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THE JOURNAL OF ALTERNATIVE AND COMPLEMENTARY MEDICINE

Volume 7, Supplement 1, 2001, pp. S-83S-92


Mary Ann Liebert, Inc.

The Physiology of MindBody Interactions:


The Stress Response and the Relaxation Response

GREGG D. JACOBS, Ph.D.

ABSTRACT

There are key differences between mindbody medicine and alternative medicine. A central
tenet of mindbody medicine is the recognition that the mind plays a key role in health and that
any presumed separation of mind and body is false. Alternative medicine, however, does not
focus on the role of thoughts and emotions in health and, therefore, is separate from mindbody
medicine. Also, while there has been little scientific research on alternative medicine, the litera-
ture on mindbody medicine comprises more than 2000 peer-reviewed studies published in the
past 25 years. The groundwork for understanding the physiology of mindbody interactions was
established by pioneering studies in the 1930s by Walter Cannon, and in the 1950s by Walter
Hess and by Hans Selye that led to an understanding of the fight-or-flight response. Later work
by Holmes and Rahe documented measurable relationships between stressful life events and ill-
ness. Other research has shown clinical improvement in patients treated with a placebo for a va-
riety of medical problems. The effectiveness of placebo treatment can be interpreted as com-
pelling evidence that expectation and belief can affect physiological response. Recent studies
using spectral analysis and topographic electroencephalographic (EEG) mapping of the relax-
ation response demonstrate that by changing mental activity we can demonstrate measurable
changes in central nervous system activity. These, and other, studies demonstrate that
mindbody interactions are real and can be measured.

I t is an honor to be here to represent Harvard


Medical School, Harvard Medical Interna-
tional, and the MindBody Medical Institute at
alternative medicine. First, one of the key def-
initions of mindbody medicine is that the
mindthat is, thoughts and emotionsaffects
Harvard Medical School. It is also an honor to health. So one of the central tenets of mind
address our friends, colleagues, and gracious body medicine is the recognition that the mind
hosts here at the Asan Medical Center. In my plays a key role in health and that Cartesian
first talk, Id like to talk about the physiology dualismthat is, separation of mind and
of mindbody interactions. bodyis false. The media, the public, and
First of all, let me define mindbody medi- health care professionals, however, often con-
cine. Yesterday, mindbody medicine was de- ceptualize mindbody medicine as alternative
scribed as part of complementary medicine. In medicine, and include mindbody medicine
fact, there are some key differences between with therapies like acupuncture or herbal
mindbody medicine and complementary or remedies. In fact, most alternative medicine

Harvard Medical School and Beth Israel Deaconess Medical Center, Boston, Massachusetts.

