Psychology Basics
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MAGILL’S C H O I C E
Psychology Basics Volume 1 Abnormality: ...
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Psychology Basics
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MAGILL’S C H O I C E
Psychology Basics Volume 1 Abnormality: Psychological Models— Learning Disorders
Editor
Nancy A. Piotrowski, Ph.D. University of California, Berkeley
Salem Press Pasadena, California Hackensack, New Jersey
Copyright © 2005, by Salem Press, Inc. All rights in this book are reserved. No part of this work may be used or reproduced in any manner whatsoever or transmitted in any form or by any means, electronic or mechanical, including photocopy, recording, or any information storage and retrieval system, without written permission from the copyright owner except in the case of brief quotations embodied in critical articles and reviews. For information address the publisher, Salem Press, Inc., P.O. Box 50062, Pasadena, California 91115. ∞ The paper used in these volumes conforms to the American National Standard for Permanence of Paper for Printed Library Materials, Z39.48-1992 (R1997). The essays in this work originally appeared in Magill’s Encyclopedia of Social Science: Psychology, 2003; new material has been added.
Library of Congress Cataloging-in-Publication Data Psychology basics / editor, Nancy A. Piotrowski.— Rev. ed. p. cm. — (Magill’s choice) Includes bibliographical references and index. ISBN 1-58765-199-8 (set : alk. paper) — ISBN 1-58765-200-5 (v. 1 : alk. paper) — ISBN 1-58765-201-3 (v. 2 : alk. paper) 1. Psychology—Encyclopedias. I. Piotrowski, Nancy A. II. Series BF31.P765 2004 150′.3—dc22 2004016637
First Printing
printed in the united states of america
Table of Contents Publisher’s Note. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii Contributors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Abnormality: Psychological Models . . . . . . . . . . . . . . . . . . . . . 5 Adolescence: Cognitive Skills. . . . . . . . . . . . . . . . . . . . . . . . 14 Adolescence: Sexuality . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Affiliation and Friendship . . . . . . . . . . . . . . . . . . . . . . . . . 30 Aggression. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Aging: Cognitive Changes . . . . . . . . . . . . . . . . . . . . . . . . . 42 Alzheimer’s Disease . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 Amnesia and Fugue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 Analytic Psychology: Jacques Lacan . . . . . . . . . . . . . . . . . . . . 65 Analytical Psychology: Carl Jung . . . . . . . . . . . . . . . . . . . . . . 72 Analytical Psychotherapy . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Animal Experimentation . . . . . . . . . . . . . . . . . . . . . . . . . . 84 Anxiety Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 Attachment and Bonding in Infancy and Childhood . . . . . . . . . . . 99 Attention-Deficit Hyperactivity Disorder (ADHD). . . . . . . . . . . . 106 Attraction Theories . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 Autism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121 Behaviorism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 Bipolar Disorder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Brain Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 Case-Study Methodologies . . . . . . . . . Clinical Depression . . . . . . . . . . . . . Cognitive Behavior Therapy . . . . . . . . Cognitive Development: Jean Piaget . . . . Cognitive Psychology . . . . . . . . . . . . Cognitive Social Learning: Walter Mischel. Cognitive Therapy . . . . . . . . . . . . . . Conditioning. . . . . . . . . . . . . . . . . Consciousness . . . . . . . . . . . . . . . . Consciousness: Altered States . . . . . . . . Creativity and Intelligence . . . . . . . . . Crowd Behavior . . . . . . . . . . . . . . . v
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151 157 165 172 179 188 194 200 210 216 224 230
Psychology Basics Death and Dying. . . . . . Dementia. . . . . . . . . . Depression . . . . . . . . . Development. . . . . . . . Developmental Disabilities Diagnosis . . . . . . . . . . Domestic Violence. . . . . Dreams . . . . . . . . . . . Drives. . . . . . . . . . . . Drug Therapies . . . . . .
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236 242 247 254 260 270 277 285 292 299
Eating Disorders . . . . . . . . . . . . . . . . Ego Psychology: Erik Erikson . . . . . . . . . Emotions . . . . . . . . . . . . . . . . . . . . Endocrine System . . . . . . . . . . . . . . . Experimentation: Independent, Dependent, and Control Variables . . . . . . . . . . .
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306 314 323 330
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Field Theory: Kurt Lewin . . . . . . . . . . . . . . . . . . . . . . . . . 344 Gender-Identity Formation . . . . . . . . . . . . . . . . . . . . . . . . 349 Giftedness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356 Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364 Habituation and Sensitization . . . . . . . Helping . . . . . . . . . . . . . . . . . . . Homosexuality . . . . . . . . . . . . . . . . Hormones and Behavior . . . . . . . . . . Humanistic Trait Models: Gordon Allport . Hunger . . . . . . . . . . . . . . . . . . . .
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Identity Crises . . . . . . . . . . . . . Imprinting . . . . . . . . . . . . . . . Individual Psychology: Alfred Adler . Industrial/Organizational Psychology Instinct Theory . . . . . . . . . . . . Intelligence . . . . . . . . . . . . . . Intelligence Tests . . . . . . . . . . .
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Language. . . . . . . Learned Helplessness Learning . . . . . . . Learning Disorders .
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465 477 483 493
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vi
Publisher’s Note The first edition of Psychology Basics, drawn from the six-volume Survey of Social Science: Psychology (1993), has been a popular, accessible, and affordable source of information about important theories and issues in this dynamic field. Since the publication of Psychology Basics in 1998, the larger set has undergone a substantial redesign, revision, and update as the four-volume Magill’s Encyclopedia of Social Science: Psychology (2003), which was named a 2004 Outstanding Reference Source by RUSA. Essays in the two-volume Psychology Basics, Revised Edition, are taken from this award-winning work. This revised title in the Magill’s Choice series features 127 essays. Onethird of these topics did not appear in the previous edition of Psychology Basics. The remaining two-thirds have the same or similar titles but were either newly commissioned for the revision of the larger encyclopedia or feature both updated text—bringing them in line with the most recent edition of the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (2000)—and new “Sources for Further Study” sections that offer the latest editions and scholarship. Additions to the Revised Edition include new top matter, tailored subheadings guiding readers through the text, photographs and medical drawings, helpful lists of diagnostic criteria from the DSM-IV-TR, and two appendices: a Biographical List of Psychologists with brief profiles of major figures in the field, both past and present, and an annotated Web Site Directory for support groups, organizations, and on-line sources of information on this field. As a result, Psychology Basics, Revised Edition, supersedes the previous Psychology Basics and should prove to be even more valuable. Arranged in an A-Z format, Psychology Basics, Revised Edition, highlights theories and concepts in the following areas: • • • • • • • • • • •
aging childhood and adolescence cognition conditioning consciousness depression development diagnosis emotions experimentation intelligence
• • • • • • • • • • vii
language learning memory methodology motivation origin and definition of psychology personality psychobiology psychopathology psychotherapy
Psychology Basics • sensation and perception • sexuality • social psychology
• stress • thought • treatments
Entries range from four to eight pages in length. Every entry begins with standard information for “Type of psychology” and “Fields of study.” An abstract briefly defines the subject, summarizing its importance to psychology, and “Key concepts” lists five to ten of the most important issues to be discussed in the essay that follows. The text of each article offers a clear and concise discussion of the topic. An entry on a mental illness addresses its cause, diagnosis, treatment, and impact. An entry on a theory or school examines its origin, history, and current status. Informative, descriptive subheadings divide the text. All terminology is explained, and context is provided to make the information accessible to general readers. Every entry includes a bibliography of secondary sources with annotations discussing their content and value; for this revision, all bibliographies have been updated from the 2003 source set. Every essay is signed by the author and concludes with a list of cross-references to related articles within Psychology Basics, Revised Edition. At the end of volume 2 are a Glossary of crucial terms with concise definitions, the Biographical List of Psychologists, the Web Site Directory, a Categorized List of Entries divided into thirty-seven subjects, and a comprehensive Index. We wish to express our thanks to the Editor, Nancy A. Piotrowski, Ph.D., of the University of California, Berkeley; her insightful Introduction can be found at the beginning of volume 1. We also thank the contributors—academicians from psychology, medicine, and other disciplines in the social and life sciences—for sharing their expertise with general readers; a list of their names and affiliations follows.
viii
Contributors Christopher M. Aanstoos
Dennis Bull
State University of West Georgia
Dallas Theological Seminary
Richard Adler
Joan Bartczak Cannon
University of Michigan—Dearborn
University of Lowell
Mark B. Alcorn
Paul J. Chara, Jr.
University of Northern Colorado
Northwestern College
Jeffrey B. Allen
Judith M. Chertoff
University of Mississippi
Baltimore-Washington Institute for Psychoanalysis
Tara Anthony
Rebecca M. Chesire
Syracuse University
University of Hawaii—Manoa
Richard P. Atkinson
James R. Deni
Fort Hays State University
Appalachian State University
Bryan C. Auday
Thomas E. DeWolfe
Gordon College
Hampden-Sydney College
Stephen M. Auerbach
Ronna F. Dillon
Virginia Commonwealth University
Southern Illinois University
Stephen R. H. Beach
Robert J. Drummond
University of Georgia
University of North Florida
Donald G. Beal
Christopher A. Duva
Eastern Kentucky University
Eastern Oregon University
Brett L. Beck
Carolyn Zerbe Enns
Bloomsbury University
Cornell College
Susan E. Beers
Lawrence A. Fehr
Sweet Briar College
Widener University
Tanja Bekhuis TCB Research
Margaret M. Frailey
Mary Brabeck
American Association of Counseling and Development
Boston College
Robin Franck
Lillian J. Breckenridge
Southwestern College
Oral Roberts University
Cynthia McPherson Frantz
T. L. Brink
Amherst College
Crafton Hills College ix
Psychology Basics Donna Frick-Horbury
David Wason Hollar, Jr.
Appalachian State University
Rockingham Community College
Lisa Friedenberg
Sigmund Hsiao
University of North Carolina at Asheville
University of Arizona
R. G. Gaddis
Eastern Oregon State College
Timothy L. Hubbard
Gardner-Webb College
Loring J. Ingraham
Albert R. Gilgen
George Washington University
University of Northern Iowa
Tiffany A. Ito
Virginia L. Goetsch
University of Southern California
West Virginia University
Jay W. Jackson
Doyle R. Goff Lee College
Indiana University—Purdue University, Fort Wayne
Sanford Golin
Robert Jensen
University of Pittsburgh
California State University, Sacramento
Diane C. Gooding
Eugene R. Johnson
University of Wisconsin—Madison
Central Washington University
Laurence Grimm
William B. King
University of Illinois at Chicago
Edison Community College
Lonnie J. Guralnick
Debra A. King-Johnson
Western Oregon State College
Clemson University
Regan A. R. Gurung
Terry J. Knapp
University of Wisconsin—Green Bay
University of Nevada, Las Vegas
Ruth T. Hannon
Gabrielle Kowalski
Bridgewater State College
Cardinal Stritch University
Carol A. Heintzelman
R. Eric Landrum
Millersville University
Boise State University
James Taylor Henderson
Kevin T. Larkin
Wingate College
West Virginia University
Lindsey L. Henninger
Joseph C. LaVoie
Independent Scholar
University of Nebraska at Omaha
Oliver W. Hill, Jr.
Leon Lewis
Virginia State University
Appalachian State University
Robert A. Hock
Martha Oehmke Loustaunau
Xavier University
New Mexico State University x
Contributors Deborah R. McDonald
Nancy A. Piotrowski
New Mexico State University
University of California, Berkeley
David S. McDougal
Anthony R. Pratkanis
Plymouth State College of the University System of New Hampshire
University of California, Santa Cruz
Linda Mealey
Midwestern University
Frank J. Prerost
College of St. Benedict
Timothy S. Rampey
Norman Miller
Victoria College
University of Southern California
Lillian M. Range
Todd Miller
University of Southern Mississippi
University of St. Thomas
Loretta A. Rieser-Danner
Robin Kamienny Montvilo
Pennsylvania State University, Ogontz
Rhode Island College
Denise S. St. Cyr
Brian Mullen
New Hampshire Technical College
Syracuse University
Frank A. Salamone
Donald J. Nash
Iona College
Colorado State University—Lamar
Rosemary Scheirer
Elizabeth M. McGhee Nelson
Chestnut Hill College
Christian Brothers University
Rebecca Lovell Scott
John W. Nichols
College of Health Sciences
Tulsa Junior College
Felicisima C. Serafica
Steve A. Nida
The Ohio State University
Franklin University
Matthew J. Sharps
Cynthia O’Dell
California State University, Fresno
Indiana University Northwest
R. Baird Shuman
Amy L. Odum University of New Hampshire
University of Illinois at UrbanaChampaign
Janine T. Ogden
Sanford S. Singer
Marist College
University of Dayton
Randall E. Osborne
Virginia Slaughter
Phillips University
University of Queensland
Gerard O’Sullivan
Lesley A. Slavin
Felician College
Virginia Commonwealth University
Vicky Phares
Sheldon Solomon
University of South Florida
Skidmore College xi
Psychology Basics Frank J. Sparzo
Elaine F. Walker
Ball State University
Emory University
Sharon Wallace Stark
Mary L. Wandrei
Monmouth University
Marquette University
Michael A. Steele
Daniel L. Wann
Wilkes University
Murray State University University of Kansas
Joseph E. Steinmetz
Jennifer A. Sanders Wann
Indiana University, Bloomington
Murray State University
Richard G. Tedeschi
Allyson M. Washburn
University of North Carolina at Charlotte
Institute on Aging/Jewish Home
Linda R. Tennison
Ann L. Weber
College of Saint Benedict Saint John’s University
University of North Carolina at Asheville
Harry A. Tiemann, Jr.
