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Smoking Motivation - Psychological Studies Report No Rd 1405 Restricted

Date: 15 Oct 1976
Length: 72 pages
105390541-105390612
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THORNTON RE
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SMOKIrNC MOTIVATION - PSYCHOLOGICAL STUDIES , ,, m~ozT No. zv. 14o5 ..zzs~z.cr~ 15.10.1976 AUTHOR: R.E. Thornton ISSUED BY: C. I. Ayre$ PROJECT JOB NO: 13.02.02 DISTRIBUTION: D~. S.J. Green Copy No. I Dr. D.G. Fel~on " " 2 L£brary " " 3p 4 C01~fNO: BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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~TIC~LI46J Group Research & Development Cent=e, Bricish-&mericam Tobacco Co. Ltd., SOUTHA/~PTON. 15ch October 1976 SHOK3~GMOTTV&TTON - PS~CHOLOGTCAL STUDXgS (Report No. RD.1405 Keatricted) stn~4&RY Dr. M. Oldman CExperimencal Psycholosist, Southampton UnLversicy), consultant to Group K. & D. Centre on PsychoLo&7, was as~cBd to review psychologically-oriented studies cerr£ed out at Group R. & D. Centre vfchin the laac three years, and co make zecommendations for the future. Ocher than a short int~oduction~ chi8 report i8 Dr. O~dmant8 independent review of this area of work. BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-(£i)- INTRODUCTION A series of related research projects, covering the interaction of smoke and the smoker, ere currently being investisated at the Group R. & D. Centre. These studies include the •re~s: (s) how smokers smoke (b) why smokers smoke end (c) the effects of smok£ng. A series of reports (I-6) describes projects completed so far. In addition Croup R. & D. Centre has been £nvolved &n some product preference studies (Project "WHEAT") and these ha~e been reported (7, 8). All of these s~udles have involved the acquisition o~'da~a on the behaviour of individual smokers and, in order to understand the very complex relationship between smokers and cilaretCes, it was thousht necessary to conslder psycholos~cal aspects of this /~teraction. Dr. M. 01dman, an experimental psycholoKisc tm the Institute o£ Sound and Vibration Ks•earth, Southmmpton University, U.K.. was appointed consultant Psychologist ~o Group R. & D. Centre in January 1974 and since that time has advised on • number of projects. As ic is now some 2t years since psychololtcal Aspects of smoking were first introduced into the progr~e Dr. Oldman was •sked, in l4my 1976, co review the progress made to dace end to make rec~ndetions £or future studies. No conscralnts were placed on the form or content of thfs review, other than the requirement for • formal report. This report should therefore be read as Dr. 01dman's personal views on the future of psycholoeic•l studies at Group R. & D. Centre. However, it should be BAT Co LTD - MINNESOTA TOBACCO LITIGATION CZ*
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-(ill)- noted that Dr. Oldman is not aware of the explicit objectives of research in Group R. & D. Centre, beyond that which he can deduce from the pro~acts he is asked to advise on. The implementation or otherwise of the reco--eendations will therefore be influenced by their relevance Co the objectives of research at Group R. & D. Centre, toBather with budsetary and other considerations. REFERENCES IN B-K.T. ZNTRODUCTION Io 2. 3. 4. 5. 6. 7. 8. B-A.T. Report No. KD.II46-R, 3.10.74. B-A.T. Report No. ED.II59-R, 5.12.74. B-A.T. Report No. RD.II64-R, ~2.12.74. B-A.T. Report No. KD.1225-R, ~5.8.75. B-A.T. Report No. ED.1226-R, 15.8.75. B-A.T. Report No. RD.1374 Restricted, 27.5.76. B--A.T. Report No. KD.1229-R, 10.7.75. B-A.T. Report No. RD.1332 Restricted, 30.1.76. BAT Co LTD - MINNESOTA TOBACCO LITIGATION CZ~
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~4ORAND014 NO. 2 by Dr. N. Old, an, Institu~o of Sound aud VibratLou Lonaarcb, The Un£varsity, SOUTHAKPTON. BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-1- 1. INTKODUCTZON This report presents a review of that research undertaken at B-A.T. Group Research &~velopment Centre which has involved the application of, broadly defined, psycholoEical theory and procedures in attempts to more fully understand the interaction between smoking and the smoker, his motlvation, and product preference behaviour. In anticipation of the development of several "psychological" research progra~nes, the author was appointed consultant psycholo$ist to Group R. & D. Centre in January 1974, and has advised on, and parClcipated in, most of the actLvities which form the material of this report. Insofar as it is possible to survey impartially both the tangfblr and less obvious products of this area of research, it is the present intention to critically examine the development and products of these endeavours to form a basis from whlch the value of any future developments may be assessed. For the purpose of this report, research activities have been Srouped under five header studies of individual differences; psychomotor and performance studies; product perception studies; product preference research; and electroancephaloL-raphic (KEG) research. These somewhat arbitrary divisions do not necessarily conform to the perceived structure of zesearchwithin Group E. & D. Centre, nor are the operational boundaries so clear cut; but for ease of compilation and presentation such a division is pragmatic and, hopefully, clear. The five subject heads refer to research activities in various stakes of evolutionwltb differinS developmental histories. Whether or not the follovins assumptions accurately reflect actual intentions BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-2- for these progran~es, it is necessary for the purposes of this report to define their perceived status at the time of writing. Thus it is assumed cha: both the product preference and EEG researches are continuing and tha: the product perception and psychomotor and performance scudles are being held in abeyance. As an independent activity personality studies are assumed to have been halted, although an implicit relevance attaches to the employment of personality questionnaires in the continuing EEG s cudies. Following a brief review of these researches, this report attempts to identify and assess Che potential future development of psychological studies in smoking behaviour 8c Group R. & D. Centre, and "~ncludas an analysis of both the Seneral and ~ocal limitations which can be anticipated, concluding with a smmary of racouaendations. It is not possible to under~ake such an assessment without regard to the organizational structure and environment in which the work has been, or will be, carried ouc. The couments relating Co this wider analysis may be found provocative; this is intentional and reflects • privilege assumed by the author who nevertheless readily acknowledges the 14m;cations attaching to his particular perspective. 