Applied Psychophysiology and Biofeedback, Vol. 29, No.

4, December 2004 (

C 2004)

DOI: 10.1007/s10484-004-0385-2

EEG Spectral Analysis of Relaxation Techniques

Gregg D. Jacobs 1,2,4 and Richard Friedman2,3

The acute central nervous system effects of relaxation techniques (RT) have not been
systematically studied. We conducted a controlled, randomized study of the central nervous
system effects of RT using spectral analysis of EEG activity. Thirty-six subjects were
randomized to either RT or a music comparison condition. After listening to an RT audiotape
or music audiotapes daily for 6 weeks, the acute central nervous system effects of RT and
music were measured using power spectral analysis of alpha and theta EEG activity
in all cortical regions. RT produced significantly greater increases in theta activity in
multiple cortical regions compared to the music condition. These findings are consistent
with widespread reductions in cortical arousal during RT. They extend previous findings
and suggest that theta, and not alpha, EEG may be the most reliable marker of the central
nervous system effects of RT. These findings demonstrate that RT produce greater reductions
in central nervous system activity than a credible comparison condition. The findings
suggest that RT represent a hypoactive central nervous system state that may be similar
to Stage 1 sleep and that RT may exert their therapeutic effects, in part, through cerebral
energy conservation/restoration.
KEY WORDS: arousal; relaxation techniques (RT); central nervous system (CNS); EEG; spectral analysis;
theta.

INTRODUCTION

Relaxation techniques (RT) are widely used to treat a variety of health problems,
including hypertension (Stetter & Kupper, 2002), headaches (Penzien, Rains, & Andrasik,
2002; Stetter & Kupper, 2002; ), anxiety (Borkovec & Costello, 1993; Stanley, Diefenbach,
& Hopko, 2004; Stetter & Kupper, 2002), irritable bowel syndrome (Keefer & Blanchard,
2002), and insomnia (Jacobs, Pace-Schott, Stickgold, & Otto, in press; Morin, Culbert, &
Schwartz, 1994; Stetter & Kupper, 2002). The widespread use of RT amongst patient
populations and the medical community (Eisenberg et al., 1993; Friedman, Zuttermeister,
& Benson, 1993) makes a more complete understanding of the physiological effects of RT
particularly important at the present time.
1 Beth Israel Deaconess Medical Center, Harvard Medical School, Boston, Massachussets.
2 Mind/Body Medical Institute, Chestnut Hill, Massachussets.
3 State University of New York, Stony Brook, New York.
4 Address all correspondence to Gregg D. Jacobs, PhD, Beth Israel Deaconess Medical Center, Sleep Disorders
Center, 330 Brookline Avenue, TCC-866, Boston, Massachussets; e-mail: gjacobs@caregroup.harvard.edu.

