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Lucid Dreaming A person may realize that he or she is dreaming while still in the dream state. Such dreams have been called Dreams of Knowledge by Oliver Fox (1962). Paul Tholey, a German psychologist who first began to study conscious dreaming in 1959, called the phenomena Klartraum, a German word meaning "clear dream". These dream experiences, however, are more commonly known as "lucid dreams", a term first introduced by van Eeden (1913). References to lucid dreaming date back at least to the time of Aristotle, and have appeared in a variety of contexts, ranging from a letter written in A.D. 415 by St. Augustine, to the writings of Friedrich Nietzche, and ancient Tibetan Buddhist texts (Gillespie, 1988; LaBerge, 1985). Though several works on the phenomenon appeared in the 19th and early 20th century (e.g., Arnold-Forster, 1921; Brown, 1936; Saint-Denys, 1982/1867; van Eeden, 1913), it is really only in the past decade that lucid dreaming has become the subject of scientific inquiry. |
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Definitions of Lucid Dreaming What exactly is a lucid dream? Various definitions of the experience have emerged in the literature. The simplest of these states that lucid dreams are those in which the subject is aware that he or she is dreaming (e.g., Green, 1968). It is this basic definition which appears most frequently. Other researchers, such as Hearne (1981; 1987), have added a qualifier: that one has to become perfectly or fully aware that one is dreaming. Exactly what is meant by the terms "perfectly" or "fully" is not explicitly stated, but it appears that Hearne considers the ability to consciously exert control over events in the dream scenery to be an important aspect of dream lucidity. It should be noted, however, that even though lucidity in dreams is often accompanied by varying degrees of dream control, this ability is not in itself a sufficient indicator of lucidity. This point is clearly made by Tart (1988) and is evident in one of the case studies presented at the end of the thesis. A broader and more precise definition of what constitutes a lucid dream is given by LaBerge (1980) who suggests that the consciousness experienced by a lucid dreamer is not unlike that which is experienced during the waking state. Thus LaBerge (1980) writes that "the lucid dreamer can reason clearly, remember freely, and act volitionally upon reflection, all while continuing to dream vividly" (p.1039). Similarly, Tart (1979) states that a lucid dream consists of more than just having the dreamer realize "This is a dream." Like LaBerge, he suggests that in a lucid dream "the 'higher' mental processes that we think of as characterizing waking consciousness, such as memorial continuity, reasoning ability, volitional control of cognitive processes, and volitional control of body actions (at least for the dream body), all seem to be functioning at a lucid, waking level" (Tart, 1979, p. 256). Tholey (1988) and van Eeden (1913) have also adhered to this conceptualization of the lucid dream state. It would appear then that the lucid dream experience may be best understood if placed on a continuum. At one end we would have what may be called low-level lucidity, in which an individual may realize that he or she is dreaming, but then wake up, or simply relapse into non-lucid dreaming. In the middle of the continuum would fall those lucid dreams in which the dreamer, in addition to knowing that he or she is dreaming, can also exert some degree of control over the dream environment and retain some but not all of his or her waking mental faculties. Thus a person in this situation may be able to move about in the dream scenery as he or she pleases, but may be unable to alter some aspects of the dream, remember what day it is, or remember what their agenda for the following day consists of. At the high end of the continuum are those dreams in which an individual can exert a considerable amount of control over the dream content and, most importantly, is in possession of his or her mental faculties to the same extent as if the person were fully awake. To this continuum should also be added what Green (1968) has termed "pre-lucid dreams" as well as the phenomenon of "false-awakenings". The former refers to those dreams "in which the subject adopts a critical attitude towards what he is experiencing, even to the point of asking himself 'Am I dreaming?' but without realizing that he is in fact doing so" (Green, 1968, p.23). The latter refers to those dream experiences in which one dreams that one has woken up, usually in their normal sleep environment. Both of these phenomena are known to occur in lucid dreamers, especially novices (Blackmore, 1988; Green, 1968; LaBerge, 1985; van Eeden, 1913). |
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Lucid Dreaming in the Sleep Laboratory In 1953, Aserinsky and Kleitman made the serendipitous discovery that dreams tended to occur during periods of regularly occurring rapid conjugate eye movements (REM). Following this major breakthrough, REM sleep quickly became the focus of intensive scientific investigation. It was hoped that the objective study of this particular stage of the sleep cycle would give rise to a new and better understanding of the dream process. Though much knowledge concerning the nature and function of REM sleep emerged from such research efforts, the attempt to find specific physiological correlates of dream content yielded very limited results (see LaBerge, 1985). Until recently, such research had been severely limited by the inability of experimenters to ensure that a subject would engage in desired dream activities and by the fact that researchers had no way of knowing what the dreamer was doing in their dream or when