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White Horse of the Sun

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By ERIC A. POWELL

September/October 2017

Carved into the chalk of a hillside in southern England, the Uffington White Horse is utterly unique. Stretching 360 feet from head to tail, it is the only prehistoric geoglyph—a large-scale design created using elements of the natural landscape—known in Europe. “There’s just nothing like it,” says University of Southampton archaeologist Joshua Pollard, who points to the Nazca lines in Peru as the closest parallel. Pollard says that because the site is so anomalous, researchers have resisted grappling with its distinct nature. As a consequence, few new interpretations of the site have been advanced since the early twentieth century. “Archaeologists are tripped up by things that are unique,” says Pollard, “and the White Horse has thrown us.” But now, after making a close study of the site and its relationship to the landscape around it, Pollard has developed a theory that connects the Uffington Horse with an ancient mythological tradition.

Stories about the White Horse have been recorded since medieval times. One popular legend had it being carved in celebration of an Anglo-Saxon victory over a Viking army in A.D. 875. But excavations in the 1990s yielded dates that showed it was created much earlier, during the Late Bronze Age or the Iron Age, sometime between 1380 and 550 B.C. Most archaeologists have thought that the site was probably a symbol that signaled a prehistoric group’s ownership of the land—their attempt at creating a landmark that was meant to impress outsiders. But Pollard did not find that idea wholly persuasive. “It doesn’t really work that way,” he says. “For one, the way it’s positioned makes it difficult to see the whole geoglyph from the surrounding landscape.” Pollard found that there are other hillside locations in the immediate vicinity that are much more visible, and where creating a totemic image meant to symbolize a group’s identity would have made more sense.

Pollard usually works on sites dating to the Neolithic, a period when people erected large monuments, such as Stonehenge, that were often aligned with astronomical events. That experience led him to wonder if the Uffington Horse could have been designed along similar lines, and he investigated how the geoglyph was positioned relative to celestial bodies. He found that when observed from a hill opposite, in midwinter, the sun rises behind the horse, and as the day progresses, seems to gain on the horse and finally pass it. From the same vantage point, at all times of the year, the horse appears to be galloping along the ridge in a westerly direction, toward the sunset.

Over time, though its original purpose was lost, local people maintained a connection with the White Horse that ensured its continued existence. “If it weren’t maintained, the White Horse would be overgrown and disappear in 20 years,” says Andrew Foley, a ranger with the National Trust, which oversees the site. Historical records indicate the local community has long held regular festivals devoted to maintaining the site. In 1854, some 30,000 people attended. Now, each summer, a few hundred local volunteers weed the White Horse and then crush fresh chalk on top of it so that it keeps the same brilliant white appearance it has had for 3,000 years. The site, as it must have throughout millennia, continues to be meaningful to the people around it.

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• > Journals
• > Antiquity
• > Volume 91 Issue 356
• > The Uffington White Horse geoglyph as sun-horse

Article contents

Introduction, the uffington geoglyph: its setting and its date, reading the horse, the image as sun-horse, the uffington complex, maintaining the horse, the uffington white horse geoglyph as sun-horse.

Published online by Cambridge University Press:  04 April 2017

The Uffington White Horse is a unique later prehistoric geoglyph worked onto the chalk hillside of the Berkshire Downs in southern England. This large figure has seen little new interpretation since the early twentieth century. Unable to explain the form satisfactorily, archaeologists have shied away from acknowledging the distinct nature of the horse and its probable importance to previous occupants of the land. By reviewing the image's context within the broader archaeological landscape, the argument can now be made that the Uffington carving is a representation of the sun-horse found in iconography throughout later prehistoric Europe.

The Uffington White Horse is Europe's only confirmed prehistoric hill-figure or geoglyph, and is among the oldest anywhere in the world. Created in the later second or first millennium BC, it is also unusual in being a figurative representation within a surprisingly resilient tradition of non-representational imagery in prehistoric Britain ( Figure 1 ). It is quite distinct from the only other form of prehistoric landscape art known in the British Isles: the abstract motifs that make up rock art panels within upland regions (Bradley Reference Bradley 1997 ). A widely used image within popular culture, the White Horse features on album covers by XTC and Nirvana, and in fictional literature by Rosemary Sutcliffe, A.J. Hartley and Terry Pratchett. Its most famous literary incarnation comes in Thomas Hughes's ( Reference Hughes 1859 ) The scouring of the White Horse , a semi-fictional account of the last great festival linked to the ‘scouring’ or cleaning of the horse held in 1857. While popular culture has found no difficulty in accommodating explanations of its meaning and role, the same cannot be said of archaeology. The most recent detailed evaluation of the geoglyph and its date concludes that “nobody can be certain now why the monument was originally constructed” (Barclay et al. Reference Barclay, Cromarty, Gosden, Lock, Miles, Palmer, Robinson, Miles, Palmer, Lock, Gosden and Cromarty 2003a : 245). It may be its apparent uniqueness that creates problems (cf. Jones Reference Jones 2012 ). Unlike the better-known palaeo-geoglyphs from the Americas—the Nazca Lines and the Late Woodland effigy mounds, for example—the Uffington figure lacks obvious comparanda and context, and so remains a rather awkward oddity. This explains its marginalisation in academic discourse.

Figure 1. The Uffington geoglyph. Broken lines indicate geophysical anomalies (after Miles et al . Reference Miles, Palmer, Cromarty, Miles, Palmer, Lock, Gosden and Cromarty 2003a ).

By engaging with its landscape setting, and by locating the White Horse within current knowledge of European later prehistoric cosmologies, it is argued here that the figure served as a sun-horse image: a device connected with the diurnal passage of the sun through the sky. Further, taking an interpretive approach that recognises the multi-temporality of landscape (Gosden & Lock Reference Gosden and Lock 1998 ; Lucas Reference Lucas 2005 )—that is, the ongoing co-presence of earlier features within a landscape—offers a context for envisaging other modified and constructed features of the Uffington environs as appropriated components of a monument-complex centred on the horse.

The White Horse geoglyph is situated on the northern escarpment of the Berkshire Downs, in west Oxfordshire. The figure stretches over approximately 110m, its body following the upper edge of a steep re-entrant valley. Its form is elongated and abstract, with a curious beaked mouth and overlong tail. Geophysical survey and excavation in 1990 and 1994 by the then English Heritage and Oxford Archaeological Unit demonstrated that the morphology and the position of the horse have altered little since its creation, although its inclination relative to the hillslope has decreased by around 10ᵒ (Miles et al. Reference Miles, Palmer, Cromarty, Miles, Palmer, Lock, Gosden and Cromarty 2003a : 77), suggesting that it was formerly more visible from a close vantage point. The figure was originally formed through down-cutting and exposure of the white Upper Chalk bedrock. Subsequently, it was maintained through the successive addition of layers of puddled chalk (Miles et al. Reference Miles, Palmer, Cromarty, Miles, Palmer, Lock, Gosden and Cromarty 2003a ).

Other monuments lie within the immediate vicinity of the horse ( Figure 2 ). Uffington hillfort lies 200m upslope to the south-south-west, while between this and the horse are a Bronze Age round barrow and a possible Neolithic long mound, reused in the late Roman period as an inhumation cemetery (Barclay et al. Reference Barclay, Booth, Cromarty, Gosden, Miles, Palmer, Miles, Palmer, Lock, Gosden and Cromarty 2003b ). Less than 200m to the north, on the downslope of the escarpment, is the mound of Dragon Hill. The latter is probably a natural knoll that has been substantially modified and provided with a terraced summit. These monuments sit within a larger landscape rich in later prehistoric archaeology: within a radius of 5km are the later Bronze Age–Iron Age hillforts of Rams Hill, Hardwell Camp and Alfred's Castle ( Figure 3 ); extensive traces of field-systems, linear ditches and settlement areas; the earlier barrow cemetery at Lambourn Seven Barrows and the Neolithic chambered tomb of Wayland's Smithy (Bradley & Ellison Reference Bradley and Ellison 1975 ; Whittle Reference Whittle 1991 ; Bowden et al. Reference Bowden, Ford and Gaffney 1993 ; Gosden & Lock 2013).

Figure 2. The White Horse and adjacent sites (after Barclay et al. Reference Barclay, Booth, Cromarty, Gosden, Miles, Palmer, Miles, Palmer, Lock, Gosden and Cromarty 2003b ).

Figure 3. Major monuments within the immediate region.

The earliest documentary reference to the geoglyph dates to the late eleventh century AD (Marples Reference Marples 1949 : 53–54). Full details of its documented history are given by Cromarty et al . ( Reference Cromarty, Miles, Palmer, Bailey, Miles, Palmer, Lock, Gosden and Cromarty 2003 : 15–27). Direct evidence of its prehistoric origin is provided by optically stimulated luminescence (OSL) dates on colluvium samples pre-dating and interleaved between early episodes of redefinition of the horse. These provide a range of 1380–550 BC (68% confidence) for the construction of the first horse (Rees-Jones & Tite Reference Rees-Jones, Tite, Miles, Palmer, Lock, Gosden and Cromarty 2003 ), placing it within a horizon that extends from the middle Bronze Age to the latter part of the early Iron Age. That horizon represents an especially busy time for this landscape, taking in the highly elaborate inner enclosure at Rams Hill (Bradley & Ellison Reference Bradley and Ellison 1975 ), dated to between the thirteenth and tenth centuries BC (Needham & Ambers Reference Needham and Ambers 1994 ), major linear ditches, the construction of the hillforts at Uffington and Alfred's Castle during the eighth to sixth centuries BC (Lock et al. Reference Lock, Miles, Palmer, Cromarty, Miles, Palmer, Lock, Gosden and Cromarty 2003 ; Gosden & Lock 2013) and the eighth-century BC open settlement at Tower Hill (Miles et al. Reference Miles, Campbell, Cromarty, Miles, Palmer, Lock, Gosden and Cromarty 2003b ).

To date, the better chronology now available has not facilitated a new interpretation of the White Horse. In the most recent detailed assessment of the geoglyph, an established view of the horse as a symbol is retained, potentially “signalling the presence and wealth of the inhabitants of the ridge top, or [. . .] mark[ing] the presence of a site of special significance to the wider population” (Barclay et al. Reference Barclay, Cromarty, Gosden, Lock, Miles, Palmer, Robinson, Miles, Palmer, Lock, Gosden and Cromarty 2003a : 245). This goes little further than earlier interpretations of the horse as, variously, a landmark, a commemorative image, the “emblem or badge of some chiefdom or tribe”, or as totemic, “embodying the identity of the white-horse people” (Marples Reference Marples 1949 : 49; see also Crawford Reference Crawford 1929 ; Piggott Reference Piggott 1931 ). Without immediate analogy, and as an apparently unique and representational thing, conceiving of the horse as a sign for something—a place, a people, an event or social prowess—has an obvious economy. Suggestions that the geoglyph held religious significance, “as a kind of cult object” (Marples Reference Marples 1949 : 50; see also Piggott Reference Piggott 1931 ), have met with increasing unpopularity since the mid twentieth century.

A key problem with the ‘horse as symbol’ interpretation is its failure to account for unusual aspects of the geoglyph's location. While its general landscape position is commanding, it is not hugely visible, negating its efficiency as an image to be seen and ‘read’ along and off the chalk. At this point, the east–west escarpment of the Berkshire Downs pushes north and rises to more than 50m above the general scarp level, reaching 261m OD. The complex, deep and steep-sided dry valley re-entrant known as the Manger, above which the horse is sited, also makes this a striking landform. Barclay et al. ( Reference Barclay, Cromarty, Gosden, Lock, Miles, Palmer, Robinson, Miles, Palmer, Lock, Gosden and Cromarty 2003a : 246) note the special configuration of the landscape here: the “juxtaposition of a relatively high hill with a very steep-sided valley below, in an otherwise gently undulating landscape”. Seen from the north, the combined effect is visibly to enhance this section of the Downs. From the ridge above the horse, commanding views are offered north across the Vale of the White Horse and the Corallian Ridge to the southern edge of the Cotswold Hills.

Such a location offers the potential for the geoglyph to be highly visible across a wide arc. The positioning of the horse on the north-west–facing slope of the Manger, however, has the effect of blocking views to it from the east ( Figure 4 ). When seen from the north, the views are straight along the back of the horse, from its tail to its head, massively foreshortening the image. The best ground-based perspectives are achieved from Dragon Hill, and from the north-west, close to the springheads at Woolstone Wells, looking down the axis of the Manger ( Figure 5 ). Even from these locations, the position of the horse on a slope of 30–40ᵒ again foreshortens the image. Viewshed analysis shows that there are multiple areas on the same section of ridge that could afford better visibility (Egginton Reference Egginton 2011 ). As it stands, the horse is best seen from the air, a point not lost on early aerial observers (Hauser Reference Hauser 2007 : 153) ( Figure 6 ).

Figure 4. View of the geoglyph looking north and showing its position on the hillslope.

Figure 5. Views from the head and tail of the geoglyph looking towards the Manger, Woolstone Wells (left) and Dragon Hill (right).

Figure 6. The Uffington geoglyph and Uffington hillfort from the north (Major George Allen Air Archive, image number AA0239 (negative number 1240), 31/07/1933, © Ashmolean Museum, University of Oxford).

