Qp801c24c332 2006

613.8'4--dc22 2006045651

Visit the Taylor & Francis Web site at http://www.taylorandfrancis.com

and the CRC Press Web site at http://www.crcpress.com


For my wife, Liz, dedicated companion, mother, and teacher. A pillar of strength and model of courage, her passing in 2003 left a chasm in the lives of all those she touched.

Barry Smith

For my parents, Mr. Jai Prakash and Mrs. Subhashini, who left for their heavenly abodes on May 15, 2000 and January 10, 2003, respectively.

Uma Gupta

For my granddaughter, Harshita, a promising small bud, who left for her heavenly abode on February 24, 2004


Arousal theories have long sought to explain how cortical arousal and its downstream effects on a wide range of body systems function to affect personality, behavior, and health. In that effort, we must first distinguish between trait arousal and state arousal. The former refers to the individual's typical or average level of arousal, and the latter indicates current arousal at a given moment. Both are influenced by a complex set of genetic factors that affect, among other things, structure of the reticular activating system and the limbic system, together with their neurotransmitter substrates. The phenotype for trait arousal then results when these genetic predispositions interact with specific aspects of early life experience.

State arousal at any time is a product of a three-way interaction that involves trait arousal, the presence of substances that can increase or decrease arousal, and cognitions that represent, in part, the individual's perceptual interpretation of current environmental stimulus situations. The focus of this book is on caffeine, one of the major substances known to increase arousal. The genetic factors, trait arousal, and cognitions that contribute to arousal level are taken into account by the chapter authors as appropriate.

The virtually universal popularity of caffeine, together with concerns about its potential pathogenic effects, has made it one of the most extensively studied drugs in history. Research has addressed the sources of caffeine, its pharmacokinetics and pharmacodynamics, its effects on neural substrates, and its impact on a variety of aspects of health and behavior. One reason why caffeine is so widely consumed is that it is found in many foods and drinks, such as coffee, tea, soft drinks, medicines, and chocolate. Indeed, it is difficult to avoid consuming at least some of this potent drug.

The other major reason for its widespread consumption is that caffeine quite consistently has an arousing, alerting effect. It is a morning eye-opener for millions of people worldwide, can provide increased attentional focus at almost any time, helps drivers and workers to stay awake and alert, and enhances athletic performance. Caffeine and Activation Theory: Effects on Health and Behavior brings together the scientific work of major theorists and researchers, who review the entire literature in their respective areas of endeavor. From these in-depth reviews, we hope to provide an integrated body of knowledge that represents much of what is currently known about the effects of caffeine on arousal and behavior, as well as on physical and emotional health.

Barry D. Smith Uma Gupta


In an edited book, one of the most difficult and time-consuming tasks is going through every chapter before the book goes to the publisher to make certain that the references are all listed in the proper format and that each manuscript is correctly formatted consistent with the guidelines for the book. The person primarily responsible for this entire process has been Administrative Assistant Julia Coldren, and we would like to give her very special recognition for all her efforts. She has done an outstanding job of finalizing all aspects of the chapters and has made numerous helpful, creative suggestions that have improved the entire book. Thank you, Julia!

Publishing a book is a lengthy and often difficult process for the authors and editors, but it also requires great effort on the parts of many other people, particularly those at the publishing house. They can make the work of the authors more or less difficult, and we sincerely thank everyone at Taylor & Francis/CRC Press involved with this book for making our work far less difficult than it might have been. We first thank Barbara Norwitz, our Taylor & Francis publisher, who fully supported our work throughout the entire publishing process. Kari Budyk, our editor, could not have been better. She has worked with us every step of the way, providing guidance, answering our incessant questions, and moving the manuscript through the entire publishing process. In addition, Editorial Assistant Randy Brehm was very helpful in getting the publishing process underway. Finally, we would like to thank our project editor at Taylor & Francis, Judith Simon.

The Editors

Barry Smith is professor of psychology and director of the Laboratory of Human Psychophysiology at the University of Maryland, College Park, Maryland, where he has also served as acting chair of the department, associate chair, and director of graduate studies. He received his B.S. degree at Pennsylvania State University and his Ph.D. at the University of Massachusetts at Amherst. He has authored or edited nine books and numerous journal articles and book chapters and served on review panels and study sections at the National Science Foundation, the Office of Naval Research, and the National Aeronautics and Space Administration. Dr. Smith has been a consulting or associate editor for a number of journals. His interests are centered in the field of arousal, where he has developed and tested his own theory. This work has included numerous studies of the effects of caffeine on neurophysi-ological and cardiovascular functioning, as well as cognition, emotion, personality, and behavior.

Uma Gupta is a research scientist in the Department of Basic Principles, Institute of Medical Sciences, Banaras Hindu University, Varanasi, India. She received her M.A., M.Phil., and Ph.D. degrees in psychology from Meerut University, Meerut, India. She has completed a number of research projects sponsored by the Indian Council of Social Science Research and the University Grants Commission, New Delhi. She has coedited three books: Advances in Psychopharmacology, Neuropsy-chology & Psychiatry, Readings in Environmental Toxicology and Social Ecology, and Caffeine and Behavior: Current Views and Research Trends. Dr. Gupta has coauthored one book, Psycho-educative Dynamics of Indian Classical Music, and published numerous research articles and book chapters. She is the coeditor of Pharmachopsychoecologia. Her research currently focuses on behavioral (especially in cognitive and affective domains) effects of caffeine intake, caffeinism, psycho-dynamics of music, music therapy, and environmental schematization.

B. S. Gupta is a retired professor of psychology from Banaras Hindu University, Varanasi, India. He received his M.A. and Ph.D. degrees from the Department of Psychology at Panjab University, Chandigarh, India. Before moving to Banaras Hindu University, he taught at Meerut University in Meerut and Guru Nanak Dev University in Amritsar, India. Dr. Gupta has published numerous research articles and book chapters. He has served as consulting or advisory editor on a number of journals, including the International Journal of Psychology. He is now the coeditor of Phar-macopsychoecologia and president of the Pharmacopsychoecological Association.


Katherine Aldridge

Department of Psychology University of Maryland College Park, Maryland

Raymond Cooper

PhytoScience, Inc. Los Altos, California

Solmaz Elmi

Department of Psychology University of Maryland College Park, Maryland

Radha Gholkar

Department of Psychology University of Maryland College Park, Maryland

Jean Golding

Department of Community Community-Based Medicine University of Bristol Bristol, United Kingdom

Department of Psychology Banaras Hindu University Varanasi, India

Uma Gupta

Department of Basic Principles Institute of Medical Sciences Banaras Hindu University Varanasi, India

Iulian Iancu

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