2. THE KESEAICH REVIEW 2.1 Studies of Zndividual Diffarencms Within the raamarch pro~rsmm designed to elucidate the nature of the interaction between smoking and the smoker, a variety of seZf- report instruments have bean administered to variou~ samples of subjects participating in the e~perimants. These questionnaires divide into two broad classes: Chose, ~ike the McKennell (1) and the Russell (2) BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-3- instruments, which deal speclfic•llyw~th smokinK behav~our, end those, like the Eysenck Personality Inventory (3) and the 16 Personality Factor Questionnaire (&), ~d~ich are Ken•tel inscrtw~nts for assessinK fundamental personality traits and not re,stinK to specific behaviouzs such as smoking. Data from both classes of questiounalre has been acquired at several points in time, depending upon the specific requirements of the study in hand. ~ilst the smoking-specific approaches have found particular application in the smokinK preference research, the personelit7 questionnaires have been applied exclusively in the smokinK motivation proBranne. Because they have had • sr~ater tn£1uence on the product preference investisations, discussion of the smokinFspe~ific questionnaires will be contsinedwLthin that late= section. With reKard to the swokinKmotiv•tlon proirn, •ncoureKedb~ the findings of others (5) that smokers and non-smokers have been distinguished in teras of personality structure as revealed by self-report, it was decided to incorporate some assessment of personality differences between subjects in an attempt to establish the existence of trait structures statistically associated wlth smoking behaviour. Following his comprehensive review o£ the literature, Smith (6) concluded that 8~kers are more extraverted than non-smokers. Xndeed, twenty-t~o of the twanty-f£ve analyses revi~ed showed swok~rs to be sisnificantly more axt~raverted than non-smokers and no study revi~ed reported the oppos£te flndins. Faith in the valldity of this conclusion wss strqthened by the observation that, overall, widely differing instruments had been employed in the twenty-five studies cited and yet a virtual uniformity of result emerged. BAT Co LTD - MINNESOTA TOBACCO LITIGATION c..m
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-4- Of the several personality questionnaires available which claim Co measure extraverslon, those derived by Eysenck (3) and by Cattei1 and Eber (4) were selected for evaluation m~d subsequent application. The EPI provides a subject datum on each of two d~nsions o£ personality, whereas the 18PFQ locates a subject on sixteen independent dimensions from which data his extraverslon "score" can be derived. The application of these instruments has not, however, been restricted to a consideration o£ the extraversion trait. The £irst major application of these questionnaires was contained in a series 0£ experiments entitled "The Interaction of Smoke and the Smoker" (7), the results of which were subsequently reported (8, 9). For this experiment, thirty male and thirty female subjects were recruited and each completed the EPI (Form A) and the 16 PFQ (Form A). Half of each sex group vats smokers and half were non-smokers. Of the t~eenty personality factors investigated, several reliably diatinsuished between men and women but none differentiated smokers gram non-smokers when single factor comparative analyses were undertaken. Subsequent analyses (9), incorporating data on a £urther twenty-~hree subjects, and usinE a multivariate analysis procedure, revealed that ic was possible to correctly assign 96Z o£ male smokers in the sample to the "smoker,' category and 8IX of the male non-smokers to the "non-mnoker" category. Using the same factors in the regression equation for females met with less success and it yes concluded that this evidenced a sexually di££erentiated motivation dynamic £n respect of amekinK behav£our. Hare recently, the 16 PFQ profiles of 229 subjects have been subjected to a cluster analysis to yield eight clusters of subjects. BAT Co LTD - MINNESOTA TOBACCO LITIGATION ¢,..m
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-5- The sample included male and female smokers, ex-smokers, and non-smokers and the cluster sizes ranged from 20 co 39, althoush mnoking type was differentially distributed amongst the clusters. For exmuple, cluster A (N = 29) contained no female smokers, no female non-smokers and only two female ex-smokers; siJnilarly cluster 7 (N - 26) contained only one female subject, an ex-smoker. In contrast, cluster 2 (I~ = 20) conea£ned only five males, of whom 3 were smokers, and 2 non-smokers. Of the 39 subjects found in cluster $, only four were £mnale, one o£ whom was a smoker. The significance of smoking type and •ex distributions be~een clusters has not been assessed, nor has the cohesion of cluster meubersh£p been assessed. C1marly it ~r~11 be necessary to establish" ~he independence of the smok£ng type factor in relat£on to sex d£fferences before it can be concluded that this analys£s is not merely demonstrating the previously noted differentiation of sex by pereonaliey trait measurlment. It vould seem appropr£ane that some further analysis of the ava£1able data be connnissloned. This would involve the application of discrlmlnant analysis Co the cluster populations to assess the significance of smoking type and sex d£scribuclons ~r£ch£n and between clusters. Also, should the opporcun£zy arise. • future study aimed ac correlati~ the personal£cy cluscet profiles o£ smokers ~'ithin Ohm "s~oklng behaviour" cluster profiles yielded by the HcF~nnall approach, using a larger, external smnple would offer an inCeresclng insight into the relationships between smoking # behaviour, smokins t~/pology, and personality. Such • synthesis of the personality trait and smoking type approaches m~ght be ach£eved in the followin~ way. At the time o£ collection of Mclf~unell questionnaire data, respondGnts are additionally required Co complete one form of BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-6- the 16 PFQ. Zndependent cluster analyses are undertaken on both sets of data, and the mean personality profiles of the clusters iden:ified from the McKenne11 questionnaire data are additionally computed. If the assumption that personality determines smoking motivation is valld, at least in siEnlficant part, some correspondence between the independently determined personality cluster profiles and the personality profiles of Chose comprising the specific smoking types should be found. Since there are increasinK indications that male and female smokers are differentially motivated, ic would be important to constitute a sample comprising both S exes. If the hypoChesissd relationship is found to exist, further confidence in the McKenneI1 C3~oLoEywould be established and the prospect of further refining personal£tyaeasuring procedures might be reconsidered. To date, the personality studies have suffered a lack of testable hypotheses wh£1st the McKennell typoloKy can be critic£sed for heine superficial, lackinj acknowled@ement of fundmnanCal indivldual difference effects. More generally, two questions arise in relation to the personality approach to smoklnsmotlvatlon. Firstly, how profitable is an enquiry seekins to isolate by such methods differences between smokers and non-smokers? Secondly, is the value of such an enquiry 8ufficienciy demonstrated by the results obtained in these instances to warrant the expenditure of further effort in chls direction? Before aCcempclng Co enswer these questions ic i8 worthwhile considering the nature and design of such research and noting Dunn's (lO) analysis of methods traditionally employed in studies of smokinE motivation. BAT Co LTD - MINNESOTA TOBACCO LITIGATION c.m