Two other aspects of the horse's design need to be taken into consideration at this point. The first is that it is laid out so that its body is tilted upwards. The top of the rear of the body is situated at around 235m OD, the front at around 240m OD, effectively following the angle of the slope of the ridge. This affords it a position that locates the axis of the body parallel to the brow of the ridge when seen from the area of Woolstone Wells. Second, the image adopts a very clear running posture, with head down, tail out and legs in wide gait. Its north-east to south-west alignment, with the head to the south-west, gives the impression of the figure following a broadly east–west route. Taken together, these observations imply that:

• Maximising visibility was not of primary concern in the creation of the horse, and, by implication, its role as a landmark or group symbol must be questioned.

• While not exploiting a position of high visibility, the setting-out of the horse paid careful respect to the details of local topography.

• The design of the horse implies movement.

• When viewed from Dragon Hill and the mouth of the Manger near Woolstone Wells, the horse is afforded the impression of running up along the brow of the ridge, in a westerly direction. If tracked back from the Woolstone Wells vantage, its ‘point of origin’ would be the flat-topped knoll of Dragon Hill.

A final observation is that the aspect of the figure—moving upwards and to the west—follows the course of the sun in its east–west journey across the sky as viewed in the northern hemisphere, and especially during its short passage around midwinter. When observed from Dragon Hill at midwinter, a distinctive effect is created, whereby the sun rises immediately behind the horse and appears to roll just above its body, staying low to the horizon due to the truncation of the lower part of its arc by the high rise of the immediate topography ( Figure 7 ).

Figure 7. The sun-roll effect as observed from Dragon Hill on 23 December 2015. The geoglyph has been digitally enhanced to afford better visibility.

The form and setting of the geoglyph are consistent with it being a sun-horse: an effigy that facilitated the diurnal movement of the sun through the sky. It is therefore better conceived as indexical, in Peircean terms, than as a sign, given that it embodies a causal connection between image and the referenced entity (Peirce Reference Peirce 1998 ). To move interpretation away from its current conceptualisation as a static symbol also allows for conceiving of the geoglyph as periodically animate at the point of conjunction of the image and the moving sun. This position recognises the relational engagement of the image to confluences of time, landscape, cosmic forces and human strategy and history—‘bundling’ in Pauketat's terms ( Reference Pauketat 2012 ). Its relationship with other features in the landscape, both topographic and constructed, also becomes an issue, and one that will be explored further later.

As a sun-horse, an immediate analogy can be drawn with imagery on Scandinavian metalwork and rock art of the mid second to late first millennia BC (Kaul Reference Kaul 1998 ; Bradley 2006), most notably the iconic Trundholm ‘Chariot of the Sun’ from north-west Zealand dating to Montelius period 2 ( c. 1500–1300 BC; Muller Reference Muller 1903 ; Kaul 2010) ( Figure 8 ). The notion of the sun as divine, pulled across the sky by a horse or horse-drawn chariot during the day, and transported through the underworld at night by boat or chariot, is a recurrent feature of Indo-European mythologies and cosmologies (Kristiansen & Larsson Reference Kristiansen and Larsson 2005 ; West Reference West 2007 : 201–209). Similar themes recur within the Old Indian Vedic Rigveda , and in Greek and Baltic mythology, including the role of the divine twin-brothers Aśvins/Ashvins/Ašvieniai, saviour or protector figures that travel with the sun and are identified with white horses (Kristiansen & Larsson Reference Kristiansen and Larsson 2005 : 297; West Reference West 2007 : 186–91; Sykes Reference Sykes 2014 : 82). Based upon linguistic/philological evidence, Sykes ( Reference Sykes 2014 : 83–84) has recently suggested that the movement from India-Iran to northern and western Europe of this package of mythology and attendant ritual practices went in tandem with the diffusion of domestic horses, as components of a ‘common horse culture’. This would fit well with current dates for the introduction of domesticated horses into northern Europe, which, while still equivocal, probably occurred at some point in the first or second quarter of the second millennium BC (Bendrey et al. Reference Bendrey, Thorpe, Outram and Van Wijngaarden-Bakker 2013 ). While such cosmological schemes are well represented within the corpus of later Nordic prehistoric imagery, the same is not true within the British Isles, perhaps because of the rarity of representational imagery. Of course, transmission may have occurred through other, perishable, media—textiles and tattoos, for example.

Figure 8. Uffington and related sun-horse and horse imagery from middle–late Bronze Age Denmark (left) and late Iron Age–early Romano-British southern England (right) (not to scale).

The Uffington Horse geoglyph is set apart from the sun-horse imagery found on the portable material culture of the Nordic Bronze Age by its sheer scale—it was created to perform in a landscape. Here, it is argued that it was conceived as the principal element of a complex that drew together natural and artificially created features of pre-existing significance. An archaeologically packed landscape, there is no shortage of significant landmarks at Uffington ( Figures 2 & 3 ). These can be described as points along the sun's/horse's journey, incorporating portals between the domains of the sky/day and underworld/night. Turning first to natural topographical affordances, one can note the arena-like space created by the re-entrant of the Manger, which offers a striking liminal space between the Vale below and the chalk ridgeway over which the horse traverses. The spring complex at Woolstone Wells affords both the best vantage point for seeing the horse and acts as a place of intersection between surface (‘land’) and underworld, from which water flows. Located immediately down the ridge-slope from the geoglyph, Dragon Hill could readily be envisaged as another point of emergence—a kind of ‘mound of origin’ ( Figure 9 ).

Figure 9. Dragon Hill and the geoglyph from the west. The geoglyph has been digitally enhanced to afford better visibility.

The upward and westerly arc of both the horse and the sun takes in other human-made features that would have been of obvious antiquity and mytho-historic status by the time the geoglyph came into being (Gosden & Lock Reference Gosden and Lock 1998 ). In journey order, these comprise a Bronze Age round barrow followed by a small long mound, both of which are within 150m of the horse, and a Bronze Age ring-ditch 550m to the south-west. Viewed from Dragon Hill and Woolstone Wells around midwinter, the sun ends its journey in the direction of the chambered Neolithic long barrow of Wayland's Smithy, 2.5km to the south-west. Excavation in the 1960s revealed late Bronze Age–early Iron Age disturbance to the mound, pottery and two bronze castings retaining clay cores that make up a horse-harness strap-fastening of Ewart Park phase (eighth century BC; Whittle Reference Whittle 1991 : 87). This is an unusual deposit and indicates an interest in the tomb, potentially within the time frame of the geoglyph's creation. The megalithic component of the second phase of the barrow was visible when the disturbance to the mound and deposition of the castings took place, although by that stage, any sense of the monument's original purpose, or of the agents responsible for its creation, would have been radically reconfigured. It is suggested here that, as an artificial stone ‘cave’, it was conceived as another portal into the underworld, and the location where the sun-horse began the nocturnal stage of its journey. As its name implies, Anglo-Saxon (and later) folklore links the monument with Wayland, the smith of the gods (Grinsell Reference Grinsell 1939 : 16–20). A connecting thread is also provided by the east–west route of the Ridgeway, potentially serving as a processional route. For this part of its length at least, a pre-Iron Age date can be advanced (Gosden & Lock 2003).

The imprecision that currently exists in the date of the creation of the geoglyph means that it is difficult to establish connections between the figure and the Uffington Castle, Rams Hill and Hardwell Camp enclosures. At the former two enclosure sites there is episodic, short-duration activity that is hardly consistent with sustained occupation. There are good grounds for arguing that both served as locales for periodic gathering linked to observances at, and maintenance of, the horse (Lock et al. Reference Lock, Miles, Palmer, Cromarty, Miles, Palmer, Lock, Gosden and Cromarty 2003 : 124). The first phase of enclosure at Rams Hill dates to between the thirteenth and tenth centuries BC (Needham & Ambers Reference Needham and Ambers 1994 ). It is unusual in several respects, not least the complexity in its periodic circuit redefinition and the presence of multiple entrances. Faunal remains show a notable emphasis on cattle, and particularly high meat-bearing elements (Bradley & Ellison Reference Bradley and Ellison 1975 : 119, 206–15). The limited evidence would best fit a role that involved gathering, consumption and short-term occupation. Its potential ceremonial role is enhanced by its situation at the head of a valley that leads down to the major early Bronze Age barrow cemetery at Lambourn, 3km to the south-east (Bradley & Ellison Reference Bradley and Ellison 1975 : 219).

The first phase of Uffington Castle came later, in the eighth to sixth centuries BC. Primary activity in the interior was short-lived and left only ephemeral traces. A small amount of fourth-century BC pottery is perhaps linked to reinstatement of the ramparts during this time (Lock et al. Reference Lock, Miles, Palmer, Cromarty, Miles, Palmer, Lock, Gosden and Cromarty 2003 : 123). Indeed, Lock et al. ( Reference Lock, Miles, Palmer, Cromarty, Miles, Palmer, Lock, Gosden and Cromarty 2003 : 124) note that “it could have been a sacred place visited, perhaps, seasonally for social activities based on ceremony and ritual”. In an inversion of a sequence common among multi-entrance Wessex hillforts, the eastern entrance was blocked during the middle Iron Age, and to the west—a cosmologically circumscribed orientation (Parker Pearson Reference Parker Pearson, Champion and Collis 1996 )—was maintained.

That the Uffington geoglyph remains a visible feature with fidelity to its original form is highly remarkable and entirely due to regular maintenance or ‘scouring’ (Barclay et al. Reference Barclay, Cromarty, Gosden, Lock, Miles, Palmer, Robinson, Miles, Palmer, Lock, Gosden and Cromarty 2003a : 245). Historical records from the eighteenth and early nineteenth centuries document scouring events at intervals of between 4 and 21 years; and “the conclusion seems inescapable that the horse has been scoured at least once every generation for almost three millennia, if not more” (Schwyzer Reference Schwyzer 1999 : 42). Against this repetition of practice—an almost institutionalised process of incorporated memory-work (Connerton Reference Connerton 1989 )—is the loss at some point in its history of its original role as a sun-horse. Certainly since its first documentary reference in the Abingdon cartularies and appearance on a list of the Wonders of Britain of the later eleventh century AD (Cromarty et al. Reference Cromarty, Miles, Palmer, Bailey, Miles, Palmer, Lock, Gosden and Cromarty 2003 : 16), it has been the “site of shifting and contested meanings” (Schwyzer Reference Schwyzer 1999 : 42).

The post-creation history of the horse prior to the earliest historical record of its existence requires further consideration. Given the longevity of sun-horse mytho-cosmology in the Nordic Bronze and Iron Ages (Kaul 2010: 535), there might be grounds to assume that the sun-horse identification of the Uffington figure was retained over a coeval period, if not for longer. Waddell ( Reference Waddell, Cooney, Becker, Coles, Ryan and Sievers 2010 , 2012) has argued that solar boat imagery (i.e. that of the mythic vehicle that took the sun on its nocturnal journey) is a recurrent feature of the decorative schema found on Iron Age and Roman-period La Tène metalwork. Horse imagery on late Iron Age Gallo-Belgic and British gold and silver coinage offers another strand of evidence ( Figure 8 ). Nash Briggs ( Reference Nash Briggs 2009 ) makes a convincing case for solar horse imagery on first-century BC gold staters, while Creighton has argued that the horse/man iconography common on such coinage enshrined the concept of sacral kingship, the idea that sacred authority was validated through ritualised unions of horse and ruler (Creighton Reference Creighton 2000 : 22–26). The origins of the latter are to be found within the same Indo-European tradition of the Aśvins/Ashvins/Ašvieniai that delineates the solar horse mythology. Solar and lunar symbols accompany horse designs on a number of Iron Age coin issues from the south and west of England, suggesting that they are also examples of sun-horse imagery.

Evidence for late Iron Age activity at Uffington is largely lacking, although it is present at nearby Rams Hill (Bradley & Ellison Reference Bradley and Ellison 1975 : 69). During the early first millennium AD, activity is more clearly registered and is again indicative of gathering and special practices, set within the context of increased agricultural intensification throughout the landscape (Barclay et al . Reference Barclay, Cromarty, Gosden, Lock, Miles, Palmer, Robinson, Miles, Palmer, Lock, Gosden and Cromarty 2003a : 262–63). The long mound to the south-west of the horse became the focus for a major inhumation and cremation cemetery during the fourth century AD, while Anglo-Saxon burials were inserted in the adjacent round barrow (Barclay et al. Reference Barclay, Booth, Cromarty, Gosden, Miles, Palmer, Miles, Palmer, Lock, Gosden and Cromarty 2003b : 38–47). Sustained late Roman activity within the Uffington hillfort, perhaps overlapping with the use of the long mound cemetery, involved the deposition of large amounts of artefactual material, including many coins (Lock et al. Reference Lock, Miles, Palmer, Cromarty, Miles, Palmer, Lock, Gosden and Cromarty 2003 ). There is little structural evidence accompanying this, giving the activity something of a ‘fair’ or ‘festival’-like character. The creation of rectangular enclosures adjacent to the earlier Iron Age rampart circuits at both Uffington Castle and Rams Hill during this period may reflect strategies to create more clearly defined sacred spaces. The one on the western side of the Uffington hillfort enclosed an earlier round barrow, again associated with Roman or early Anglo-Saxon burial (Gosden & Lock 2003). A coin hoard, figurine and burials from the ditch of the enclosure at Rams Hill support interpretation of this as the sacred precinct of a hilltop shrine (Bradley & Ellison Reference Bradley and Ellison 1975 : 71). From the fourth century, the picture is one of periodic gatherings, burials and small-scale votive offerings focused on the ridgetop and the environs of the geoglyph, perhaps with more formalised religious activity contained within specially constructed shrine enclosures. In stark contrast, evidence for Romano-British activity is absent from Segsbury Camp, 9km to the east (Lock et al. Reference Lock, Gosden and Daley 2005 ). Quite how the horse was understood and engaged with at this time remains uncertain, but it continued to exert a dominant agency.