Michael Wierzbicki
Mesa State College
Marquette University
Derise E. Tolliver
April Michele Williams
DePaul University
Drury University
Marlene E. Turner
Karen Wolford
San Jose State University
State University of New York, Oswego
Susana P. Urbina
Edelgard Wulfert
University of North Florida
State University of New York, Albany
Lois Veltum
Frederic Wynn
University of North Dakota
County College of Morris
Scott R. Vrana
Ling-Yi Zhou
Purdue University
University of St. Francis
John F. Wakefield University of North Alabama
xii
Psychology Basics
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Introduction Many different ideas may come to mind when people hear the word “psychology.” For some, word associations may be first: psychic, psychedelic, psychotic, psychogenic, psychosomatic, psychopath—words that have associations to psychology in one way or another. Others might think of concepts, such as the psyche, referring to the self and the soul. They may think of getting psyched, or prepared for action, with psyched up being good and psyched out being bad. Some may think about Alfred Hitchcock’s classic 1960 film Psycho, a story about a murderous and odd man—which, sadly, added stigma to the tragedy of mental illness and suffering by reinforcing stereotypes of the mentally ill as violent and dangerous individuals. When people think of psychology, they often think of clinicians, such as those portrayed on television and in films or heard on the radio—people who work with or otherwise counsel the troubled and mentally ill. Ideas about Sigmund Freud and his theories of the id, ego, and superego are also common associations with the field. Still others will ponder whether psychology is really about consciousness, the mind, psyche, or brain—and wonder how these entities are different and similar. Somewhat less frequently, people might think not about human psychology but instead about rats running mazes, pigeons operating machinery, monkeys using sign language, salivating dogs and ringing bells, and even the mating habits of ducks and other animals. A few people might see psychology as related to machines, for indeed there is psychology involved in the design of artificial intelligence systems and in the interface shared by humans and machines, such as when hands type on a computer, fly a plane, or perform microsurgery with the use of virtual reality-type cameras. All these examples reflect psychology and its research. Indeed, what people think of when they hear the word “psychology” can vary widely by their personal experience. For some, their first exposure to the term may be through an elective course taken in high school or college. Others may first encounter it in their jobs, when they learn that there may be business value in considering psychological angles to advertising, product development, sales, or business organization management. Similarly, others may learn about it in careers such as medicine or law, when they find that it can enhance performance or improve communication with clients, colleagues, and trainees. Artists might approach the field as a means of learning more about creativity and how to foster it. Some may come to know psychology through a personal or family crisis, possibly through exposure to a counselor or self-help book. Others may learn about the concept through films, songs, current events, or advertising portraying psychological principles or themes. Most commonly, though, psychology is recognized as the study of human behavior. The field is advanced by the work of many individuals applying the 1
Psychology Basics principles of psychology in diverse settings for the purposes of teaching, research, clinical work, organizational management, administration, advocacy, data analysis, and consultation. Psychologists work in many different settings, such as universities, colleges, clinics, forensics units, the armed services, social service agencies, hospitals, research groups, laboratories, government bodies, businesses, wilderness areas, and even space. The work of psychologists has far-reaching effects for diverse peoples and in diverse settings, contributing much in terms of practical solutions to both the large and small questions of daily life. Psychology has deep roots in applications related to military defense, medicine, and teaching. In terms of military defense, psychology assisted the U.S. government with organizational decisions determining job assignments in the early 1900’s via its development of intelligence testing strategies. As a result of creating ways of ranking soldiers for assignment from very basic to very complex work tasks, increases in efficiency were gained. Principles of psychology are also useful for the military in terms of fostering cohesion among soldiers, training and teaching them what they need to know in an efficient manner, and helping soldiers (and their families) deal with the stresses of active military duty. Additionally, the field has made contributions to understanding the psychological aspects of warfare, such as persuading one’s enemies to provide information and debriefing those who have been prisoners of war. The roots of psychology in medicine are obvious. Basic applications began as the treatment of those who were considered ill, feebleminded, or possessed by spirits. With regard to spirituality, there should be no surprise in finding a strong historical thread linking psychology and religion when it comes to healing. This link spans at least from William James’s classic book The Varieties of Religious Experience (1902) to current efforts in the field examining spirituality as it relates to illness, healing, diagnosis, resilience against stress, and various types of group support. Historically, those not cured by other methods of medicine were usually sent to healers of the mind and spirit. At some point, psychologists were enlisted to help count and categorize such individuals. As the field developed, methods such as behavioral pharmacology grew in prominence with the discovery of new drugs to treat mental disorders. More recently, the effect of psychology in the treatment and prevention of stress-related, lifestyle-related, chronic, and terminal health problems has been noteworthy. As examples, psychological interventions related to stress management have been found useful for preventing heart disease and stroke. Obesity is often treated with behavioral interventions designed to modify lifestyle from a biopsychosocial perspective. Chronic pain is often addressed with cognitive interventions for pain perception and management. Even conditions such as cancer may be better managed with psychological interventions such as group support, family therapy, and mood-enhancing interventions that facilitate adherence to medical interventions for the body. 2
Introduction With regard to teaching, psychology has played a large role in the structure and design of academic settings, the development of educational curricula, achievement and intelligence testing, and career advisement and placement. It has also touched practices such as preschool for young children, the learning of new career skills later in life, retraining after injuries to the body or brain, and behavioral learning (such as how one might learn to shoot a basketball or play the piano). More recently, studies have examined Internet-based learning and how it differs from face-to-face learning. Whether online learning formats can be effective and whether the socialization aspects of learning can take place online are some of the questions pursued. In the United States, psychology has gained a foothold in government, with psychologists being elected and appointed to public offices and serving in high-level decision-making bodies. One example is the placement of psychologists in the National Institutes of Health (NIH), where they have been able to influence government spending related to research, health care, and problem prevention on many fronts. In 1995, an office was established in the NIH called the Office of Behavioral and Social Science Research (OBSSR), with a designated role of advancing behavioral science knowledge and applications in the activities fostered and otherwise supported by the NIH. As these many examples illustrate, psychology has become a diverse field. In looking to the future, it is clear that the role of psychology in the workplace and in international communications and relationships will expand. Notable growth has been seen, for instance, in the numbers of studies examining cultural differences among groups defined in terms of age, gender, ethnicity, race, sexual orientation, socioeconomic status, and other markers of culture. Pick virtually any area of psychological study and look at the number of references for cultural variation or differences since the midtwentieth century, and it will be easy to spot a trend of increasing publications by year over time. This trend has been inspired by a desire to create better understanding among different cultures, as well as to assist efforts in providing more culturally appropriate and culturally sensitive training, education, and medical care. No doubt, this area of study will increase in importance as the field of psychology continues to evolve and as humans, as a group, continue to understand the ideas of conflict and cooperation as we approach nearly seven billion in number. I hope that these volumes on psychology allow the diversity and capability of this vibrant and valuable field to shine. I also hope that it encourages its readers to be inspired, curious, and mindful observers of human behavior more and more each day, as there is much to be learned. Nancy A. Piotrowski, Ph.D. University of California at Berkeley
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Abnormality Psychological Models Type of psychology: Psychopathology; psychotherapy Fields of study: Behavioral and cognitive models; evaluating psychotherapy; humanistic-phenomenological models; models of abnormality Abnormal behavior is typically defined as behavior that is harmful to the self or others or that is dysfunctional. Three models of abnormality stress medical or biological roots; psychological aspects, such as unconscious conflicts, inappropriate learning, blocking of full development, or maladaptive thoughts; and social and cultural context. Key concepts • behavioral model • cognitive model • humanistic model • medical model • psychoanalytic model • sociocultural model Prehistoric humans believed that evil spirits, witchcraft, the full moon, or other supernatural forces caused mental disorders. In modern times, people have more naturalistic ideas. The models of abnormality can be divided into three types: medical, psychological, and cultural. Medical models hold that mental disorders take on a psychological appearance, but the underlying problems are physical in nature. Psychological models hold that mental disorders are caused and then maintained by a person’s past and present life experiences, which can result in inner conflicts, learned responses that are problematic, blocked efforts to grow and achieve self-actualization, or pessimistic, distorted thinking. Cultural models stress the sociocultural context of stress. Medical Models of Abnormality Medical or biological models of abnormality stem back to Greek physician Hippocrates (c. 470-c. 377 b.c.e.), who proposed that psychological disorders are caused by body-fluid imbalances. Greeks believed that the uterus could move around a woman’s body, attaching itself at different places and causing the symptoms of hysteria, a disorder in which a person has physical symptoms without the usual organic causes. The medical model gained support when people realized that some bizarre behaviors were due to brain damage or other identifiable physical causes. For example, people with scars in certain areas of the brain may have seizures. Also, people who contract the sexually transmitted disease syphilis, which is caused by microorganisms, can develop aberrant behavior ten to 5
Psychology Basics twenty years after the initial infection. Syphilis moves through the body and attacks different organs, sometimes the brain. In modern times, biological researchers use research techniques to explore the brain chemistries of mentally disturbed people. They suspect that changes in the workings of neurotransmitters may contribute to many psychological disorders. For example, depression can be associated with abnormally low levels of norepinephrine and serotonin. The medical model of abnormality is pervasive and can be seen in the language that is often used to describe mental problems. In this language, a patient is diagnosed with a mental disorder. This illness requires treatment that might include hospitalization and therapy to relieve symptoms and produce a cure. The medical model ushered in humane treatment for people who hitherto had been persecuted as agents of the devil. Some of the advances in treatment for psychological problems include antipsychotic medication, which can reduce hallucinations and help a person with schizophrenia avoid hospitalization; lithium, which can moderate the debilitating mood extremes of bipolar disorder; antidepressants, which can relieve the chronic pain of depression; and antianxiety drugs, which can relieve the acute stress of anxiety disorders. These kinds of advances help the day-to-day lives of many people. Also, the medical model has focused research attention on the genetic inheritance of mental illness. One way to study the genetic basis of behavior is to compare identical twins with fraternal twins. An identical twin of a schizophrenic who was adopted into an entirely different family and never even met the other twin is still twice as likely to be schizophrenic as a person identified randomly from the general population. Another way to study the genetic basis of behavior is to compare adopted children to their adoptive parents and to their biological parents. Using these types of research, scientists have implicated heredity in a number of mental disorders, including schizophrenia, depression, and alcoholism. However, it may not be appropriate to view all psychological disorders in medical terms. Some disorders can be directly tied to life experiences. Also, the medical model has promoted the idea that people who behave abnormally are not responsible for their actions. They are mentally sick, therefore not in control of themselves. Some people disagree with this notion. In The Myth of Mental Illness (1961), American psychiatrist Thomas Szasz argued that mental illness is a socially defined, relative concept that is used to cast aside people who are different. In 1987 Szasz charged psychologists, psychiatrists, and other mental health professionals with being too quick to guard society’s norms and values and too slow to take care of the people who are in some way different. Further, Szasz claimed that the label “sick” invites those with problems to become passively dependent on doctors and drugs rather than relying on their own inner strengths. 6
Abnormality: Psychological Models Psychological Models of Abnormality The psychological model of abnormality also stems from ancient Greece. In the second century c.e., the Greek physician Galen described a patient whose symptoms were caused either by an inflammation of the uterus or by something about which she was troubled but which she was not willing to discuss. He tested these two hypotheses and concluded that the patient’s problem was psychological in origin. The psychological model gained support when French physician JeanMartin Charcot (1825-1893) used hypnosis to distinguish hysterical paralysis (with no organic cause) from neurologically based paralysis. When Charcot hypnotized patients, those with hysterical paralysis could use their supposedly paralyzed body part. One of his students, Austrian physician Sigmund Freud (1856-1939), expanded this approach. Freud and others believed that mental disorders usually begin with a traumatic event in childhood and can be treated with psychotherapy, a form of “talking cure.” Today, there are four main psychological models of abnormality: psychoanalytic, behavioral, humanistic, and cognitive. psychoanalytic model. A psychoanalytic model, stemming from Freud, emphasizes the role of parental influences, unconscious conflicts, guilt, frustration, and an array of defense mechanisms that people use, unconsciously, to ward off anxiety. According to this view, people develop psychological problems because they have inner conflicts intense enough to overwhelm their normal defenses. Freud thought that all people have some aspects of their personality that are innate and self-preserving (the id), some aspects of their personality that are learned rules or conscience (the superego), and some aspects of their personality that are realistic (the ego). For example, the id of a person who is hungry wants to eat immediately, in any manner, regardless of the time or social conventions. However, it may be time to meet with the supervisor for an important review. The superego insists on meeting with the supervisor right now, for as long as necessary. The ego may be able to balance personal needs and society’s requirements by, for example, bringing bagels for everyone to the meeting with the supervisor. People must somehow harmonize the instinctual and unreasoning desires of the id, the moral and restrictive demands of the superego, and the rational and realistic requirements of the ego. Conflicts between the id, ego, and superego may lead to unpleasant and anxious feelings. People develop defense mechanisms to handle these feelings. Defense mechanisms can alleviate anxiety by staving off the conscious awareness of conflicts that would be too painful to acknowledge. A psychoanalytic view is that everyone uses defense mechanisms, and abnormality is simply the result of overblown defense mechanisms. Some of the most prominent defense mechanisms are repression, regression, displacement, reaction formation, sublimation, and projection. In repression, a person forgets something that causes anxiety. For example, a student who genuinely forgets her meeting with her professor about a make-up 7
Psychology Basics test has repressed the appointment. In regression, a person reverts back to activities and feelings of a younger age. For example, a toddler who reclaims his old discarded bottle when a new baby sister comes on the scene is regressing. In displacement, a person has very strong feelings toward one person but feels for some reason unable to express them. Subsequently, she finds herself expressing these feelings toward a safer person. For example, a person who is extremely angry with her boss at work may keep these feelings to herself until she gets home but then find herself very angry with her husband, children, and pets. In reaction formation, people have very strong feelings that are somehow unacceptable, and they react in the opposite way. For example, a person who is campaigning against adult bookstores in the community may be secretly fascinated with pornography. In sublimation, a person rechannels energy, typically sexual energy, into socially acceptable outlets. For example, a woman who is attracted to the young men in swimsuits at the pool may decide to swim one hundred laps. In projection, people notice in others traits or behaviors that are too painful to admit in themselves. For example, a person who is very irritated by his friend’s whining may have whining tendencies himself that he cannot admit. All defense mechanisms are unconscious ways to handle anxiety. The psychoanalytic model opened up areas for discussion that were previously taboo and helped people to understand that some of their motivations are outside their own awareness. For example, dissociative disorders occur when a person’s thoughts and feelings are dissociated, or separated, from conscious awareness by memory loss or a change in identity. In dissociative identity disorder, formerly termed multiple personality, the individual alternates between an original or primary personality and one or more secondary or subordinate personalities. A psychoanalytic model would see dissociative identity disorder as stemming from massive repression to ward off unacceptable impulses, particularly those of a sexual nature. These yearnings increase during adolescence and adulthood, until the person finally expresses them, often in a guilt-inducing sexual act. Then, normal forms of repression are ineffective in blocking out this guilt, so the person blocks the acts and related thoughts entirely from consciousness by developing a new identity for the dissociated bad part of self. The psychoanalytic model views all human behavior as a product of mental or psychological causes, though the cause may not be obvious to an outside observer or even to the person performing the behavior. Psychoanalytic influence on the modern perspective of abnormality has been enormous. Freudian concepts, such as Freudian slips and unconscious motivation, are so well known that they are now part of ordinary language and culture. However, the psychoanalytic model has been criticized because it is not verifiable, because it gives complex explanations when simple and straightforward ones are sufficient, because it cannot be proven wrong (lacks disconfirmability), and because it was based mainly on a relatively small number of upper-middle-class European patients and on Freud himself. 8
Abnormality: Psychological Models behavioral model. A behavioral model, or social-learning model, stemming from American psychologists such as John B. Watson (1878-1958) and B. F. Skinner (1904-1990), emphasizes the role of the environment in developing abnormal behavior. According to this view, people acquire abnormal behavior in the same ways they acquire normal behavior, by learning from rewards and punishments they either experience directly or observe happening to someone else. Their perceptions, expectations, values, and role models further influence what they learn. In this view, a person with abnormal behavior has a different reinforcement history from that of others. The behavioral model of abnormality stresses classical conditioning, operant conditioning, and modeling. In classical conditioning, a child might hear a very loud sound immediately after entering the elevator. Thereafter, this child might develop a phobia of elevators and other enclosed spaces. In operant conditioning, a mother might give the child a cookie to keep him quiet. Soon, the child will notice that when he is noisy and bothersome, his mother gives him cookies and will develop a pattern of temper tantrums and other conduct disorders. In modeling, the person might notice that her mother is very afraid of spiders. Soon, she might develop a phobia of spiders and other small creatures. The behavioral model advocates a careful investigation of the environmental conditions in which people display abnormal behavior. Behaviorists pay special attention to situational stimuli, or triggers, that elicit the abnormal behavior and to the typical consequences that follow the abnormal behavior. Behaviorists search for factors that reinforce or encourage the repetition of abnormal behaviors. The behavioral model helped people realize how fears become associated with specific situations and the role that reinforcement plays in the origin and maintenance of inappropriate behaviors. However, this model ignores the evidence of genetic and biological factors playing a role in some disorders. Further, many people find it difficult to accept the view of human behavior as simply a set of responses to environmental stimuli. They argue that human beings have free will and the ability to choose their situation as well as how they will react. humanistic model. A humanistic model, stemming from American psychologist Carl Rogers (1902-1987) and others, emphasizes that mental disorders arise when people are blocked in their efforts to grow and achieve self-actualization. According to this view, the self-concept is all-important and people have personal responsibility for their actions and the power to plan and choose their behaviors and feelings. The humanistic model stresses that humans are basically good and have tremendous potential for personal growth. Left to their own devices, people will strive for self-actualization. However, people can run into roadblocks. Problems will arise if people are prevented from satisfying their basic needs or are forced to live up to the expectations of others. When this happens, people lose sight of their own goals and develop distorted self-perceptions. 9