245
1090-0586/04/1200-0245/0

C 2004 Springer Science+Business Media, Inc.
246 Jacobs and Friedman

Although the acute peripheral nervous system effects of RT have been systematically
investigated (Lehrer, Carr, Sargunaraj, & Woolfolk, 1994), there is an implicit assumption
that any relaxation-mediated change in systemic physiology is secondary to alterations
within the central nervous system (CNS). Unfortunately, comparatively little empirical
research has addressed the acute CNS effects of RT.
The existing research on the acute CNS effects of RT suggests that RT such as medi-
tation result in alterations in CNS arousal as measured by acute changes in alpha or theta
EEG activity in experienced practitioners (Delmonte, 1984; West, 1980). Although many
studies have reported increased alpha activity during RT, others have reported decreased
alpha (Jacobs & Lubar, 1989; Stigsby, Rodenburg, & Moth, 1981). The most consistent
finding is increased theta activity during RT (Banquet, 1972, 1973; Corby, Roth, Zarcone,
& Kopell, 1978; Fenwick, Donaldson, & Gillis, 1977; Hebert & Lehman, 1977; Jacobs
& Lubar, 1989; Kasamatsu & Hirai, 1966; Stigsby et al., 1981; Wallace, 1970; Wallace,
Benson, & Wilson, 1971; Warrenburg, Pagano, & Hlastala, 1980). Several researchers have
also drawn parallels between increases theta activity during RT, Stage 1 sleep, and the
hypnagogic state (Elson, Hauri, & Conis, 1977; Fenwick et al., 1977). However, much
of the existing EEG research on RT has been hampered by a number of methodological
problems, including self-selection bias, nonrandomized studies and within-group designs,
lack of appropriate control or comparison conditions, and failure to employ quantitative
EEG analysis across all cortical regions.
The purpose of this study was to more fully elucidate the CNS effects of RT using
a controlled, between-groups randomized design. Because spectral analysis of the EEG is
a reliable method for assessing the contribution of different brain activities over cortical
areas across brain states (Canteros, Atienza, Stickgold, & Hobson, 2002), we used spectral
analysis of EEG activity across all cortical regions to assess changes in CNS activity during
RT after participants learned and practiced RT or a comparison condition regularly for
6 weeks. This study sought to determine whether RT produce greater acute CNS changes
than music, a credible comparison condition that is commonly employed for relaxation
purposes and that has been empirically demonstrated to improve relaxation (Grey, 2001).
We hypothesized that RT would result in greater acute reductions in CNS arousal as a result
of the more systematic mental and physical relaxation that characterizes RT.
Because the delta and beta EEG bands are associated with significant problems with
artifact, and virtually all studies on experienced practitioners of RT have reported changes
in alpha and theta activity during the practice of RT, we limited our analyses to the alpha and
theta bands. Because the most consistent finding in prior studies on experienced practitioners
of RT has been increased theta activity, we hypothesized that the primary EEG changes
during the practice of RT in this study would involve increased theta activity.

METHODS

Participants

Thirty-six participants with no history of neurological disorders, depression, psychosis,

or relaxation training and no current use of CNS-acting medications were recruited through
a newspaper advertisement. The advertisement described the study as an investigation of the
physiological effects of relaxation techniques. Participants were informed that the benefits
Spectral Analysis of Relaxation Techniques 247

of participating included learning a relaxation technique that could improve mental and
physical relaxation skills.

Procedure

After telephone screening for inclusion criteria, participants attended a laboratory ses-
sion where the nature and possible consequences of the study were explained to participants
and written informed consent was obtained. The study protocol was approved by the insti-
tutional review board of the Beth Israel Deaconess Medical Center in Boston, MA, a major
teaching hospital of Harvard Medical School, where all data was collected. To desensitize
participants to the laboratory and EEG equipment, participants rested in a reclining chair
while EEG equipment was explained and EEG electrodes were applied. Participants then
listened to a music audiotape of their choice (classical or new age music) for 20 min to
facilitate desensitization to the lab setting. (EEG data was not actually collected for this
desensitization session.)
Upon completion of the 20-min music audiotape, participants were randomized to
either RT (n = 20; 13 females) or music (n = 16; 12 females) condition. The mean age
of participants was 41.3 years and did not differ between groups (range = 25–59 years).
To enhance credibility and treatment compliance, participants in both conditions were told
that their respective relaxation techniques have been empirically demonstrated to improve
relaxation in a variety of studies. RT participants were given a 20-min relaxation tape that
incorporated a body scan, breathing, and mental focusing techniques. Music participants
were given a library of classical or new age audiotapes that are marketed as “relaxation” mu-
sic (examples were “Tranquility: A Compilation of Beautiful Slow Movements”; “Dream
Melodies”; “Dream Machine”; and “Meditation: Classical Relaxation”). Music participants
were instructed to listen to their tapes once per day in a quiet place and a comfortable po-
sition with eye closed (all tapes were 20 min in length), to use the tape (or tapes) that they
felt were the most relaxing, and to keep a record of their practice using a weekly relaxation
diary. RT participants were given the same instructions regarding their relaxation tape. All
participants then completed a credibility questionnaire that assessed how confident they
were that their relaxation technique would be successful on a 7-point rating scale (1 = very
confident; 7 = no confidence at all). Participants were blind as to the nature of the other
relaxation condition.
Music was chosen as a comparison condition because it is frequently used as a
relaxation strategy in daily life and is commonly used in commercially available stress
reduction tapes. Empirically, music has been shown to be effective for changing a bad
mood and reducing tension (Thayer, 1996) and lowering autonomic activity (Grey, 2001).
Over the next 4 1/2 weeks, all participants were contacted by phone three times (every
10 days) by an experimenter to conduct a brief, structured 10-minute telephone check-in.
Designed to heighten compliance, these telephone check-ins focused on reinforcing regular
practice of the relaxation techniques.
At the completion of the 6-week intervention period, participants returned to the
laboratory for a posttreatment laboratory session. They were asked to avoid caffeine 6 hr
prior and nicotine 2 hr prior to this session. After completing sleep diaries (to assess whether
any differences in EEG power between groups were related to differences in total sleep time
the previous night), electrodes were applied while participants reclined in a comfortable
248 Jacobs and Friedman

