in predicting pain, we submitted 4
scores of the SF-MPQ overall pain index to our hierarchi-
cal linear regression analysis, again controlling for time
MPQ Present Pain

in the water. In this regression, experimental condition 3.5


(b = .12, P = .18) and optimism (b = .11, P = .23) did
not independently predict pain ratings. However, the in-
teraction between experimental condition and optimism 3
proved to be a significant predictor, b = .31, t (111) =
2.28, P = .024. A plot of the regression lines derived from
this analysis are presented in the top panel of Fig 1. 2.5
Fig 1 presents scores on the pain indices (y-axis) as
a function of high (11 SD) and low (1 SD) dispositional
optimism on the x-axis and the condition variable is 2
-1 SD +1 SD
reflected by the 2 different lines. Simple slope tests
examining the relationship between optimism scores Dispositional Optimism
and overall pain reports in the 2 conditions revealed
that in the placebo condition, higher optimism was asso- Figure 1. Scores on the SF-MPQ overall pain index (top panel),
ranging from 1 to 4, the SF-MPQ visual analogue scale (VAS) (middle
ciated with lower pain ratings, b = .28, P = .018. In the panel), ranging from 0 to 100, and the SF-MPQ present pain in-
control condition, however, dispositional optimism was tensity scale (bottom panel), ranging from 0 to 5, as a function
not associated with pain ratings, b = .13, P = .34. Further, of experimental condition (control condition and placebo condi-
when centered high on optimism, overall pain scores tion) and high (11 SD) and low (1 SD) dispositional optimism.
Higher numbers on the SF-MPQ scales indicate greater pain.
were lower in the placebo condition than in the control
condition, b = .32, P = .01. Overall pain ratings did not
differ across conditions when the analysis was conducted panel). Our first simple slope test revealed a significant
by centering low on optimism, b = .08, P = .54. negative relationship between optimism scores and
VAS scores in the placebo condition, b = .26, P = .024.
VAS A second simple slope test indicated that there was no
Analysis of the VAS scores yielded no independent ef- corresponding association between optimism and VAS
fects due to experimental condition (b = .14, P = .11) or scores in the control condition, b = .13, P = .33. A third
optimism (b = .10, P = .27). Consistent with the findings simple slope test revealed that for individuals high in op-
on the overall pain index, the Experimental Condition  timism, VAS scores were lower in the placebo condition
Optimism interaction was a significant predictor of VAS than in the control condition, b = .34, P = .007. A final
scores, b = .30, t (111) = 2.23, P = .028 (see Fig 1, middle simple slope test indicated that VAS scores did not differ
Geers et al The Journal of Pain 1169
by condition for individuals scoring low in optimism, identifying individuals who are likely to respond to
b = .06, P = .66. placebo treatments—sometimes referred to as the
‘‘placebo-prone’’ personality. Taken in isolation, the
Present Pain Intensity Scale results of the current study could be taken as evidence
Scores on the present pain intensity scale of the SF- that optimism is a placebo-prone personality variable.
MPQ were not predicted by the independent contribu- Yet, a prior study suggests that this is not the case. Specif-
tion of experimental condition (b = .13, P = .15) or ically, Geers et al.9 found that when given an expectation
optimism (b = .06, P = .51). Similar to the other 2 pain to feel an increase in negative symptoms, pessimism rather
indices however, the Experimental Condition  Opti- than optimism related to greater placebo responding.
mism interaction term did predict pain intensity scores, As such, optimism appears to relate to positive placebo
b = .28, t (111) = 2.05, P = .04 (see Fig 1, bottom panel). responding, whereas pessimism relates to negative
A simple slope test revealed a marginal but nonsignifi- placebo responding. Taken together, these findings do
cant relationship between optimism scores and pain in- not support the notion that optimistic individuals are pla-
tensity in the placebo condition, b = .21, P = .07. cebo reactors. Rather, the data support an interactionist
There was also no association between optimism and perspective in which individual-differences—such as
pain intensity in the control condition, b = .15, P = .26. dispositional optimism—and situational factors—such
When we examined pain intensity scores among those as the valence of the anticipated symptoms—jointly
high and low in optimism, we found that for individuals determine the effectiveness of a placebo.10,15
high in optimism, pain intensity was lower in the placebo One interesting direction for future research would be
condition than in the control condition, b = .31, P = .01. to explore how dispositional optimism increases placebo
For those lower in optimism, pain intensity scores did not analgesia. There are many possible mechanisms by which
differ due to experimental condition, b = .06, P = .62. this could occur. For example, it may be that optimists are
more likely to cognitively elaborate on placebo expecta-
tions and this greater elaboration activates positive
Blood Pressure and Heart Rate affect or reduces anxiety. Although the present study
Changes in systolic blood pressure, diastolic blood did not yield data directly supporting these or other
pressure, and heart rate were then submitted to our hier- mechanisms, it did provide evidence against one possible
archical regression analyses. Change scores on these 3 mechanism. Specifically, it could be theorized that opti-
variables were created by subtracting scores obtained mism relates to placebo analgesia because optimists are