it was being done. As was mentioned earlier, dreamers who find themselves in a lucid state can recall events from their waking life (i.e., their memory faculties remain largely intact), can retain their capacity for reason, and move their dream bodies as they desire. These characteristics led LaBerge and his colleagues (1981) to investigate the possibility that "lucid dreamers could signal that they were dreaming by means of intentional dream actions having observable physiological correlates" (p.728). Based on previous observations made by Rechtschaffen (1973), LaBerge concluded that the most promising dream actions for the task at hand would be volitional eye movements (recorded by electro-oculograms) and forearm muscle contractions (recorded by electromyogram). As will be discussed below, this new approach to dream research proved to be methodologically sound and resulted in several notable experimental findings. It should be noted that, unknown to LaBerge, Keith Hearne of the University of Hull in England had, a few years earlier, begun to investigate physiological correlates of dream content in a manner similar to that suggested by LaBerge. Alan Worsley, a proficient lucid dreamer and a subject in Hearne's initial investigations, is credited with having been the first lucid dreamer to send a polygraphically observable signal from within a dream (LaBerge, 1985; Worsley, 1988). Some researchers had suggested that lucid dreams occurred either during periods of brief awakenings (Schwartz and Lefebvre, 1973) or during non-REM (NREM) sleep (Antrobus and Fisher, 1965). Recent empirical evidence, however, has lent clear support to the position that lucid dreams largely take place during unequivocal REM sleep (Brylowski, Levitan, & LaBerge, 1989; LaBerge, Nagel, Taylor, Dement, & Zarcone, 1981; Ogilvie, Hunt, Kushnirik, & Newman, 1983). The use of signalling in the psychophysiological study of REM sleep has been applied successfully to investigate the extent to which dreamed patterns of respiration are paralleled by actual patterns of respiration (LaBerge and Dement, 1982a); to examine lateralization of alpha activity during specific dream activities (LaBerge and Dement, 1982b); in determining the extent to which dreamed sexual activity is reflected in physiological measures (LaBerge, 1985; LaBerge, Greenleaf and Kedzierski, 1983); in linking dream speech to the expiratory phase of the respiration cycle (Fenwick et al., 1984); to examine the relation between EMG activity and various dreamed limb activities (Fenwick et al., 1984); and in determining how close dream time estimates resemble real clock time (LaBerge, 1985). The findings of these studies indicate that there exists a close parallel between the physiological effects of various dreamed activities and the corresponding effects that would be observed if such activities were carried out during the waking state. For example, in the previously mentioned experiment on dreamed sexual activity by LaBerge, Greenleaf and Kedzierski (1983), the subject, a proficient lucid dreamer, had been instructed to make three eye-movement signals in her lucid dream. The first signal was to be made when the subject became lucid; the second at the onset of dreamed sexual activity; and the third signal when she experienced orgasm. Sixteen channels of physiological data were recorded in the laboratory including EEG, EOG, EMG, respiration rate, skin conductance levels, heart rate, vaginal EMG, and vaginal pulse amplitude. All autonomic physiological measures, with the exception of heart rate, corresponded significantly with dreamer's subjective report of sexual activity and orgasm. The similarities in brain activity between cognitive tasks performed in REM sleep and during wakefulness are evidenced in another experiment, that of by LaBerge and Dement (1982b). Singing and counting are tasks that typically engage the two brain hemispheres differentially in terms of alpha activity. The former results in relatively greater engagement of the left cerebral hemisphere, while the latter results in relatively greater engagement of the right cerebral hemisphere. Four subjects, 2 male (one right-handed and one left-handed) and 2 female (one right-handed and one left-handed) took part in the study. All subjects were first monitored during wakefulness while performing the two activities. Then, once in the sleep laboratory, they were instructed to signal, by means of eye-movements, the onset of lucidity; to then sing a predetermined song in their dream; to signal again when the singing was completed; to count from one to ten; and to signal a final time after the second task had been performed. In all cases, the brain displayed the same patterns of lateralization of alpha activity during these tasks as had been observed in the subjects while performing them during wakefulness. The findings from these and other such experiments have been reviewed by LaBerge (1988a) and have led him to suggest that: All of these results support the conclusion that the events that we experience while asleep and dreaming produce effects on our brains (and to a lesser extent, bodies) remarkably similar to those that would be produced if we were actually to experience the corresponding events while awake. The reason for this is probably that the multimodal imagery of the dream is produced by the same brain systems that produce the equivalent perceptions (c.f. Finke, 1980). Perhaps this is why dreams are so real: To our brains, dreaming of doing something is equivalent to actually doing it (p.151). |