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-7- V Host of the research in the psycholor/ of smoking has been directed towards differentiating smokers from non-smokers, co--only usinK measures of personality or behavioural trait, and the determination of the siKnificance of any differences found. Dunn lists fourteen personality trait studies (as well as ten life style, five morpholoK£cal trait, and five demographic characteristics studies) in which smokers and non-smokers have been distinguished. All chase differentiations were achieved by ex post facto methods, defined as researches "in which the independent variable or variables have already occurred and in which the researcher starts with the observation o£ • dependent variable or variables .... (and) .... then studies the independent variables for their posslble-relatfons to and effects on the dependent variable of variables" (el, p.360). This procedure is fundamentally different from the true exper~Jnentalist approach where it is hypothesised: If x, then Z (i.e. x ÷ ~). The variable x is manipulated and its effect on Z is observed (c.v. the ex post facto procedure tn which ~. is observed and a retrospective search for x follows). The lack of control of the independent variables is an inherent weakness of the ex post £act:o approach and consequently the researcher adopting ~his method mus~ accept the l~=itacions Lmposad upon the interpretation of his results. Host recent researches, including those reviewed above, hays tended to ass~e an ~ -~ ~ relationship and to attribute differences in Z (smoking/non-smoking) to differences in x__ (personality factors). Smith (12) noted that the accuracy of classification (smoker or non-smoker) in the literature tenses from 5OX (chance) to about 6OZ (for N ~ 1OO, p (60Z) m 0.O5) when univariate a~alytic me~hods are ~ed. Using multivariate methods, SULith (13) increased classification BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-8- • ccur•cy to 66Z and 79X for two samples. In this context, the B-A.T. results noted earlier are encouraKinE 81thouKh it must be remembered that the derived equations have not been applied to an independent sample. I= is no= possible, however, by such methods to explain differences in smokinE hehaviour but merely to note the viability of the classification procedures adopted and which should offer leads resarding the motivational determinants of smoking. Thus it ks essential to note the very real implicit constraints associated with the ex post fa~o procedure regardinE the level of conclusion which can he reached. Thus, in answer to the first question, it must be comcluded that the differential smoker/non-smoker approach ks of value only if the limitations on inference are clurly understood. Znsofar as the products of ex post fro=to procedures may point to testable and controllable experiments, one must concur with Dunn (10) that "the smokerlnon-smokar desIEn shall coutimue to be • potential source of leads as Co the dete~Lnants of smoking". In considerinK whether the results obtained in this area at Group R. & D. Centre wazTanc further effort belns applied, it is impossible co ignore the severe I/aLLtStions placed upon the researchers by the inherent statistical weaknesses of the available subject sample. Those previous researchers elsewhere which have shown reliable associations between smokinK habit and traits of personality have tTpically used samples of much steerer size and controlled representativeness than those used here. Those conductini the B-A.T. personality studies have been very aware that the in-house samples employed ere neither sufficiently large nor BAT Co LTD o MINNESOTA TOBACCO LITIGATION c~
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-9- satisfactorily selected for the results to be of any senerallty. Therefore, whilst the products of this particular programne may seem to be encourasin$, they can only tentatively suggest relationships which tr~ll demand the exercise of much sreater sample control before chair validity, let alone their reliability, can be demonstrated. Insofar as the possible peculiarities of the particular samples selected cannot be assessed with any rLsidity, the results in terms of usable predictive data must remain speculative. Nevertheless, resardless of the quality of the data, the methods developed in thls area are sound and should not pass without acknovledE~nt of the considerable intellectual effort expended in their development. "" Apart from their independent applic&Cion in re~aCion to the muoker/ non-smoker Cypoloslcal acudles d~scussed above, personality data hs been used in both the product perception and ~G studies, under which heads they will be d~scussed further. 2.2 PsTchomocor and Performance Studies In this section, two separate i~vestisations ~1I be dlscuaeed. F~rstly. the psychomotor performance of smokers and non-smokers; secondly, visilance and sisnal decectlon studies. 2.2.1 P|Tchomocor performance An investieation of the p~chomoCor performance of smokers and non-smokersp us/~S the Gibson Spiral Pease. ~s included in the smoklng moc£vatlon programme and involved 348 subjects drawn mainly from Group R. & D. Centre. Comprehensive details of the apparatus and mxpar£mencal procedure can be found elsewhere (14). BAT Co LTD - MINNESOTA TOBACCO LITIGATION C:)
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-10- Using a multiple regression technique, it was established that smoking habit, sex add a6e, each had a significant effect on the performance of the task, defined in terms of t~ne taken to complete the maze and ez-ror score. It was concluded that smokers have a lower psychomotor efficiency than non-smokers. Since extraverts tend to be less efficient in psychomotor performance than introverts, and smokers tend to be more extraverted than non-mokers (15, 16), it was suggested that the observed differences in performance might be explained by reference to the difference in chronic arousal level be~veen smokers and non-smokers, vhich difference is also held to account for extravert/~ntrovert differences. Uu£or~unately, appropriate personality data on this large sample was not acquired and therefore no independent test of the hypothea~8 yes possible. The possible conclusion that smoking causes the observed decrement in performance was properly avoided by the researchers who preferred to invoke an intervening variable, extraverston or level o£ arousal. The suggestion that the acute ef£ects of smoking (or of smoking deprivation) UL~ght be investigated by thla method has not been taken up although results obta£ned using much paradigms might be instructive. In that case, however, the question being asked would be Leas specifically relate~ to 8mok£ng motivation and more directed towards an understanding of the effects of smoke ingestion on psychomotor performance. The acute e£fects of smoking have been considered in the application of the siKnal detection task described belov. BAT Co LTD - MINNESOTA TOBACCO LITIGATION o~