chair. Next, participants were told that their brain waves would be recorded in order to
measure the effects of their relaxation technique. RT participants then listened to their
relaxation tape and music participants listened to the music audiotape of their choice while
EEG was collected. After completing the 20-min physiological recording, participants were
debriefed regarding the nature of the other relaxation technique and were offered instruction
on that technique.

EEG Recording, Analysis, and Quantification

Procedures for EEG recording, analysis, and quantification were similar to those that
we have previously employed and described (Jacobs, Benson, & Friedman, 1996). EEG was
recorded using a Lycra stretchable cap (manufactured by Electro-Cap International, Inc.,
Eaton, OH) which was positioned on the subject’s head according to known anatomical land-
marks (Bloom & Anneveld, 1982). EEG was recorded from frontal (F3/F4, F7/F8), temporal
(T3/T4, T5/T6), central (C3/C4), parietal (P3/P4), and occipital (O1/O2) regions of the in-
ternational 10/20 system. During recording, all 14 sites were referenced to linked ears (A1 +
A2). All electrode impedances were below 3 K
and within 500
of each other. Two elec-
trooculograms recording eye movements were used to facilitate artifact scoring of the EEG.
The EEG was amplified with a GRASS Model 8-16C electroencephalograph (Grass
Instruments Company, Quincy, MA; 60-Hz notch filter in low and high frequency filters set
at 1 and 35 Hz, respectively). The amplified signal was digitized with a Stellate Systems
RHYTHM software program (Westmount, Quebec, Canada) at a rate of 128 samples per
second per channel. The digitized signal was then digitally filtered with a 15-point finite-
pulse response filter with a cutoff of 50 Hz. To insure equivalence of amplification across all
16 Grass amplifiers, RHYTHM performed electronic calibration for each of the amplifiers
prior to data collection for each recording session.
The data were displayed on computer and visually scored to identify portions of the
data to be deleted due to eye movements, muscle movements, and other sources of artifact.
Artifact scoring was conducted by a certified EEG technician who was blind to participants’
condition. When artifact occurred on a given channel, data from all channels were removed.
The EEGs of one RT subject and two music participants were unusable due to excessive
artifact (<75% of the total epochs usable), resulting in a final sample of 19 RT participants
and 14 music participants.
Although all recording sessions were 20 min in length (equivalent to the length of the
music and RT tapes), the first and the last minute of the recording sessions were discarded
due to “settling” and “ending” artifact. EEG absolute power values were computed for two
time periods for both the RT and music conditions: BEGIN (Minutes 2–6 of the 20-min
recording session since the first minute was discarded) and END (Minutes 15–19 of the
20-min recording session since the last minute was discarded). This analytic approach
allowed us to examine changes in EEG power from the beginning to the end of the RT and
music condition.
For both the 5-min BEGIN and 5-min END period, all artifact-free epochs 4 s in
duration were tapered through a cosine window and subjected to the fast Fourier trans-
formation (FFT). The highest component of the Fourier transformation that is retained by
RHYTHM is 31.75 Hz. We limited our analyses to changes in absolute power in the theta
(4–7.75 Hz) and alpha (8–12.75 Hz) bands because, as indicated earlier, the delta and
beta bands are subject to significant artifact (muscle activity for beta; eye movements,
Spectral Analysis of Relaxation Techniques 249