The Uffington geoglyph is a truly remarkable monument, but one that has not been easy to accommodate within accounts of later prehistory. It is for this reason that it has become marginalised. Its identification as a sun-horse provides new context, and highlights the potential role of the Uffington complex as a pre-eminent ceremonial focus in later prehistoric Britain. The mytho-cosmological knowledge that was articulated through the creation and maintenance of the geoglyph was by no means unique to this region, possessing a broad-ranging Indo-European currency and perhaps being transmitted via long-distance networks alongside the introduction of domesticated horses (Sykes Reference Sykes 2014 ). It was, however, locally tailored for the region. Key to this translation may have been the physical and historical affordances offered by this section of the Berkshire Downs (Gosden & Lock Reference Gosden and Lock 1998 ). It is a visually dramatic section of chalk escarpment, and one that may probably have already been an important place. The chalk downs are the setting for significant monuments of Neolithic and early Bronze Age date, including Wayland's Smithy and the major round barrow cemetery at Lambourn Seven Barrows to the south. More generally, its location within southern Britain is significant as a node where major topographic entities and routeways intersect. The geoglyph sits on the northern edge of the Wessex chalk, overlooking the Thames Valley and major routes both east and west along it, as well as to the north-west, the Cotswolds and the Severn Valley beyond.

Finally, the regular and repetitive maintenance of the horse over perhaps 3000 or more years—its care—is difficult to match elsewhere in the northern hemisphere and deserves more acknowledgement. That the geoglyph is still with us, occupying a twenty-first-century landscape, is due to more than dumb repetition or un-thought tradition. It has survived because it could be constantly reincorporated within shifting values and religious beliefs, even though the changes in those were often wholesale and dramatic (e.g. the introduction of Christianity and the Reformation).

Acknowledgements

I would like to thank Richard Bradley, Mhairi Gibson, Mark Gillings, Chris Gosden, Phil MacDonald and Dale Serjeantson, and the two anonymous reviewers, for assistance and constructive comments.

Figure 1. The Uffington geoglyph. Broken lines indicate geophysical anomalies (after Miles et al . 2003a).

Figure 2. The White Horse and adjacent sites (after Barclay et al. 2003b).

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The Effect of Human–Horse Interactions on Equine Behaviour, Physiology, and Welfare: A Scoping Review

• September 2021
• Animals 11(10):2782
• 11(10):2782

• University of Prince Edward Island
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The Effect of Human–Horse Interactions on Equine Behaviour, Physiology, and Welfare: A Scoping Review

Katherine jennifer kelly.

1 Interdisciplinary Studies, University of New Brunswick Saint John, Saint John, NB E2K 5E2, Canada; [email protected]

Laurie Anne McDuffee

2 Health Management, Atlantic Veterinary College, Charlottetown, PE C1A 4P3, Canada

Kimberly Mears

3 Data and Research Services, Robertson Library, University of Prince Edward Island, Charlottetown, PE C1A 4P3, Canada; ac.iepu@sraemk

Associated Data

Simple summary.

Human–horse interactions (HHIs) are an important aspect of society, especially in the equine industry. HHIs are diverse and can be focused on horses as an economic means, pleasure, or companionship for humans. As a result, the welfare of horses during these interactions, including their mental and physical health, is an important consideration. Although the physical health of horses can be readily measured during equestrian activities, their mental health is more difficult to assess. This review was conducted to evaluate what is known about the horse’s mental state during common HHI in an attempt to better understand the welfare of the horse.

Human–horse interactions (HHIs) are diverse and prominent in the equine industry. Stakeholders have an invested interest in making sure that HHIs are humane. Assessment of equine welfare goes beyond physical health and includes assessment of the emotional state of the animal. HHIs can have a permanent effect on human–horse relationships, thereby influencing welfare. Therefore, an understanding of the horse’s affective state during HHIs is necessary. A scoping review was conducted to: (1) map current practices related to the measurement of HHIs; (2) explore the known effects of HHIs on horse behaviour and physiology; and (3) clarify the connection between HHIs and equine welfare. A total of 45 articles were included in this review. Studies that used both physiological and behavioural measures of equine response to human interactions accounted for 42% of the included studies. A further 31% exclusively used physiological measures and 27% used behavioural observation. Current evidence of equine welfare during HHIs is minimal and largely based on the absence of a negative affective state during imposed interactions. Broadening the scope of methods to evaluate a positive affective state and standardization of methodology to assess these states would improve the overall understanding of the horse’s welfare during HHIs.

1. Introduction

Horses were domesticated around 4000 B.C. and have long been valued for their important contributions towards human survival, development, and recreation [ 1 ]. Understanding the complex relationship between horses and humans has significant implications for safety, for both horse and human [ 2 , 3 , 4 ], as well as horse welfare [ 5 , 6 ].

The relationship between humans and animals is considered to be an evolving process, defined as a mutual perception that develops from mutual behaviour [ 7 ]. The relationship is developed from ongoing interactions which may have a positive or negative cumulative effect. The human–horse relationship, more specifically, is posited to benefit both species when developed through positive interactions and consistency [ 5 , 8 ]. There are many studies suggesting the benefit of human–horse interactions (HHIs) for humans, especially in regard to equine-assisted therapies (for reviews, please consult [ 9 , 10 , 11 , 12 , 13 ]); however, little is known about the effect of these interactions on the horses [ 6 , 14 ]. The lack of developmental standardization regarding the potential effect of therapy and other HHIs on animal welfare poses potential risks to both animals and humans [ 15 ].

In a systematic review on equine-assisted activities, O’Haire et al. [ 14 ] noted that no outcomes related to animal welfare were reported in identified primary studies. However, investigators argue that animal welfare is crucial to successful and ethical outcomes from human–animal interactions. As a result, the potential effect that these HHIs may have on equine welfare is unclear. This need for focused investigation on animal welfare relative to HHIs has been emphasized in the Five Domain Model [ 16 ]. This framework describes five critical areas relevant to animal welfare assessment and management: nutrition, environment, health, behaviour, and mental state.

While assessment of many aspects of animal welfare can be straightforward, assessment of an animal’s mental state is more challenging. Because horses have been domesticated and can be readily trained and habituated to withstand aversive stimuli presented during HHIs [ 17 ], behaviour alone may not be an appropriate measure of mental state. Physiological measures obtained during HHIs can help to ascertain a horse’s mental state. Horses have been historically considered farm animals where they were used as working equids. HHIs have evolved to include horses as sport animals, companions, and more recently as therapy animals. The mental state of horses may be a particularly important consideration in horses used for therapeutic interventions with humans having mental health issues such as post-traumatic stress disorder (PTSD) [ 10 ] since entrainment theory is considered to occur during such HHIs [ 18 ]. Entrainment theory describes a process of mirroring in the interaction between independent mechanisms [ 19 ], such as between the physiology of the horse and human during therapy sessions. In other words, entrainment suggests that the functioning of a human’s psychophysiology may have an effect on the health of the animal. For example, it has been suggested that the emotional state of humans may have an impact on interactions between humans and horses [ 18 , 20 ], which may have implications for animal welfare [ 21 ]. A review of HHIs in various environments where horses are considered in these various roles and what they might reveal about the welfare of the horse is therefore warranted.

The human–horse relationship is well documented in the literature by three major reviews [ 5 , 18 , 22 ]. Hausberger et al. [ 5 ] explored the state of knowledge related to the interplay of several aspects of HHIs within a variety of equine related experiences and environments. This review highlighted the relevance of human management and care on equine interactions as a means to improve the human–horse relationship. Specifically, researchers emphasized the importance of positive interactions as a means to improve future interactions and improve human safety and equine welfare. In a more recent review, Clough et al. [ 22 ] focused on the nature of the human–horse relationship in horses used specifically for pleasure riding. Despite the extensive breadth of these two reviews, it remains largely unclear how interactions with humans affect the horse. Finally, Scopa et al. [ 18 ] highlighted the mechanisms that lead HHIs to become a relationship and the role of emotional transfer between the horse and human in the development of this bond. A clear understanding of HHIs and their effect on the horse perspective of humans has significant implications for equine welfare. The interconnection between equine learning, motivation, and stress mechanisms during interactions with humans are integral to horse welfare and management [ 23 ].

This paper aims to review current practice related to the measurement of HHIs and explore the known effects of these interactions on equine physiology and welfare. Previous research has suggested that a variety of tools are used to assess HHIs [ 5 ]. This study aims to systematically detail how the effects of these interactions are measured in the equine partner, the known effects of HHIs, and explore how HHIs affect the welfare of the horse.

2. Methods and Materials

A scoping review was chosen to better understand the state of the literature on HHIs and its effect on the equine partner. Scoping reviews use structured methods for summarizing knowledge on a topic [ 24 ], particularly in topics that consist of diverse methods and disciplines [ 25 ]. Unlike other types of structured reviews, such as systematic reviews, scoping reviews allow for heterogeneity in methodological scope to identify gaps in knowledge areas [ 26 ].

The process for the current review was guided by Khalil et al.’s [ 27 ] evidence-based approach to conducting scoping reviews, using a methodology based on frameworks proposed by Arksey and O’Malley [ 28 ]; Levac, Colquhoun, and O’Brien [ 24 ]; and the Joanna Briggs Institute [ 29 ]. The development of the methodology consisted of the following five steps: (1) identify the research question(s); (2) identify relevant studies using a three-step literature search; (3) select studies using a team approach; (4) chart the data in tabular and narrative format; and (5) collate the results to identify implications for practice and research. This process, as it pertains to the current review, is described in the following five sections.

2.1. Identify the Research Question(s)

The current scoping review aimed to: (1) map current practice related to the measurement of HHIs; (2) explore the known effects of these interactions on equine behaviour and physiology; and (3) clarify the connection between HHIs and equine welfare. The following broad research questions were used to guide the present scoping review:

• How are the effects of HHIs measured in the horse?
• What are the known effects of HHIs on equine physiology?
• How do HHIs affect the welfare of the horse?

This is the first review, to the authors’ knowledge, that has attempted to summarize the effect of HHIs specifically on equine physiology and welfare. However, the nature of the HHIs and human–horse relationship is well documented in previous reviews [ 5 , 22 ].

2.2. Identify Relevant Studies Using a Three-Step Literature Search

A comprehensive three-step search strategy was developed by an experienced research librarian (KM) in consultation with the research team. The first step of the search strategy consisted of a search of two databases (PsycInfo and CAB Direct via EBSCOhost) to identify titles and abstracts of studies that examined the human–horse bond. The text words used in identified articles at this preliminary stage (e.g., in titles, abstracts, and keywords) were examined and used to identify additional keywords, subject headings, descriptors and related search terms. The second stage of the search strategy involved using the identified keywords to conduct a more comprehensive search of the literature. Searches for relevant articles were completed on 13 August 2019 in three electronic databases: PubMed, CAB Abstracts via the EBSCO host platform, and PsycInfo via the EBSCOhost platform. Updated searches in these same databases took place in September 2020 and June 2021. The syntax for the search strategy in each database is outlined in Table S1 .

The third step of the search strategy included a search for scientific evidence published in sources other than journals, such as peer-reviewed textbooks and publications from other sources, and evidence-based consensus expert opinion statements. The search consisted of a broad search on Google and several veterinary medicine and general databases (e.g., Open Grey) using the following keywords: “human horse bond” or “human horse relationship” or “human horse interaction”. A full list of the grey literature databases and corresponding keyword searches are available in Table S2 . Sources were screened in Google according to titles until the point of saturation (i.e., after 2 pages passed in which a link was not opened).

2.3. Selection of Studies Using a Team Approach

Citations from articles identified by the keyword searches were exported from their respective databases and imported into Rayyan QCRI, a free systematic review software that facilitates the organization and screening of articles [ 30 ].

2.3.1. Eligibility Criteria

A priori inclusion and exclusion criteria were established by the research team to guide the identification of relevant articles (see Table 1 . In accordance with the research questions, articles were only included in the current review if their primary focus involved HHIs. This “bond” has also been referred to as an interaction [ 31 ], dyad [ 32 ], and relationship [ 5 ] in the literature. Articles were required to refer directly to the human–horse interaction/bond/dyad/relationship as a main focus to be considered for inclusion in the present review and specifically examine the effect of those interactions in the horse. Therefore, articles that exclusively examined the effect of the HHIs in humans (e.g., equine-assisted therapy) were not included. Studies were included in this study if the primary objective related to the measurement or description of encounters between horses and humans. Studies that investigated the effect of an intervention whereby the presence of the human is not considered (e.g., responses to object-based novel stimuli) were not included in the present review.

Inclusion and exclusion criteria.

Articles were excluded if they did not focus specifically on the equine species (e.g., canine–human bond, etc). Articles were included if they reported primary research findings (i.e., reviews and editorials were not included) and were available as a full text in English. Finally, articles that focused on horses in developing countries, according to the United Nations’ Human Development Index (HDI) reports, were not included [ 33 ].