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-11- 2.2.2 V£1£1ance and s£snal detection Despite the considerable efforts made to establish a viable visual vigilance task with ~hich to invesCisate the effects of smoking on task performance, the results of the experiment reported (17) demonstrate that the required characteristics of the task could not be achieved with cha apparatus dasisned and constructed for the purpose. Thus no useful information reaarding the effects of smoking on v£j£1auce parfoxlnance era obtained. It ~s the s~ne quJ non of the viEilance situation that the sisnal to be detected must be barely discr£u~Lnable from ocher, non-signal, events and should occur £nfrequently and irresularly over an extensive perio~ of time. The apparatus used in the experiment was intrinsically too st£mulat£nE, and produced performance dace which were impossible to analyse in relation to the original intention. The "seed advlce", which would have been most appropriate at the time of the projeccts inception, came only after the "failure" of the apparatus was clearly evident. ~ot only was the visual cask too erous£ng, but no account had been taken of the subjects' personalities or o£ potential rime-of-day effects. Both of these factors are complexly related to performance in a vigilance cask o£ proven efficacy, although ic has yet to be applied in smoking research. The test: macer£al is be£ng experimentally evaluated by the present author and relevant data should be available in ten months time. 2.3 Product Perception Studies "" The title of Ch£a section may be m£slaadtng; the research to be {_~ described under thls head was undertaken in the service of ocher objectives BAT Co LTD - MINNESOTA TOBACCO LITIGATION "~"
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-12- and only latterly has the methodoloKy thereby developed acquired the specificity implied. In an attempt to substantiate e particular operational model for predicting behaviour, the relationship between colour preference and the 16 PFQ primary factors of personality was exa~£ned (9). The quantitative responses of sixteen individuals to a set of fourteen colours were determined by comparing each colouz ~rLth every other colouz. For each colour a sec of sixteen responses was obtained and for one particular colour, a Nulciple regression analysis of the prafarmace scores on nine of the 16 PFQ factors yes undertaken. A highly si~niflcant correlation beCveen observed and calculated response for the sixteen responses to the parei'cula: colour yes obtained. Unfortunately, only the raKression for one colour ~as presented and the p=edictive power of that spac££~cation was not tested. £t would be interesting to compare the weiKhtinK of terms in the equations for all colour8 in order that the factors relevant to the Keneral judgement of colour preference might be assessed. Also, the prediction of preference for a particular colour is= subjects whose persommlity data was not used in the regression would provide a suitable test o£ the senerellty of the thesis. Clearly the small sample used to seuerate the reKression equation would be unllkely to successfully sustain such a comparison. Whether or not personality data can be used to predict responses to particular stimuli was only partially dsuonstrated by this exercise. Us£n8 a similar ex~erf~mtal dasiKn, and employlnK 46 men and women as subjects, a subsequent study (~8) tnves~isated pre£ertn:es for tipping lenS~h. AKain it was assumed that the interaction of persom~llty wlth all the elements of a s~tuation to which an individu&l BAT Co LTD - MINNESOTA TOBACCO LITIGATION O ',,,O
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-13- is exposed, is solely responsible for determining the behaviour of chat individual in that situation. Osing the personality data available for 28 of the subjects partlclpatlns, a stepwise regression of the 16 factors of the mean preferred tipping length to cigarette length ratio was undertaken. Again a hiKhly sisnificant correlation between measured and calculated preference ~rsed. Of the three garters enter£nK into the £inal reKresalon equation, two (emot£onal sensitivity and social boldness) derived from the 16 PFQ data, with sex comprising the third component. Nearly 4OZ of the variability in preference was due eo en~cional sensitivity which has been reporCed elsewhere (19) to be the most important single determinant of "aesthetic taste", a d/~n~ion vhich can be reasonably assumed to be relevant to the judgement required in the present case. Once more, how@vet, the iim£tat£ons of sample size have been recoKnised as li~Clng both the precision and Kenerality of the results. The results o£ both these perception studies go some way to justify an application of personality data aLthouah the damanetratione to date can only suKgest procedures which might be applied in situations where the limitations on sample size are conslderably reduced. Of themselves, these results do not adequately substantiate the claim that a knowledge of personality structure can sufglciently predict behav$our. Whether or not the future development of these~thods £s justified, the procedures used to ass@as prm£mrmnce for observable atcrlbute8 og a product are certainlTworth7 of closer attention. The procedure employed i8 8 derivation from the classical peLted- comparisons technique, long used in psychophysicS. The essence o£ the BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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> N 0 [- -t U I Z Z > 0 > N N 0 0 ,-t O. Z 91S06~01 1" ! i i (
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-14- method is thac sets of pairs of stinuli, or icarus of d£fferent values on a sinsle continuum, are presented to the subject with instructions to choose one member of each pair on the basis of some stated criterion. In soma ways the pelted-comparisons technique i8 the most satisfying of psychometric methods; it is simple and economical. The i~plication of finding that the most preferred tipping length for the "B. & H. SPECIAL FILTER" cigarette is at considerable variance with the actual overwrap is obvious. St would seem appropriate to further invescijace this, and other single features of product desiKn, and the interaction between compos£ce features, to better understand the nature of product preference as influenced by product perception. -- 2.4 Product Preference Research For the purposes of this report, the subjects considered under this head relate to "Project WHEAT" vLCh which the author has been associated only latterly. The project has involved 8 larks scale survey usLu8 the NcKennell quasCionna£re to classify a sample of male smokers of U.K. filter-t£pped cisarettes and the collect£on of product preference dace wlch respect co a ranks of 8pec£ally manufactured cifj~rettes placed with respondents. It was 8~ (20) that respondents could be cecesorized into twelve classes accordinK to Che£r angers co the questionnaire and that a dimension labelled "Inner Need*' could be derived wh£ch was positively related to cigarette conaumpt£on. Zc was hypothasisad chat preferred nicotine delivery would be related to Inner Need score when subjects ware asked to compare a varfety of cigarettes differ£ng in nlcoc£ne delivery. BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-1S- Whilst the results only partially confirmed the hypothesis, an incerest£ng t~o process model of preference has a~erKed vhich conceives of Inner Need and a further d£menslon "Concern for Healtht' as ~o orthogonal par~eters. It is implied that a knowledge of a subject's Inner Need level, toKether with an index of his Concern for Health, will predict the deliveries o£ both nicotine and tar which best meet his needs, although not eli of the possible combinations of tar and nicotine can be realised within the range of products presently available, or even technically feasible. Whilst it is acknowledged that such a model is probably an over-s~npl£fication of consumer dynamics, testable hypotheses can be derived which, if confirmed, would appear to offer-conslderable