Psychology Basics They feel threatened and insecure and are unable to accept their own feelings and experiences. Losing touch with one’s own feelings, goals, and perceptions forms the basis of abnormality. For example, parents may withhold their love and approval unless a young person conforms to their standards. In this case, the parents are offering conditional positive regard. This causes children to worry about such things as, “What if I do not do as well on the next test?”, “What if I do not score in the next game?”, and “What if I forget to clean my room?” In this example, the child may develop generalized anxiety disorder, which includes chronically high levels of anxiety. What the child needs for full development of maximum potential, according to the humanistic view, is unconditional positive regard. American psychologist Abraham Maslow (1908-1970) and other humanistic theorists stress that all human activity is normal, natural, rational, and sensible when viewed from the perspective of the person who is performing the behavior. According to this model, abnormality is a myth. All abnormal behavior would make sense if one could see the world through the eyes of the person who is behaving abnormally. The humanistic model has made useful contributions to the practice of psychotherapy and to the study of consciousness. However, the humanistic model restricts attention to immediate conscious experience, failing to recognize the importance of unconscious motivation, reinforcement contingencies, future expectations, biological and genetic factors, and situational influences. Further, contrary to the optimistic self-actualizing view of people, much of human history has been marked by wars, violence, and individual repression. cognitive model. A cognitive model, stemming from American psychologists Albert Ellis and Donald Meichenbaum, American psychiatrist Aaron Beck, and others, finds the roots of abnormal behavior in the way people think about and perceive the world. People who distort or misinterpret their experiences, the intentions of those around them, and the kind of world where they live are bound to act abnormally. The cognitive model views human beings as thinking organisms that decide how to behave, so abnormal behavior is based on false assumptions or unrealistic situations. For example, Sally Smith might react to getting fired from work by actively searching for a new job. Sue Smith, in contrast, might react to getting fired from work by believing that this tragedy is the worst possible thing that could have happened, something that is really awful. Sue is more likely than Sally to become anxious, not because of the event that happened but because of what she believes about this event. In the cognitive model of abnormality, Sue’s irrational thinking about the event (getting fired), not the event itself, caused her abnormal behavior. Beck proposed that depressed people have negative schemas about themselves and life events. Their reasoning errors cause cognitive distortions. One cognitive distortion is drawing conclusions out of context, while ignoring other relevant information. Another cognitive distortion is over10
Abnormality: Psychological Models generalizing, drawing a general rule from one or just a few isolated incidents and applying the conclusion broadly to unrelated situations. A third cognitive distortion is dwelling on negative details, while ignoring positive aspects. A fourth cognitive distortion is thinking in an all-or-nothing way. People who think this way categorize experiences as either completely good or completely bad, rather than somewhere in between the two extremes. A fifth cognitive distortion is having automatic thoughts, negative ideas that emerge quickly and spontaneously, and seemingly without voluntary control. The cognitive and behavioral models are sometimes linked and have stimulated a wealth of empirical knowledge. The cognitive model has been criticized for focusing too much on cognitive processes and not enough on root causes. Some also see it as too mechanistic. The cognitive model proposes that maladaptive thinking causes psychological disorders. In contrast, the psychoanalytic model proposes that unconscious conflicts cause psychological disorders; the humanistic model proposes that blocking of full development causes psychological disorders; and the behavioral model proposes that inappropriate conditioning causes psychological disorders. These psychological models of abnormality stress the psychological variables that play a role in abnormal behavior. Sociocultural Models of Abnormality A sociocultural model of abnormality emphasizes the social and cultural context, going so far as to suggest that abnormality is a direct function of society’s criteria and definitions for appropriate behavior. In this model, abnormality is social, not medical or psychological. For example, early Greeks revered people who heard voices that no one else heard because they interpreted this phenomenon as evidence of divine prophecy. In the Middle Ages, people tortured or killed people who heard voices because they interpreted this same proclivity as evidence of demonic possession or witchcraft. Today, people treat those who hear voices with medicine and psychotherapy because this symptom is viewed as evidence of schizophrenia. Social and cultural context can influence the kinds of stresses people experience, the kinds of disorders they are likely to develop, and the treatment they are likely to receive. Particularly impressive evidence for a social perspective are the results of a well-known study, “On Being Sane in Insane Places” (1973), by American psychologist David Rosenhan. Rosenhan arranged for eight normal people, including himself, to arrive at eight different psychiatric hospitals under assumed names and to complain of hearing voices repeating innocuous words such as “empty,” “meaningless,” and “thud.” These pseudopatients responded truthfully to all other questions except their names. Because of this single symptom, the hospital staff diagnosed all eight as schizophrenic or manic-depressive and hospitalized them. Although the pseudopatients immediately stopped reporting that they heard voices and asked to be released, the hospitals kept them from seven to fifty11
Psychology Basics two days, with an average of nineteen days. When discharged, seven of the eight were diagnosed with schizophrenia “in remission,” which implies that they were still schizophrenic but simply did not show signs of the illness at the time of release. The hospital staff, noticing that these people took notes, wrote hospital chart entries such as “engages in writing behaviors.” No staff member detected that the pseudopatients were normal people, though many regular patients suspected as much. The context in which these pseudopatients behaved (a psychiatric hospital) controlled the way in which others interpreted their behavior. Particularly impressive evidence for a cultural perspective comes from the fact that different types of disorders appear in different cultures. Anorexia nervosa, which involves self-starvation, and bulimia nervosa, which involves binge eating followed by purging, primarily strike middle- and upperclass women in Westernized cultures. In Western cultures, women may feel particular pressure to be thin and have negatively distorted images of their own bodies. Amok, a brief period of brooding followed by a violent outburst that often results in murder, strikes Navajo men and men in Malaysia, Papua New Guinea, the Philippines, Polynesia, and Puerto Rico. In these cultures, this disorder is frequently triggered by a perceived insult. Pibloqtoq, a brief period of extreme excitement that is often followed by seizures and coma lasting up to twelve hours, strikes people in Arctic and Subarctic Eskimo communities. The person may tear off his or her clothing, break furniture, shout obscenities, eat feces, and engage in other acts that are later forgotten. As researchers examine the frequency and types of disorders that occur in different societies, they note some sharp differences not only between societies but also within societies as a function of the age and gender of the individuals being studied. The sociocultural model of abnormality points out that other models fail to take into account cultural variations in accepted behavior patterns. Understanding cross-cultural perspectives on abnormality helps in better framing questions about human behavior and interpretations of data. Poverty and discrimination can cause psychological problems. Understanding the context of the abnormal behavior is essential. The medical, psychological, and sociocultural models of abnormality represent profoundly different ways of explaining and thus treating people’s problems. They cannot be combined in a simple way because they often contradict one another. For example, a biological model asserts that depression is due to biochemistry. The treatment, therefore, is medicine to correct the imbalance. In contrast, a behavioral model asserts that depression is learned. The treatment, therefore, is changing the rewards and punishers in the environment so that the person unlearns the old, bad habits and learns new, healthy habits. One attempt to integrate the different models of abnormality is called the diathesis-stress model of abnormality. It proposes that people develop disorders if they have a biological weakness (diathesis) that predisposes 12
Abnormality: Psychological Models them to the disorder when they encounter certain environmental conditions (stress). The diathesis-stress approach is often used to explain the development of some forms of cancer: a biological predisposition coupled with certain environmental conditions. According to this model, some people have a predisposition that makes them vulnerable to a disorder such as schizophrenia. They do not develop schizophrenia, however, unless they experience particularly stressful environmental conditions. It is unlikely that any single model can explain all disorders. It is more probable that each of the modern perspectives explains certain disorders and that any single abnormal behavior has multiple causes. Sources for Further Study Alloy, Lauren B., Neil S. Jacobson, and Joan Acocella. Abnormal Psychology: Current Perspectives. 8th ed. Boston: McGraw-Hill, 1999. This comprehensive textbook discusses the medical (biological), psychodynamic (psychoanalytic), and cognitive models of abnormality. American Psychiatric Association. Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR. Rev. 4th ed. Washington, D.C.: Author, 2000. This listing of all psychological disorders includes for each a description, associated features and disorders, prevalence, course, and differential diagnosis. It is revised every five to ten years as new information becomes available. Gotlib, I. H., and C. L. Hammen. Psychological Aspects of Depression: Toward a Cognitive-Interpersonal Integration. New York: John Wiley & Sons, 1992. This book provides a summary of the symptoms of depression as well as theoretical explanations. Gottesman, Irving I. Schizophrenia Genesis: The Origins of Madness. New York: W. H. Freeman, 1991. Gottesman, an active researcher in the field of schizophrenia, wrote this book for nonprofessionals interested in schizophrenia and included first-person accounts written by people diagnosed with schizophrenia. Kesey, Ken. One Flew over the Cuckoo’s Nest. New York: Viking, 1962. This novel, and the 1975 film on which it is based, made the point that psychiatric diagnosis and treatment can be used to control behavior considered undesirable in a hospital and yet healthy from other perspectives. Rosenhan, David L. “On Being Sane in Insane Places.” Science 179 (1973): 250-258. The original report of a classic study of the effect that context has on perceptions of behavior. Lillian M. Range See also: Psychoanalytic Psychology.
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Adolescence Cognitive Skills Type of psychology: Developmental psychology Fields of study: Adolescence; cognitive development Adolescence brings the potential for logical and theoretical reasoning, systematic problem solving, and acquisition of abstract concepts; adolescent cognitive skills are reflected in social and personality development as well as in learning and problem-solving behavior. Key concepts • concrete operations stage • developmental approach • egocentrism • formal operations stage • hypothetical-deductive reasoning • imaginary audience • information-processing approach • personal fable • psychometric approach Psychologists approach the study of adolescent cognitive skills from three perspectives: the psychometric, the developmental, and the informationprocessing. The psychometric approach focuses on defining and measuring intellectual skills. Psychometric research typically involves studies of performance on intelligence tests. The developmental approach seeks to identify the types of cognitive skills that are unique to the adolescent years. This approach has been heavily influenced by the cognitive stage theory of Swiss psychologist Jean Piaget. The information-processing approach examines the characteristics of memory and problem solving. It views adolescent cognitive skills as parameters that determine how the brain stores and analyzes information. Psychometric Approach In the psychometric view, adolescence is a period of cognitive stability. Intelligence quotient (IQ) scores show little change during adolescence. Although IQ scores often fluctuate during early childhood, scores generally stabilize about age eight. It is common to find temporary periods of instability in IQ scores after age eight, such as at the onset of puberty or during other stressful times, but dramatic and long-term score changes are rare. According to this perspective, adolescence does not bring significant changes in cognitive skills. Theory and research on cognitive skills began with the development of modern intelligence tests, such as Alfred Binet’s 1916 test; however, the 14
Adolescence: Cognitive Skills intelligence-testing, or psychometric, approach has contributed little to an understanding of adolescent cognitive skills. Intelligence tests are best suited to the study of individual differences, or how people compare to others of their age. It is difficult to use intelligence testing to compare and contrast cognitive skills at different ages. Intelligence tests also are used to study the stability of intellectual level and the likelihood it will change in later years. Research indicates, however, that intelligence test scores in adolescence generally are similar to scores during childhood, although scores may fluctuate during childhood as a function of changes in factors such as diet, socioeconomic status, and education. Again, the psychometric approach seems poorly suited to the study of adolescent cognitive skills. Developmental Approach The developmental approach seeks to identify the cognitive skills of adolescence and to contrast them with the skills found at other ages. This approach addresses both the qualities of thought and the process of change. In 1958 Piaget and his coworker Barbel Inhelder published The Growth of Logical Thinking from Childhood Through Adolescence, a detailed account of Piaget’s four stages of cognitive development. In addition to proposing that specific cognitive skills emerge in each stage, he proposes that the move from one stage to the next is largely maturational. This statement may be confusing. Clearly, sixteen-year-olds must “know more” than eight-year-olds, and adolescents have the capacity to learn school subjects beyond the grasp of elementary school children. The psychometric approach, however, is not designed to contrast the nature of cognitive skills at different ages. Intelligence tests are scored by comparing a specific person to other people of the same age. A score of 100 at age eight means that a person performs similarly to the average eight-year-old; a score of 100 at age eighteen means that a person performs similarly to the average eighteen-year-old. IQ score is expected to remain the same if the person matures at a relatively normal rate. Two of Piaget’s stages are of particular importance to the study of adolescence: the concrete operational stage (ages seven to twelve) and the formal operational stage (ages twelve and up). During the concrete operational stage, children acquire basic logical concepts such as equivalence, seriation, and part-whole relations. Children also master reversibility, a skill allowing them mentally to restore a changed object or situation to its original state. With reversibility, children can recognize that a small glass of juice poured into a taller and thinner glass may look like more juice but is actually the same amount. During concrete operations, children can think logically as long as their reasoning is in reference to tangible objects. The formal operational stage follows the concrete operational stage and is the final stage of cognition, according to Piaget. Beginning at adolescence, thinking becomes more logical, more abstract, more hypothetical, 15
Psychology Basics and more systematic. Unlike their concrete operational counterparts, formal thinkers can study ideologies, generate a variety of possible outcomes to an action, and systematically evaluate alternative approaches to a problem. Formal thinkers also are better able to adopt a new course of action when a particular strategy proves unsuccessful. In the Piagetian model, adolescents are compared to scientists as they utilize hypothetical-deductive reasoning to solve problems. Although children during the concrete operational stage would solve problems by trial and error, adolescents could be expected to develop hypotheses and then systematically conclude which path is best to follow in order to solve the problem. Information-Processing Approach The information-processing approach provides additional information about these child/adolescent contrasts. According to John Flavell, cognitive growth is the acquisition of increasingly sophisticated and efficient problem-solving skills. For example, adolescents can hold more information in memory than children, which enhances their ability to solve complex problems. Improvements in memory reflect more than changes in capacity. Adolescents are better able to develop associations between words and ideas, which in turn facilitates remembering them. Part of their improvement is a result of the fact that adolescents know more than children. Adolescents also are better able to think abstractly and develop hypotheses. These skills in part reflect improvements in generalization, identifying similarities between previous situations and new ones. Changes in thinking and hypothesizing also enable adolescents to generate a wider variety of problem-solving strategies, which enhances their performance. Finally, adolescents know more about the nature of thought and memory. This metacognition, or ability to “think about thinking,” increases the planning in their problem-solving behavior. Information-processing research has helped explain some of the inconsistencies that appear in Piagetian research. According to Piagetian theory, people are located within particular cognitive stages and will reason at those levels of maturity in all problem-solving situations. Why, then, do most people show features of several stages, depending on the type of problem presented? According to information-processing research, variability in performance across different problem types is to be expected. The more one knows, the easier it is to use efficient cognitive processes. People will appear more cognitively mature performing tasks about which they are knowledgeable. Application of Research The research on adolescent thinking has been applied to the study of learning, personality, and social behavior during adolescence. For example, research on adolescent cognition has influenced the development of both curricula and teaching methods at the middle-school and high-school levels. As individuals who are entering the stage of formal thinking, adoles16
Adolescence: Cognitive Skills cents are better equipped to handle abstract topics such as geometry and physics. Their emerging ability to consider systematically the effects of several factors when solving a problem make adolescents good candidates for laboratory science courses. Some applications of research on adolescent cognitive skills are the subject of much debate, however; ability tracking is a case in point. Psychometric research indicates that intellectual functioning becomes relatively stable in preadolescence. From this point onward, children continue to perform at the same level relative to their age-mates on standardized measures such as IQ tests. The stability of test performance has been used to support the creation and maintenance of ability tracks beginning in the middleschool years. Proponents of tracking maintain that ability grouping, or tracking, enables teachers to challenge more able students without frustrating less capable students. Opponents of tracking maintain that less able students benefit from both the academic challenges and the competent role models provided by superior students in ungrouped classrooms. In fact, critics of tracking charge that the level at which performance stabilizes actually results from subtle differences in how teachers interact with their students, differences often based on inaccurate assumptions about student potential. Perhaps students with low test scores, many of whom are poor or minority students, perform poorly because people expect them to be less capable. Adolescents and Social Cognition Although Piaget primarily limited his research of adolescent reasoning to mathematical and scientific concepts, he did consider the role that formal operations play in the adolescent’s social life. David Elkind continued research in this area by noting that features of formal thinking are reflected in adolescent personality characteristics. According to Elkind, the ability to think abstractly and hypothetically enables adolescents to develop their own idealistic, theoretical views of the world. The ability to distinguish between reality and theory, however, can lead to disillusionment and the recognition that adolescents’ idols have “feet of clay.” Elkind identified an adolescent egocentrism that he equates with the heightened self-consciousness of adolescence. This egocentrism demonstrates itself in two types of social thinking—personal fable and imaginary audience. In personal fable, young adolescents see themselves as unique and special. Personal fable may lead adolescents to take unnecessary risks because they believe they are so different from others: “I can drink and drive.” “Only other people get pregnant.” Personal fable also makes adolescents believe that no one else can understand how they feel or offer any useful suggestions: “No one has ever had a problem like mine.” In imaginary audience, adolescents believe that “everyone” is watching them. Elkind sees this selfconsciousness as an application of hypothetical thinking: “If my characteristics are so obvious to me, they must also be obvious to everyone else.” 17
Psychology Basics
Neural Basis of Adolescent Cognition Interest has been growing in the prospect of uniting brain and cognitive development during adolescence. With the use of magnetic resonance imaging (MRI), researchers now have a better understanding of how the adolescent brain actually functions. A surprising discovery is the fact that there are changes in the structure of the brain that appear relatively late in child development. Of special note during the teenage years is the second wave of synapse formation just before puberty, along with a pruning back during adolescence. It had already been known that prior to birth and during the first months after birth there was an overproduction of connections, but it was not known that a second spurt occurred. This time of rapid development of synapses followed by the pruning of connections determines the cells and connections that will be “hardwired.” From studies of growth patterns of the developing brain, it has also been found that fiber systems which influence language learning and associative thinking develop more rapidly just before puberty and for a short period of time just after puberty. Changes in the prefrontal cortex increase the adolescent’s potential to reason with more accuracy, show more control over impulses, and make more effective judgments. Even the cerebellum is still developing into adolescence. Although commonly associated with physical coordination, the cerebellum also plays a role in processing mental tasks, such as higher thought, decision making, and social skills. In summary, it is now known that an important part of the growth of the brain is happening just before puberty and well into adolescence.