S-83
S-84 JACOBS

treatments, such as acupuncture or herbal will talk about in my second lecture, is actually
remedies, have nothing to do with mindbody important for health maintenance. Developing
medicine because they do not focus on the role a sense of control is an attitude and a belief that
of thoughts and emotions in health. is associated with improved health and lon-
A second difference between mindbody gevity.
medicine and complementary or alternative Id like to talk next about some of the scien-
medicine is that alternative medicine is not tific underpinnings of mindbody medicine by
only young in terms of a science, but there is starting with what is called the fight-or-flight
comparatively little research on alternative and response, which, in a very real sense, formed
complementary medicine relative to mind the basis of the physiology of mindbody in-
body medicine. In fact, mindbody medicine is teractions. First, mindbody medicine is the re-
based on more than 2000 scientific studies that sult of a long history of research on the psy-
have been published in peer-reviewed journals chophysiological connections between the brain
in the last 25 years. and the nervous, hormonal, and immune sys-
My contention is that, because mindbody tems. This research initially focused on stress
medicine involves this kind of empirical re- and its effects on the body.
search base, it should not be considered alter- The first person to conduct research in
native and, in fact, should be considered main- mind-body medicine, although they didnt
stream. For example, in the United States, we term it mindbody medicine then, and who
have half a dozen journalsscientific peer-re- studied the fight-or-flight responseor what
viewed journalsthat are specifically devoted we now term the stress responsewas Wal-
to mindbody medicine. Some of the journals ter Cannon, a physiologist at Harvard Med-
include biofeedback and self-regulation, be- ical School who conducted his research in the
havioral medicine, psychosomatic medicine, 1930s. Cannon documented the physiological
and health psychology. There are dozens of effects of what he termed the emergency re-
other journals including the Journal of the Amer- action, which he defined as an acute physio-
ican Medical Association and even the New En- logic reaction that prepares the organism for
gland Journal of Medicine that publish studies on fighting or fleeing. Cannon described the
mindbody medicine. physiologic changes associated with the fight-
Another difference between mindbody or-flight response as being characterized by
medicine and alternative medicine is the con- increased sympathetic nervous system activ-
cept of self-care. In fact, Herbert Benson of the ity, increased central nervous system arousal,
Harvard Medical School, who is one of the pi- and increased skeletal-muscle activity. He
oneers in mindbody medicine, uses the model went on to define specific correlates of these
of what he terms the three-legged stool, in physiologic changes, including reduced blood
which mindbody medicine is not intended to flow to the gut and extremities during fight or
replace standard medical care, such as surgery flight; increased blood flow to the muscles,
and drugs, but should be used in conjunction heart, and lungs to aid in fighting or fleeing;
with it. In Dr. Bensons model of the three- and increased blood sugars among many
legged stool, each legpharmaceuticals, sur- other changes (Cannon, 1932).
gery and procedures, and self-help techniques Interestingly, Cannon also hypothesized that
in the form of mind-body interventionsall stress not only induces these physiologic
work to support health (Benson, 1996). One of changes, but he also believed that stress pre-
the pluses of mindbody medicines self-help cipitates sudden death via ventricular fibrilla-
techniques is that patients are actually given tion based on his studies on voodoo death.
techniques that they learn and practice inde- Later in the 1950s, the Swiss physiologist, Wal-
pendently from an external agent or a health- ter Hess, was awarded the Nobel Prize for his
care professional. Once they have learned the research on electrical stimulation of the hypo-
techniques, they can use the techniques on their thalamus in cats. Hess initially documented
own. That empowers the patient and increases what he termed the ergotropic responses,
the patients sense of self-control, which, as I which was his term for the emergency reaction.
PHYSIOLOGY OF MINDBODY INTERACTIONS S-85

He defined the ergotropic response as a hypo- disease, gastrointestinal disorders, chronic pain,
thalamically mediated response. It is charac- and a range of other medical as well as psychi-
terized by increased sympathetic, cortical, and atric disorders (Chrousos and Gold, 1992). In all
skeletal muscle activation. Hess would also of these disorders it is believed that the effect of
document an opposite response that we now stressful life events on morbidity and mortality
term the relaxation response, which I will re- is mediated by overactivation of the fight-or-
turn to shortly (Hess, 1957). flight response.
The other key physiologist credited with the The other research that supports the idea that
initial research on the effects of stress and emo- the mind interacts with the body and affects
tions on the body is Hans Selye, who, in the health is research on the placebo effect. This re-
1950s, studied the neuroendocrine effects of the search was done initially by Henry Beecher at
fight-or-flight response and the resulting gen- the Harvard Medical School in the 1950s. Dr.
eral adaptation syndrome. Selye conceptual- Eisenberg discussed the placebo effect yester-
ized stress and its effects on the body as con- day, and the fact that he educates his physi-
sisting of three phases that make up the general cians and residents about the placebo effect. I
adaptation syndrome. The first phase is an would like to cover some of Beechers findings
alarm phase in which the fight-or-flight re- concerning the placebo effect, because these
sponse is elicited for mobilization and gearing findings are powerful evidence of the effect
up for fight or flight. A second phase is called that thoughts, beliefs, and expectations can
a resistance phase in which the organism fights have on the body and on health (Beecher, 1955).
the stressor, but the acute fight-or-flight re- Research on the placebo effect demonstrates
sponse ceases. And then, a third phase, which that approximately one third of patients exhibit
he termed the exhaustion phase, in which the clinical improvement in response to a placebo
organism can no longer adapt to the stressor. pill for a variety of medical problems. Much of
It is this third phase, the exhaustion phase, that these findings come from randomized, double-
Selye showed could result in illness, including blind trials. For example, curative placebo ef-
shrinkage of thymus, the spleen, and the lymph fects have been substantiated in illnesses rang-
nodes, also peptic ulcers, and, in some cases, ing from headaches, angina pain, insomnia,
death (Selye, 1956). hay fever, and arthritis. Evidence supports the
After or around the time that Hans Selye was efficacy of the placebo effect in yielding be-
conducting his research, two scientists devel- tween 20% to 70% of relief of symptoms in con-
oped a model in which they were able to begin trolled studies. Beechers studies at Harvard
to document the effects of stress, in particular, Medical School documented that 30% to 40%
stressful life events, not just on the body, but on of pain patients report responding as well to a
morbidity and mortality. This was the Holmes placebo pill as they do to 10 mg of morphine.
and Rahe Schedule of Recent Experiences, In a review of more than 1000 patients, Beecher
which is an inventory that assigns numerial found that 35% of patients would be signifi-
ranking to various life events, from divorce to cantly relieved of severe pain by the double-
changing jobs, or moving, all the way down to blinded administration of a placebo.
a recent illness (Rahe, 1964). Holmes and Rahe Several researchers have found that a
and subsequent epidemiologic research on the placebo is 50% as effective as any analgesic, in-
relationship between stress and illness, docu- cluding morphine, and that placebos can actu-
mented consistent, measurable relationships be- ally reverse the action of potent drugs. In fact,
tween stressful life events and illness. For ex- several researchers have argued that the his-
ample, stressful life events have been linked to tory of medicine prior to the twentieth century
sudden cardiac death, pregnancy and birth com- was the history of the placebo effect. Instead of
plications, diabetes, and overall susceptibility to regarding the placebo effect as a nuisance vari-
illness. In 1992, a review by two National Insti- able, it should be viewed as providing power-
tutes of Health scientists in the Journal of the ful evidence of mindbody interactionsthat
American Medical Association noted the role of is, the effects of expectation and belief on the
stress in autoimmune diseases, coronary heart body (Shapiro, 1971).
S-86 JACOBS