respiration, skin sweating, and movement from 0 to 2 Hz for delta), and prior studies have
reported changes in theta and alpha in experienced practitioners of RT. To normalize the
data, absolute power values in microvolt units for each electrode site were log transformed.
There were no significant differences between the number of artifact-free epochs (150 pos-
sible 4 s half-overlapping epochs for both the 5-min BEGIN and the 5-min END period)
for the RT group (BEGIN mean number of epochs = 137; END mean number of epochs =
131) and the music group (BEGIN mean number of epochs = 135; END mean number of
epochs = 132).
For both the BEGIN and END time periods, mean EEG log power values for the 14
channels were averaged to derive grand means for the five independent cortical regions
(frontal, central, temporal, parietal, and occipital). This resulted in two (alpha and theta
frequency bands) 2 × 2 (Group × Time) ANOVAS for each of the five independent cor-
tical regions. Because Bonferroni adjustments for control of Type 1 error are necessary
when ANOVAs are not independent, ANOVAs were Bonferroni-adjusted for the two de-
pendent EEG bands (p < .025) for each of the five independent cortical regions in the
same manner as we have previously employed and described (25). Similarly, between-
and within-group planned comparisons were Bonferroni-adjusted (p < .025) for the two
dependent EEG frequency bands. There were no significant differences between groups
on alpha or theta power at the beginning of the 20-min relaxation period (BEGIN) for
any cortical region. Means (SD) for alpha and theta log power values are presented in
Table I.

RESULTS

Frontal Scalp Region

There were no significant differences between groups on frontal alpha or theta power
from BEGIN to END of the relaxation period. Both groups exhibited a trend toward

Table I. Mean (SD) Absolute Theta and Alpha Power Values (log·
Transformed Microvolt Units) for Relaxation Techniques (RT) and Music
Theta Alpha
RT Music RT Music

Frontal
Begin 30.6 (2.9) 31.3 (2.5) 32.8 (3.8) 33.6 (3.2)
End 31.4 (3) 32 (2.8) 32.8 (4.1) 34.4 (3.9)
Temporal
Begin 27.6 (3.3) 29.1 (3.2) 31.6 (3.8) 33.5 (3.8)
End 28.7 (3.3) 29.5 (3.5) 31.3 (4.1) 32 (4.2)
Central
Begin 31 (3.8) 32.7 (2.7) 34.2 (4) 35.7 (3.4)
End 32.6 (3.6)∗ 33 (2.5) 33.9 (4.4) 35.6 (4.1)
Parietal
Begin 30.7 (3.8) 32.6 (3.4) 35.3 (4.8) 37.4 (4.3)
End 32 (3.9)∗ 32.7 (3.3) 34.9 (4.7) 36.9 (4.7)
Occipital
Begin 29.6 (3.9) 32.2 (3.8) 36 (5.6) 38.1 (4.4)
End 31 (3.7)∗ 32.4 (3.6) 35 (5.5) 37.1 (4.7)

Note.∗ indicates a significantly (p < .025) greater indicates an increase

from Begin to End of the relaxation period compared to music.
250 Jacobs and Friedman

increased frontal theta power from BEGIN to END of the relaxation period. The music
group showed a trend toward increased alpha power from BEGIN to END of the relaxation
period whereas alpha power was constant for the RT group.

Temporal Scalp Region

There was a nonsignificant trend (p < .03) for the RT group to exhibit a greater
increase in temporal theta power from BEGIN to END of the relaxation period than of the
music group. No significant differences were observed for temporal alpha power, although
both groups showed a trend toward decreased temporal alpha power from BEGIN to END
of the relaxation period.