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Clinical Applications of Lucid Dreaming. In recent literature, several authors have suggested various psychological benefits that may be obtained through lucid dreaming (e.g., Kelzer, 1989; LaBerge, 1985; Malamud, 1988; Tholey, 1988). The notion that lucid dreaming may be of benefit in a clinical context, especially in the treatment of nightmares, is not new. Arnold-Forster (1921), in her book Studies in Dreams, recounts how she eliminated her "bad" dreams by means of lucid dreaming and writes on the feasibility of treating children's nightmares in a similar fashion. In the past 10 years, several papers have been written concerning the clinical utility of lucid dreaming. Unfortunately, controlled studies on this issue remain to be conducted. Thus, the evidence presented below is based on personal accounts and documented case studies. Both Saint-Denys (1982/1867) and LaBerge (1985) have reported on nightmares in which they became lucid and then subsequently proceeded to change the course of the dream in a positive direction. Similar anecdotal accounts are contained in LaBerge and Rheingold's (1990) Exploring the World of Lucid Dreaming. This process (i.e. using lucidity to alter nightmares) has also been utilized by the present author. Halliday (1982; 1988) has reported two case studies in which he successfully treated recurrent nightmares by having the clients become lucid in their nightmares and attempt small alterations to the dream scenery. In a recent article, Brylowski (1990) reported the case of a client presenting with a history of borderline personality disorder, major depression, and nightmares, which were experienced one to four times a week. By using training in lucid dreaming within the therapy, Brylowski was able to assist his client in reducing the frequency and intensity of the nightmares. Galvin (1991) is currently investigating the utility of hypnotic induction of lucid dreams in life-long nightmare sufferers, and has reported positive results in two subjects thus far. Tholey (1988) describes what he calls a "self-healing program" based on lucidity training. The program "contains guidelines on (1) in the techniques for inducing and ending lucid dreams, (2) on methods for incubating and manipulating the contents of lucid dreams, (3) on the appropriate behavior regarding resistance (such as 'defense' or 'avoidance' mechanisms), and (4) on helpful principles for interaction with other dream figures" (pp.272-273). By using this program within the context of psychotherapy, Tholey reports having successfully treated clients with recurrent nightmares as well as improving the conditions of clients with other symptoms such as anxiety, shyness, and social adjustment difficulties. |
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Lucid Dreaming Induction Techniques We have seen that the ability to become lucid in one's dreams has been useful in both the sleep laboratory and within a clinical context. One problem that arises however, is that therapists and researchers alike require techniques that will reliably induce such dreams. For example, one may want to have a client who had never before experienced a lucid dream become lucid during a nightmare. In this situation the task is to induce a lucid dream in a subject who is is experientially unfamiliar with this dream state. Similarly, psychophysiological studies of REM sleep typically require lucid dreamers to have such dreams within the limited time period available in the sleep laboratory. The task here will likely involve an attempt to increase the frequency with which an habitual lucid dreamer already experiences lucid dreams. The problem of how to reliably induce lucid dreams is also important in view of the fact that the ability to dream lucidly is relatively a rare phenomenon. Based on their review of the literature, Snyder and Gackenbach (1988) conclude that a little more than half of the general population has experienced at least one lucid dream in their lifetime with only 21% reporting the experience at a frequency of one or more times a month. Numerous techniques for lucid dream induction have been suggested in both the scientific and popular literature. Readers familiar with the works of Carlos Castaneda (1972; 1974) will recall Don Juan's suggestion of looking at one's hands in a dream. This technique was supposed to set up dreaming, a reference to what we have called lucid dreaming. Though the authenticity of Castaneda's "non-fictional" works has been seriously questioned (e.g., de Mille, 1976), the technique suggested appears to have some validity and has been used to induce lucid dreams by some researchers (e.g., Zadra, 1990). The following is a review of some of the most frequently mentioned lucid dream induction (LDI) techniques that appear in the lucid dreaming literature. One of the first procedures developed for inducing lucid dreams was autosuggestion (Garfield, 1974; Saint-Denys, 1982/1867; Tholey, 1983). This method involves telling yourself that you will have a lucid dream, preferably in a relaxed state, immediately prior to sleep onset. Using this method of self-suggestion, Garfield (1976) reports having obtained "a classical learning curve, increasing the frequency of prolonged lucid dreams from a baseline of zero to a high of three per week" (p. 183). Using the same procedure, LaBerge (1980) obtained similar results, reporting an average of 5.4 lucid dreams per month over a 16 month period. The frequency of these dreams ranged from 1 to 13 lucid dreams per month with a maximum of two per night. Following his initial investigation in lucid dream induction by means of autosuggestion, LaBerge (1980) developed a procedure which he called "mnemonic technique for the voluntary induction of lucid dreams" (MILD). This technique consists of the following steps:
By using this new procedure over a non-consecutive 6 month period, LaBerge (1980) reports having experienced an average of 21.5 (range: 18 to 26) lucid dreams per month, with as many as 4 in a single night. Tholey (1983) has presented an excellent summary of other techniques for inducing lucid dreams. These techniques were developed following a decade of lucid dream research by Tholey and his colleagues involving over 200 subjects. These methods for inducing lucid dreams include the reflection technique, the intention technique, and the combined technique. In the reflection technique, the subject begins to pay careful attention to his or her environment during the waking state. While examining the surroundings in a critical fashion, the subject asks him or herself "Is this a dream?" or "Am I dreaming or not?" The subject should ask this "critical question" as Tholey has called it, as frequently as possible, particularly in those situations which resemble some aspect of the subject's own dream experiences. Asking oneself the critical question ("Am I dreaming or not?") close to the time when one goes to bed or while falling asleep is also useful. The reflection technique is based on the Tholey's (1983) assumption that: If a subject develops while awake a critical-reflective attitude toward his momentary state of consciousness by asking himself if he is dreaming or not, then this attitude can be transferred to the dream state. The unusual nature of the dream experience makes it possible for the subject to recognize that he is dreaming (p.80). In the intention technique, the subject resolves to achieve lucidity in a future dream. In order to accomplish this, the subject should imagine as vividly as possible that "he is in dream situations which would typically cause him to recognize that he is dreaming" (p.80). For example, if you frequently dream of flying, then you should visualize such a flying dream while reminding yourself that partaking in such an activity (in this case, flying) is itself a cue to the fact that you are dreaming. The subject should also resolve to carry out a specific action in a dream. The aforementioned suggestion by Don Juan (i.e. to look at one's own hands) is an example of such a task. Finally, Tholey recommends the combined technique for lucid dream induction. This method combines aspects of intention and suggestion while stressing the development of a critical-reflective frame of mind (i.e. the reflection technique). The technique is described as follows: (1) The subject should ask himself the critical question ("am I dreaming or not?") at least five to ten times a day. (2) At the same time the subject should try to imagine intensely that he is in a dream state, that is, that everything he perceives, including his own body, is merely a dream. (3) While asking himself the critical question the subject should concentrate not only on contemporary occurrences, but also on events which have already taken place. Does he come upon something unusual, or does he suffer from lapses of memory? A minute suffices to answer the question. (4) The subject should ask himself the critical question as a rule in all situations which are characteristic for dreams, that is, whenever something surprising or improbable occurs or whenever he experiences powerful emotions. (5) It is especially helpful in learning how to dream lucidly if the subject has dreams with a recurrent content. For example, if he frequently has feelings of fear or often sees dogs in his dreams, then he should ask himself the critical question concerning his state of consciousness whenever he finds himself in threatening situations or sees a dog in the daytime. (6) If the subject often has dream experiences which never or rarely occur in a waking state, such as floating or flying, then he should, while awake, try intensely to imagine that he is having such an experience, telling himself that he is dreaming. (7) If the subject has difficulty recalling his normal dreams, he should employ methods for improving dream recollection such as are described in recent literature on dreaming. In most cases, however, practice in attaining the critical-reflective frame of mind will improve the subject's ability to recall his dreams. (8) The subject should go to sleep thinking that he is going to attain awareness of dreaming while in this state. Any conscious effort of will must be avoided while thinking this thought. This method is especially effective when the subject has just awakened in the early morning hours and has the feeling that he is about to fall asleep again. (9) The subject should resolve to carry out a particular action while dreaming. Simple motions are sufficient (Tholey, 1983, pp. 81-82). Other, less accessible, methods for the induction of lucid dreams have been explored. These have included the use of external tactile cues (Hearne, 1983a); external auditory cues (LaBerge, Owens, Nagel, & Dement, 1981); waking fantasy training (Sparrow, 1983); hypnotherapy (Klippstein, 1988); posthypnotic suggestions (Dane, 1984); techniques for retaining consciousness while falling asleep (LaBerge & Rheingold, 1990; Tholey, 1983); and a portable computerized "lucid dream induction" device called the DreamLight (LaBerge, 1988b; LaBerge & Rheingold, 1990). The results contained in the doctoral dissertations by Dane (1984) and Sparrow (1983) support the effectiveness of posthypnotic suggestions and waking fantasy training, respectively. Initial reports by LaBerge (1988b) and his colleagues (LaBerge, Levitan, Rich, & Dement, 1988; Levitan,1989) suggest that both the MILD technique as well as the newly developed DreamLight are effective tools in increasing the rate of lucid dreams. Tholey (1983) conjectures that by following the techniques for achieving lucidity which are presented in his article, "subjects who never previously experienced a lucid dream will have the first one after a median time of 4 to 5 wk., with great interindividual deviation" (p.82). |
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