I ask you to imagine what it would be like if sion, heart disease, heart attacks, and death,
a drug was discovered today that had the same primarily in the areas of hostility, job strain,
curative properties as the placebo effect. I think and lack of social support. Stress has also been
it would be an impressive drug. linked to increased cholesterol, constriction of
The most recent research on the relationship coronary arteries, and ischemia, as well as car-
between the mind and body involves research diac arrhythmias.
in the field of psychoneuroimmunology, which Recently, hostility has been associated with
is the study of the relationship between the increased coronary blockage, increased risk of
brain, thoughts and emotions, and the immune heart attack, and increased risk of dying from
system. These studies demonstrate a connection all causes. Redford Williams, in research at
between the central nervous system and the im- Duke University on the relationship between
mune system that were until recently believed hostility and heart disease, has shown that hos-
to act independently (Kiecolt-Glaser and Glaser, tile men are seven times more likely to die
1988). These studies, once again, disprove the within 25 years from any cause compared to
notion of Cartesian dualism. For example, psy- less hostile men (Williams and Williams, 1993).
choneuroimmunology research over the past 10 In numerous studies assessing stress in the lab-
to 15 years has shown that nerve endings can be oratory, stress has been shown to result in in-
found in the thymus, the spleen, and the lymph creased blood pressure, heart rate, and reduced
nodes (Ader et al., 1990). Additionally, the im- blood flow to the heart.
mune cells respond directly to chemical signals In the area of musculoskeletal disorders,
produced by the nervous system. stress has been linked to muscle contraction
Robert Ader at the University of Rochester headaches and back pain (Budzynski et al.,
showed that immune responses can be condi- 1970; Caudill, 1994). For gastrointestinal disor-
tioned through the central nervous system by ders, stress has been implicated in irritable
pairing an immunosuppressing drug with sac- bowel syndrome, which is a syndrome charac-
charine (Ader et al., 1990). He eventually dem- terized by abdominal pain, irregular bowel
onstrated that the administration of saccharine movements, constipation, and diarrhea. Stress
alone could cause an immunosuppressive ef- has been shown to increase gastric secretion. It
fect and, ultimately, death. Around 1985, the alters the contractions of the small intestine and
New England Journal of Medicine published an colon, affects the time required for food to
editorial in which it characterized the effects of move through the gastrointestinal tract, and al-
mental states on the body as folklore. Six years ters the balance of sympathetic and parasym-
later, it published a landmark study that doc- pathetic functioning in the gastrointestinal
umented a direct link between the mind and tract. In one study, two thirds of patients said
the immune system by showing a relationship that stress alters their bowel patterns, and 50%
between levels of psychologic stress and sus- of patients reported abdominal pain from
ceptibility to infection by a common cold virus stress. In another study on patients with irrita-
(Cohen et al., 1991). ble bowel syndrome, stress caused pain or
It is perhaps ironic that the same fight-or- bowel pattern changes in 85% of those patients
flight response that was designed to help us in (Whitehead, 1993).
our evolution can now actually harm us. Based Concerning the central nervous system,
on this large body of evidence, there is grow- stress has been linked to a variety of problems,
ing consensus that mindbody interactions in including insomnia (Morin, 1993) and negative
the form of excessive activation of the fight-or- emotions, such as hostility, anxiety, and even
flight response, in which it is not possible to depression (LeDoux, 1996). For example, Mar-
fight or flee from modern day stressors, can tin Seligmans work on learned helplessness
cause or exacerbate many health problems via shows that uncontrollable stressors can lead to
the central nervous system, the peripheral ner- a state of apathy and depression (Seligman,
vous system, and the immune system. For ex- 1975). Stressful life events are also the primary
ample, concerning cardiovascular disorders, precipitators of insomnia. And recent studies
stress has been repeatedly linked to hyperten- demonstrate that increased daytime stress is as-
PHYSIOLOGY OF MINDBODY INTERACTIONS S-87