scope for market developnmuC. To date, Project WHF~T has relied upon the application of standard procedures incorporating a previously validated tTpological qusst£onnatre. It is proposed (21) that any subsequent investiKation of the prefe=ence model could be undertaken with a simplified questionnaire relating to Inner Need and carefully selected items directed toward Concern for Health. Clearly, the precision with which an individuales preference can be predicted from the model vLll be ~ntismtely related to the precision of the neasurinK instrument, the questionnaire. In this regard, particular attention will have to be paid ~ the selection of Concern for Health itm if a precise scale is to be achieved. Given accurate stalin8 of the component dimensions of the t~o process model, the testing of the model's predictive validity presents an exciting prospect. Expe=£ence so far with l~oject ~ZAT has shown that considerable precision in measurement is required if the rslationsh£ps be:wean the smoker and the product are to be established vith any useful validity. BAT Co LTD - MINNF~gTA TOBACCO LITIGATION %O
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-16- Zt would appear esse~tlel therefore, for any subsequent development of chat prozrmmne Co be prefaced by adequate preoCest studies in order chat the maximum gain can he obtained from the field trials. In support of the product preference researchp several informal pilot and exploratoz-y studies have been undertaken. These have included: small Stoup interviews, an application of the semantic differential technique to various cfgareCte types and related concepts, and an initial investigation of the "poly- diagnostic" method for application to tobacco products. These activieies have been undertaken in an attempt to broaded the methodological base upon which Project WHEAT has proceeded. The results of a simple trial of the semantic differential will appear elsewhere (22) ~ it would appear that this, and other psychological techniques may find relevant application at some future time in one or more of the current areas of research. The expansion of the repertoire of technlque8 and methods will allow a greater flexibility of approach in any subsequent proKrsmmes. Given time and facilities a comprehensive 'kthodI bank" can be established from which tried and rested procedures could be @xtracned end applied to future researches both within and irithout the product preference domain. 2.5 Elec~roen~ephalorraphlc Research Under tb£s head will be discussed two research progresses for which a knowledge of relevant psychological theory is appropriate. 2.5. I CiKarette smokinK and biofeedback Preliminary results of a programs to investigate the effect of smoking on the alpha-wave density of subjects provided with auditory feedback (23) have shown that different people are differentially affected by smoking the same brand of cigarette. BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-17- when the effect is defined in ceres of change in level of alpha-~ave activity. Insofar as subsequent developments of ch£s £nveacLsacion may elucidate the differences between psycholosical and pharasacological ef£eccs of 8mokins, a better understand£nK of the smoker's motivation can be anticipated. Explanatory models co account for the observed ef£eccs in ceres of thanks in scare of arousal have been considered. The relationship be~een EEC components, personality, and arousal rema£ns unclear although iC should be noted Chat the blological basis of personality postulated by Zysmnck (24) specifically relates chronic arousal level with the dimensions of extraversion. The conjunction of psychological ~nd elecCropbysiolosical research in the biofeedback progr=mme suKgamCs a concinuin$ demand £or theoretical support £com the fields of biological and individual different psychology. 2.5.2 EEC a.nd the chronic eggeccs og smok£nz Kemults from a series of experiments designed Co invesC£Sate the Ions-care effact:$ of mnokinl (25) have shown chat EEG power is associated v~.ch sex, ale, personality, and smoking behaviour. Of the 160 subjects recruited for ch£s aeries, 70 were members of Group K. a D. Centre sCa£f for 60 of whom EPI end 16 PFq dace ~as available. These date enabled the 60 subjects £n the latter Stoup co be asaiKned Ln Co two Kroups (smoke and non-smoker) fortuitously balanced for u4 personality type, in respect of the Eyeenck dimensions, To date, no 00 analysis usin$ the 16 PFQ dar~a has been undertaken. ~c has bean found (~ chac neuroc£cimn appears 'r.o ba little reflected in the comprehensive EEG measurements taken but chac excravers£on correlates welt w~ch BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-18- reduced £~C power. It is clear that personality differences cannot be ignored in the consideration of EgG dace and therefore a dialogue between those engaged in this area and those in the mere overtly psychological researches will be usefully ~ontinued. 2.6 Overview From the foregoing review it can be seen that the involvement in "psychological" research has encompassed several of the domains ~rithin the overall field of psychological enquiry. Without speeialised training in a complex subject, those engaged in these endeavours have nevertheless acquired a comendable understanding of the problems inherent in psycholoK4cal research and it must be concluded that the efforts to da~e have produced a number o£ interest4ng insights whlch ~ay warrant further ex~nation. Because their v4ability has been assessed elsevhere, those researches dealing with product p=e£erence and EEC w41L not be cons4dered further beyond noting that a relevance oE psycholos£cal methodology attaches to their further development, along the lines hitherto undertaken. Consequently, only the future development of the personality research, the performance studies, and the product perc~ption experiments will be considered here. Whilst the personal£ty research has provided interesting and p=ovocative results, it 48 di££icult to recomaend its £urther development as an independent enquiry w~thln the currently perceived research objectives. Apart from lacking the generality noted earlier, the potential of e~ post feces desiBus using personality inventories is limited. It must be repeated, however, that this conclusion in no way detracts from the considerable ef£ort end initiative which has been applied to this work; rather, it acknowledges the tangential role of th4s particular line in relaeion to the smeklnK motivation prosr~e. BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-19- The foresoing should not be construed as an indictment of personality studies per st, but as a recognition of the limitations of their applicatlon in the "smoker/non-smoker difference" approach to an understandinE of smoking behaviour. As has been noted elsewhere (I0): "If it is an understanding of the motivational mechanisms that we seek, it would seem more pertinent were we to focus upon the discrete smoking act and the attendant phenomena..." In contradistinction to the typical ex post facto design, the typical physiological research model assumes smoking to be the independent variable rather than personality trait and the effects of smoking on the individual are investlgaued in a controlled experimental design. Dunn's proposed synergistic experimennal model (10) incorporates an acknowledgement of the potential importance of personality variables