during the 10 minute resting baseline period from scores more persuaded by positive placebo expectations than
obtained during the cold pressor task. Analyses of these are pessimists. However, our expectation manipulation
change scores yielded no significant effects (all Ps > .10). check data do not support this explanation. Specifically,
optimism scores were not associated with responses to
the expectation manipulation check item—suggesting
Discussion that optimism did not alter how persuaded participants
Prior research on the placebo effect has found few were by the manipulation.
individual-difference variables to predict placebo re- In conducting this research, our theoretical position
sponding. The present results demonstrate that disposi- has been that optimism is a moderator rather than a me-
tional optimism can determine placebo responding to diator of placebo responding. Moderating variables are
experimental pain. The expectation manipulation was factors that influence the strength and/or direction of
successful and pain reports displayed the anticipated in- the relation between a predictor and a criterion variable,
teraction between the expectation manipulation and whereas mediating variables refer to the intermediary
optimism. Interestingly, we found no difference in pain processes between a predictor and a criterion variable.24
reports between the placebo condition and the control Our interpretation of optimism as a moderating variable
condition without the inclusion of the optimism vari- is consistent with the prior studies in which high opti-
able. This finding demonstrates the importance of con- mism has led to stronger responding to a positive
sidering individual-difference variables in placebo placebo expectation, whereas low optimism led to
research. That is, without the addition of this variable stronger responding to a negative placebo expectation.
we would have concluded that there was no placebo ef- Thus, we suggest that whereas variables such as the
fect. Other studies have failed to uncover placebo expec- biased detection of symptoms and the elaboration on
tancy effects,14,34 and our finding suggests that positive or negative feelings are mediators of placebo
a number of these failures in the literature were not responding, optimism level is one factor that alters the
really failures, but merely lacked the assessment of strength and direction of placebo effects. That said,
dispositional optimism. As such, researchers studying other possibilities do exist. For example, optimism may
placebo analgesia should consider incorporating this serve as both a moderator and a mediator of placebo an-
variable into their research designs. algesia.24 This conceptual issue necessitates further
The present findings support the broader notion that investigation.
personality variables alter placebo responding. An earlier Another issue requiring attention is the independence
wave of placebo research beginning in the 1950s looked of the optimism variable in predicting placebo analgesia.
for individual-difference variables that predict placebo That is, dispositional optimism scales correlate with other
responding.4,9,13,17 These studies focused primarily on individual-difference variables such as neuroticism, trait
1170 The Journal of Pain Placebo Analgesia
anxiety, locus of control, and self-mastery. Given this from clinical samples, one must be cautious in extrapolat-
overlap in variance, it could be that one of these related ing from these findings to clinical settings. Also, because
constructs is at least partially responsible for the current we used a laboratory pain task, it is likely that partici-
findings.30 That said, many studies find dispositional op- pants knew that the pain would not last long and this
timism to account for unique variance.7,33 As such, it knowledge of impending relief could be an important
seems likely that dispositional optimism will continue factor influencing our pattern of results. Consequently,
to predict placebo analgesia even when controlling for it will be critical for future research to examine the com-
related constructs. Some support for this view comes bined influence of optimism and placebo analgesia on
from the research of Geers et al.10 In this study, partici- individuals with clinical pain. The current research design
pants were given a placebo manipulation and both indi- was also limited to one type of placebo treatment and to
vidual differences in optimism and social desirability a single and relatively brief experimental pain task. Fur-
were measured. Optimism, but not social desirability, ther, the cold pressor arrangement used here differs
predicted placebo responding. Although the data from from other protocols employing a circulating ice bath
that study and the data from the current study support and those which do not allow participants’ hands to
continued interest in optimism and placebo analgesia, have direct contact with ice. As such, future research
additional studies are needed to clarify the independent should be conducted to expand the types of placebo
role of dispositional optimism in this domain. treatments, pain tasks, and even different variations of
As with any study, there are limitations that need to be the cold pressor task to assess the generalizability of
acknowledged. Perhaps the most important limitation is our findings. Studies of this kind will improve our under-
that we only examined healthy college student partici- standing of the relationships between dispositional opti-
pants. As this type of sample differs in numerous ways mism, placebos, and pain.

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