Lillian J. Breckenridge
Cognitive changes also affect social behavior by inducing changes in social cognitive development. Social cognition refers to an individual’s understanding of people and of interactions among people. According to Piaget, changes in cognition are reflected in the way people think about themselves and other people. The thinking of preadolescents (seven to eleven years) begins to focus less on the obvious features of objects, events, and people. They are better able to translate patterns of behavior into psychological characteristics, such as concluding that a particular person is “nice” or “rude.” They are becoming less egocentric, better able to appreciate that people have different points of view. It is not surprising, then, that they are better able to see the world from the perspective of another person. As they enter formal operations (eleven or twelve years and older), adolescents are able to think in more logical and abstract ways. These changes are reflected in their ability to describe people in abstract terms, such as “cooperative” or “uncoordinated,” and compare people along psychological dimensions. Robert Selman has observed that changes in social cognition occur in stages that closely parallel Piaget’s stages of cognitive development. Accord18
Adolescence: Cognitive Skills ing to Selman’s research, most concrete operational preadolescents (ages ten to twelve) recognize the existence of different points of view. Many of them, however, have difficulty evaluating conflicting perspectives or understanding how perspectives relate to membership in different social groups. As adolescents become more fully formal operational (twelve to fifteen years and older), they become able to understand the relationship between another person’s perspective and their membership in social systems. For example, the difference between two people’s points of view may reflect their membership in different racial or ethnic groups. Progress through Selman’s stages also is influenced by social experiences. In other words, it is possible for a person to mature intellectually and to become less egocentric without becoming skillful at adopting others’ points of view. Formal Operations Controversy Piaget believed that formal operational thought, entered between eleven and fifteen years of age, was a fourth and final stage of cognitive development, although he did say that adults are quantitatively more knowledgeable than adolescents. Some experts argue that young adults demonstrate a fifth, postformal stage that is different from adolescent thinking. Postformal thought is characterized by an understanding that the correct answer to a problem requires reflective thinking that may vary from one situation to another. Truth is viewed as an ongoing, never-ending process. Critics of this view argue that research evidence is lacking to document this as a qualitatively more advanced stage than formal operational thought. Research has called into question the link between adolescence and the stage of formal operational thought. It is estimated that only one in three young adolescents is a formal operational thinker. Many adolescents think in ways characteristic of concrete operations or use formal thinking only part of the time. In fact, even many adults have not mastered formal operations. Critics argue that individual differences and cultural experiences may play a greater role in determining formal operations than Piaget envisioned. Piagetian theory has been notoriously difficult to evaluate. Research indicates that performance on Piagetian tasks depends on understanding the instructions, being able to attend to the relevant aspects of the problems, and being interested in the problems themselves. Adolescents who perform best on formal operational tasks are often those with interests in the natural sciences—an unlikely finding if cognitive change is largely maturational. Adolescents who do use formal operations may experience development in two phases, one early and the other during late adolescence. The initial stage is primarily assimilation and involves the incorporation of new information into existing knowledge. Rather than using hypothetical-deductive thinking, adolescents at this point may simply be consolidating their concrete operational thinking. They tend to perceive their world in subjective and idealistic terms. During the later phase, adolescents are more likely to 19
Psychology Basics accommodate, restoring intellectual balance after a cognitive upheaval occurs. Although the popularity of Piagetian theory has declined, it remains one of the most influential theories in developmental psychology. In fact, it was Piagetian theory that led information-processing psychologists to become interested in cognitive development. In a summation, understanding adolescent cognitive skills requires some familiarity with all perspectives, in spite of their respective weaknesses. Each has made a unique historical contribution to current views of cognition. Sources for Further Study Byrnes, James P. Minds, Brains, and Learning: Understanding the Psychological and Educational Relevance of Neuroscientific Research. New York: Guilford Press, 2001. Provides a stimulus for rethinking assumptions regarding the connection between mental and neural processes. The author challenges some of Piaget’s ideas on formal operational thought. Gives a clear and readable overview of current neuroscientific work, especially for those relatively new to the field. Elkind, David. The Child’s Reality: Three Developmental Themes. Hillsdale, N.J.: Lawrence Erlbaum, 1978. Discusses the ways in which adolescent cognitive skills are reflected in personality and in social behavior. Excellent presentations on egocentrism, ideologies, personal fable, and imaginary audience. Flavell, John, Patricia Mill, and Scott Miller. Cognitive Development. Rev. ed. Englewood Cliffs, N.J.: Prentice-Hall, 2001. Presents theory and research on cognitive development from an information-processing approach. Discusses relationship between information-processing and Piagetian theory. An excellent effort to compare and contrast these two perspectives. Ginsburg, Herbert, and Sylvia Opper. Piaget’s Theory of Intellectual Development. Englewood Cliffs, N.J.: Prentice-Hall, 1988. In its latest edition, this now classic work contains an updated presentation of Piaget’s theory of cognitive development, including a detailed analysis of formal operational thinking. Kuhn, D. “Adolescence: Adolescent Thought Processes.” In Encyclopedia of Psychology, edited by Alan E. Kazdin. New York: Oxford University Press, 2000. This is an outstanding reference source for cognitive development in general. Kuhn provides a good evaluation of Piaget’s work. Muuss, R. E. “Social Cognition: Robert Selman’s Theory of Role Taking.” Adolescence 17, no. 67 (1982): 499-525. Discusses the relationship between adolescent cognitive skills and the ability to adopt another person’s point of view. Includes an overall summary of Robert Selman’s model of social cognitive development. Pruitt, David B., ed. Your Adolescent: Emotional Behavioral and Cognitive Development from Early Adolescence Through the Teen Years. New York: Harper20
Adolescence: Cognitive Skills Collins, 2000. Written with the parent in mind, this resource covers a wide range of concerns and issues. It is published by the American Academy of Child and Adolescent Psychiatry and complements a similar book written for the childhood years. The approach is more practical than scholarly. Lisa Friedenberg; updated by Lillian J. Breckenridge See also: Adolescence: Sexuality; Cognitive Development: Jean Piaget; Identity Crises; Learning.
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Adolescence Sexuality Type of psychology: Developmental psychology Field of study: Adolescence Adolescent sexuality examines the physical, psychological, and behavioral changes that occur as the individual leaves childhood, acquires sexual maturity, and incorporates the various aspects of sexuality into his or her identity. Key concepts • contraception • development of sexual identity • levels of sexual activity • psychological effects • puberty Perhaps no single event during the adolescent years has as dramatic or widespread effects as the realization of sexuality. The lives of both boys and girls become wrapped in this new dimension. Adolescence is a time of sexual exploration and experimentation, of sexual fantasies and sexual realities, of incorporating sexuality into one’s identity. These processes determine adolescents’ comfort with their own emerging sexuality as well as with that of others. Adolescents are also beginning to be involved in intimate relationships, a context in which sexual activity often occurs. In recent decades, many of the milestones by which adulthood is defined and measured—full-time employment, economic independence, domestic partnership/marriage, and childbearing—are attained at later ages in people’s lives than they were in earlier generations, while puberty begins at earlier ages. Thus, adolescents face many years between the onset of puberty, fertility, and the natural intensification of sexual feelings and the achievement of committed relationships and economic independence. As a result, young people have sexual intercourse earlier in life, and there are greater percentages of adolescents who are sexually experimenting at every age level, a greater number of acts of premarital intercourse, and a greater number of sexual partners before marriage. Physical Changes Adolescence is the life stage between childhood and adulthood. Its age limits are not clearly specified, but it extends roughly from age twelve to the late teens, when physical growth is nearly complete. Puberty, a term often confused with adolescence, occurs at the end of childhood and lasts from two to four years. It is the period of adolescence during which an individual reaches sexual maturity. 22
Adolescence: Sexuality Human beings grow most rapidly at two times during their lives: before they are six months old and during adolescence. The second period of accelerated growth is often referred to as the adolescent growth spurt. Adolescents grow both in height and weight, with the increase in height occurring first. As they gain weight, the amount and distribution of fat in their bodies changes, and the proportion of bone and muscle tissue increases. In girls, the adolescent growth spurt usually begins between the ages of nine and eleven and reaches a peak at an average of twelve and a half years. Then growth slows and usually ceases completely between the ages of fifteen and eighteen. The growth spurt in boys generally begins about two years later than it does in girls and lasts for a longer time. It begins between the ages of eleven and fourteen, reaches a peak at about age fifteen, and slowly declines until the age of nineteen or twenty. The teenager’s body grows at differing rates, so that at times adolescents look a bit awkward. Big feet and long legs are the early signs of a changing body, but even these changes do not occur at the same time. First the hands and feet grow, then the arms and legs; only later do the shoulders and chest grow to fit the rest of the developing body. Changes in body proportion become obvious. The trunk widens in the hips and shoulders, and the waistline narrows. Boys tend to broaden mostly in the shoulders, girls in the hips. Puberty is chiefly characterized by sexual development. Sexual development can be best understood by examining the maturation of primary and secondary sex characteristics. Primary sex characteristics are the physiological features of the sex organs. For males, these organs are the penis and the testes; for females, they are the ovaries, uterus, clitoris, and vagina. Secondary sex characteristics are not directly related to the sexual organs but nevertheless distinguish a mature male from a mature female. Examples of secondary sex characteristics are the male beard and the female breasts. In girls, the onset of breast development is usually, but not always, the first sign that puberty has begun. This typically occurs between the ages of ten and eleven but can occur as late as ages thirteen and fourteen. There is simultaneous development of the uterus and vagina, with enlargement of the labia and clitoris. Menarche (the first menstrual period), although perhaps the most dramatic and symbolic sign of a girl’s changing status, occurs relatively late in puberty, after the growth spurt has reached its peak velocity. The first menstrual periods tend to be irregular, and ovulation (the release of a mature egg) does not usually begin until a year or so after menarche. Onset age of menarche has decreased as body weight has increased in the modern era, with girls on average reaching menarche at ten and a half to eleven years of age. The first noticeable change in boys is usually growth of the testes and scrotum. The growth of the genitals begins, on average, about the age of twelve and is completed, on average, by about the age of fifteen. Boys generally become capable of ejaculation about a year after the penis begins to grow. These first emissions may occur as a result of nocturnal emissions, the 23
Psychology Basics
Physical Changes During Puberty and Adolescence
15 to 18 12 to 14
Males (onset: ages 12 to 14) Facial and pubic hair appear Voice deepens Shoulders broaden Sex organs enlarge
15 to 16 10 to 12 Females (onset: ages 10 to 12) Breasts grow Hips widen Pubic hair appears Uterus enlarges Menstruation begins
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During adolescence, the physical changes of puberty result in relatively rapid sexual development. (Hans & Cassidy, Inc.)
Adolescence: Sexuality ejaculation of semen during sleep. Nocturnal emissions are a normal phase of development and are frequently caused by sexual excitation in dreams or by some type of physical condition, such as a full bladder or even pressure from pajamas. As the bodies of adolescents become more adult, their interest in sexual behavior increases sharply. They must learn the necessary behavior to satisfy that interest, and they must face the issue of a mature gender identity. This includes the expression of sexual needs and feelings and the acceptance or rejection of sex roles. The onset of dating and the beginning of physical intimacies with others can provoke frustration and anxiety. As this unfamiliar territory is explored, the adolescent is often very underinformed and overly self-conscious. Conflicting sexual values and messages are frequently encountered, accentuating the problem of integrating sexual drives with other aspects of the personality. Psychological Adjustment Adolescents are acutely aware of the rapid changes taking place in their bodies. How they react to such changes greatly affects how they evaluate themselves; it is in this manner that physical and psychological development are related. Physical changes may cause psychological discomfort. Adolescents are particularly concerned about whether they are the “right” shape or size and whether they measure up to the “ideal” adolescent. Rapid growth, awkwardness, acne, voice changes, menarche, and other developments may produce emotional distress. Therefore, it is not surprising that the timing of physical and sexual maturity may have an important influence on psychosocial adjustment. Adolescents are generally concerned about anything that sets them apart from their peers. Being either the first or last to go through puberty can cause considerable self-consciousness. In general, boys who mature early have a distinct advantage over those who mature late. They tend to be more poised, easygoing, and goodnatured. They are taller, heavier, and more muscular than other boys their age. They are also more likely to excel in sports, achieve greater popularity, and become school leaders. The ideal form for men in American society, as represented by the media, is that of the postpubescent male. Therefore, early entry into puberty draws boys closer to the male “ideal.” In contrast, late-maturing boys not only are smaller and less well developed than others in their age group but also are not as interested in dating. When they do become interested in intimacy, they often lack social skills; they are more likely to feel inadequate, anxious, and self-conscious. These personality characteristics tend to persist into early adulthood, although they may become less marked and often disappear as time goes by. For girls, early maturation appears to be a mixed blessing. Girls who mature early grow taller, develop breasts, and go through menarche as much as six years before some of their peers. Their larger size and more adult phy25
Psychology Basics sique may make them feel conspicuous and awkward, while at the same time they may be popular with boys and experience more dating opportunities. They also may have to deal with parents and other caregivers who have reacted to their early sexual development by being overly restrictive. The beauty ideal for women in American society, as portrayed by the media, is that of a prepubescent female. Changes in body fat related to puberty thus may lead to body image problems, as entry into puberty increases the distance from the beauty ideal just as girls become most interested in it. As with boys, the consequences of early and late maturation decrease over time. However, either early or late start of menarche seems significantly more difficult to deal with than if more typical. Sexual Behavior Sexual maturation has other psychological consequences as well. In particular, patterns of sexual behavior change tremendously with the arrival of sexual maturity. As adolescents’ bodies become more adult, their interest in sexual behavior increases sharply; as they explore their sexual identities, they develop a sexual script, or a stereotyped pattern for how individuals should behave sexually. The sexual script for boys is frequently different from the sexual script for girls. As a result, boys and girls generally think differently about sex. This discrepancy can cause problems and confusion for adolescents as they struggle with their sexual identities. For boys, the focus of sexuality may be sexual conquest, to the point that young men who are nonexploitative or inexperienced may be labeled with negative terms such as “sissy.” Boys are more likely than girls to see intercourse as a way of establishing their maturity and of achieving social status. As a consequence, boys are more likely to have sex with someone who is a relative stranger, to have more sexual partners, and to disassociate sex from love and emotional intimacy. Adolescent girls are much more likely than adolescent boys to link sexual intercourse with love. The quality of the relationship between the girl and her partner is a very important factor. Most girls would agree that sexual intercourse is acceptable if the two people are in love and that is not acceptable if they are not in a romantic relationship. Consequently, girls are less likely than boys to list pleasure, pleasing their partner, and relieving sexual tension as reasons for having sex. During the past several decades, attitudes toward sexual activity have changed dramatically. Views regarding premarital sex, extramarital sex, and specific sexual acts are probably more open and permissive today than they have been at any other time in recent history. Young people are exposed to sexual stimuli on television and in magazines and motion pictures to a greater extent than ever before. Effective methods of birth control have lessened the fear of pregnancy. All these changes have given the adolescent more freedom. At the same time, the rise of acquired immunodeficiency syndrome (AIDS) in the late 1970’s, the sharp increases in AIDS cases 26
Adolescence: Sexuality among heterosexual teenagers in the 1990’s, and the increased concern over antibiotic-resistant gonorrhea and other sexually transmitted diseases have only produced more conflict, since guidelines for “appropriate behavior” are less clear-cut than they were in the past. In some families, the divergence between adolescent and parental standards of sexual morality is great. Research specifically directed toward the exploration of adolescent sexuality was not seriously undertaken until the 1950’s and 1960’s. Even then, the few studies that were conducted handled the topic delicately and focused on attitudes rather than behavior. When behavior was emphasized, age at first intercourse was generally selected as the major variable. Later studies have been more detailed and expansive; however, a paucity of research in this area still exists. In Facing Facts (1995), Debra W. Haffner categorizes adolescent sexuality into three stages; early, middle, and late. In early adolescence (ages nine to thirteen for girls, eleven to fifteen for boys) experimenting with sexual behavior is common, although sexual intercourse is usually limited. A 1994 national telephone survey of ninth- to twelfth-grade students found that nearly all had engaged in kissing; more than 70 percent had engaged in touching above the waist and more than 50 percent below the waist; 15 percent had engaged in mutual masturbation. This time period is characterized by the beginning of the process of separating from the family and becoming more influenced by peers. During middle adolescence (thirteen to sixteen for girls, fourteen to seventeen for boys) sexual experimentation is common, and many adolescents have first intercourse during this stage of life. Of ninth- through twelfth-grade students, 50 percent report having had sexual intercourse, with percentages from 38 percent of ninth-graders to 65 percent of twelfth-graders. A slightly higher percentage of young men than young women reported having had sexual intercourse. In late adolescence (women sixteen and older; men seventeen and older), the process of physical maturation is complete. There is autonomy from family as well as from the peer group as adult roles are defined. Sexuality often becomes associated with commitment and planning for the future. Awareness of sexual orientation often emerges in adolescence. Margaret Rosario and her colleagues conducted a study of fourteen- to twenty-oneyear-old lesbian, gay, and bisexual youths which found that the average age at which girls were certain of being gay was approximately 16 and the average age for boys was 14.6, with the majority reporting a history of sexual activity with both sexes. Boys appear to initiate intercourse earlier than girls, but girls catch up by the late teens. The timing of puberty is important for boys, while for girls, social controls exert a greater influence than the onset of puberty. Girls who are academically engaged, with higher self-esteem, and with interests outside the dating culture are more likely to delay the onset of sexual activity. For both boys and girls, dual-parent families, higher socioeconomic status, 27
Psychology Basics parental supervision, and close relationships with parents are all associated with delayed onset of sexual activity. Contraceptive use among adolescents continues to increase. Two-thirds of adolescents report using some method of contraceptive, usually condoms, the first time they have sexual intercourse. The older they are at first intercourse, the more likely they are to use a contraceptive as well. Programs that improve teen access to contraceptives have not produced increased rates of sexual activity but do increase condom use. Social concerns such as teenage pregnancy, sexually transmitted diseases, and sex education have focused attention on the need to understand clearly the dynamics of adolescent sexuality. This awareness should continue to encourage broader perspectives for the study of teenage sexual behavior and produce detailed knowledge of sexuality as it occurs in the adolescent experience. Sources for Further Study Alan Guttmacher Institute. Sex and America’s Teenagers. New York: Author, 1994. The report of a study conducted by the Alan Guttmacher Institute on teenage sexual activity in the 1990’s. It is presented in written and graphical forms and provides a good look at adolescent sexuality. Bell, Ruth, et al. Changing Bodies, Changing Lives: A Book for Teens on Sex and Relationships. 3d ed. New York: Random House, 1998. Written specifically for a teenage audience. Teens from around the United States were surveyed in order to determine the book’s contents, and they share their unique perspectives on sexuality. This is perhaps one of the best resources available for teens. Columbia University Health Education Program. The Go Ask Alice Book of Answers: A Guide to Good Physical, Sexual, and Emotional Health. New York: Owl Books, 1998. Inspired by Columbia’s award-winning and hugely popular Web site, this book is packed with straightforward, nonjudgmental, comprehensive answers to the toughest, most embarrassing questions teens and adults have about sexual, emotional, and physical health. Madaras, Lynda, with Area Madaras. The “What’s Happening to My Body?” Book for Girls: A Growing Up Guide for Parents and Daughters. 3d rev. ed. New York: Newmarket, 2000. Written especially for adolescents and their parents. The author is a leading sex educator, and she is joined by her daughter. The primary focus is on female puberty; however, topics such as sexual feelings and sexual intercourse are also discussed. Well written, with illustrations that enhance the text. Madaras, Lynda, with Dane Saavedra. The “What’s Happening to My Body?” Book for Boys: A Growing Up Guide for Parents and Sons. 3d rev. ed. New York: Newmarket, 2000. Written by a leading sex educator with the assistance of an adolescent boy. The book deals primarily with male puberty but includes information about sexual feelings and sexual intercourse. A very useful and informative book, written in a conversational style. 28
Adolescence: Sexuality Rosario, Margaret, et al. “The Psychosexual Development of Urban Lesbian, Gay, and Bisexual Youths.” The Journal of Sex Research 33, no. 2 (1996): 113126. Fills one of the gaps left by general reference sources that often treat adolescent sexuality as strictly heterosexual in nature. Provides current information on alternative sexuality choices made by adolescents. Strasburger, Victor C., and Robert T. Brown. Adolescent Medicine: A Practical Guide. 2d ed. Philadelphia: Lippincott-Raven, 1998. This book addresses the physical and psychosocial problems of teenagers that physicians are most likely to treat. The emphasis is on practical information. Applied diagnostic and treatment guidelines cover conditions such as asthma, diabetes mellitus, developmental problems, headaches, sexually transmitted diseases and pregnancy, depression, and eating disorders. Doyle R. Goff; updated by Cynthia O’Dell See also: Adolescence: Cognitive Skills; Drives; Homosexuality; Identity Crises.