but in a way which is amenable to e~erimenr~al control. That is, levels of psychological trait or physiological state are manipu~ated or systematlcally selected and a second independent variable, for example, smoke inhalation, is introduced. The experimenter then observes the differential effect on the individual, the dependent variable. Thus the significant relationship which miKht be found is not between smokinK end measured effect, nor between trait or state and measured effect, but between the tralt/smokinK interaction and the measured effect. This is essentially the paradigm currently applied in the EgG research at Group R. & D. Centre, to which personality data is appropriately applied. It should not pass without notice that William L. Dunn is employed at the Philip Morris gesearch Centre and has puhlically stated the following questions for further research: (1) By what means can the motivational relevancy of smoke-induced phys~ologlcal response be BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-20- ascertained? smoking? (3) gratification? (2) What are the mocivationally critical effects of Will the habit axtLnguish in the absence of physiological (A) How long must observation be continued in Che absence of physiological gratification for extinction to occur or to conclude that extinction will not occur? (5) What is the nature of the motivational mechanism linking the critical elements within the total smoking act to the motivationally critical effects of smoklnE? $nsofar as the current mok/ng motivation programme addresses itself to some of these questions, it would seem necessary that a proper application of personality data shall be continued. It would seem prudent to assume that others are considering the f~ve questloas posed by ~ and that it would be opportune to assess the w£der ;mplications of this prescription more closely. Further consideration of the effects of smoking on psychomotor end si~£1ar task performance may be thouKht to be the premise of the tobacco industry as a whole and more properly undertaken by the Tobacco Research Council or its agents. Nevertheless, a contlnuedmodest conn=/tlnent to this work at Group g. & D. Centre might benefit the Company insofar as £twould thereby have some experience~rithwhich to Judge possible future developments in this &ran. In relation to cut-rant p~oirm8 however, it must be concluded that such exper/JMmts would be of peripheral Lnterest. If it is subsequently decided that the acute dfects of smoking on task performance is an appropriate area for research, the auditory vlgilance task currently under exm~natioumay prove Co be an appropriate tool. Turning to the product perception research, one is perhaps moving away from the fundamentalist orientation demanded by the motivation BAT Co LTD - MINNESOTA TOBACCO LITIGATION co ".,,O
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-21- progr~ne and towards the traditional domain of the market researcher. Whether or not extension of this particular line of enquiry is thought worth the necessary effort required will be decided in part from considerations beyond the scope of the present report. However, from a scientific polnc of view, the demonstrations •re encouraging and offer considerable scope for further development. The prospect of being able to quantify throush experiment various aspects of product desiLm is worthy of further conslder•tion. Since the procedure demands only that a definable attribute fJ evident to the subject there wou~d appear to be little intrinsic limit to the product parameters which might be investigated. In this connect£on, • coznun~lit7 between labor•tory produc~ perception studies and product preference research is readily apparent; indeed, an eventual synthesis of the ~wo progrsnnes would appear to be • real prospect. It will be necessary first to further demonstrate the viability of the method for a number of other sinsle design dimensions and subsequently on combinations of dimensions. It may prove to be the case that the holistlc judgement of • product cannot be predicted from • su~atlon of the partial judgements elicited in the jingle dimension cases. The method appears suitable for assessing the relative "~eiEht" of the component judas•ants and the production of • •pacification equation for the product may be a distant, but not /~posalble, outcome. Whatever future place psychololical research comes to occupy at Group R. & D. Cantra, it can be concluded from this review thec much useful experience has been recently acquired, in addition to the often provocative data obtained. Whilst the tangible benefit of these excursions t.~ t~u into pjycholog£cal research may not have been as profound as was originally ~D 8AT Co LTD - M|NNF~OTA TOBACCO LITIGATION
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-22- expected, the various experiences have no doubt demonstrated the difficulty of quickly mobilisins a laboratory effort in a complex and nova1 field of enquiry. It must be recoSnLsed thac there will be no quick answers to the questions translated from the overall objectives defined for this work. Without an explicit comn/cment to psychological research, based upon a realistic awareness o£ its peculimr nature, any subsequent ventures will be similarly perceived to be of limited value. It is clear that psychological research based upon a coherent lonL~-cerm strategy, can be undertaken at Group R. & D. Centre although some potentially severe limitations remain. These ere discussed in Sections 3 an~ below. In conclusion, it must be repeated that the boundaries constructed around the researches for the purposes of thls report are artificial. Indeed, the points of overlap and common interest between the research groups involved is considerable. The researches beinE undertak~ are not the sole premise of any single expertise or range of experience but age truly multidisclplln~ry. It is unlikely that the solution of any of the problems posed will be ettrlbutsble Co any single insight nor will Chose problems be solved by rigid adherence to traditional orlencatlons. Rather, progress will be made by the Interplay and cross-fertilization of ideas from the broadest Intellectual base which can be assembled. SUS/XCT SELECTZON J~D SAMPLe_ CONTROL To dace, all the data in connectionwith the personality, per£ormance, and perception studies have been collected from samples of subjects drawn from Group R. & D. Centre and, occasionally, Southampton Branch. Whilst the composition of these samples may hot be • crucial factor in assassins BAT Co LTD - MINNESOTA TOBACCO LITIGATION I O O