sociated with increased nocturnal stress hor- concerns the effects of stress on health. An im-
mones, that is, catecholamines (Kiecolt-Glaser pressive body of evidence has also been gath-
and Glaser, 1988). And these increased noctur- ered suggesting that it is possible to, at least to
nal stress hormones have been shown to be as- some extent, control mindbody interactions.
sociated with reduced slow-wave sleep and in- For example, Edmond Jacobson, in the 1930s in
creased complaints of insomnia. the United States, published research on pro-
In my research on insomnia, I also found that gressive muscle relaxation (Jacobsen, 1938), and
insomniacs exhibit elevated presleep cortical Schultz and Luthe in Germany in the 1950s, pub-
arousal, as measured by power spectral analy- lished their work on autogenic training (Schultz
sis, and that they not only demonstrate in- and Luthe, 1959), which are the two earliest
creased cortical arousal relative to good sleep- mindbody techniques. In progressive muscle
ers, but that this is consistent with central relaxation, patients learn to tense and relax var-
nervous system activation via the fight-or- ious muscle groups throughout their body and
flight response (Jacobs et al., 1993). to discriminate low levels of tension and relax-
Concerning the immune system, stress has ation as they progress in their training around
repeatedly been shown to cause immunosup- the body, hence progressive muscle relaxation.
pression. Particularly, the work of Ron Glaser In autogenic trainingautogenic means self-in-
and Janice Kiecolt-Glaser at Ohio State Uni- ducedpatients learn to self-induce relaxation
versity has repeatedly shown that stress and by autosuggesting to themselves phrases of
immunosuppression can be measured through warmth and heaviness in the body. Numerous
job loss, marital conflict, marital separation, di- peer-reviewed scientific studies on these two
vorce, loneliness, academic examinations, be- techniques document that they are more effec-
reavement, and caring for family members tive than control conditions in reducing central
with a debilitating illness such as Alzheimers nervous system and peripheral nervous system
disease. Stress has also been shown to increase arousal (Lehrer and Woolfolk, 1984).
the risk of acute, infectious respiratory illness Another mindbody technique is biofeed-
and herpes virus. back, which was researched extensively begin-
Most of the research on mindbody medicine ning in the 1970s in the United States. Biofeed-