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Affiliation and Friendship Type of psychology: Social psychology Fields of study: Interpersonal relations; social motives Affiliation is the tendency to seek the company of others; people are motivated to affiliate for several reasons, and affiliation also meets many human needs. Friendship is an important close relationship based on affiliation, attraction, and intimacy. Key concepts • affiliation • attraction • communal relationship • complementarity • consensual validation • exchange relationship • propinquity • proselytize • social comparison Affiliation is the desire or tendency to be with others of one’s own kind. Many animal species affiliate, collecting in groups, flocks, or schools to migrate or search for food. Human affiliation is not controlled by instinct but is affected by specific motives. One motivation for affiliation is fear: People seek the company of others when they are anxious or frightened. The presence of others may have a calming or reassuring influence. Research in 1959 by social psychologist Stanley Schachter indicated that fear inducement leads to a preference for the company of others. Further work confirmed that frightened individuals prefer the company of others who are similarly frightened, rather than merely the companionship of strangers. This preference for similar others suggests that affiliation is a source of information as well as reassurance. Social Comparison Theory The value of obtaining information through affiliating with others is suggested by social comparison theory. Social comparison is the process of comparing oneself to others in determining how to behave. According to Leon Festinger, who developed social comparison theory in 1954, all people have beliefs, and it is important to them that their beliefs be correct. Some beliefs can be objectively verified by consulting a reference such as a dictionary or a standard such as a yardstick. Others are subjective beliefs and cannot be objectively verified. In such cases, people look for consensual validation—the verification of subjective beliefs by obtaining a consensus among other people—to verify their beliefs. The less sure people are of the correctness of a belief, the more they rely on social comparison as a source of verification. 30
Affiliation and Friendship The more people there are who agree with one’s opinion about something, the more correct one feels in holding that opinion. Influences on Affiliation Beyond easing fear and satisfying the need for information or social comparison, mere affiliation with others is not usually a satisfactory form of interaction. Most people form specific attractions for other individuals, rather than being satisfied with belonging to a group. These attractions usually develop into friendship, love, and other forms of intimacy. Interpersonal attraction, the experience of preferring to interact with specific others, is influenced by several factors. An important situational or circumstantial factor in attraction is propinquity. Propinquity refers to the proximity or nearness of other persons. Research by Festinger and his colleagues has confirmed that people are more likely to form friendships with those who live nearby, especially if they have frequent accidental contact with them. Further research by social psychologist Robert Zajonc indicated that propinquity increases attraction because it increases familiarity. Zajonc found that research subjects expressed greater liking for a variety of stimuli merely because they had been exposed to those stimuli more frequently than to others. The more familiar a person is, the more predictable that person seems to be. People are reassured by predictability and feel more strongly attracted to those who are familiar and reliable in this regard. Another important factor in attraction and friendship is physical attractiveness. According to the physical attractiveness stereotype, most people believe that physically attractive people are also good and valuable in other ways. For example, physically attractive people are often assumed to be intelligent, competent, and socially successful. Attraction to physically attractive persons is somewhat modified by the fear of being rejected. Consequently, most people use a matching principle in choosing friends and partners: They select others who match their own levels of physical attractiveness and other qualities. Matching implies the importance of similarity. Similarity of attitudes, values, and background is a powerful influence on interpersonal attraction. People are more likely to become friends if they have common interests, goals, and pastimes. Similar values and commitments are helpful in establishing trust between two people. Over time, they choose to spend more time together, and this strengthens their relationship. Another factor in interpersonal attraction is complementarity, defined as the possession of qualities that complete or fulfill another’s needs and abilities. Research has failed to confirm that “opposites attract,” as attraction appears to grow stronger with similarities, not differences, between two people. There is some evidence, however, that people with complementary traits and needs will form stronger relationships. For example, a person who enjoys talking will have a compatible relationship with a friend or partner 31
Psychology Basics who enjoys listening. Their needs are different but not opposite—they complete each other. Friendship Friendship begins as a relationship of social exchange. Exchange relationships involve giving and returning favors and other resources, with a shortterm emphasis on maintaining fairness or equity. For example, early in a relationship, if one person does a favor for a friend, the friend returns it in kind. Over time, close friendships involve shifting away from an exchange basis to a communal basis. In a communal relationship, partners see their friendship as a common investment and contribute to it for their mutual benefit. For example, if one person gives a gift to a good friend, he or she does not expect repayment in kind. The gift represents an investment in their long-term friendship, rather than a short-term exchange. Friendship also depends on intimate communication. Friends engage in self-disclosure and reveal personal information to each other. In the early stages of friendship, this is immediately reciprocated: One person’s revelation or confidence is exchanged for the other’s. As friendship develops, immediate reciprocity is not necessary; long-term relationships involve expectations of future responses. According to psychologist Robert Sternberg, friendship is characterized by two experiences: intimacy and commitment. Friends confide in each other, trust each other, and maintain their friendship through investment and effort. Comfort in a Group Theories of affiliation explain why the presence of others can be a source of comfort. In Schachter’s classic 1959 research on fear and affiliation, university women volunteered to participate in a psychological experiment. After they were assembled, an experimenter in medical attire deceived them by explaining that their participation would involve the administration of electrical shock. Half the subjects were told to expect extremely painful shocks, while the others were assured that the shocks would produce a painless, ticklish sensation. In both conditions, the subjects were asked to indicate where they preferred to wait while the electrical equipment was being set up. Each could indicate whether she preferred to wait alone in a private room, preferred to wait in a large room with other subjects, or had no preference. The cover story about electrical shock was a deception; no shocks were administered. The fear of painful shock, however, influenced the subjects’ preferences: Those who expected painful shocks preferred to wait with other subjects, while those who expected painless shocks expressed no preference. Schachter concluded that (as the saying goes) misery loves company. In a later study, subjects were given the choice of waiting with other people who were not research subjects. In this study, subjects who feared shock expressed specific preference for others who also feared shock: Misery loves miserable company. 32
Affiliation and Friendship The social comparison theory of affiliation explains the appeal of group membership. People join groups such as clubs, organizations, and churches to support one another in common beliefs or activities and to provide one another with information. Groups can also be a source of pressure to conform. One reason individuals feel pressured to conform with group behavior is that they assume the group has better information than they have. This is termed informational influence. Cohesive groups—groups with strong member loyalty and commitment to membership—can also influence members to agree in the absence of information. When a member conforms with the group because he or she does not want to violate the group’s standards or norms, he or she has been subjected to normative influence. Factors in Friendship Studies of interpersonal attraction and friendship have documented the power of circumstances such as propinquity. In their 1950 book Social Pressures in Informal Groups, Leon Festinger, Stanley Schachter, and Kurt Back reported the friendship preferences of married students living in university housing. Festinger and his colleagues found that the students and their families were most likely to form friendships with others who lived nearby and with whom they had regular contact. Propinquity was a more powerful determinant of friendship than common background or academic major. Propinquity appears to act as an initial filter in social relationships: Nearness and contact determine the people an individual meets, after which other factors may affect interpersonal attraction. The findings of Festinger and his colleagues can be applied by judiciously
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People are more likely to become friends if they share interests, goals, and pastimes. (CLEO Photography) 33
Psychology Basics choosing living quarters and location. People who wish to be popular should choose to live where they will have the greatest amount of contact with others: on the ground floor of a high-rise building, near an exit or stairwell, or near common facilities such as a laundry room. Zajonc’s research on the power of mere exposure confirms that merely having frequent contact with others is sufficient to predispose them to liking. Mere exposure does not appear to sustain relationships over time. Once people have interacted, their likelihood of having future interactions depends on factors such as physical attractiveness and similarity to one another. Further, the quality of their communication must improve over time as they engage in greater self-disclosure. As friends move from a tit-for-tat exchange to a communal relationship in which they both invest time and resources, their friendship will develop more strongly and satisfactorily. Love Research on love has identified a distinction between passionate love and companionate love. Passionate love involves intense, short-lived emotions and sexual attraction. In contrast, companionate love is calmer, more stable, and based on trust. Companionate love is strong friendship. Researchers assert that if passionate love lasts, it will eventually calm down and become transformed into companionate love. Researcher Zick Rubin developed a scale to measure love and liking. He found that statements of love involved attachment, intimacy, and caring. Statements of liking involved positive regard, judgments of similarity, trust, respect, and affection. Liking or friendship is not simply a weaker form of love but a distinctive combination of feelings, beliefs, and behaviors. Rubin found that most dating couples had strong feelings of both love and liking for each other; however, follow-up research confirmed that the best predictor of whether partners were still together later was how much they had liked—not loved—each other. Liking and friendship form a solid basis for love and other relationships that is not easily altered or forgotten. Research Much early research on affiliation and friendship developed from an interest in social groups. After World War II, social scientists were interested in identifying the attitudes and processes that unify people and motivate their allegiances. Social comparison theory helps to explain a broad range of behavior, including friendship choices, group membership, and proselytizing. Festinger suggested that group membership is helpful when one’s beliefs have been challenged or disproved. Like-minded fellow members will be equally motivated to rationalize the challenge. In their 1956 book When Prophecy Fails, Festinger, Henry Riecken, and Schachter document the experience of two groups of contemporary persons who had attested a belief that the world would end in a disastrous flood. One group was able to gather and meet to await the end, while the other individuals, mostly college students, 34
Affiliation and Friendship were scattered and could not assemble. When the world did not end as predicted, only those in the group context were able to rationalize their predicament, and they proceeded to proselytize, spreading the word to “converts.” Meanwhile, the scattered members, unable to rationalize their surprise, lost faith in the prophecy and left the larger group. Research on propinquity combined with other studies of interpersonal attraction in the 1960’s and 1970’s. Friendship and love are challenging topics to study because they cannot be re-created in a laboratory setting. Studies of personal relationships are difficult to conduct in natural settings; if people know they are being observed while they talk or date, they behave differently or leave the scene. Natural or field studies are also less conclusive than laboratory research because it is not always clear which factors have produced the feelings or actions that can be observed. Friendship has not been as popular a topic in relationships research as romantic love, marriage, and sexual relationships. Some research has identified gender differences in friendship: Women communicate their feelings and experiences with other women, while men’s friendships involve common or shared activities. Developmental psychologists have also identified some age differences: Children are less discriminating about friendship, identifying someone as a friend who is merely a playmate; adults have more complex ideas about friendship forms and standards. As research on close relationships has gained acceptance, work in communication studies has contributed to the findings of social psychologists. Consequently, more is being learned about the development and maintenance of friendship as well as the initial attractions and bonds that encourage people’s ties to others. Sources for Further Study Festinger, Leon, Stanley Schachter, and Kurt Back. Social Pressures in Informal Groups. Stanford, Calif.: Stanford University Press, 1963. This classic work documents the authors’ research on housing and friendship preferences and ties work on friendship to theories of group structure and function. Hendrick, Clyde, and Susan Hendrick. Close Relationships: A Sourcebook. Thousand Oaks, Calif.: Sage, 2000. A wide-ranging sourcebook of current theory, research, and practical application of the psychology of friendship. __________. Liking, Loving, and Relating. 2d ed. Pacific Grove, Calif.: Brooks/ Cole, 1992. The Hendricks provide a thorough review of the processes of affiliation and interpersonal attraction. They include a discussion of issues in relationships, such as separation and divorce, blended families, changing sex roles, and dual-career couples. Yager, Jan. Friendshifts: The Power of Friendship and How It Shapes Our Lives. 2d ed. Stamford, Conn.: Hannacroix Creek Books, 1999. A practical book on the structures and sustenance of friendships. Ann L. Weber See also: Attraction Theories; Groups. 35
Aggression Type of psychology: Biological bases of behavior; emotion; personality; psychopathology Fields of study: Aggression; biology of stress; childhood and adolescent disorders; coping; critical issues in stress; personality disorders; stress and illness Aggression is an emotional response to frustration that often leads to angry and destructive actions directed against individuals, animals, or such organizations as corporate bureaucracies, social and religious groups, or governments. Key concepts • anger • defensive aggression • frustration • hostility • offensive aggression • predatory aggression • regression • social immaturity • socialization • stress • tantrum Aggression, as the term is applied to humans, occurs as an emotional reaction to dissatisfactions and stress resulting in behaviors that society considers antagonistic and destructive. The term as used in common parlance has broad meanings and applications. In psychological parlance, however, aggression generally refers to an unreasonable hostility directed against situations with which people must cope or think they must cope. On a simple and relatively harmless level, people may demonstrate momentary aggressive behavior if they experience common frustrations such as missing a bus, perhaps reacting momentarily by stamping a foot on the ground or swearing. The moment passes, and no one is hurt by this sort of aggression, which most people demonstrate with fair frequency as they deal with frustration in their daily lives. People with tattered self-images may direct their aggression toward themselves, possibly in the form of expressing or thinking disparaging things about themselves or, in extreme cases, harming themselves physically, even to the point of suicide. Such internalized forms of aggression may remain pent up for years in people who bear their frustrations silently. Such frustrations may eventually erupt into dangerous behavior directed at others, leading to assaults, verbal or physical abuse, and, in the most extreme cases, to massacres. Such was the case when Timothy McVeigh blew up the Alfred P. 36
Aggression Murrah Federal Building in Oklahoma City on April 19, 1995, as an act of civil protest, killing 167 people, none of whom he knew. Infants and young children make their needs known and have them met by crying or screaming, which usually brings them attention from whoever is caring for them. Older children, basing their actions on these early behaviors, may attempt to have their needs met by having tantrums, or uncontrolled fits of rage, in an effort to achieve their ends. In some instances, adults who are frustrated, through regression to the behaviors of infancy or early childhood, have tantrums that, while disconcerting, frequently fail to succeed in anything more than emphasizing their social immaturity. Socialization demands that people learn how to control their overt expressions of rage and hostility. Types of Aggression Hugh Wagner, a behavioral psychologist concerned with the biology of aggression, has identified three types: offensive aggression, defensive aggression, and predatory aggression. Offensive aggression occurs when the aggressor initiates aggressive behavior against one or more nonaggressors. The response to offensive aggression is likely to be defensive aggression that generally takes the form of self-defense. Predatory aggression differs from offensive or defensive aggression, although it is basically a form of offensive aggression. It is characterized by, for example, such phenomena as the lurking of predatory animals that make themselves as inconspicuous as possible until their prey is within striking distance. They then pounce on the prey with the intention of killing it as quickly as they can so that they can eat it. Among humans, hunters are examples of predatory aggressors, although not all modern hunters consume their prey. Biological Roots of Aggression Although aggressive acts are usually triggered by environmental factors, laboratory research suggests that aggression has biological roots. Various experiments point to the fact that the three basic types of aggression are controlled by different mechanisms in the midbrain. It has been demonstrated in laboratory animals that offensive aggression has intimate connections to neurons in the ventral tegmental area of the midbrain. When lesions occur in this section of the brain, offensive aggression decreases markedly or disappears altogether, although defensive and predatory aggression are not affected. Conversely, when parts of the anterior hypothalamus are stimulated, offensive behavior increases, and attack may ensue. The brain appears in these experiments to be programmed in such a way that defensive aggression is controlled by the periaqueductal gray matter (PAG) found in the midbrain. So specialized are the neural activities of the midbrain that defensive aggression involving perceived threats emanates from a different part of the brain than defensive aggression that involves an actual attack. Acid-based amino 37