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-23- the results of the ~vo latter categories of research, the l~nitacions inherent in seleccin8 in-house groups £o~ the personality studies have been acknovledged throushouc by those ensaged in this work. Zn addition to the other limitations obtaining in the personality research, already noted, the biases potentially incorporated by inadequate sample control must preclude any general predictive validity attaching co the results obtained. If the purpose o£ these researches is to provide predictive statements about a population, than it is imperative thnc the sample selected for examination wu~t be representative of that population. A sample can be said to be representative only when it has been dravn randomly; non-random samples may or may not be representative. The essential democracy og sample selection has not yet obtained in these researches and therefore Eeneralisation to the characteristics or relations between characteristics is, strictly spukin8, not possible. Merely increaslns the size of a potentially biased sample ~rLll not overcome these limitations which are particularly acute in any £orm of Cypolo$ical study. Where, as in the case of the psychomotor or perception studies, the dimensions of response are £e~er, simpler, or less wide ransins the anticipated biases may be less e£fective in disrupt~nK seneralisation of results and the sample size/error relationship my be mppropr£acaly applied. Nevertheless, ic is clear that whenever htman subjects are required for experimental purposes Krest care must be taken w~th sample selection, with due acknowledsement of the usumptlons beln& made regarding the particular sample under investigation. BAT Co LTD - MINNESOTA TOBACCO LITIGATION m O
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-24- However willing Group E. @ D. Centre personnel are to volunteer repeatedly for psychological experiments, it is probable thee their sood~ll will be quickly exhausted if too great a demand is made on their co-operatlon. As the available sample thereby becomes smaller, so the representativeness of those remaining becomes increasingly questionable. It is doubtful whether the in-house volunteer resource could ~ths~and a s£Knificantly increased demand which m/Kht arise at some future time. In consequence, it would prove necessary either to rescrlct the number of participations per individual durins a specified period, thus reducing the size of the sample available for any given experiment, or to restrict the types of experiment undertaken to those in which the "assumptions reKerdinK representativeness misht be relaxed or be achieved wLth 8 small sample, necessary due co the progressive distillation of the sample in response Co excessive demand. Subject selection end smnple control considerations clearly present important, end potentially limitinK, factors in the assessment of the viability of future developments in psycholojlcal studies at Group K. & D. Centre. Whilst it is not possible to quantify the "elastic limit" of the present volunteer sample, the consequences of exceeding such e point must be contemplated since without a reliable and villinK fund of persons, psycholo$ical research in the laboratory will become an Untenable enterprise. One possible resolution of the present and potential future difficulties, which additionally assists the seneralisation of results, would be the establishment of an independent extra-mural subject panel. The statistical l~nitatlons of the current sa~plinK procedures ware BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-25- acknowledged some time ago and the prospect of recrult£ng such a panel was briefly fnvestigavedo Although there appear to be some difficulties in £mplementing the scheme, an outline of the proposal can be presented here. It was envisaged that a panel of 300 persons would be recruited from the local population co participate from time to time in experimental research at Croup R. & D. Centre. The sample would comprise men and women, aged from 18 to 65 years, who smoke cigarettes and other tobacco products. The sample would reflect the normal population distribution in the Southampton (or Southern England) area end subjects would be English nationals permanently resident in the Southampton area. Respondents positively agreeing to participate in the scheme would be given a small incentive and signed-up. Depending upon the particular requirements of the current research programs. Stoups of subjects would be assembled to participate in laboratory experiments. Each subject would receive payment for his or her participation and all penal members would receive an additional annual payment or gift for remaining on the panel. Once the initial panel had been established, subsequent "CoppinL--up" recruitment would take place from time to time Co restore losses due ¢o drop-out. • When costed in October 1974, the zecruitmmnt cost. exclusive of incentive paTmmnta Co respondents was £6 per respondent recruited. Recurrent costa, althouEh not then detailed, would be directl7 related to utilisation level. Being able to construct a sample in this way offers advantages of statist£cal control of the sample and releases in-house personnel from excessive demands for participation, and would appear co be an BAT Co LTD - MINNESOTA TOBACCO LITIGATION
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-26- essential development if a siKnif£cant expansion of laboratory based psychological research is envisaged, and desirable in any case. I£, however, the proposition is unacceptable and the present resources rama£n the sole fund of subjects, it would seam appropriate to consider how best to maintain an interested and co-operaclve in-house sample. If the mystery of psychological research could be dispelled one might be able co anticipate being able, ~r~th judicious planning of demand, Co retain the enChusi~ o£ the majority of today's volunteers. 4. POSSIBLE FUTUKES Without a clear understanding of the overall resurch objectives of Group R. & D. Centre, the author is unable co propose'definitive recommendations regarding the future development of psychological studies. It is apparent, however, chat if a requlremeut for ch£s type o£ research is present, or mcgee in the £ucurs, the current research group structure is unlikely to satisfy the demand adequately or e££iciently. The current erranse~ents, involving extex~al re£eree~ng o£ projects having a psychological orientation, are probably adequate only for • low level o£ commitment Co psychological rasurch, kca--ze the in-houJ8 development of an approprLate level of knowledge and experience requires s considerable investment o£ tlme for learn4nK m novel subject, it seems unlikely thee the "retraining" of presser staff ~11 be either rapid enough or sufficiently complete for the apparent dan demand to be met. For as long as non--speciallst sCa£f are required Co produce hard data without such an acknovledsmmant o£ the need to learn new skills, the current arrangements ~'ill inevitably produce only a limited effect. BAT Co LTD - MINNESOTA TOBACCO LITIGATION ...................... ",,O
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-27- Three possible ~utures can be contemplated. Firstly it is acknovledsed that without specialist staff only a l~nited amount of "psychological" research can be undertaken and that "good advice" ~rill be obtained by reference to external consultat£on. Secondly, it is acknowledged that psychological research will become an increasing aspect of the overall research progra==~ and that present staff b-ill be allowed sufficient time and £8ciIities to acquire an adequate knowledge of psychological theo~ and methodology. Thirdly, it is antLcipated that psychological research ~r~ll become a sufficiently important aspect of the overall research progrmume for the appofntment of specialist staff to be appropriate. - -. Since the necessary izrvestlent cannot be guaranteed to produce 8 suitable expertise within a realistic time scale, the second of the three propositions can be considered an unacceptable compromise. The graduate statistician would hardly be expected co undertake complex chemical syntheses, so it seems £ncons£stent that physical or biological scientists are expected to conduct research much maze appropriate to the betmvioural scientist. Effectively, therefore, the cho£ce resides between two alternatives. Either, it is agreed t~t psychological research vii1 remain a peripheral aspect of the Group R. & D. Centre's activities, in which ease the current arrangements are adequate; or, the psTcholosicsl aspects of the research pro~rms are, or vii1 become, su£flciently important got the acquisition of specialist persouneI to be appropriate. Vhilst the author is unqualified to judge the exact nature of future psychological r~search programmes, it is perhaps appropriate to describe a potential structure which might facilitate involvement in such work. BAT Co LTD - MINNESOTA TOBACCO LITIGATION O%