2.3.2. Study Selection

Articles identified in the keyword searches underwent a careful process of selection to be included in the current scoping review. The selection of articles consisted of a screening of titles and abstracts, followed by a more in-depth screening of full-text articles. Duplicate articles were identified and removed by the lead author (KK). Two reviewers (KK and a research assistant) independently conducted the first level of title and abstract screening against the established eligibility criteria. A calibration test on 50 titles and abstracts was conducted to evaluate reviewer agreement in the screening process; this resulted in a kappa statistic of 0.716 (SE = 0.100, 86.79% agreement; measure of inter-rater agreement), which was considered sufficient for further independent screening [ 34 ]. Reviewers met to discuss any discrepancies, and a third reviewer (LM) resolved any outstanding conflicts.

The second stage of study selection consisted of the retrieval of full-text articles for included titles and abstracts, which were imported into Rayyan QCRI for further evaluation and data extraction. The same two reviewers independently screened full-text articles using the same process as the one described above.

2.4. Chart the Data

The two reviewers (KK and a research assistant) independently charted (i.e., extracted) data using a data extraction form developed by the research team using Google Drive ( Table 2 ). We created columns and rows to describe the papers and their features, and piloted our spreadsheet for data extraction. Variables included: (1) information about the study; (2) methodological process; (3) description of HHIs; and (4) key findings of study. Inconsistencies in data extraction were reviewed and discussed among the members of the research team using an iterative process. Only findings related to the research questions were extracted for the purposes of this study; results that focused on the effect of HHIs on human participants were not considered.

Data extraction form.

2.5. Collate the Results

Through this scoping review, we aim to clarify any effects of HHIs on the physiology and welfare of the horse, including approaches to its measurement. Therefore, the results will be analyzed and presented in a narrative format, which will involve a qualitative thematic analysis of the results to illustrate key findings and themes. Thematic analysis is a flexible process of identifying, analyzing, and reporting patterns within a data set, providing a detailed and in-depth description of qualitative data [ 35 ]. Data analysis was completed by reading through studies, and then taking notes on first impressions. A second reading of the studies involved extracting information into a form (see Table 2 ) and creating sub-themes. Sub-themes were developed into major themes, as appropriate (see Table S3 ). Resulting themes provide an interpretation and synthesis of findings beyond the boundaries of individual studies to provide clarity on the effects of HHIs on the horse.

3.1. Selection of Included Articles

A total of 348 articles was identified by the keyword searches across three databases (PsychInfo, CAB Abstracts, and PubMed). Specifically, 245 were identified in July 2019, 58 in September 2020, and 45 in June 2021. A further 28,866 sources were identified through a structured search of other literature, including Google and various veterinary medicine sources. After removal of duplicates, 275 academic articles underwent title and abstract screening, from which 193 were excluded. This resulted in 96 academic articles that underwent full-text screening, from which another 52 were excluded. A total of 19 potentially relevant sources were identified in the other literature search; 9 underwent full text evaluation, from which 8 were excluded. The reason that only 19 sources were evaluated from thousands identified is because the lack of advanced search tools in the other literature databases meant that many identified sources were not relevant. Detailed results from each of the other literature databases used in this study can be viewed in Table S2 . The search strategy resulted in a total of 45 articles included in the current scoping review. Extracted data from articles are available in Table S4 . A Preferred Reporting Items for Systematic Reviews and Meta-Analysis (PRISMA) flow chart outlines the search results according to each stage of the decision process in Figure 1 [ 36 ].

PRISMA flow chart [ 36 ].

3.2. Article Characteristics

3.2.1. study populations.

Studies varied in the reporting of equine participants. A total of 1934 horses were used across all 45 studies, with a mean of 44 and median of 20, ranging from 3 to 339. One study, which observed three herds of undomesticated horses [ 37 ], did not report the number of equine participants.

A total of 23 studies (51.1%) reported the breed of horses used in studies. Reported breeds were described as follows: various breeds (6); Dutch warmblood horses (2); standardbred (2); thoroughbred (2); Anglo-Arabian (1); Anglo-Arabs and Welsh ponies (1); Konik polski horses (1); Hanoverian Riding Horses (1); Małopolski horses (1); multiple (Swedish warm-blood horses, Andalusian) (1); ponies and a horse (1); ponies of unregistered mixed breed (1); Welsh mares (1); and working horses (1).

A total of 16 studies reported the age of equine participants. A total of 3 studies categorized horses as foals and a further 9 reported horses as adults. Specific ages were reported in 10 of the 16 studies: 16 to 18 months (1); 5 to 13 years old (1); 2 to 24 years old (1); 6 to 13 years old (1); 8 to 20 years old (1); 22 years old; and 4 to 28 years old, with 2 studies reporting averages (i.e., means) of 7.4 years old (SD = 3.4); 14 years old (SD = 6.98); and 17.3 years old (SD = 5.7). A total of 16 studies reported on the sex of equine participants, described as follows: geldings and mares (7); geldings (2); geldings, mares, and stallions (2); colts and fillies (2); broodmares and stallions (1); females and geldings (1); and females and males (1).

3.2.2. Nature of HHIs

Horses interacted with humans in a variety of ways in the included studies. Handling was observed in 21 studies (46.6%), followed by riding in 11 studies (24.4%). A total of 4 studies described an interaction that did not involve physical contact between horses and humans (e.g., observation of behaviour in proximity to a human). Another 4 studies examined a combination of riding and handling interactions. A total of 3 studies investigated handling and grooming, 1 focused on riding, and 1 on training, exclusively.

3.2.3. Publication Years of Papers

All 45 papers in the current review were published between the years 2002 and 2021. The greatest number of papers were published in 2018 (n = 8), followed by 5 each in 2017 and 2020. Only 1 paper was published before the year 2008.

Included papers were published across a range of journals in veterinary health and medicine. Over a third (35.5%, n = 16) of papers were published in Applied Animal Behaviour Science and 5 papers were published by Animals , followed by three papers in Physiology & Behavior . A total of 2 papers each were published by the following seven journals: Animal Cognition; Animal Science Journal; Behavioural Processes; Bulletin of University of Agricultural Sciences and Veterinary Medicine; Frontiers in Veterinary Science ; Journal of Applied Animal Welfare Science; Society & Animals; and The Veterinary Journal . Finally, 1 paper was published in each of the following seven journals: Applied Animal Science; Anthrozoos; Bulletin of the Veterinary Institute; Early Child Development and Care; Journal of Equine Veterinary Science; Journal of Veterinary Behavior; and Journal of Veterinary Research.

3.2.4. Description of Studies

Both physiological and behavioural measures of horse response to human interactions were reported in 42.2% (n = 19) of studies; a further 31.1% (n = 14) exclusively used physiological measures and 26.6% (n = 12) used qualitative measures (i.e., behavioural observation). Only six papers described studies that included a control group or condition [ 38 , 39 , 40 , 41 , 42 , 43 ].

3.2.5. Country of Study

All 45 papers were published in English and available in full-text, though were conducted across 11 different countries. A total of 8 studies were conducted in France, followed by 6 each in Italy and Poland, 5 in Canada, and 4 in the United Kingdom. A total of 3 studies were conducted in the Netherlands and Sweden, and 2 in Japan, Romania, and the United States. Finally, 1 study was conducted in each of the following four countries: Australia, Germany, New Zealand, and Thailand.

3.3. Measurement of HHIs in the Horse

3.3.1. physiological measures.

Approximately three quarters of the studies in the present review used physiological measurements to explore the effect of the HHIs. Heart rate (HR) data was obtained in 27 studies [ 37 , 38 , 39 , 40 , 42 , 43 , 44 , 45 , 46 , 47 , 48 , 49 , 50 , 51 , 52 , 53 , 54 , 55 , 56 , 57 , 58 ]. Of these studies, 23 used the Polar HR monitor on horses alone, while 2 studies used the Polar HR monitor on horses and humans [ 38 , 45 ]. A total of 2 studies used a portable electrocardiogram (ECG) for collecting HR data [ 51 , 59 ] from horses. Of studies that collected HR data, 11 reported HR alone [ 37 , 38 , 40 , 42 , 44 , 45 , 49 , 50 , 54 , 55 , 56 , 60 ] and 9 reported HR and heart rate variability (HRV) measures [ 39 , 43 , 47 , 48 , 52 , 53 , 57 , 58 , 59 , 61 , 62 , 63 , 64 ].

Cortisol data was obtained in 9 studies [ 41 , 43 , 51 , 61 , 63 , 64 , 65 , 66 , 67 ]. A total of 4 studies collected blood samples [ 41 , 51 , 61 , 65 ] and 5 collected saliva samples [ 43 , 63 , 64 , 66 , 67 ] for measurements of cortisol concentrations. Finally, 3 studies collected other measurements including eye temperature [ 46 , 57 ], core temperature [ 45 ], plasma lactate concentrations [ 65 , 68 ], plasma β endorphin [ 65 ], adrenocorticotropic hormone (ACTH) concentrations [ 61 , 65 ], and muscle tone [ 66 ].

3.3.2. Behavioural Measures

Two thirds of the studies in this review used behavioural observation measures to explore the effect of human interactions on the horse. Observations of equine behaviour consisted of direct observation in 19 studies (42.2%) [ 42 , 44 , 47 , 49 , 52 , 53 , 56 , 60 , 61 , 69 , 70 , 71 , 72 , 73 , 74 , 75 , 76 , 77 , 78 ], and remaining studies (n = 12) used video analysis [ 38 , 39 , 40 , 48 , 50 , 62 , 63 , 64 , 68 , 79 , 80 , 81 ].

Likert scales were used to describe equine behaviour in eight studies [ 40 , 47 , 48 , 49 , 64 , 68 , 76 , 79 ]. A total of 2 studies adapted scales described in the literature [ 47 , 68 ]. Only 1 study [ 76 ] developed a qualitative behaviour rating scale that originally consisted of 36 qualitative expressions and were narrowed down to 13 descriptions of horse behaviour by focus groups with horse professionals. Similarly, Minero et al. [ 76 ] used qualitative behavioural assessment with veterinarian observers to investigate the response of foals to unfamiliar humans. Development of descriptors for likert ratings was also described in Birke and Hockenhull [ 45 ]’s study on pairings with familiar and unfamiliar humans. External observers were asked to view video recordings of human–horse dyads and describe interactions in their own words. Transcripts were used to develop a word map, from which researchers used the four most frequent words (tension, cooperativeness, trust, and attention) to generate likert scales for a second panel of observers. Only 1 study used a self-reported survey, completed by horse owners, to understand HHIs [ 73 ].

Ethograms were explicitly described in 9 studies [ 38 , 39 , 42 , 48 , 50 , 52 , 53 , 58 , 61 , 72 , 75 ]. Blokhuis et al. [ 38 ] used an ethogram of observational behaviours related to horse discomfort, such as head-toss and rear, in connection to the position of the rider’s seat. Similarly, Mendonca [ 52 ] developed an ethogram to measure horses’ emotional state, consisting of the physical movements of horses (i.e., ears pinned, lateral head movement), vocal expressions (i.e., snorts), and defecation. Finally, Thorbergson et al. [ 42 ] developed a list of 32 horse behaviours that were separated into three groups (agitated, relaxed, and ambiguous) based on previous research. Coding of equine behaviour was described in other studies, often created for the purpose of the study [ 44 , 63 ]. Standardized behavioural tests were used in many of the studies in the current review. In many cases, these tests (e.g., motionless person test) were adapted to each individual study (e.g., [ 59 , 62 , 69 , 70 , 71 , 74 ]). For more information on the standardized tests used in studies, see 4.4.1 below.

3.4. Findings from Thematic Analysis

The thematic analysis is presented in an Excel spreadsheet in Table S3 . All 39 papers were classified into six major themes:

• Standardized Behavioural Tests
• Incongruent Behavioural and Physiological Responses
• Horse Emotional State and Response
• Background and Experiences of Human Participants
• Human–Horse Relationship and the “Buffering” Effect
• Equine Welfare

3.4.1. Theme 1: Standardized Behavioural Tests

Repetition of HHI tests were observed across many studies in the current review. The voluntary animal approach test was used in three studies [ 69 , 70 , 71 ]. In this test, the latency time in seconds for a horse to approach a human who is standing still outside of its box is recorded. Similarly, the motionless person test assesses whether a horse approaches either a familiar or unfamiliar human who is standing still at a distance from the horse. The motionless person test was used in six studies [ 49 , 50 , 54 , 62 , 74 , 80 ]; two of these studies tested the effect of both familiar and unfamiliar humans [ 49 , 50 ].

The forced animal approach test was used in eight studies [ 49 , 50 , 69 , 70 , 71 , 74 , 76 , 77 ]; this test examined horse response to a human that approaches the horses. Similarly, the avoidance tests, which assesses the proximity that a human can reach to an equine before the animal moves away, was used in four studies [ 59 , 69 , 70 , 76 ]. Finally, the novel object tests, which assesses equine response to an unfamiliar or new object, was used in two studies [ 49 , 56 ].

3.4.2. Theme 2: Incongruent Behavioural and Physiological Responses

Inconsistency between measures of equine behaviour and physiological response was noted in three studies [ 47 , 48 , 57 ]. Janczarek et al. [ 47 ] exposed horses to human physical contact over a six day period, where contact consisted of stroking different body regions (head, neck, trunk, front limbs, and hind limbs). Strokes were associated with greater excitability, as identified by increases in HR and HRV (r = 0.53, p < 0.05 during head strokes); however, behavioural changes (observations based on a scale of horse attitude), were not noted in relation to this physical contact. Stroking different regions of the horses’ bodies led to different physiological responses, depending on individual preferences.