Central Scalp Region

The RT group exhibited a significantly greater increase in central theta power from
BEGIN to END of the relaxation period compared to the music group, F (1, 31) = 9.54,
p < .0043. Planned comparisons indicated that the RT group exhibited a significant within-
group increase in central theta power from BEGIN to END of the relaxation period whereas
the music group did not, t(18) = −5.3, p < .0001. No significant differences were observed
for central alpha power, although both groups showed a trend toward decreased central alpha
power from BEGIN to END of the relaxation period.

Parietal Scalp Region

The RT group exhibited a significantly greater increase in parietal theta power from
BEGIN to END of the relaxation period compared to the music group, F (1, 31) = 8.66,
p < .0127. Planned comparisons indicated that the RT group exhibited a significant within-
group increase in parietal theta power from BEGIN to END of the relaxation period whereas
the music group did not, t(18) = −3.93, p < .001. No significant differences were observed
for parietal alpha power, although both groups showed a trend toward decreased parietal
alpha power from BEGIN to END of the relaxation period.

Occipital Scalp Region

The RT group exhibited a significantly greater increase in occipital theta power

from BEGIN to END of the relaxation period compared to the music group, F (1, 31) =
5.59, p < .0246. Planned comparisons indicated that the RT group exhibited a signif-
icant within-group increase in occipital theta power from BEGIN to END of the re-
laxation period whereas the music group did not, t(18) = −3.67, p < .002. No signifi-
cant differences were observed for occipital alpha power, although both groups showed
a trend toward decreased occipital alpha power from BEGIN to END of the relaxation
period.
Spectral Analysis of Relaxation Techniques 251

Sleep Diaries, Compliance Diaries, and Credibility Questionnaire

There were no significant differences between the RT and music groups on total sleep
time the night before the experimental session (mean total sleep time for RT = 7.2 hr,
SD = 1.2); mean total sleep time for music = 6.9 hr, SD = 1.0), frequency of practice per
week of the RT tape (mean = 5.7 times per week, SD = 0.8) or music tapes (mean = 6.0
times per week, SD = 0.7), or treatment credibility ratings (RT mean = 2.1, SD = 0.6;
music mean = 2.6, SD = 0.6), suggesting that the observed differences between groups in
theta power were not due to differences in sleep duration the night before the experimental
session, frequency of practice of the relaxation techniques, or expectations concerning the
techniques.

DISCUSSION

Our findings extend those of prior studies that reported increased theta EEG activity
during the practice of RT (Banquet, 1972, 1973; Corby et al., 1978; Fenwick et al., 1977;
Hebert & Lehman, 1977; Jacobs & Lubar, 1989; Kasamatsu & Hirai, 1966; Stigsby et al.,
1981; Wallace, 1970; Wallace et al., 1971; Warrenburg et al., 1980) and supported the
hypothesis that participants who practiced RT regularly for 6 weeks would exhibit greater
reductions in CNS arousal during RT than would a music comparison condition. Using
relatively small sample sizes, conservative alpha levels, and a credible comparison con-
dition, we found that RT produced significantly greater increases in central, parietal, and
occipital theta power than music (and trends toward greater increases in temporal theta
power). These observed differences between RT and music were not due to frequency of
practice of the relaxation techniques, total sleep time the night prior to the experimental
session, expectancy, or EEG differences as measured during the beginning of the relaxation
session.
Increased theta power across multiple cortical regions during RT is consistent with
widespread reductions in cortical arousal (Canteros et al., 2002; Jacobs & Lubar, 1989;
West, 1980). Although the therapeutic effects of RT have traditionally been attributed to
reductions in sympathetic nervous system activity (Wallace, 1970; Wallace et al., 1971),
our results suggest that RT may exert their primary effects through reductions in central
nervous system activity. Because prior studies have reported inconsistent findings con-
cerning alpha activity during RT (some studies report increases in alpha activity whereas
others have reported decreased alpha), and we observed significant changes in theta but
not alpha power during RT, theta power appears to be a more reliable and robust mea-
sure of reductions in CNS arousal during RT. Although we did not assess hemispheric
differences in EEG activity during RT in this study, and there is little consistent evidence
for such differences in prior research on RT (Delmonte, 1984; West, 1980), future re-
search may want to examine potential hemispheric differences in EEG changes during
RT.
Because an increase in theta activity is associated not only with decreased activity in
brain arousal systems but also with the sleep-onset process itself (Canteros et al., 2002;
Rechtschafen & Kales, 1968; Schacter, 1976; West, 1980), RT may, as has been previ-
ously suggested (Elson et al., 1977; Fenwick et al., 1977), represent a hypoactive CNS
state that is similar to Stage 1 sleep. Stage 1 is the transitional state between wakefulness
252 Jacobs and Friedman