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-28- lc is conceived chac a psychological research services group (PRSG) be established to undertake those aspects of c~rrent research which require a specialist knovledge of psychology. Tn the first instance the group would offer a supportive role to both the smoking motivation and preference progrs~nes vhich could thereby expect to off-load some of the work asso¢iatedvLth psycholosical data collection and methodology. Zn addition the PLSG~uld undertake a reuse of pilot studies in anticipat£on of future demands from established progrn~es and would be able to continua those researches which have already shotm some promise. Initially, hovever, the PRSC would offer specialist support to onsoing research in other Stoups and later be able to ~tiate new enquiries decermlned from a conslderacion of overall research objectives. If a future demand £or a greater involvement in psychological research arose, the PRSCwould be in an excellent position to exploit ice expertise and could, in time. be expected to assume an increasinsly /~dependeut research role. By as~ablishin$ such an embryonic group, independent o£ exist£ng research groups, m considerable flexibility of operation can be achieved which would additionally bene£it the eventual incesratiou of results from a umber of enquir£es; for example, smoking motivation and product preference. Since the PRSG would be respondin8 initially to demands from current proerms, m valuable lead-ln period would be obtained be£ore independent projects need be expected. Also the further discipline end experience which such an axTanSement would provide could only benefit the w~der considerations o£ an already multi- disciplinary research effort. BAT Co LTD - MINN~TA TOBACCO LITIGATION
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-29- In su~=~ary, the proposed innovation should enable that which is currently being done to be dome more efficiently and in greater depth and, further, allows realistic contemplation of future researches which otherwise could not be readily •ccomnod•ted within the present structure or ~anKe of expertise. LYnether such a development is opportune requires a very careful consideratLon of future research demands; trLthout such an ~nnovation, the ability of Group R. & D. Centre to respond to such demands rill be severely limited.. 5. CONCLUSIONS AND RECOM~(ENDAT~ONS The fe•sibillty of "psychological" research at Group E. & D. Centre has been clearly demonstraC•d despite the several constra'~hcs attaching to the employment of human subjects in labor•tory studies. However, the labelling of research as "psychological" has been merely • convenient shorthand for the purposes of th~s report and such demarcation appears singularly i~approprian• in an area demanding an eclectic, interactive orientation to problersolving. The traditional ~axonomy of science, connotatlng boundaries and fostering parochial attitudes, must give way to a more functional philosophy for applied research in which the problem defin•~ the discipline needs of •ash subject. Of the proj•cts considered here, those dealinB with product perception and with task performance appear worthy of gurthe~ consideration, although such a judgement wust be qualified by an acknowledgement of the author's iEnorance of the overall research objectives currently obtaining. Both the product preference and the EEG studies should continue to benefit from the consideration of psychological methodolosy and theory. The integration of several current projects is an eventual BAT Co LTD - MINNESOTA TOBACCO LITIGATION o',,
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-30- prospect which should be encouraged by the widest dialogue between researchers currently engaged in chair separate enquiries. IC is recc~ended Chat: The "psychological perspective" is incorporated ~nto any research involvlns a consideration of human behav~our, including perhaps progra~es nor considered in the present review. 2. In the light of current research objectives, and future research requirements, the value of incorporating full-time trained psychologist staff is assessed. 3. A long term strategy for the psychological aspects, of smoking behav£our be adopted. Researchers be encouraged to seek co~nunalities betwean their own and others' research in order that the eventual integration of several, currently independent, progrss be achieved. 5. The most flexible deployment of staff be encouraged, determined from a consideration of the particular research probl~m in hand. 6. The limitations imposed by the inadequacies of the currently available subject sample be acknovledsed mad potential elternanive eouxces be investigated. BAT Co LTD - MINNESOTA TOBACCO LITIGATION I O',,
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-31- t I. o o o o 1 REFERENCES HcKennell, A.C., "A C~mq~Jrlsou of Two Smoklng Typologies", Tobacco Research Council, Research Paper 12, 1973. Russell, H.A.H., PeCo, J. and Patel, U.A. "The Classlf£cat£on of Smoking by Factorial Structure of Hotives", Tobacco Research Council Paper H196. Eyseuck, H.J. and £yseack, ~.B.G., "Eysenck Personality Inventory" Univers£ty of London Press, London, 1972. Cattell, R.B. and Eber, H.W., "The Sixteen Personality Yactory (}uestionna£re", Institute of Personality and Ability Taseins, Chicago, II1., 1968. Hunt, W.A., "Learnin8 Mechanisms in Smokin$" Ald£ne Publiehfng Company, Chicaso, 1970. S~th, G.M., "Pareona1£t'y and Smoking: A Revla~ of the FJzpirical Literature" ..In: Hunt, W.A. (op. c4t~. I ' I ! I BAT Co LTD - MINNESOTA TOBACCO LITIGATION ~b
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-32- 13. SnL~th, G.H., "Relatlons Between Personality and Smoking Behaviour in Fre-Adult Subjects", J. Consult. Clin. Psychol. 33_, (6), 710-715, 1969. B-A.T. Report No. KD.1126-R, 17.7.74. 15. Eysenck, HoJ., Tarrant, N., Wool£, H. and England, L., Brit. Hed. J., I, 1456, 1960. 16. Eysenck, H.J., "Smok£n$, Health and Personality", Widenfield and Nicholson, London, 1965. 17. B-A.T. Report No. KD.1291 Restricted, 13.11.75. 18. B-A.T. Keport Ho. RD.1372 Restricted, 2.6.76. 19. Cattell, I~.B., Eber, H.W. and Tatsuoka, 14.H., "Handbook for the 16 PFq", Instltute of Ptrsonatity and Ab£1£t7 Test£nK," I970. 20. B-A.T. Report No. RD.1229-R, 10.7.75. 21. B-A.T. Report Bo. RD.1322 Restr£cted, 30.1.76. 22. E-A. T. Report Ho. XD. 1396 Restricted, 26.7.76. 23. B-A.T. Report Ho. RD.lt73-R, 6.12.74. 2&. Eysenck, H.J., "The BioloKic~lL B4sls of Personality", Charles C. Thomas, Spr£ngfield, 111., 1967. 25. B-A.T. Report No. RD.1374 Restricted, 27.5.76. BAT Co LTD - MINNESOTA TOBACCO LITIGATION

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