FIG. 1.
S-88 JACOBS

back is the use of electronic instrumentation to there are four elements necessary to elicit the
mirror, or feed back to individuals, information relaxation response. They include relaxed mus-
that they are normally not aware of, or infor- culature, a quiet environment, passive disre-
mation that is normally unconscious. Biofeed- gard of everyday thought, and the focus of at-
back was one of the first mindbody techniques tention on a repetitive mental stimulus, such as
in which a significant amount of scientific re- a word, a sound, a phrase, or even repetitive
search documented that it was possible to breathing.
achieve greater voluntary control over the au- Bensons relaxation response model is now
tonomic nervous system and the central ner- widely used to explain the therapeutic effects
vous system, including electroencephalograms of the relaxation response on various health
(EEGs), heart rate, hand temperature, periph- problems. Literature reviews generally concur
eral blood flow, galvanic skin response, and that all relaxation-response techniques are
other physiologic parameters (Blanchard and characterized by reduced stress hormones and
Epstein, 1978). reduced central nervous system activity in the
In the 1970s, Dr. Herbert Benson at Harvard form of measurable brain wave changes (West,
Medical School, who initially conducted re- 1980). In fact, a literature review by Michael
search on blood pressure control in monkeys West on the brain wave changes associated
using biofeedback, later began to study medi- with relaxation response techniques indicates
tation. He demonstrated that meditation, a clas- that, in the majority of scientific studies on the
sic Eastern mindbody technique, was another relaxation response, there is a measurable in-
technique that allowed greater control over the crease in alpha amplitude at the beginning of
peripheral and central nervous systems (Ben-
son et al., 1974). His discoveries were made in
the same laboratory that Walter Cannon used
for his research 60 years earlier on the emer-
gency reaction. It is perhaps ironic that two of
the key researchers in mindbody medicine
conducted their initial research in laboratories
at Harvard Medical School.
When Walter Hess conducted his Nobel
Prize-winning research on the cat hypothala-
mus, he also noted a contrasting set of re-
sponses characterized by reduced sympathetic
nervous, cortical, and skeletal muscle activity,
which Hess termed the trophotropic re-
sponse. Hess hypothesized that this parasym-
pathetic response was a protective mechanism
against overstress that promotes restorative
processes. Benson drew heavily on Hesss work
and proposed what he termed the relaxation
response model, a model in which Benson
suggested that all mindbody techniques, in-
cluding biofeedback, meditation, progressive
muscle relaxation, autogenic training, tai chi,
chigong, yoga, and other techniques, elicit a
common physiologic response that Benson
termed the relaxation response.
Benson hypothesizes that the relaxation re-
sponse is hypothalamically mediated and that
it is an inborn counterbalancing mechanism to
the stress response. Benson also suggested that FIG. 2.
PHYSIOLOGY OF MINDBODY INTERACTIONS S-89

the relaxation response, a slowing of alpha fre- tern, both during the first 15 minutes of this
quency by one to three cycles per second and, trial and then during an additional 15 min-
later in meditation, theta trains or increased utes. Figure 2 is also a plot of control subjects
theta activity intermixed with alpha activity. in which there is a very consistent alpha pat-
In my research, using power spectral analy- tern. Figures 3 and 4 are plots of the relaxation
sis and topographic EEG mapping, I conducted response subjects; in the first 15-minute plot,
a study in which I trained college students on they, too, listened to the taped novels. We
the relaxation response, or an appropriate con- again see a very predominant consistent alpha
trol condition, over an 8-week period (Jacobs pattern. After 15 minutes, they were in-
and Lubar, 1989). Figure 1 shows compressed structed to elicit the relaxation response and
spectral arrays of EEG activity. On the hori- we see an immediate drop in alpha power fol-
zontal axis are the various EEG frequency lowed by a significant increase in theta, and
bands: Delta is 0 to 3, theta is 4 to 7, alpha is 8 even delta, percent total power in both hemi-
to 12, and beta is 13 to 32 cycles per second. spheres. This is consistent across the majority
The vertical axes are epochs of time, with each of subjects.
epoch representing approximately 15 seconds This is a simple, but quantitative demon-
of EEG activity. The area under each individ- stration of the fact that, by altering mental
ual curve tells us about the amount of relative activity in the form of a repetitive mental stim-
power in various EEG bands. ulus (in other words, changing cognitive activ-
Figure 1 shows spectral plots of one chan- ity), we can demonstrate measurable changes
nel of EEG activity in the left hemisphere and in central nervous system activity. Figure 5 de-
the right hemisphere in a control subject, in picts topographic EEG maps of subjects who
which the subject was sitting in a comfortable came into our laboratory and had never elicited
chair in a quiet room. Subjects were told to the relaxation response. We wanted to deter-
passively disregard everyday thought, but mine if there are measurable changes in central
while listening to a control tape, which was nervous system activity the first time some-
taped novels. In this plot, you see that the typ- body elicits the relaxation response (Jacobs et
ical EEG pattern for somebody who is very re- al., 1996). Figure 5 is a map of beta EEG activ-
laxed initially is the predominant alpha pat- ity, which is a measure of cortical activation.