In contrast to these findings, Konig von Borstel et al. [ 48 ], observed that human interaction with horses (i.e., riding and leading) had a stronger effect on behavioural change, specifically reactivity and emotionality, than on HR and HRV. Finally, when horses were ridden through novel obstacles, Squibb et al. [ 57 ] noticed that physiological indicators of stress (i.e., heart rate (HR), heart rate variability (HRV), and eye temperature) were not associated with compliance. The researchers suggest that horses’ observable behaviour did not appear to reflect their psychological and physiological response to stress.

3.4.3. Theme 3: Horse Emotional State and Response

The relationship between horses and humans and its effect on horse emotional regulation was a focus of multiple studies in this review [ 39 , 55 , 58 , 69 , 70 ]. Studies varied widely in their approach to measuring the emotional state of horses. While HR [ 49 , 50 , 54 ] and HRV [ 47 , 48 , 59 ] were used to measure emotional reactivity, most studies used both physiological and behavioural measures [ 47 , 48 , 49 , 50 ]. Only three studies [ 72 , 73 , 78 ] examined behavioural measures alone; specifically, whether frequency of snorts [ 78 ], horse muscle tension and posture [ 73 ], and other observable behaviours [ 72 ] correlated to the horses’ emotional state.

Although HR and HRV were often used to determine horse emotional reactivity [ 54 ], the validity and reliability of physiological measures for reactivity was contested by one study [ 50 ]. Lansade and Bouissou [ 50 ] observed that HR did not correlate with previously supported behavioural indicators of reactivity and was not reliable over time; the researchers argue that HR is too sensitive and non-specific due to external influences beyond the experimenter’s control (e.g., noises or visual stimuli).

The connection between physical touch of the horse and emotional reactivity was examined in three studies [ 47 , 49 , 59 ]. Janczarek et al. [ 47 ] observed that stroking was associated with greater excitability in horses, as identified by an increase in HR and HRV. Stroking different bodily regions led to different physiological responses, which researchers believe correspond to individual horses’ preferences; this finding was also observed by Kozak et al. [ 49 ]. Similarly, grooming led to lower HRV in Scopa et al. [ 59 ].

A sub-theme related to components of horse temperament was observed in three studies [ 48 , 49 , 50 ]. Kozak et al. [ 49 ] noted that emotional reactivity appears to be a trait consisting of multiple variables rather than one indicator of horse temperament. Fear reactivity to interaction with humans was found to be a key and stable component of horse temperament in one study [ 48 ], and a potentially stable “reactivity-to-humans” trait was observed in another [ 50 ].

Equine stress as a measure of reactivity to humans represented another sub-theme related to horse emotional state and regulation. Similar to studies examining emotional reactivity, most studies attributed change in physiological measures to observations of stress in the equine. These measures included HR and/or HRV [ 40 , 42 , 44 , 57 , 61 , 62 ], cortisol levels [ 41 , 65 ], and core eye temperature [ 57 ]. Familiarity with humans was shown in some studies to influence the stress response in horses [ 44 ]; specifically, horses demonstrated lower stress responses to familiar than to unfamiliar humans [ 59 ]. However, this was not substantiated in all studies [ 75 ].

3.4.4. Theme 4: Background and Experiences of Human Participants

The majority of studies described adult human participants; however, eight papers described studies with more specific human populations. Children and youth were used in five studies [ 44 , 61 , 65 , 66 , 67 ], four of which included children with complex health care needs [ 61 , 65 , 66 , 67 ], and one with at-risk adolescents [ 44 ]. One study [ 51 ] described veterans diagnosed with post traumatic stress disorder, and another [ 40 ] examined the influence of patients with psychological and physical challenges.

The humans used in studies had various levels of experience with horses. Twelve studies used experienced handlers [ 46 , 58 , 59 , 60 , 72 , 79 , 81 ], riders [ 38 , 45 , 68 , 78 ] and/or trainers [ 55 ]. Five studies used novices, specifically children and adolescents [ 44 , 61 , 65 , 66 , 67 ]. Three studies examined the influence of humans with a variety of experience with horses [ 41 , 53 , 54 ]. Approximately half of the included studies (n = 25, 55.5%) did not provide a description of the experience level of human participants.

3.4.5. Theme 5: Human–Horse Relationship and the “Buffering” Effect

Many studies in the current review referred to the potential of a “buffering” effect where the presence of a human was observed to result in diminished horse reactivity [ 58 ] and facilitated habituation [ 82 ]. In studies where detailed observations and descriptions of the relationship between horses and humans was provided, horses paired with familiar humans were observed to have a strong human–horse relationships evidenced by working together in a coordinated manner [ 79 ]. Conversely, unfamiliar humans led to detrimental observations of behavioural measures [ 79 ] of the human–horse bond.

Studies using objective behavioral and physiological measures to evaluate the effect of humans on horses during HHIs also suggest a “buffering” effect [ 46 , 58 ] when humans were present, but this was not dependent on the human being familiar to the horse. Similarly, Hartman et al. [ 60 ] did not observe a change in equine behaviour, specifically ease of handling, as a function of handler familiarity.

The perception of humans in general [ 70 ] and exposure over time [ 56 , 62 ] also appears to play a key role in the development of the human–horse relationship. In a study examining interactions between at-risk adolescents and horses in a therapy setting, Arrazol and Merkies [ 44 ] noted that human emotional and mental difficulties appeared to influence the horses’ perception of humans; however, over time, horses demonstrated improved social bonds to humans, suggesting that familiarity and exposure plays a key role in developing a strong human–horse bond [ 63 , 70 ]. Similarly, Visser et al. [ 58 ] noted an increase in heart rate and decrease in heart rate variability, which was more pronounced in untrained horses, suggesting a buffering of emotional reactivity when horses had previous experience with a handler/human.

Training experience may also have an important influence on the human–horse relationship, as observed in two studies [ 55 , 71 ]. Negative reinforcement [ 55 ] and traditional handling exercises, as opposed to natural horsemanship [ 71 ], were specifically found to negatively impact the human–horse relationship. These experiences, which resulted in a poor bond with humans, has led to concerns regarding safety and handling [ 76 ]. The generalizability of these findings, however, is not clear. In a study investigating the impact of stressful physical contact (i.e., grooming and handling) on the human–horse bond, Gorecka-Bruzda et al. [ 62 ] did not observe an impact on the human–horse bond if these experiences took place during the pre-weaning stage.

Some studies have shown the possibility that the presence of a human can moderate the horse’s emotional response to various stimuli. Munsters et al. [ 68 ] observed a decrease in the heart rate of horses used for police riot work, to which they attributed to mean that the rider was able to mitigate the horses’ fear response. The importance of a good horse-rider match in reducing stress in ridden horses has also been demonstrated [ 53 ]. Furthermore, a behavioural observation of horses that were ridden and led showed that leading resulted in lower behavioural reactions, which was interpreted to mean that a handler on the ground may have a stronger influence on horses’ behaviour than when mounted [ 46 ].

3.4.6. Theme 6: Equine Welfare

The welfare of horses was the focal point of many studies in the current review. The effect of therapeutic sessions on equine participants was examined in four studies where welfare was assessed through stress levels [ 51 , 61 , 65 , 66 ]. Three of these studies [ 51 , 61 , 66 ] did not observe changes in cortisol concentration or HR in horses used for therapy sessions, suggesting that therapy may not be a stressful event for horses. One study [ 65 ] noted a higher stress response, as indicated by cortisol levels, in horses ridden by children with psycho-motor disabilities than healthy children. One explanation for these findings is that the training horses receive to become therapy horses may impact horse perception and emotional regulation, in effect influencing behavioural and physiological responses to stimuli [ 52 ]. Modifying horse perception to novel stimuli and regulating the behavioural and physiological response may require repeated exposure to a new environment, such as the therapeutic setting [ 44 ]. However, exposing horses to environments beyond the scope of their specific training, which may induce fear or require aggressive training techniques during exposure, should be avoided as this may have negative consequences for their overall welfare [ 52 , 68 ].

Handling techniques used by humans in other types of human horse interactions were identified as an important component of equine welfare. Costa et al. [ 69 ] noted through direct observations of horse behaviour that horses cared for in a “sub-optimal” environment demonstrated adverse behaviours (e.g., avoidance and aggression) towards all humans. Poor treatment by humans was also associated with unwanted behaviours in other studies [ 77 ]; for example, poor handling is associated with horse behaviours, including fear of humans as a function of greater arousal and aggressive behaviours (rτ = 0.6, p < 0.05). [ 76 ]. Moreover, positive versus negative reinforcement is associated with horse emotional reactivity [ 55 ]. Specifically, Sankey et al. [ 55 ] noted that positive reinforcement was observed to lead to increased, long-term interest in humans, whereas negative reinforcement led to increases in emotional reactivity as indicated by increases in HR and avoidance of human contact.

4. Discussion

This scoping review aimed to explore how the effects of HHIs are measured in the horse and the known effects of these interactions on equine physiology and welfare. A total of 45 articles from eleven different countries were identified by the search strategy. Nearly all of the articles, with the exception of one, were published after the year 2008 when Hausberger et al. [ 5 ] published their seminal review on the human–horse relationship. Studies included a total of 1934 equine participants of diverse breeds, backgrounds, and ages. Interactions between humans and horses primarily consisted of handling (46.6%) and riding (24.4%). Remaining HHIs included a combination of riding and handling (8.9%), no physical contact (8.9%), handling and grooming (6.7), riding (2.2%), and training (2.2%). Measures of these interactions included behavioural observation and physiological measures, including HR, HRV, cortisol (blood and saliva), muscle tension, eye temperature, core temperature, plasma lactate concentrations, plasma β endorphin, and adrenocorticotropic hormone concentrations. Nearly half (42.2%) of the included studies used both behavioural observation and physiological measures in the assessment of HHIs. A further 26.6% only used behavioural observation and 31.1% exclusively used physiological measures.

This review sought to identify the various ways that interactions between horses and humans are measured. Various practices of assessment and measurement of HHIs have been identified in the literature. In a previous review investigating the nature of HHIs, Hausberger et al. [ 5 ] noted that measurements of interactions fell into three categories: (1) observation (i.e., ratings of equine behaviour and/or personality); (2) behavioural tests and measures (i.e., standardized assessments and/or scores of reactivity); and (3) physiological measures (e.g., HR, HRV, and salivary and blood cortisol samples) [ 5 ]. This diversity in measurement of HHIs was also observed in the current study, whereby studies exclusively used behavioural or physiological measures, or a combination of observed or standardized behavioural assessment with physiological measures. Importantly, the majority of articles identified in this review (69%) were published since the previous review by Hausberger et al. [ 5 ] thus providing an update on the literature in this field.

More general reviews on human–animal interactions reveal the use of questionnaires, consisting of self-reports or subjective reporting by others [ 31 , 83 , 84 ]. The use of subjective reports was only observed in one study in the current review [ 73 ]. The ultimate goal of such assessments in determining the affective state of the animal and indicating whether the interaction is indeed positive, can be difficult to ascertain as it is based on the human perspective. The use of objective physiological measures provide an unbiased perspective that apparently represent the state of the horse. HHIs observed in the current review included led, ridden, and unrestrained interactions. Therefore, some interactions were imposed upon the horse, during which time behaviors and physiological measures were obtained to assess the horse’s “affective state”. With unrestrained, voluntary interactions, the horse had a choice to interact or not; however, behavioral observations were recorded without physiological measures for some of these interactions. In the reviewed studies, equine focused measurements included both behavioral and physiological measures yet only a few papers measured both during all types of interactions (see Table S4 for more information); this finding is supported by previous investigations [ 22 ].

4.1. Limitations

This scoping review sought to provide an overview of current practices related to the measurement of HHIs and explore effects of these interactions on horse behaviour, physiology, and welfare. Due to limited research on the topic, the present synthesis covered a wide range of equine and human populations, allowing for learnings across different contexts. This may also be a limitation of the present study. The heterogeneity in equine participant breed, age, and use, may have contributed to the diversity in findings, which likely affect the generalizability of findings from this review. Moreover, unlike systematic reviews, scoping reviews do not assess the methodological rigor or quality of primary studies. Instead, they rely on the critical appraisal and interpretation of results in each of the assessed studies.

Despite our rigorous approach to article identification and evaluation, it is possible that some relevant articles may have been missed. More specifically, although every effort was made to capture articles that describe HHIs, it is unlikely that every relevant article was identified by the database search strategies. For example, the addition of the search terms “gelding” and “filly” may have led to the identification of additional papers. Moreover, interactions within the sport literature may have been inadvertedly missed due to a lack of specified keywords (e.g., polo). Finally, given the extensive use of horses across various settings, it is likely that some articles in the non-academic databases may not have been documented in this review.