Psychology Basics
DSM-IV-TR Criteria for Intermittent Explosive Disorder (DSM code 312.34) Several discrete episodes of failure to resist aggressive impulses resulting in serious assaultive acts or destruction of property Degree of aggressiveness expressed during episodes grossly out of proportion to any precipitating psychosocial stressors Aggressive episodes not better accounted for by another mental disorder and not due to direct physiological effects of a substance or general medical condition
neurons from the medial hypothalamus are known to trigger defensive aggression. Alcoholic intake often intensifies aggressive behavior because alcohol reduces the inhibitions that the cerebral cortex controls while stimulating the neural pathways between the medial hypothalamus and the PAG. Although alcohol does not increase aggressive behavior in all humans, many people react aggressively when they consume alcoholic beverages. Aggression and Body Chemistry In most species, including humans, males are more aggressive than females. This is thought to be because of the testosterone levels present in varying degrees in males. The higher the testosterone level, the more aggressive the male. Aggressive behavior that threatens the welfare of the species is often controlled in humans by medication that reduces the testosterone levels and pacifies aggressive men. It is notable that young men tend to be considerably more aggressive than older males, presumably because as men age, their testosterone levels decrease considerably. Prisons are filled with young men unable to control their aggressions sufficiently to stay out of trouble with the law. Many of these prisoners mellow into relatively benign older men, not because prison has reformed them but because their body chemistry has undergone significant changes through the years. At one time, aggressive behavior was controlled by electric shock therapy (which is used at present in some extreme cases) or by the more drastic surgical procedure known as lobotomy. Lobotomies often left people in virtually catatonic states from which they could never emerge. Drugs and psychiatric treatment have replaced most of the more devastating procedures of the nineteenth and twentieth centuries. Road Rage and Air Rage Two of the most common forms of offensive aggression in modern society are road rage and air rage. Road rage, which generally occurs on crowded, 38
Aggression multilane highways, is often committed by otherwise civilized individuals who, when behind the wheel of a car that weighs more than a ton, become irrational. If someone cuts them off in traffic, drives slowly in the lane ahead of them, or commits some other perceived roadway insult, perpetrators of road rage may bump the rear of car ahead of them, pass the car and shoot at the offending driver, or force the offending driver off the road and onto the shoulder, where a fight or a shooting may occur. Air rage is somewhat different. Some people who have been flying for long periods in cramped airplane conditions, often passing through several time zones, may suffer from disorientation. Often this feeling is intensified by the consumption of alcohol before or during the flight. Such people, if refused another drink or if asked to return to their seats and buckle their seat belts, may strike out at flight attendants or at fellow passengers. Aggression in Animals Although humans exhibit aggression in its most subtle and complicated forms, other species of animals also manifest aggressive behaviors. Most animals will fight if they are attacked because self-defense and self-preservation are inherent in most species. Within their own social constructs, some animals will attack those outside their group, even those of the same species, although few animals turn on their own species to nearly the extent that humans do. Carnivorous animals exhibit aggressiveness in preying on other animals as food sources, the large overpowering the small, the swift overtaking the slow, the strong killing and consuming the weak. Most animals also aggressively defend the areas in which they forage and build their nests or dens. The less aggressive species of animals have been domesticated by humans as sources of food, notably poultry, cattle, and fish. More aggressive animals are sometimes used in sports such as bullfighting or cockfighting. In these instances, the animals are taught aggressive behaviors that are not instinctive in most of them. They are trained to perform, and satisfactory performance on their parts is rooted in aggression. Aggression and Procreation Aggressive behavior in nearly all species is rooted in sexuality. The male is usually more aggressive than the female. The sexual act is fundamentally an act of male aggression. Males during their sexual prime maintain the high levels of testosterone that assure the continuance of their species but that also result in aggressive, sometimes antisocial behavior. The offensive aggression of one species, such as the predatory birds that feed on newborn turtles in the Galápagos Islands, evokes defensive aggressive behavior on the part of those seeking to protect their young and to assure the continuance of their species. The species that demonstrates defensive aggression in a situation of this sort may demonstrate offensive ag39
Psychology Basics gression in pursuing and attacking a weaker species. All of these aggressions among nonhumans are, in the final analysis, directed at preserving the species. Can Human Aggression Be Controlled? Aggression is so inherent in nearly every species that it is doubtful that it can ever be fully controlled, nor would it be desirable to control it. When aggression among humans reaches the point of threatening the social fabric, however, steps must be taken to control or, at least, to redirect it. The adolescent male who wants to beat everyone up probably is suffering from extreme anger. It may be possible to redirect this anger, which is a form of energy, into more socially acceptable channels. It may also be possible to control elements in the environment—home life, being bullied at school, being rejected by peers—in such ways as to reduce the anger and resentment that have led to aggressive behavior. The management of aggression through psychotherapy and medication may prove effective. The aggressive individual, however, may resist the treatment that could succeed in controlling the socially unacceptable aggressive behavior in which he or she engages. Attempts to control aggression often run counter to the very nature of human beings as they pass through the various developmental stages of their lives. Sources for Further Study Anderson, Daniel R., et al. Early Childhood Television Viewing and Adolescent Behavior. Boston: Blackwell, 2001. Of particular relevance to those interested in aggression are chapters 6 (“Aggression”) and 9 (“Self-Image: Role Model Preference and Body Image”). The five coauthors of this valuable study seek to explore the roots of aggression in teenagers in terms of their exposure to violence through television viewing in their formative years. Archer, John, and Kevin Browne. Human Aggression: Naturalistic Approaches. New York: Routledge, 1989. The approach is that of the social psychologist who is much concerned with environmental factors affecting aggression. A worthwhile book for the beginner. Blanchard, Robert J., and Caroline D. Blanchard, eds. Advances in the Study of Aggression. New York: Academic Press, 1984. Dan Olweus’s chapter, “Development of Stable Aggressive Reaction Patterns in Males,” and John Paul Scott’s chapter, “Advances in Aggression Research: The Future,” are particularly compelling. The book as a whole is well constructed, although it may be more appropriate for those experienced in the field than to beginners. Englander, E. K. Understanding Violence. Mahwah, N.J.: Lawrence Erlbaum, 1997. The author presents a panoramic view of violence and human aggression, condensing effectively the major research in the field over the previous half century. 40
Aggression Feshbach, Seymour, and Jolanta Zagrodzka, eds. Aggression: Biological, Developmental, and Social Perspectives. New York: Plenum Press, 1997. This comprehensive collection, although somewhat specialized, covers the two major factors in aggression (the biological roots and social determinants) thoroughly and accurately, interpreting recent research in the field extremely well. Hoffer, Eric. The True Believer: Thoughts on the Nature of Mass Movements. New York: Perennial Library, 1989. One of the most compelling and readable accounts of mass movements and their relation to aggressive behavior in individuals. Lesko, Wayne A. Readings in Social Psychology: General, Classic, and Contemporary Selections. 4th ed. Boston: Allyn & Bacon, 2000. Chapter 11, “Aggression,” is clear and forthright. A desirable starting point for those who are not experienced in the field. Lorenz, Konrad. On Aggression. 1963. Translated by Marjorie Kerr Wilson. Reprint. New York: Routledge, 2002. This classic and revolutionary study posits a killer instinct in both animals and humans. Scott, John Paul. Aggression. Chicago: University of Chicago Press, 1975. Although it is somewhat outdated, this book remains especially valuable for its chapters on the physiology of aggression (chapter 3) and on the social causes of aggression (chapter 5). The book is well written and easily understandable for those who are new to the field. Wagner, Hugh. The Psychobiology of Human Motivation. New York: Routledge, 1999. Chapter 7 focuses on aggression and explores possible biological origins of the three types of aggression (offensive, defensive, and predatory) that Wagner employs in making his classifications. R. Baird Shuman See also: Domestic Violence; Emotions; Hormones and Behavior; Stress: Behavioral and Psychological Responses.
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Aging Cognitive Changes Type of psychology: Cognition; intelligence and intelligence testing; learning; memory; psychopathology; sensation and perception Fields of study: Aging; behavioral and cognitive models; cognitive processes; social perception and cognition; thought Behavioral scientists have become increasingly interested in studying the cognitive changes that occur in the elderly across time. Studies have been conducted in order to assist individuals in their adjustment to aging as well as to unlock the secrets of the aging process itself. Key concepts • attention • cognition • environmental influences • information processing • learning • long-term memory • mild cognitive impairment (MCI) • pacing of instruction • sensoriperceptual changes • short-term memory Cognitive changes refer to those changes which occur in overall mental functions and operations. Cognition encompasses all mental operations and functions, including attention, intelligence, memory, language and speech, perception, learning, concept formation, thought, problem solving, spatial and time orientation, and motor/behavior control. Psychologists have worked to define and measure various areas of cognitive functioning, even though there has been no consensus about these areas. Understanding the progression of cognitive functioning requires an understanding of brain structure and those human functions emanating from the brain and its fullest human potentiality, the mind. There is considerable debate within the scientific community about what type of cognitive functions actually exist as well as the nature of the mental mechanisms that are necessary to understand cognitive functioning. A common belief is that cognitive abilities decline markedly in older individuals. More and more, however, this idea is being shown to be exaggerated. Studies attest that the diminishment of cognitive skills with age may not be significant, especially before the age of about seventy-five. Aging has been found to have different effects on long-term and short-term memory processes. The capacity of short-term memory (which is quite limited in all 42
Aging: Cognitive Changes age groups) remains essentially the same for people as they age. Long-term memory, however, does show a decline. This decline can be minimized by various strategies; the use of mnemonic devices is very effective, as is taking extra time in learning and remembering. Both biological and environmental factors have been studied in regard to aging and cognition. An environment that induces apathy or depression has been found to have a lowering effect on cognitive abilities. Environments that provide stimuli to interest the individual can reduce cognitive decline. Moreover, at least one study has found that providing challenging stimuli can even reverse cognitive declines that have been observed. There is a tremendous range of aging effects from individual to individual, with some showing virtually no changes and others showing serious decay of functions. It should be noted that this discussion concerns cognition in healthy individuals; diseases such as Alzheimer’s disease and Parkinson’s disease and events such as strokes (cardiovascular accidents) have effects on memory that are considered separately from the normal effects of aging. Modern research on cognitive changes caused by aging emphasizes the information-processing capabilities of individuals as reflected in memory capacities. Memory is a basic psychological function upon which higherlevel psychological processes such as speech, learning, concept formation, and problem solving are based. Lester Sdorow describes the brain’s information-processing capacities as the human being’s active acquisition of information about the world. Sensory stimuli are transmitted to the brain, where replicas of the external world are stored briefly in the sensory registry (one second for visual stimuli and four seconds for auditory memory). Information is then transferred to short-term memory for about twenty seconds, unless it is actively rehearsed, then into long-term memory, where it is potentially retained for a lifetime. Information Processing and Memory Information processing is a view of cognitive development that is based on the premise that complex cognitive skills develop as the product of the integration of a hierarchy of more basic skills obtained through life experience and learning. According to this view, prerequisite skills are mastered and form the foundation for more and more complex skills. Information-processing theories emerged as psychologists began to draw comparisons between the way computers operate and the way humans use logic and rules about the world as they develop. Humans use these rules for processing information. New rules may be added and old rules modified throughout childhood and adulthood as more information is obtained from worldly interactions. The cognitive changes that occur throughout adult life, as more useful and accurate rules are learned, are every bit as important as the cognitive advances that occurred during childhood, as long as the basic rules acquired in childhood were not distorted by aberrant experiences. Each advance refines the ability to process information. Elizabeth F. 43
Psychology Basics Loftus points out that the terms “cognition” and “information processing” have supplanted the term “thinking” among modern cognitive scientists. Similar efforts have been made to redefine other human abilities such as problem solving (by H. A. Simon) and intelligence (by Robert Sternberg) in order to describe greater specificity of function. Researchers have spent much time and effort defining and redefining memory constructs, although theorists remain in the early stages of understanding memory. Much debate has focused on naturalistic versus laboratory methodologies, with few resolutions as to how the results of both can contribute to a permanent knowledge base of memory. The mediation school of thought suggests theoretical mechanisms of encoding, retention, and retrieval to explain memory functioning. Consequently, concerted efforts have been made to attribute memory changes across the life span to the specific deterioration of such mechanisms. Researchers continue to debate the importance, even existence, of such constructs. Similarly, the dichotomy of long-term versus short-term memory continues to be debated. In order to test the empirical validity of such theories, constructs must be able to be disproved if false, and these metaphorical constructs have proved difficult or impossible to test because of their abstract nature. The greatest controversy in memory research focuses on laboratory versus naturalistic experiments; some researchers, such as M. R. Banaji and R. G. Crowder, state that naturalistic experiments have yielded no new principles and no new methods of memory research and should be abandoned. Others, such as H. P. Bahrick, claim that the naturalistic approach has provided in ten years what the laboratory has not in a hundred years. Banaji and Crowder criticize naturalistic experiments for their lack of control and thus their lack of generalizability. Confining a study to a specific population in a contrived laboratory setting, however, does not seem to generalize any further. S. J. Ceci and Urie Bronfenbrenner emphasize the need to focus on the process of understanding, whatever that process might be. As Endel Tulving notes, the polemics that have ensued from this debate are not going to advance the science of memory. He concludes that there is no reason to believe that there is only one correct way of studying memory. Information Processing in the Elderly Learning, memory, and attention are all aspects of cognition. Learning is the acquisition of information, skills, and knowledge, measured by improvement in responses. Memory involves retaining and retrieving information for later use. Attention is the mechanism by which individuals process information. Cognition is how sensory input is transformed, stored, and retrieved from memory. Major stages of information-processing models of learning and memory include registration (input), storage (retention), and retrieval (process input for response). Attention is a major component of registration in that fo44
Aging: Cognitive Changes
Aging and the Brain
Normal brain (third decade)
Aged brain
The human brain shrinks with age as nerve cells are lost and brain tissue atrophies. Cognitive changes in the elderly can range from mild forgetfulness to dementia. (Hans & Cassidy, Inc.)