and sleep. It is characterized by a gradual transition from a predominant alpha pattern

(relaxed wakefulness, eyes closed) to the appearance of theta intermixed with alpha, fol-
lowed by the disappearance of alpha and a predominant theta frequency as measured by
polysomnography (Rechtschafen & Kales, 1968). Most people who are aroused from this
state report wakefulness, not sleep, and most sleep researchers consider Stage 2 sleep
(the first epoch, sleep spindle, or K-complex) to be the true onset of sleep (Morin, 1993).
When the EEG records from meditation are scored using sleep staging criteria, a high
percentage of Stage 1 sleep is noted (West, 1980). Because we found no evidence of Stage
2 sleep (sleep spindles or K-complexes) in the RT group, it is clear that, if RT partici-
pants did move toward or into a state similar to Stage 1 sleep, they balanced themselves
between waking and true sleep—a type of “suspended” Stage 1 sleep state that was con-
sciously induced independent of the endogenous circadian rhythm that regulates sleep and
wakefulness
Stage 1 sleep is also typically associated with decreases in alpha activity. Although
we did not observe significant reductions in alpha power in the RT group compared to
the music group, this was due in part to the fact that both groups exhibited trends toward
decreased alpha power in the majority of cortical regions. Additionally, a recent study
suggests that alpha power as measured by spectral analysis is more variable than theta
power in the several minutes that precede the onset of Stage 1 sleep (Canteros et al.,
2002). Because we computed alpha power changes across 5-min time periods instead
of the 30-s epochs used in traditional sleep stage scoring, it is also possible that 5-min
time periods may have been too insensitive to significant fluctuations in alpha power
that may have occurred during briefer time periods. It is also possible that RT partic-
ipants were in an earlier phase of Stage 1 sleep (transition from a predominant alpha
pattern to the appearance of theta intermixed with alpha) before significant alpha power
reductions occurred. Future research will need to directly compare the acute changes of
RT to Stage 1 sleep using power spectral analysis, polysomnography, or both to more
accurately identify the similarities and differences between these two hypoactive CNS
states.
Stage 1 sleep and other states of decreased or abolished consciousness (e.g., reverie,
hypnosis) involve cortical hypoactivation, widespread deactivation of stress/arousal sys-
tems, and reduced capacity for attending to and interpreting external stimuli that fa-
vors low levels of self-consciousness and hypnagogic/primary process/reverie mentation
(Budzynski, 1976; Hobson, Pace-Schott, & Stickgold, 2000; Kutz, Borysenko, & Benson,
1985; Maquet, 2000; Schacter, 1976). Because RT appear to induce a hypoactive CNS
state that is similar in some respects to Stage 1 sleep, RT may exert their therapeutic
effects through similar mechanisms, probably as a result of a repetitive mental focus
and reduced/monotonous sensory input. In a similar vein, RT may serve a cerebral en-
ergy conservation/restoration function by allowing the cortex to go offline from its nor-
mal activating, energy demanding role of processing complex, stressful stimuli (Jacobs,
2003).

ACKNOWLEDGMENT

This study was supported by a grant from Proctor and Gamble.

Spectral Analysis of Relaxation Techniques 253

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