4.2. Gaps and Recommendations for Future Research

This scoping review supports previous findings related to HHIs that current evidence and measurement practices in the literature are varied and heterogeneous [ 22 ]. To date, there appears to be little consensus regarding reliable and valid measures of horse emotional state and reaction to human interaction. The science of human–animal interaction is often criticized for lack of methodological rigor and use of standardized tools [ 5 , 31 , 83 ] and its subsequent influence on animal welfare [ 83 ]. Significant heterogeneity was observed between studies examining the effect of HHIs on horses, reflecting similar reviews on the topic [ 22 ]. This finding indicates a need for standardization in measurement and reporting to improve understanding on the impact of HHIs on the horse. To determine the effect of various human interactions on equine behaviour, physiology, and welfare, further research employing standardized assessment and objective inquiry are required. Based on this review, several gaps in the literature have been identified that need to be addressed.

Many of the studies in the current review attempted to measure stress and concluded that lack of stress, based on physiological and behavioural indicators, was an indication of good welfare during human horse interactions. Although this is one component of welfare, positive experiences perceived by the animal are also an important aspect of animal welfare [ 85 ]. Therefore, more robust evaluations of welfare, including measurements of the horse’s affective state during human horse interactions, are warranted. This was also the recommendation in reviews by Hall et al. [ 6 ] and Merkies [ 17 ]. A more comprehensive evaluation will likely require the combined use of current methods along with addition of new methods; for example, through the continued use of physiological and behavioural measures of stress along with measures that assess a broader aspect of horse affective states. These could include ethograms with affiliative behaviors [ 86 ] and physiological measures of hormones of well-being such as oxytocin and serotonin [ 87 ]. Studies using a cognitive bias approach also show promise toward understanding animal emotion [ 88 ]. An emphasis on methods that use both behavioural and physiological measures is necessary since behavioural responses to the environment can be suppressed. Horses with passive coping styles [ 89 ] and horses who are well trained [ 17 ] may not readily show behaviours indicative of stress or aversion, while physiological measures continue to indicate sympathetic nervous system (SNS) stimulation. Further understanding of current methods is also important. Cortisol concentrations can reflect arousal and excitement as well physical activity. HRV measures, which reflect the parasympathetic and sympathetic aspects of the autonomic nervous system, are complex and require further knowledge including an understanding of nonlinear measures. Continued analysis of the relationship between behaviours and physiological measures of the equine affective state may lead to clear biomarkers for measurements of stress and well-being [ 90 ]. An improved ability to assess the horse’s emotional state during HHIs will require an expansion in the use and understanding of current research methods and discovery and implementation of new methods. Although this may be a difficult task, it will be critical in truly assessing horse welfare during horse human interactions and proposing future improvements towards equine welfare in the equine industry.

5. Conclusions

Ensuring the welfare of horses during HHIs is vital to promoting positive and safe relationships between humans and horses across various settings. This scoping review illustrates the diverse nature of HHIs and their measurement within the literature. Current evidence of equine welfare during HHIs is minimal and requires further investigation. For example, the assessment of equine welfare goes beyond the physical state of a horse and includes the emotional state of the animal; standardized approaches to measuring these aspects of welfare within the horse is needed to advance understanding of how interactions with humans impacts equine welfare. Moreover, current literature evaluating the emotional state of horses largely focuses on the absence of a negative affective state. Broadening the existing scope of methods to evaluate a positive affective state would improve the overall understanding of the horse’s welfare during HHIs.

Research is essential to continue to advance our understanding of negative and positive affective states of horses, including the measurement and recognition of such emotional states; such research can continue to be used to inform policy makers in the equine industry. The practical application of knowledge gained through research needs to be addressed. Changes are apparent in the perception of animals by humans in the 21st century. An emphasis on animals as companions and promotion of the human animal bond (HAB) is leading to positive changes in for animals in society. While stakeholders in the companion animal industry are emphasizing the importance of the HAB, stakeholders in the equine industry lag behind. Because horses do not live in the house with humans, they are not often considered a family member. However, promotion of horses as companions, rather than simply a mechanism for fun, may improve the attention to welfare [ 91 ]. Many equestrians genuinely want a positive relationship with their horse [ 79 ]. Therefore, informing horse owners, trainers, and coaches that every HHI has a considerable effect in the enhancement or declination of the HAB could influence their behaviour. Providing equestrians with tools to measure the emotional state of the horse during various interactions will also be essential for better attention to welfare. To this end, future aims in research should also include development and implementation of methods that can be used by equine stakeholders, and leaders in the field of equine health and welfare should be early adopters in promoting the HAB with equestrians and horses.

Acknowledgments

The authors would like to acknowledge the contribution of Hailey Arsenault for her assistance in completing inter-rater evaluation of articles in this review.

Supplementary Materials

The following are available online at https://www.mdpi.com/article/10.3390/ani11102782/s1 , Table S1: Syntax for keyword search, Table S2: Grey literature search results, Table S3: Thematic analysis categorization, Table S4: Data extraction full results.

Author Contributions

Conceptualization, L.A.M.; methodology, K.J.K., K.M.; software, K.J.K., K.M.; validation, K.J.K., K.M.; formal analysis, K.J.K.; investigation, K.J.K.; resources, K.M.; data curation, K.J.K., K.M.; writing—original draft preparation, K.J.K.; writing—review and editing, L.A.M.; visualization, K.J.K.; supervision, L.A.M.; project administration, K.J.K. All authors have read and agreed to the published version of the manuscript.

This research received no external funding.

Institutional Review Board Statement

Not applicable.

Informed Consent Statement

Conflicts of interest.

The authors declare no conflict of interest.

Publisher’s Note: MDPI stays neutral with regard to jurisdictional claims in published maps and institutional affiliations.

The Equine Surfaces White Paper

RACES were lead authors in the world’s most extensive study into the effect of arena surfaces on the orthopaedic health of sport horses

The Equine Surfaces White Paper, which is available to download here , is the result of a four-year collaboration between RACES and five other world leading experts from six universities, two other equine and racing-specific research and testing centres and two horse charities in Sweden, the UK and United States.

The white paper has brought together the latest data and published scientific papers on arena and turf surfaces, and the effects these have on horses in training and in competition.

Key properties of footing, and the effects of footing on horses’ physiological and biomechanical responses, are described in the white paper, as well as the optimal composition, construction and maintenance of arenas for maximising equine performance while minimising injury risk. Current methods of measuring the physical properties of surfaces, and the essential surface preparation and maintenance techniques, are also discussed in the white paper in terms easily understood by riders, trainers, course designers and arena builders, in order to guide future progress in providing suitable competition and training surfaces for sport horses.

From the FEI”s press release :

“ The Equine Surfaces White Paper is the biggest international collaboration of its kind, and is vital to understanding how surfaces work in order to reduce injury risks to horses,” said John McEwen, FEI 1st Vice President and Chair of the FEI Veterinary Committee. “Now, thanks to scientific research, and extensive support and partnership between welfare charities and horse sport, we can fully understand how the right surfaces, with the necessary preparation and ongoing maintenance, can extend the working lives of sport horses and produce the best performances .”

The white paper was funded by the FEI, World Horse Welfare, the Swedish Foundation for Equine Research and the British Equestrian Federation, working with RACES lead author Dr Sarah Jane Hobbs – research lead in equine biomechanics at the University of Central Lancashire (GBR) and member of Research and Consultancy in Equine Surfaces (RACES) – and seven equine scientists and researchers in the UK, USA and Sweden.

The highlights of the white paper were presented on the first day of the FEI Sports Forum on 28 April 2014 by Lars Roepstorff, Professor of functional anatomy of domestic animals at the Swedish University of Agricultural Sciences.

“ We now have the latest scientific knowledge on equine surfaces contained in one place, thanks to an intensive global effort over several years ”, he said. “ The Equine Surfaces White Paper is a living document, and we will continue to update it as we develop our knowledge on surfaces and their influence on horse performance and soundness with new scientific studies and surface data, which is absolutely key as horse sport continues to grow around the world .”

The Equine Surfaces White Paper has benefited from the input of the following authors, organisations and institutions:

Authors Sarah Jane Hobbs, Ph.D., University of Central Lancashire,   RACES , UK Alison J. Northrop, M.Sc., Anglia Ruskin University, RACES , UK Christie Mahaffey, Ph.D., Racing Surfaces Testing Laboratory, USA Jaime H. Martin, Ph.D., Myerscough College, RACES , UK Hilary M . Clayton, BVMS, Ph.D., MRCVS, Michigan State University, USA Rachel Murray, MA VetMB MS Ph.D., MRCVS, Animal Health Trust, UK Lars Roepstorff, DVM, Ph.D., Swedish University of Agricultural Sciences, Sweden Michael “Mick” Peterson, Ph.D., University of Maine, USA

Universities Anglia Ruskin University Michigan State University Myerscough College Swedish University of Agricultural Sciences University of Maine University of Central Lancashire

Organisations Animal Health Trust Racing Surfaces Testing Laboratory Research and Consultancy in Equine Surfaces (RACES)

• Open access
• Published: 27 September 2012

Psychological factors affecting equine performance

• Sebastian D McBride 1 &
• Daniel S Mills 2  

BMC Veterinary Research volume  8 , Article number:  180 ( 2012 ) Cite this article

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For optimal individual performance within any equestrian discipline horses must be in peak physical condition and have the correct psychological state. This review discusses the psychological factors that affect the performance of the horse and, in turn, identifies areas within the competition horse industry where current behavioral research and established behavioral modification techniques could be applied to further enhance the performance of animals. In particular, the role of affective processes underpinning temperament, mood and emotional reaction in determining discipline-specific performance is discussed. A comparison is then made between the training and the competition environment and the review completes with a discussion on how behavioral modification techniques and general husbandry can be used advantageously from a performance perspective.

Introduction

To attain optimal individual performance within any equestrian discipline, horses must be in peak physical fitness and have the correct psychological state. Professional riders acknowledge that these two factors are equally important and that without both, success is unlikely e.g. [ 1 ]. In addition, the relationship between a horse and its rider has been shown to be the most important factor when determining the risk of injury whilst riding [ 2 ]. However, despite its obvious importance for both performance success and human health, there is remarkably little research into any aspect of the psychology of equestrian performance. Psychological factors exist at three inter-related but separate levels: temperament, mood and emotional reaction [ 3 ]. Temperament exists as a relatively stable predisposition in adult life, which is shaped by both genotype and early experience [ 4 ], whilst mood describes a more temporary state of psychological functioning which helps to bias behavioral choices towards certain types of action in a predisposing environment [ 5 ]. For example, a negative mood, brought about by a series of aversive experiences in a given situation or over a particular period of time, may bias action towards escape and avoidance of novelty (and so serve to protect the organism from harm). Emotional reactions are the most tightly stimulus-bound affective states and the shortest lived temporally, thus, describing the more immediate response to the subjective evaluation of an event. If mood is negative then there is a higher probability of negative emotional reactions to a given situation [ 6 ]. Whilst there is a growing literature on temperament in horses (see [ 7 ] for review) there is still very little scientific work on the emotional reactions of horses and almost none on the assessment of moods. It is nonetheless important to appreciate that although it is difficult to study these phenomena, this does not mean that they are not important and certainly that they do not exist. Given the biological advantage served by these psychological constructs, this paper does not seek to present an argument for their existence but rather to evaluate their significance to equestrian performance. We start with a review of the role of temperament in performance, before considering the more proximate factors which can shape what a given horse may achieve at the time of a specific performance event. With this as a foundation, a comparison is then made between the training and the competition environment and the review completes with a discussion on how behavioral modification techniques and stress reduction through general husbandry may have the potential to enhance the performance of the horse.

• Temperament

Like physical traits, the psychological phenotype results from genotype-environment interaction and so has a measure of heritability. Physical and performance traits have regularly been used for breeding selection purposes with noticeable improvements in some countries. In the UK, for example, dressage performance increased from 1985 until 2001 (genetic standard deviation increases of 0.047 per annum) [ 8 ] and, since the introduction of performance tests in the mid-1980s in Sweden, using physical, performance and some temperament measures, the genetic progress has increased by 0.032 to 0.056 standard deviations per annum for dressage and show jumping respectively [ 9 ]. There has been some criticism, however, about the lack of objectivity within the temperament portion of these tests, primarily on the poor interpretation of behavioral data where multiple possible causal origins including environmental and rider effects are not being taken into consideration [ 10 ]. This criticism applies not only to professional performance tests but to equine temperament tests in general. Indeed, the absence of sound biological constructs or definitions of the various dimensions that make up temperament may be the primary reason why heritability values of temperament traits to date have been low. For example, Brockman and Bruns [ 11 ] reported a heritability of 0.26 for “temperament” in German Warmblood stallions, whilst the more precisely defined “jumping ability” in the same study had a much higher heritability of 0.62. It is, therefore, essential that measures are taken to objectively quantify strictly defined components of temperament, which should be based on sound biological theory, rather than arbitrary human choice.

A more precise definition of temperament and its components also helps define, in a more standardised way, the optimal genotype and thus aid the process of developing the optimal phenotype (from the perspective of discipline-specific competitive performance). What is crucial about the last statement is that optimal genotype is discipline specific; just as a Shetland will never win the Derby, so a horse of inappropriate temperament will generally never succeed within a certain discipline. It is therefore essential, not only to concisely define the biological basis of temperament, but also to identify very carefully which components (at the level of both specific behaviors and behavioral predispositions) are required to achieve success within a given discipline. For example, ‘flightiness’ may be generally advantageous to racehorse performance, but detrimental within the context of a dressage competition. Indeed, in a recent study by [ 12 ], although not the primary aim of the study, data did potentially highlight traits often sought within the different equestrian disciplines. The identification of these high performance discipline-specific behavioral traits can either be subjective (but in an informed away) as above (‘flightiness’ good for racehorse performance, detrimental within dressage competition) or can be achieved through a less subjective process of statistical correlation of well-defined traits with measures of performance.