cusing on stimuli and processing of information begin at this stage. Environmental influences, age-related sensoriperceptual changes, and pacing of instruction affect the processing of information. Environmental influences can produce negative responses from the elderly because older adults are less comfortable in unfamiliar settings or with unfamiliar people and have difficulty performing multiple tasks. Additionally, the ability to block out extraneous information and to focus on multiple instructions decreases with age. Sensoriperceptual changes include age-related vision deficits such as altered color perception as a result of yellowing of the eye lens, difficulty seeing at various distances as a result of presbyopia, difficulty adjusting from light to dark, and decreased peripheral vision and depth perception. Sensorineural hearing loss affects the ability to hear high-frequency sounds and consonants and hinders communication. Also, excessive noise interferes with the ability to hear in the elderly. Pacing of instruction includes both the time it takes to present and the amount of information presented. With age, there is slowing of physiologi45
Psychology Basics cal and psychological responses. Reaction time increases. Studies have shown that the elderly learn more efficiently when they are able to learn and respond at their own pace. Studies in Age-Related Cognition In examining cognitive changes in aging populations, aside from the theoretical debates, researchers have reported that cognitive processes progressively decline as chronological age advances. Studies have tended to describe the cognitive declines as gradual and general, rather than being attributable to discrete cognitive losses in specific areas of functioning. Several studies have supported the existence of age-related cognitive decline, while other studies dispute the severity of such declines. Research interest is increasing in the areas of identifying factors related to cognitive decline and interventions to abate them. Under the direction of Ronald C. Petersen and Michael Grundman, the National Institute on Aging is studying whether daily doses of vitamin E or donepezil can prevent those with mild cognitive impairment from developing Alzheimer’s disease. Other studies are investigating cholinesterase inhibitors and anti-inflammatory agents as a means of slowing the progression of mild cognitive impairment. Psychologists who studied memory change identified diminished memory capacity in the elderly as attributable to a number of processes, such as slowed semantic access and a reduced ability to make categorical judgments. Other researchers concluded that older subjects were slower in mental operations but were not less accurate. Some researchers hypothesized that slower speed tied up processing functions, resulting in apparent memory impairment. Still others hypothesized that older adults have more trouble with active memory tasks because of increased competition for a share of memory processing resources, whereas others linked the aged’s poor performance on working memory tasks to an actual deficiency in processing resources. Finally, some researchers concluded that older adults might simply have less mental energy to perform memory tasks. These studies accept gradual memory decline, or a slowing of processing, as a normal by-product of aging. There are some who believe that mild cognitive impairment is a neurological disorder. This belief stems from the identification of atrophy of the left medial lobe and small medial temporal lobe, low parietal/temporal perfusion, and asymmetry of the brain as revealed by computed tomography. One study identified those with small hippocampi as prone to developing Alzheimer’s disease. Additionally, electroencephalogram tracings of the brains of patients with mild cognitive impairment and patients with Alzheimer’s disease showed similarities. R. A. Hock, B. A. Futrell, and B. A. Grismer studied eighty-two elderly persons, from sixty to ninety-nine years of age, who were living independently. These normal adults were tested on a battery of eight tasks that were selected to reflect cognitive functioning, particularly measuring primary and 46
Aging: Cognitive Changes secondary memory, memory for nonverbal material, span of attention, the capacity to divide attention among competing sources of stimulation, and two motor tasks requiring psychomotor integrity. This study found a gradual, progressive decline in cognitive functioning but found that the decline did not reach statistically significant levels. The decline was general, suggesting that it may have been a function of reduced attention rather than more discrete losses. This finding appears to be consistent with the notion that crystallized intellectual or abstract processes are well maintained across time. There were suggestions that speed of information processing is a sensitive measure of the aging process. It is possible, however, that the tasks selected for this study did not discriminate between younger and older aging adults because the tasks may be more reliable for assessing brain injuries and psychologically impaired persons, who were not included in the population studied. Consequently, further studies on the same cognitive tasks with impaired aged adults would be necessary to see if the same relationships and conclusions would apply. Individuals with impaired cognitive functioning offer a unique opportunity to determine if the brain continues to show the same propensity to function as a unitary, global system as is observed with individuals who experience the normal aging process. Although the brain does exhibit localization of functions, with specialization of certain brain cells for specific functions, its overall mode of operation is as a total unit. The brain has an exceptional capacity to compensate for the loss of some specific functions and continue the rest of its mental operations. This capacity or flexibility in brain function has been termed equipotentiation. Further studies of individuals with brain impairments will help to show how the brain attempts to carry out its overall functions when more specific impairments have been sustained. When cognitive disorders result in faulty information processing, actual observable changes may occur in a person’s daily behavior. The previously neat person, for example, may neglect personal hygiene. The person who previously exhibited exceptional verbal abilities may speak in a socially inappropriate manner. The staid conservative businessperson may act impulsively or even make unreasonable decisions about personal finances and may show impaired social judgment. Mild Cognitive Impairment Studies of cognitive changes across the life span must distinguish between normal gradual change in the elderly and change that is associated with disordered functioning. Studies must also respect the complexity of the human brain. Morton Hunt notes that cognitive scientists have concluded that there may be 100 billion neurons in the interior of the brain. Each of these neurons may be interconnected to hundreds of others by anywhere from one thousand to ten thousand synapses, or relay points. This may enable the average healthy person to accumulate five hundred times as much informa47
Psychology Basics tion as is contained in the entire Encyclopedia Britannica, or 100 trillion bits of information. The circuitry in one human brain is probably sixty times the complexity of the entire United States telephone system. Given this complexity, even the daily estimated loss of 100,000 brain cells from the aging process may leave human beings capable of sound cognitive functioning well into old age. “Mild cognitive impairment” is a term used to describe isolated memory losses without changes in activities of daily living. There is some support for the theory that mild cognitive impairment represents a transitional stage between normal aging and Alzheimer’s disease and may be a precursor to Alzheimer’s disease. A significant proportion of patients with mild cognitive impairment do not progress to Alzheimer’s disease. One research study followed a group of mildly cognitively impaired patients and reported they developed Alzheimer’s disease at a rate of 10 percent to 15 percent per year, while individuals without mild cognitive impairment developed Alzheimer’s disease at a rate of 1 percent to 2 percent per year. Individuals who have a memory problem but do not meet clinical criteria for Alzheimer’s disease are considered to have mild cognitive impairment with memory loss. This is an important group for Alzheimer’s disease research because up to 40 percent of those who are mildly cognitively impaired develop Alzheimer’s disease within three years. One study supported that those who carried the gene apolipoprotein E-4 (APOE-4) were more likely to develop Alzheimer’s disease. Studies involving molecular brain activity have contributed to understanding normal and abnormal memory activities. Another study linked poor performance on a memory test that provided cues to help participants at time of recall indicated a cognitive decline. To date, there are no treatments to prevent or manage mild cognitive impairment. Therefore, awareness, understanding the implications, and early identification are important in management and education about mild cognitive impairment. Paul Baltes notes that it used to be considered “common knowledge” that cognitive abilities decline with age, but today this view is highly debatable. When the effects of disease and injury are separated out in studies of the healthy elderly, no drastic decline in cognitive ability is found. This conclusion may be one reason that studies of cognition and aging have begun to make a distinction regarding intelligence. The distinction is between crystallized intelligence, involving the accumulation of facts and knowledge, which holds up with age, and fluid intelligence, which is the rapid processing of new information, a function that appears particularly associated with the young and vulnerable to the effects of age or disease. Studies of neurologically healthy aging adults have revealed no consistent evidence of a reduced ability to learn. Studies have further shown that very little practice may be required to improve substantially an elderly person’s ability to perform some cognitive tasks, reflecting a motivational factor. Studies of mentally active persons in their eighties have concluded that loss of cognitive 48
Aging: Cognitive Changes ability stemmed more from intellectual apathy or boredom than from actual physical deterioration. John Darley and his colleagues concluded that on average, the decline of intellectual capability with age is slight and probably does not occur before age seventy-five. When declines do occur, they do not occur equally across cognitive functions. Vocabulary and verbal skills may actually improve with age, whereas skills involving spatial visualization and deductive reasoning are more likely to diminish. In general, verbal skills and accumulated knowledge are maintained with aging, while tasks that require quick responses are more susceptible to aging. Sources for Further Study Bahrick, H. P. “A Speedy Recovery from Bankruptcy for Ecological Memory Research.” American Psychologist 46, no. 1 (1991): 76-77. This article addresses the controversy between those who favor naturalistic memory studies and those who favor strict experimental studies; Bahrick favors the naturalistic approach. Banaji, Mahzarin R., and Robert G. Crowder. “The Bankruptcy of Everyday Memory.” American Psychologist 44, no. 9 (1989): 1185-1193. This article addresses the controversy between naturalistic and experimental research; the authors favor more controlled experimental approaches. Ceci, S. J., and Urie Bronfenbrenner. “On the Demise of Everyday Memory.” American Psychologist 46, no. 1 (1991): 27-31. Addresses the naturalistic versus experimental memory study issue, offering a balanced perspective and inviting scientific inquiry regardless of the type of methodology. Craik, Fergus I. M., and Timothy Salthouse, eds. The Handbook of Aging and Cognition. 2d ed. Mahwah, N.J.: Lawrence Erlbaum, 2000. A collection of review essays on all aspects of the aging brain. Friedrich, M. J. “Mild Cognitive Impairment Raises Alzheimer Disease Risk.” Journal of the American Medical Association 282 (1999): 621-622. Discusses link between cognitive impairment and developing Alzheimer’s disease. Lindsay, Heather. “Delaying Treating Mild Cognitive Impairment.” Clinical Psychiatry News 27 (1999): 18. Addresses consequences of not treating mild cognitive impairment early. Loftus, Elizabeth F. Memory: Surprising New Insights into How We Remember and Why We Forget. New York: Ardsley House, 1988. Discusses the development of the cognitive sciences in seeking greater specificity for human abilities such as thinking and memory. Park, Denise, and Norbert Schwarz, eds. Cognitive Aging: A Primer. Philadelphia: Psychology Press, 2000. Upper-level college and graduate text covers all aspects of cognition in aging brains at an introductory level. Petersen, Ronald. “Mild Cognitive Impairment or Questionable Dementia?” Archives of Neurology 57 (2000): 643-644. Differentiates between mild cognitive impairment and dementia. 49
Psychology Basics Petersen, Ronald C., et al. “Mild Cognitive Impairment: Clinical Characterization and Outcome.” Archives of Neurology 56 (1999): 303-308. Speaks of symptoms and consequences of untreated mild cognitive impairment. Shah, Yogesh, Eric Tangalos, and Ronald Petersen. “Mild Cognitive Impairment: When Is It a Precursor to Alzheimer’s Disease?” Geriatrics 55 (2000): 62-67. Discusses relationship between memory decline, mild cognitive impairment, and Alzheimer’s disease. Robert A. Hock; updated by Sharon Wallace Stark See also: Alzheimer’s Disease; Dementia; Memory; Parkinson’s Disease.
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Alzheimer’s Disease Type of psychology: Cognition; memory; psychopathology Fields of study: Aging; cognitive processes; depression; interpersonal relations; social perception and cognition; thought Alzheimer’s disease (AD) is the most frequent cause of dementia. Dementia is the loss of cognitive and social abilities to the degree that they interfere with activities of daily living (ADLs). AD is an irreversible and gradual brain disorder known to occur with aging. Key concepts • activities of daily living (ADLs) • cognitive function • cognitive impairment • dementia • memory loss • motor function • neurofibrillary fibers • plaques Alzheimer’s disease (AD) and dementia are not a normal part of aging. Diseases that affect the brain such as genetic, immunologic, and vascular abnormalities cause AD. A defect in connections between the brain’s cells causes gradual death of brain cells. AD advances progressively, from mild forgetfulness to a severe loss of mental function. It results in memory loss, behavior and personality changes, deterioration in thinking abilities, difficulty speaking (aphasia), declining motor function (apraxia), and difficulty recognizing objects (agnosia). Forgetfulness and loss of concentration are early symptoms that may not be readily identified because they are considered normal signs of aging. Forgetfulness and loss of concentration may also result from use of drugs or alcohol, depression, fatigue, grief, physical illness, impaired vision, or hearing loss. The symptoms of AD usually occur after sixty years of age but may occur as early as forty. Symptoms often begin with recent memory loss, confusion, poor judgment, and personality changes. In later stages of AD, ADLs such as dressing and eating are affected. Eventually, AD sufferers are completely dependent on others for ADLs. They become so debilitated that they become bedridden, at which time other physical problems develop. Seizures may occur late in AD. Prevalence and Impact AD accounts for 50 to 75 percent of all dementias. AD prevalence increases from 1 percent at age sixty-five to between 20 and 35 percent by age eightyfive. On average, AD sufferers may live from eight to twenty years following diagnosis. According to the World Health Organization (WHO), the num51
Psychology Basics ber of people worldwide aged sixty-five years and older will reach 1.2 billion by 2025 and will exceed 2 billion by 2050. Of these, an estimated 22 million individuals will be afflicted with AD worldwide. The Alzheimer’s Association speculates that if a preventive is not found, AD will be diagnosed in 14 million Americans by the middle of the twenty-first century. A study done in 1998 revealed that African Americans and Latino Americans might have a higher overall risk of AD. Socioeconomic status, health care, level of education, and culture may also influence the diagnosis of AD. Another study in 1998 estimated that the annual economic burden created by the cost of caring for a patient with mild AD is $18,000, for a patient with moderate AD $30,000, and for a patient with severe AD $36,000. More than half of AD patients are cared for at home, with almost 75 percent of their care provided by family and friends. In 2002 the Alzheimer’s Association estimated that approximately $33 billion is lost annually by American businesses as a result of AD. Time taken by caregivers of AD sufferers accounts for $26 billion, and $7 billion is spent for health issues and long-term care related to AD. Additionally, AD costs the United States more than $100 billion annually. History AD is named after a German physician, Dr. Alois Alzheimer, who in 1906 found plaques and neurofibrillary tangles in the brain of a mentally disturbed woman. Today, these plaques and tangles in the brain are considered hallmarks of AD. There is also evidence that ancient Greeks and Romans recognized the disease, as there are writings dating from their time that appear to describe symptoms of AD. In the sixteenth century, playwright and poet William Shakespeare wrote that old age is a “second childishness and mere oblivion.” In the past, terms such as “senility” and “hardening of the arteries” were commonly used to describe dementia. Until recently, AD was considered an inevitable consequence of aging. Beginning in the last quarter of the twentieth century, researchers discovered more about AD. Risk Factors The major risk factors for AD are age and family history. Other possible risk factors include a serious head injury and lower socioeconomic status. There is speculation that genetics, environmental influences, weight, educational level, and blood pressure and blood cholesterol levels are factors that may increase the risk for AD. Causes There are no definitive causes of AD. Some that have been identified include lesions caused by plaque, inflammation in brain cells, oxidative stress effects on brain cells, genetic factors, beta amyloid protein and senile plaques, tau protein and neurofibrillary tangles, estrogen effects on brain 52
Alzheimer’s Disease neurotransmitters, dysfunction in brain cell communication, autoimmune responses, viruses, and vessel anomalies. plaque. In AD, plaques develop in the areas of the brain that regulate memory and other cognitive functions. These plaques are deposits of betaamyloid (a protein fragment from a larger protein called amyloid precursor protein, APP) intermingled with portions of neurons and with nonnerve cells such as microglia (cells that surround and digest damaged cells or foreign substances) and astrocytes (glial cells that support and nourish neurons). Plaques are found in the spaces between the brain’s nerve cells. Researchers do not know whether amyloid plaques cause AD or are a by-product of the AD process. AD consists of abnormal collections of twisted threads found inside nerve cells. The chief component is a protein called tau. In the central nervous system, tau proteins bind and stabilize brain cells’ support structure by forming tubules that guide nutrients and molecules from the cells to the ends of the axon. Tau normally holds together connector pieces of the tubule tracks. In AD, tau threads twist around each other and form neurofibrillary tangles. Support to the cell is lost, causing cell death and leading to dementia. genetic factors in ad development. Two types of AD have been identified: familial AD (FAD), which follows an inheritance pattern, and sporadic AD. The Diagnostic and Statistical Manual of Mental Disorders (4th ed., 1994, DSM-IV) describes AD as early-onset (younger than sixty-five years) or late-onset (sixty-five years and older). Only 5 to 10 percent of AD cases are early onset. Some forms of early-onset AD are inherited and often progress faster than late-onset AD. estrogen. Estrogen use has been associated with a decreased risk of AD and enhanced cognitive functioning. Its antioxidant and anti-inflammatory effects enhance the growth of processes of neurons for memory function. This has created intense interest in the relationship between estrogen, memory, and cognitive function in humans. autoimmune system. The body’s immune system may attack its own tissues and produce antibodies against essential cells. Some researchers postulate that aging neurons in the brain trigger an autoimmune response that causes AD. Antibodies have been identified in the brains of those with Alzheimer’s disease. viruses. The discovery of slow-acting viruses that cause some brain disorders has resulted in some researchers believing that a virus may cause AD. As of 2002, no virus had been identified in the brains of those with AD. vessel anomalies. Defects in brain blood vessels such as cerebroarteriosclerosis or problems in the blood-brain barrier (which guards against foreign bodies or toxic agents in the blood stream from entering the brain) have not been identified as causes of AD. growth factors. Some researchers believe that a decline in growth factors or an increase in factors that are toxic to neuronal cells causes AD. Researchers are investigating introducing naturally occurring nerve 53