FIG. 3.
S-90 JACOBS

FIG. 4.

The map on the top left, labeled Control Be- activity.) The last 5 minutes of the control con-
ginning, is the first 5 minutes of a 15-minute dition, labeled Control End, on the top right,
control condition in which subjects listened to show that, even when somebody sits in a quiet
a tape of somebody describing the benefits of room, in a comfortable chair, beta activity re-
the relaxation response, but not actually in- mains relatively constant over 15 minutes.
structing them on how to elicit the relaxation The experimental subjects exhibit a similar
response. (The brighter the color, the more beta amount of beta activity during the first 5 min-

Frontal Frontal

Control Control
beginning End

Occipital Occipital
Frontal Frontal

RR RR
Beginning end

Occipital Occipital

Vertical color bar indicates beta relative power (white highest, black lowest). Topographic maps are displayed in relative spectral power for
greater resolution.

Note: at RR end (lower right), beta relative power is significantly (p<.0164) decreased in frontal areas.

FIG. 5.
PHYSIOLOGY OF MINDBODY INTERACTIONS S-91

utes of the relaxation response (labeled RR Be- native, complementary, and mindbody medi-
ginning, on the lower left). However, during cine, which I do not think is actually as new, as
the last 5 minutes of the relaxation response (la- I pointed out, is a problem of semantics and def-
beled RR End, on the lower right), they inition. But based on my initial pointthat
showed a significant reduction in anterior brain mindbody medicine is not only defined differ-
regions in beta activity, suggesting that even ently in terms of its central focus on the rela-
the first time that somebody elicits the relax- tionship between thoughts and emotion and
ation response, we can observe measurable re- their effect on health and on the extensive re-
ductions in cortical arousal. In fact, this may ex- search base that already exists, I do not think it
plain why presurgical patients are able to use is appropriate to describe it as alternative medi-
the relaxation response the very first time they cine, at least in the context of alternative and
practice it to reduce presurgical anxiety and to complementary therapies. And, in fact, it should
lessen the need for medication before, during, be considered mainstream when the same guide-
and after surgery (Mandle et al., 1990). lines that are used to evaluate traditional med-
Regular elicitation of the relaxation response ical therapies, that is, controlled studies in peer-
not only appears to mitigate the effects of the reviewed journals, have been applied to the field
stress response. As I will discuss in my second of mindbody medicine. I think it should be con-
lecture, the relaxation response has also been sidered mainstream for that reason.
shown to be effective in the treatment of many There has been extensive literature using
health problems, which I will review in detail, mindbody techniques for back pain. Dennis
including musculoskeletal disorders, gastroin- Turk at the University of Pittsburgh and Mar-
testinal disorders, cardiovascular disorders, garet Caudill at Harvard Medical School have
and others, including stabilizing blood sugars created programs to treat chronic pain condi-
in diabetics, reducing nausea associated with tions, including low-back pain. In these pro-
chemotherapy, reducing the severity of arthri- grams, mindbody therapies, including the re-
tis, insomnia, and also reducing hostility and laxation response, and also whats called
anxiety (Benson, 1996). cognitive therapy or cognitive restructuring,
The research on the physiology of mind which I will be talking about later, have been
body interactions, specifically the stress re- found to be effective for various pain condi-
sponse and the relaxation response, demon- tions, including low-back pain. In fact,
strate that mindbody interactions, that is, the mindbody therapies form some of the central
effect of thoughts and emotions on the body, components of those programs. So there is very
do exist and can be measured. Therefore, the good research to date, mainly in applied
question is not whether mindbody interac- clinical studies but also in laboratory studies
tions are real, but rather, can the relaxation re- showing that mindbody techniques, in the
sponse and mindbody interactions be used to form of the relaxation response and also cog-
affect health outcome? This question will be the nitive restructuring techniques, are, in fact, ef-
focus of my second talk. Thank you. fective for the treatment of pain.
Question from the audience:
Thank you Dr. Jacobs. I have two questions. REFERENCES
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pinings of Emotional Life. New York, NY: Simon and Assistant Professor of Psychiatry
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110 Francis Street, Suite 1-A
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