In addition, greater precision in the definition of temperament traits also provides a better opportunity to select for that trait during the breeding-training process as opposed to, for example, constructs which are as complex and as multifaceted as 'eventing' resulting in low heritability values (0.20) [ 11 ]. It has also been suggested [ 13 ] that some studies of temperament in the horse tell us more about those evaluating the horses than the true biological basis of individual differences. For example Morris and colleagues [ 14 ] have suggested that horses share a similar personality structure to humans, but since they used a modified version of a human personality questionnaire describing subjective ratings, it seems somewhat inevitable that items would partition in a similar way. Nonetheless, appropriate questionnaire-based studies are valid and previous work in conjunction with behavioral studies has revealed at least three consistent temperament dimensions, which also accord with our current neurobiological understanding. One appears to relate to a sensitivity to aversion (often referred to as neuroticism in the psychological literature [ 15 ], flightiness in popular parlance e.g. [ 13 ] and is often assessed within behavioral tests by reactivity to a novel object e.g. [ 16 ], social isolation [ 17 – 20 ], and handling [ 19 – 21 ]. A second relates to a sensitivity to reward, (variously described as extraversion e.g. [ 14 ]; or in relation to exploratory behaviour in behavioral tests e.g. [ 22 ]. The third trait relates to sociability or gregariousness [ 23 ], again evident in the individual variation that occurs in response to social isolation [ 24 ]. The latter is obviously relevant when considering the background management of the athlete however we will focus this review on the former two traits relating more specifically to affective processing during training.

Temperament testing is often only practically useful if it is predictive of how an animal reacts to a range of situations over time. Whilst some studies have shown that individuals are consistent in their response between different tests [ 17 , 19 , 21 ], consistency over time within individuals has been more difficult to attain [ 18 , 25 ], although use of single behaviour measures (as opposed to combined forms [traits]) has been more successful in this respect [ 26 – 28 ]. This may be due to a) test-specific learning, a change in stimulus salience in relation to the test (a known artefact of repeat-testing especially in the case of “novel object tests”), b) added error through the additional computational step of multivariate statistical analysis, or c) general maturation effects of the animal. Nonetheless, it may still be possible to behaviorally profile immature horses and correlate these measures with performance success later in the animal’s life. Indeed, for Dutch show-jumping horses individual behavioral measures and combined forms of these data (traits) in response to ‘novel-object’, ‘handling’ and ‘learning’ tests were observed to be indicative of future jumping performance [ 25 ]. In particular, time taken to approach a novel object (open umbrella), ability to learn to avoid puffs of air in response to a bell sounding, and the combined behavioral trait of ‘sensitiveness’ (probably reflecting sensitivity to aversive stimuli) appeared to be particularly important in this respect. This particular study perhaps shows the value of objectively measuring behaviour in a range of well-defined tests and examining their biological commonality (e.g. sensitivity to aversion) and then correlating these with measures of performance, as opposed to measuring poorly defined traits which are preconceived to be relevant to a particular discipline (e.g. ‘flightiness’ for race horses).

Behavioral data of this nature also have the potential to be subjected to supervised statistical techniques e.g.discriminant function analysis [ 29 , 30 ]. Here, statistical software is informed about the performance success of animals (where failure is due to psychological rather than physical factors) to identify sources of variation within the behavioral screening data that are predictive of other animal’s potential performance success. Such a research project, at the national level, has the potential to save much time, effort and money, on horses that may have the physical but not the psychological aptitude for high-level competition success. However, one of the drawbacks of such an early screening strategy would be the risk of discarding athletically able young horses (on the results of an early temperament test), where potential behavioral problems during the middle to latter stages of the horse’s career could be resolved through behavioral modification techniques. The optimal approach in this respect would be to correlate early test results with performance of the animal after behavioral modification techniques had been applied.

In conclusion, out of the previously defined five personality dimensions considered to exist at various levels for different animal species [ 15 ], the horse reliably shows signs of two dimensions, neurotocism and extraversion, which relate to affective response, plus a third relating to the affective state associated with social needs. Although studies have consistently identified the presence of traits (within these dimensions) over time (in the same animals) as well as between animals, consistency of the value of the trait over time for individual animals has been demonstrated to a much lesser extent. This may be due to test-specific learning or general maturation processes changing the temperament of the animal over time. However, the predictive value of early temperament testing has been demonstrated with traits from both of the affective dimensions (as measured by novelty test, handling and learning) considered to be valuable in predicting jumping performance. Much more validation-type research measuring a full range of concisely defined early temperament traits for the purpose of subsequent correlation with discipline specific performance is required.

Mood and emotional reaction

The importance of mood on performance is well recognised within equestrianism and scales such as the “Profile of Mood States” have been used to assess, through verbal report, various predispositions in the rider [ 31 ]. Obviously verbal report is not an option when assessing the horse, but work using heart rate variability (changes in inter-beat frequency) [ 32 ] suggests this may be a quantifiable alternative and a productive avenue for research for this species. For example, reduced heart rate variability (as revealed by analysis of the low and high frequency peaks in the power spectrum following Fourier transformation of the R-R data) suggests lower parasympathetic tone and thus higher arousal [ 33 ]. Thus, such measures in combination with behavioral data may help to determine, at the time of performance, whether high arousal relates to either a positive or a negative emotional state [ 34 ]. However, the relationship between arousal and performance is not a simple one. Excessive arousal, even if positive may be as detrimental to performance as under-arousal [ 35 ] and there is no optimal level that suits all. In human sports psychology, this individual requirement of arousal level has been termed the Individual Zone of Optimal Functioning (IZOF [ 36 ]). It is highly conceivable, therefore, that this same concept is also applicable to the horse [ 37 ] and, in this context, may be determined by correlating the aforementioned periodic sampling of heart rate with behaviour and performance of the individual animal. Whilst there may be little that can be done on the day of competition to alter mood, mood assessment before competition may be a very useful predictor of poor performance (as a result of both psychological and physical [e.g. subclinical onset of disease] factors) and could therefore be used to prevent injury or unnecessary unsuccessful competition. Mood assessment may also provide an additional and more objective means of determining how the horse is affected by different training and exercise regimes and thus how this impacts on performance. Such information might be of enormous competitive and welfare significance as it seems reasonable to suggest that, in the majority of cases, horses, like other athletes, will perform best when mood is positive. Recent developments in animal welfare science have offered up some robust experimental methods for assessing mood in non-human animals, although they have yet to be applied to the horse [ 38 ]. There may be a real advantage, therefore, for professional equestrians to integrate mood assessment techniques, both during training and at the point of competition, into their overall training strategy.

Emotional reactions differ from mood states in that they concern the immediate evaluation of the personal significance of a situation i.e. they are much more proximate in their temporal relationship with specific events and more tightly stimulus-bound compared to ‘background’ mood. Emotional reaction is mediated by the limbic aspect of the brain and primarily facilitates optimal preparation to a given situation on the basis of previous experience, but also serves a communicative function to conspecifics [ 39 ]. The latter allows emotional responses to be identified and measured behaviorally, although there can be disagreement over the exact emotion being expressed. The emotional reactions of horses to situations are evidently of enormous importance when it comes to their performance with over-reaction to environmental stimuli (reflecting a highly sensitive limbic arousal system) at the time of competition being the primary issue in this respect. However, the point at which advantageous emotional reaction becomes over-reaction and detrimental to performance varies between discipline. For example, during the highly constrained motor actions of dressage, it is important that the horse shows little or no additional motor response to non-rider environmental stimuli, whilst in show-jumping it is often considered that a higher level of emotional arousal can be tolerated. For high racing performance on the other hand, high emotional arousal is considered a pre-requisite but again not to the point where it becomes deleterious e.g. the horse not loading into the starting gate or over-energy expenditure preventing the horse from going to distance or responding to the rider in the final furlong. Given that emotional responses are partly dependent on previous experience, the method of training used is, therefore, critically important when trying to build optimal individual performance. The majority of training is based on the use of aversive stimuli in the form of either punishment to discourage undesirable behaviour or negative reinforcement to encourage appropriate behavior [ 40 ]. For the latter, it is the removal of the aversive stimulus which provides the reinforcement for the correct behavior and which, with consistency, leads to early anticipation and avoidance of the training aid so the animal becomes responsive to the most subtle cue from the rider. Timing is therefore critical and poor timing may lead to the learning of unanticipated and inappropriate responses [ 40 ]. Although employed to a much lesser extent, training can also be achieved through positive reinforcement. Because responses are associated with reward acquisition, they are much more variable as, evolutionarily speaking, it pays an animal to explore the limits of what is required to obtain a reward so it can maximise efficiency through minimal effort [ 41 ]. However, the key issue with positive reinforcement (and where it contrasts most with negative reinforcement and punishment) is that emotional responses to the training situation are often entirely positive rather than largely or wholly negative [ 42 , 43 ]. This may be extremely important in shaping the horse’s perception of being ridden and the relationship which develops between the horse and rider, as a result (which may be particularly important when the rider and the trainer are the same person).

Somewhat surprisingly, given that in many disciplines, success depends on an optimal partnership rather than excellent individuals [ 1 ], very little is known about the effect of the rider’s emotional state on that of the horses [ 37 ]. Horses are known to react differently when stroked by someone with a negative attitude to them compared to someone with a more positive attitude [ 44 ], and so they may detect changes in rider behavior due to such things as competition anxiety. More recent findings also tentatively suggest that both the rider's and horse's personality affect the level of cooperation between the two [ 45 ] thus supporting the common anecdote that some horses suit some riders. This is an area of research that again requires much more exploration, potentially through assessing the personality factors within the horse-rider dyad and ultimately correlating this with measures of performance.

In conclusion, both mood and emotional state are crucial in determining how the horse perceives and reacts to its environment and thus how it will perform within a training and competition environment. Positive mood is essential for all disciplines but the optimal emotional state leading to optimal emotional arousal can vary between disciplines and between horses, as in the case with humans (IZOF). Over-reaction as the result of high emotional arousal is detrimental to performance and is heavily influenced by prior training techniques and also the emotional state of the rider. More extensive research is required within both of these areas.

Training versus competition environment

Many horses may fail in competition because of the difference between the training and competition environments and thus the lack of training to generate appropriate emotional (and thus behavioral) responses to the latter. The purpose of these sections is to again highlight practical approaches and potential areas of scientific study that may be of benefit in this regard from performance perspective.

Training environment

Training has been defined as ‘suppressing undesirable natural responses, exploiting desirable natural behaviour and instilling novel behaviour by the deliberate or accidental application of learning theory’ [ 46 ]. For the performance horse, training obviously also involves conditioning of the cardio-vascular and musculoskeletal systems, and the two (psychological and physical) are normally inextricably intertwined. Two additional psychological factors that are frequently referred to in relation to learning and training ability are intelligence [ 47 ] and motivation [ 48 , 49 ]. Just as with the emotional constructs discussed above, these concepts are often poorly defined, in fact, it has been argued that the use of the term “intelligence” to infer a continuous scale of ability in relation to learning is probably inappropriate as horses that perform well in one type of learning task may not necessarily perform well in another (see [ 47 ] for review). This is not perhaps surprising because a) tasks are predominantly based on operant learning; the animal performs a task in order to either avoid negative reinforcement (e.g.discomfort or pain) or attain positive reinforcement (e.g. food [primary reinforcer] or verbal praise/ clicker [secondary reinforcer]), b) animals differ in their sensitivity to reward and aversive stimuli (as previously discussed) and c) different balances of reward and aversive stimuli are applied within each learning task. Indeed, a recent study by Lansade and Simon [ 50 ] clearly demonstrated a correlation between aversion sensitivity and ability to learn via a negative but not a positive reinforcement paradigm. Given that different disciplines or training regimes within discipline also require different balances of reward versus aversive stimuli, it may therefore be more appropriate to discuss learning ability of individual horses in the context of discipline-specific tasks, as listed, for example, in Table 1 ). However, it should also be noted that most tasks can be achieved using combinations of both positive and negative reinforcement, therefore, from a practical perspective, it is perhaps more useful to ascertain individual sensitivity to reward and aversive stimuli as a way of identifying the most effective training strategy. As previously discussed, behavioral methods of assessment (positive and negative reinforcement learning trials) already exist (see [ 47 ] review), but much more research is required to create more practical tests that could easily be applied pre-training within a short period of time to help determine the optimal training strategy (negative versus positive reinforcement) for the individual performance horse. A potential starting point for this work could be the simplification of experimental psychology studies that have previously quantified reinforcer sensitivities in the horse [ 51 ] and other species [ 52 , 53 ].

The second factor highlighted as being important to training was motivation. It is considered that motivation, for a range of species, can originate both cognitively (within cortical regions of the brain) and emotionally (from sub-cortical regions) involving focus on specific goals associated with either the attainment of something the animal considers to be desirable (e.g. food) or, the avoidance of that which is aversive (e.g. pressure, pain) [ 54 , 55 ]. These are the same fundamental end points that drive learning processes and thus, motivation and the attainment of goals are intertwined within a cognitive learning process. Although it has been argued that for horses, athletic activity itself may be rewarding and thus horses may be intrinsically motivated to work or exercise [ 56 ], the majority of training requires additional incentive. Normally this originates from avoidance of pressure or pain (negative reinforcement) and occasionally involves the use of reward (e.g. food) or associated secondary reward (e.g. verbal praise or clicker) in the form of positive reinforcement. The level of motivation for the attainment of goals in horses varies dramatically between individuals and again may reflect individual sensitivity to reward and aversive stimuli [ 22 ]. Thus, from a performance perspective it is perhaps again more appropriate to talk, not about learning ability, but rather motivation to learn based on the animal’s basal motivation to avoid negative and attain positive reinforcers. For highly complex tasks (for example in dressage), learning ability for that task (‘intelligence’) will have greater importance [ 57 ]. However, high level of motivation will still be paramount for successful task completion. It follows, therefore, that one of the most important factors at the outset of training is to ensure that the individual animal is sufficiently motivated to perform. Interestingly, in human sports performance psychology, this motivation either to succeed or to avoid failure is so enhanced in some individuals that it often develops clinically as obsessive-compulsive characteristics, referred to as ‘perfectionism’ [ 58 – 60 ]. To the extent that it has raised the question in the human literature as to whether such human personality characteristics are now a prerequisite for sport success. It may also be that such high motivation characteristics are also a pre-requisite for the modern equine equivalent. Interestingly, the neurochemical pathway considered to be intrinsic to motivational processes demonstrates significant variation in activity between individual horses [ 61 ]. Individuals with higher activity (and thus potentially greater motivation for goal-directed behaviors) also differ behaviorally in that they are a) more prone to stereotypic behavior and b) persist more within a positive reinforcement operant task (continue pressing the food dispensing button) when the reward that they are working for is taken away [ 62 ]. From a practical perspective, although these studies may suggest that the level of basal goal-directed motivation (at least in the context of positive reinforcement) could actually be tested for, it also demonstrates that such a selection strategy could lead to a greater incidence of stereotypic behaviour within that equine sub-population. This raises the moral dilemma that often exists within animal production/performance systems that selection of one trait (in this instance high motivation) for the purpose of enhanced production/performance may be detrimental to the animal from a welfare perspective.

Motivation to learn is also heavily affected by the learning environment, in particular the duration of the training session and how frequently those sessions occur on a daily or weekly basis. For example, horses in a negative reinforcement situation took fewer training sessions to learn a task when those sessions took place once instead of two or seven times a week [ 63 ] and the number of trials within a session has also been demonstrated to be important in the context of optimal learning [ 64 ]. Again the level of motivation to perform will be determined by the type of learning taking place (e.g. negative versus positive reinforcement) and the complexity of the task. In this respect, much more research is needed to establish optimal training schedules for the specific tasks listed in Table 1 .

Competition environment

The competition environment is considerably different to that of the training one in several respects; 1) the presence of other horses (except for racing), 2) additional visual and aural stimuli, and 3) conditioned stimuli that signal a competitive event. Each of these factors will elicit an emotional response in the animal that will affect the motivation of the horse towards the set task on the day of competition. For many horses, these factors enhance arousal, increase ‘excitability’ and lead to a general increase in locomotory behaviour. The latter often have to be restricted (given the competition environment) which can result in an acute stress response in the horse. However, for some disciplines, the physiological consequences of acute stress, i.e. energy mobilisation and increased cardio-vascular activity, can be beneficial. For example, the presentation of novel stimuli (known to induce an acute physiological stress response) pre-race has been found to enhance running performance in Thoroughbreds [ 65 ]. Overly aroused horses, however, can become difficult to handle, expend too much energy before the competition or become distracted in a way that detracts from performance as they move out of their previously described ‘Individual Zone of Optimal Functioning’ [ 37 ].

Factors associated with the competition environment can also result in enhanced motivation to perform other non-competition behaviors. This is normally a consequence of either 1) the horse being fearful of novel visual and aural stimuli associated with the competition environment and/or 2) previous negative experiences (e.g. pain) associated with the competition environment. Both result in motivation and behaviour focussed on exit from that environment (flight response). Behaviorally, it can be difficult to differentiate between the aforementioned ‘excitability’ (as a result of restricted motivation to perform) and enhanced locomotory response to novel stimuli or fear. It is important, however, to make this distinction in the emotional response of the animal if behavioral modification techniques are to be applied (discussed in the next section).

In summary, for the purposes of successful competition regardless of the discipline, it is important that the horse is highly motivated to perform the specific athletic activity at the outset of training and competition. The animal should also respond in a highly motivated way to positive and negative reinforcement techniques during training to facilitate modification of athletic activity. However, it is important to identify the individual sensitivity to these reinforcers in advance to ensure optimal training strategy and much more research needs to be done in this respect to establish practical and reliable tests for the performance horse owner. A starting point for this work could potentially be based on experimental psychology studies that have quantified reinforcer sensitivities in the horse [ 51 ] and other species [ 52 , 53 ].

The performance horse also needs to be motivated at the time of competition, but not to the extent that any restriction of that motivated behaviour has a negative effect on the animal’s physiological or psychological state. Highly motivated horses, however, can be exposed to behavioral modification techniques in order to attenuate specific unwanted behaviors but the animal must be capable of responding to these techniques in a positive way. Modification techniques can also be applied to highly reactive horses that are responding to novel stimuli or previous negative experiences, but again those individuals need to be responsive to those techniques.

Behavioral modification

In light of the previous discussion, the main areas where behavioral modification could potentially be applied to enhance performance are:

Basic positive and negative reinforcement techniques to aid motivation towards the correct athletic behaviour;

Counter-conditioning and systematic desensitisation to attenuate overly reactive behaviour in anticipation of the competitive event;

Counter-conditioning and systematic desensitisation to attenuate overly reactive behaviour to novel stimuli associated with the competitive event;

Counter-conditioning and systematic desensitisation to attenuate motivated behaviors in response to stimuli associated with the onset of a competitive event that are a result of previous negative experiences linked to those stimuli.

As previously discussed, identifying individual sensitivity to reward and aversive stimuli is considered crucial in determining the individual optimal training strategy from a positive versus negative reinforcement perspective. However, two other issues surrounding the different reinforcement techniques need to be taken into consideration when devising a training approach. Firstly, long-term inappropriate application of negative reinforcement schedules may result in a chronic stress situation for the animal, potentially leading to reduced health [ 66 ], high reactivity to acute stressors [ 67 ], or, for some individuals ‘learned helplessness’ (behavioral depression) [ 68 ]. Secondly, positive reinforcement training methods may have limitations in the amount of work the animal will perform for the reward [ 69 ] resulting in greater likelihood of refusal to perform psychologically or physically demanding tasks. Given that all companion animal species have evolved in environments where both positive and negative reinforcement occurs, it is generally considered that a combination of both schedules [ 70 ] are the most efficient in terms of terms of training and are less likely to affect other aspects of the horse either behaviorally or physiologically. Testing for reward versus aversion sensitivity within the individual horse, therefore, will again help determine the optimal balance of reinforcement schedules (negative versus positive) to be used rather than an exclusion of one over the other.

Habituation, as a method to reduce reactive behaviour to novel stimuli also has its limitations in that some individual horses do not attenuate their behavioral response to repeated exposure of the stimuli, although this can be managed through the use of systematic desensitisation [ 71 ]. Anecdotally, this difficulty has been recognised for some time, however, it has also been recently demonstrated within a controlled experimental situation that individual horses appear to adopt either one out of two adaptive strategies to repeated exposure of a novel stimulus, either habituation (reduced physiological and behavioral response) or sensitisation (increased physiological and behavioral response) (McBride, unpublished data). In this context, it is important to identify the phenotype in order to apply the correct modification techniques that will yield productive results. In the absence of the necessary stimulus control for systematic desensitisation, counter-conditioning is an appropriate alternative behavioral modification strategy for the latter group of horses where animals are taught to perform a behavior which is incompatible with the unwanted behavior (e.g. standing to replace locomotory behavior), normally with the use of a positive reinforcer [ 40 ].

Previous negative experiences linked to stimuli associated with the onset of a competitive event not only generates a range of motivated behaviors that have the primary aim of removing the animal from that situation (for example [ 72 ]), but it can affect motor function in a way that is normally interpreted as reduced confidence. In human sports psychology, confidence along with ‘mental toughness’ and ‘motivation’ is one of the primary factors that determines competitive athletic performance [ 73 ]. As stated, confidence is based primarily on prior experience, where that experience has not been persistently negative for the animal. In this respect, the rate of training and physical demand within an equestrian discipline is extremely important so that tasks set do not become aversive by being outside the horse’s physical capability, either in terms of strength or motor co-ordination. Incorrect rate of training can also increase the chances of injury to the animal which will again be perceived as a negative event affecting subsequent performance. As previously stated, negative experiences also induce an anticipatory stress response on re-presentation of the same situation. Stress affects motor control to reduce motor co-ordination [ 58 , 74 , 75 ], thus, the animal is more likely to perform motor error potentially resulting in further injury. A perpetual cycle of anticipatory stress followed by injury can be categorised, in the context of conventional learning theory, as ‘punishment’ and will have drastic effects on the performance of the animal. Conventional methods to counter this condition are to reduce the physical demand of the exercise to allow the animal to perform the task without injury, followed by increased demand built up slowly over time thus restoring the animal’s ‘confidence’. It should also be noted, however, that in humans, athletic confidence has also been directly related to the individual’s general personality [ 76 ] regardless of experience. This area again needs much more research with regard to the performance horse.

Non-competition and non-training stressors

It should be noted that stress affecting performance does not necessarily have to originate from sources associated with training or the competitive event. Performance horses are exposed to a range of stressors most of which relate to the husbandry of the animal (often dictated by the training regime) and are stressful because they affect the behavioral needs of the horse as a species [ 77 ]. Behavioral needs are species-specific highly motivated behaviors that are performed irrespective of their functional consequence [ 78 ]. More often than not they do have a functional role and human-intervention to pre-provide the consequence of the behavior may not reduce the motivation for its performance i.e. there appears to be some physiological ‘need’ to perform the behavior regardless of what that behaviour brings to the animal. Foraging is a primary example in this respect [ 79 ]. For many herbivores, forage is naturally available ad libitum with up to 70% of the day spent eating [ 80 ]. For horses, the reduction of eating time to two meals per day can meet the nutritional requirements of the animal, but may not necessarily meet the animal’s behavioral need to forage [ 81 – 83 ]. The problem with restriction of behavioral needs from a competition perspective is that it induces a chronic stress response in the animal [ 69 , 84 ] which will subsequently prevent optimal individual performance.

Two other considered behavioral needs of the horse as a gregarious ungulate, are social interaction and locomotory behaviour where again the restriction of these behaviors are considered to reduce the animal’s welfare [ 56 ]. Thus, optimal environmental conditions, to maintain the horse at a high performance level, are those that facilitate the behavioral needs of the species, thus reducing the risk of a chronic stress situation.

Other potential sources of stress for the competition horse include transportation [ 85 ] and over-exercise. The latter is well recognised in the field of human sports science and is related to the condition of ‘burn-out’ [ 85 ], resulting in reduced motivation towards training and athletic competition [ 86 , 87 ]. The primary causal factor of ‘burnout’ appears to relate to insufficient positive feedback (reward) for work performed and again there appears to be individual genetic susceptibility in this respect [ 88 ]. This condition is again anecdotally recognised in horses but no research has been carried out to ascertain what level of exercise and type of training brings it about within the different equestrian disciplines and whether it is possible to predict individual predisposition in this respect.

Conclusions

The increased competitiveness and performance level of sport now requires that individuals and teams must give over a substantial amount of time to their respective disciplines. However, even when an optimal training infrastructure has been attained, successful competition is now only achieved through the additional integration and application of sports/exercise science and technology. Although it is considered that this is the antithesis of sporting ethos [ 89 ], it is without doubt a considered pre-requisite for international sporting success [ 90 ].

This review has identified areas within the current performance horse industry where known behavioral research and behavioral modification techniques could be applied to enhance further the performance of those animals. These include:

current research on equine behavioral needs to ensure optimal environmental conditions;

the application of behavioral modification techniques to:

sufficiently motivate the animal to perform the correct athletic behaviour;

attenuate overly reactive behaviour in anticipation of the competitive event;

attenuate emotionally reactive behaviour to novel stimuli associated with the competitive event;

attenuate motivated behaviors in response to stimuli associated with the onset of a competitive event that are a result of previous negative experiences linked to those stimuli.

This review has also identified areas of further research that could potentially enhance the performance horse industry. These include:

the development of a behavioral screening tool to identify young horses that do not have the correct temperament in order to proceed to the top level of competition within a given equestrian discipline;

the integration of methods aimed at assessing the emotional state of the horse during training and competition in order to ensure that the horse is in an appropriate psychological state for competition.

the identification of optimal training regimes in terms of applying positive and/or negative reinforcement schedules and also in terms of training duration and training interval with the primary aim of avoiding the equine equivalent of psychological ‘burn-out’.

Finally greater work is required on the rider-horse partnership in order to identify the constituents of a winning team within a given discipline.

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McBride, S.D., Mills, D.S. Psychological factors affecting equine performance. BMC Vet Res 8 , 180 (2012). https://doi.org/10.1186/1746-6148-8-180

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DOI : https://doi.org/10.1186/1746-6148-8-180

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