Psychology Basics
DSM-IV-TR Criteria for Dementia of the Alzheimer’s Type Development of multiple cognitive deficits manifested by both memory impairment (impaired ability to learn new information or recall previously learned information) and one or more of the following cognitive disturbances: • aphasia (language disturbance) • apraxia (impaired ability to carry out motor activities despite intact motor function) • agnosia (failure to recognize or identify objects despite intact sensory function) • disturbance in executive functioning (planning, organizing, sequencing, abstracting) Cognitive deficits each cause significant impairment in social or occupational functioning and represent significant decline from previous level of functioning Course characterized by gradual onset and continuing cognitive decline Cognitive deficits not due to any of the following: • other central nervous system conditions causing progressive deficits in memory and cognition (such as cerebrovascular disease, Parkinson’s disease, Huntington’s disease, subdural hematoma, normal-pressure hydrocephalus, brain tumor) • systemic conditions known to cause dementia (such as hypothyroidism, vitamin B or folic acid deficiency, niacin deficiency, hypercalcemia, neurosyphilis, HIV infection) • substance-induced conditions Deficits do not occur exclusively during course of a delirium Disturbance not better accounted for by another Axis I disorder (such as Major Depressive Episode, Schizophrenia) Code based on presence or absence of clinically significant behavioral disturbance: • Without Behavioral Disturbance (DSM code 294.10): Cognitive disturbance not accompanied by any clinically significant behavioral disturbance • With Behavioral Disturbance (DSM code 294.10): Cognitive disturbance accompanied by clinically significant behavioral disturbance (such as wandering, agitation) Specify with Early Onset (onset at age sixty-five years or younger) or with Late Onset (onset after age sixty-five)
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Alzheimer’s Disease growth factor (NGF) into the brain to stimulate brain cell growth in rats. chemical deficiencies. AD brains have lower levels of neurotransmitters responsible for cognitive functions and behavior. Acetylcholine is a neurotransmitter that is found in lower levels in the AD brain than in normally functioning brains. Scientists have seen slight, temporary cognitive improvement when acetylcholine levels in AD patients have been increased. environment. Metals such as aluminum and zinc have been found in brain tissue of people with AD. Researchers are studying these and other environmental factors to discover their relationship to AD development. Diagnosis There is no single reliable biological test to diagnose AD; therefore, criteria to assist primary care providers in diagnosing AD have been established to differentiate between AD and other forms of dementia. One such guideline has been established by the Agency for Health Care Policy and Research (AHCPR). Any positive response to six identified areas warrants a workup for dementia. New diagnostic tools and criteria make it possible for health care providers to make a positive clinical diagnosis of AD with around 90 percent accuracy. Diagnostic criteria for AD includes dementia, history, physical and mental examinations consistent with AD, normal blood tests, and medications that are not the cause of dementia. Brain imaging study—computed tomography (CT) or magnetic resonance imaging (MRI)—is normal or shows brain atrophy. A medical history provides information about mental or physical conditions, prescription drugs, and family health history. A physical examination evaluates nutritional status, blood pressure, and pulse. A neurological examination evaluates for neurological disorders. The Mini-Mental State Examination (MMSE) and Addenbrooke’s Cognitive Examination (ACE) are instruments used to evaluate AD. Blood and urine tests evaluate for other causes of dementia. Psychiatric evaluation assesses mood and emotional factors that mimic dementia. A neuropsychological assessment evaluates memory, sense of time and place, and ability to understand, communicate, and do simple calculations. MRI and CT scans of the brain assess for the possibility of other potential causes of dementia, such as stroke, Huntington’s disease, or Parkinson’s disease. Early diagnosis of AD is important to determine the proper treatment and to detect underlying diseases such as depression, drug interactions, vitamin deficiencies, or endocrine problems. These diseases may be reversible if detected early. A definitive diagnosis of AD can only be confirmed on autopsy. Four Stages of AD Early-stage AD is recognized when one exhibits recent memory loss, mild aphasia, avoidance of the unfamiliar, difficulty writing, and necessity for re55
Psychology Basics minders to perform ADLs such as dressing, washing, brushing one’s teeth, and combing one’s hair. Apathy and depression are common. Middle-stage AD is recognized when one exhibits routine recent memory loss, moderate aphasia, getting lost in familiar surroundings, repetitive actions, apraxia, mood and behavior disturbances, and necessity for reminders and help with ADLs. Late-stage AD is recognized when one misidentifies familiar people and places, is bradykinesic (exhibits slowness of movement and general muscle rigidity), frequently falls, has more frequent mood and behavior disturbances, and needs help with all ADLs. Terminal-stage AD is recognized when one has no association to past or present, is mute or enunciates few coherent words, is oblivious to surroundings, has little spontaneous movement, is dysphagic (has difficulty swallowing), exhibits passive mood and behavior, and needs total care. DSM-IV divides Alzheimer’s disease into subtypes that represent the predominant features of the clinical presentation: with delirium, with delusions, with depressed mood, and uncomplicated. “With behavioral disturbance” can also be used to indicate the presence of difficulties such as wandering or combativeness. Treatment The principal goal of treatment is to slow AD progression, provide a safe environment, maintain function as long as possible, and provide emotional support for the patient and family through social services and support groups. However, the treatment of dementia varies according to the stage of the disease and is focused on management of symptoms because no cure exists. It is of utmost importance to educate the patient and family about AD, its course, ramifications, and treatment options. Treatment includes both patient and caregivers. In early stages of AD, patients and their families may need counseling to deal with a sense of loss; be made aware of support groups, respite care, and other social services that are available to them; and be introduced to legal considerations in making decisions about future care needs such as medical and financial powers of attorney and a living will. As more supervision is required, caregivers need to be aware of physical dangers that can result from memory loss, such as fires from unattended stoves or burning cigarettes, malnutrition from “forgetting” to eat and difficulty swallowing, increased risk for falls related to confusion, disorientation, and declining motor function as well as issues about driving related to poor motor and cognitive function. Caregivers should also be aware of the patient’s finances, to assist in paying and recording bills and planning for future care needs. During late-stage AD, the family may need assistance in preparing for the patient’s death. Hospice care should be discussed, as it provides for physical care and comfort for the patient and emotional support for the family. 56
Alzheimer’s Disease Pharmaceutical Therapy Pharmaceutical agents used to slow the progression of AD include acetylcholinesterase inhibitors (tacrine, donepezil, rivastigmine, and galantamine). These agents block the breakdown of neurotransmitters in the brain and are used to lessen symptoms of mild to moderate AD. Their action extends cognitive function and improves behavioral symptoms for twelve months up to two years. Vitamin E or selegiline delays the progression of AD. Estrogen has been associated with a decreased risk of AD and enhanced cognitive functioning. Its antioxidant and anti-inflammatory effects enhance the growth of neuron processes for memory function. Ginkgo biloba has provided moderate cognitive improvement with few ill effects. Delusions and hallucinations often develop in moderately impaired patients. In the absence of agitation or combativeness, the best treatment is reassurance and distraction. Delusions and hallucinations accompanied by agitation and combativeness can be treated with low doses of antipsychotic or antidepressant medications. Medications may also be used to control wandering, anxiety, insomnia, and depression. Complications People with AD do not die from AD but from complications that result from the disease. The most common cause of death in AD is pneumonia. Difficulty swallowing increases the risk of inhaling foods and liquids into the lungs, which then may cause aspiration and pneumonia. The risk of falling is increased by disorientation, confusion, and declining motor function. Falls can lead to fractures and head injuries. Surgical intervention and immobilization also present risks for additional life-threatening complications in the elderly. Memory loss may result in fires from unattended stoves or burning cigarettes or malnutrition from “forgetting” to eat. Prevention Studies have supported that regular use of nonsteroidal anti-inflammatory drugs (NSAIDs) such as ibuprofen (Advil, Motrin, Nuprin), naproxen sodium (Aleve), and indomethacin (Indocin) may reduce AD risk by 30 to 60 percent. Researchers are also studying the antioxidant affects of vitamin E and selegiline hydrochloride in preventing brain damage caused by toxic free radicals to slow the rate of progression of AD. Studies of estrogen replacement therapy in menopausal women showed a reduced risk of developing AD by 30 to 40 percent. In 2002, a synthetic form of beta-amyloid protein (AN-1792) vaccine was being investigated in clinical trials. Research for the Future The National Institutes of Health’s Alzheimer’s Disease Prevention Initiative was organized to investigate pharmacological interventions and to identify factors that will assist in early recognition of AD and delay the devel57
Psychology Basics opment of AD. A collaborative association with federal and private agencies has allowed for diverse investigations that include biologic and epidemiologic research; instrument development to identify high-risk individuals, facilitating clinical trials; and researching alternate strategies to treat behavioral disturbances in AD patients. New drugs to reduce symptoms of AD are being studied in clinical trials. Other research is being done to identify factors related to patients’ and caregivers’ coping and stress as well as support mechanisms in dealing with progressive nature of AD. Sources for Further Study Hamdy, Ronald, James Turnball, and Joellyn Edwards. Alzheimer’s Disease: A Handbook for Caregivers.New York: Mosby, 1998. Causes, symptoms, stages, and treatment options for AD are discussed. Karlin, Nancy, J. Paul, A. Bell, and Jody L. Noah. “Long-Term Consequences of the Alzheimer’s Caregiver Role: A Qualitative Analysis.” American Journal of Alzheimer’s Disease (May/June, 2001): 177-182. Examines caregivers’ adaptation to the role of caregiver, caregiver burden and coping, social support issues, and positive and negative experiences created by unplanned changes brought on by AD. Leon, J., C. Cheng, and P. Neumann. “Alzheimer’s Disease Care: Costs and Potential Savings.” Health Affiliates (November/December, 1998): 206216. Identifies the economic impact of caring for and treating those with AD. Mace, M., and P. Rabins. The Thirty-Six-Hour Day: A Family Guide to Caring for Persons with Alzheimer Disease, Related Dementing Illnesses, and Memory Loss in Later Life. Baltimore: Johns Hopkins University Press, 1999. Discusses what dementia is, physical and psychological problems, effects on caregivers, financial and legal issues, and long-range care planning for AD sufferers. Powell, L., and K. Courtice. Alzheimer’s Disease: A Guide for Families and Caregivers. Cambridge, Mass.: Perseus, 2001. Provides information about early signs, tests, diagnosis, and treatment research for AD. Also provides insight into the emotional aspects experienced by caregivers, with advice on communication, safety, and long-term care issues for AD suffers. St. George-Hyslop, Peter H. “Piecing Together Alzheimer’s.” Scientific American (December, 2000): 76-83. Good description of AD, symptoms, support, and research in the quest for a cure. Terry, R., R. Katzman, K. Bick, and S. Sisodia. Alzheimer Disease. 2d ed. Philadelphia: Lippincott Williams & Wilkins, 1999. An in-depth review of hereditary links, signs and symptoms, diagnosis, and treatment for AD. Sharon Wallace Stark See also: Aging: Cognitive Changes; Brain Structure; Dementia; Parkinson’s Disease. 58
Amnesia and Fugue Type of psychology: Psychopathology Field of study: Coping The inability to totally or partially recall or identify a past experience is called amnesia. A fugue is an extensive escape from life’s problems that involves an amnesiac state and actual flight from familiar surroundings. During a fugue, a new partial or entire identity may be assumed. Both fugue and amnesia involve the concept of dissociation. Key concepts • behavioral explanation • continuous amnesia • dissociation • dissociative disorders • generalized amnesia • localized amnesia • psychodynamic explanation • psychogenic amnesia • selective amnesia Amnesia involves the failure to recall a past experience because of an anxiety that is associated with the situation. Fugue states take place when a person retreats from life’s difficulties by entering an amnesic state and leaving familiar surroundings. During a fugue state, a person may assume a new partial or whole personality. Although amnesia may be caused by organic brain pathology, attempts to cope with anxiety can produce amnesia and fugue. The concept of dissociation refers to the ability of the human mind to split from conscious awareness. Through dissociation, a person can avoid anxiety and difficulty in managing life stresses. When stress and anxiety overwhelm a person, the mind may split from a conscious awareness of the troubling situations. When this takes place, the individual automatically loses memory of the event and may physically leave the stressful situation through a fugue state. Amnesia and fugue are two of the dissociative disorders recognized by the American Psychiatric Association. The dissociative disorders are methods of avoiding anxiety through the process of pathological dissociation. In addition to amnesia and fugue, the dissociative disorders include dissociative identity disorder and depersonalization disorder. In the former, a person develops a number of alter identities. This disorder was previously called multiple personality disorder. Depersonalization disorder involves a process in which individuals suddenly feel that their bodies or senses of self have changed dramatically. 59
Psychology Basics Amnesia Types Another term for dissociative amnesia is psychogenic amnesia. This conveys the concept that the amnesia is not due to organic brain pathology. Individuals developing psychogenic or dissociative amnesia often encounter a traumatic event or extreme stress that overloads their coping abilities. Four different types of psychogenic or dissociative amnesia can be identified. Localized amnesia is seen when a person cannot remember anything about a specific event. This is often seen after a person experiences a very traumatic event, such as a serious accident, and then does not recall what happened. The second type of amnesia is called selective amnesia and occurs when only some parts of a certain time period are forgotten. Infrequently, generalized amnesia takes place, and the person forgets his or her entire life history. The fourth type of dissociative amnesia is the continuous type. This form of amnesia is seen when a person does not remember anything beyond a certain point in the past. Diagnosis It is difficult to report reliable data on the prevalence of dissociative disorders, but it appears that women are diagnosed with the dissociative disorders at a rate five times that of men. To make the diagnosis of dissociative amnesia, a doctor must identify a disturbance in memory that involves the appearance of one or more episodes of inability to recall important personal information that is usually of a traumatic or stressful nature. The memory loss must be too extensive to be explained by ordinary forgetfulness. When people develop dissociative amnesia, they may not be able to remember their own names or the identities of relatives, but they retain a number of significant abilities. In psychogenic or dissociative amnesia, basic habits and skills remain intact. Thus, the person is still able to read a book, drive a car, and recognize familiar objects. The memories that are lost revolve around life events and autobiographical information. The diagnosis of dissociative fugue requires sudden, unexpected travel away from the home or customary place of work. Together with this travel, the person is unable to recall the past. During the fugue, the person shows confusion about personal identity or assumes a new one. The person’s activities at the time of the fugue can vary extensively, from short-term involvement in new interests to traveling to distant locations and assuming a new identity and work roles. The fugue can last for days, weeks, or even years. At some point, the individual will leave the fugue state and be in a strange place without awareness of the events that took place during the dissociative period. When a fugue state is taking place, the person appears normal to others and can complete complex tasks. Usually, the activities selected by the person are indicative of a different lifestyle from the previous one. The diagnosis of dissociative amnesia and fugue can be controversial because it often depends upon self-reports. The possibility that a person is fak60
Amnesia and Fugue
DSM-IV-TR Criteria for Amnesia and Fugue Dissociative Amnesia (DSM code 300.12) Predominant disturbance is one or more episodes of inability to recall important personal information, usually of a traumatic or stressful nature, too extensive to be explained by ordinary forgetfulness Disturbance not occurring exclusively during the course of Dissociative Identity Disorder, Dissociative Fugue, Post-traumatic Stress Disorder, Acute Stress Disorder, or Somatization Disorder and not due to direct physiological effects of a substance or a neurological or other general medical condition Symptoms cause clinically significant distress or impairment in social, occupational, or other important areas of functioning Depersonalization Disorder (DSM code 300.6) Persistent or recurrent experiences of feeling detached from, and as if an outside observer of, one’s mental processes or body (such as feeling in a dream) During depersonalization experience, reality testing remains intact Depersonalization causes clinically significant distress or impairment in social, occupational, or other important areas of functioning Experience not occurring exclusively during the course of another mental disorder, such as Schizophrenia, Panic Disorder, Acute Stress Disorder, or another Dissociative Disorder, and not due to direct physiological effects of a substance or general medical condition Dissociative Fugue (DSM code 300.13) Predominant disturbance is sudden, unexpected travel away from home or one’s customary place of work, with inability to recall one’s past Confusion about personal identity or assumption of new identity (partial or complete) Disturbance not occurring exclusively during course of Dissociative Identity Disorder and not due to direct physiological effects of a substance or general medical condition such as temporal lobe epilepsy Symptoms cause clinically significant distress or impairment in social, occupational, or other important areas of functioning Dissociative Identity Disorder (DSM code 300.14) Presence of two or more distinct identities or personality states, each with its own relatively enduring pattern of perceiving, relating to, and thinking about the environment and self At least two of these identities or personality states recurrently take control of person’s behavior Inability to recall important personal information too extensive to be explained by ordinary forgetfulness Disturbance not due to direct physiological effects of a substance (such as blackouts or chaotic behavior during alcohol intoxication) or general medical condition (such as complex partial seizures); in children, symptoms not attributable to imaginary playmates or other fantasy play 61
Psychology Basics ing the symptoms must be considered. Objective diagnostic measures for these disorders do not exist. The possibility of malingering or fabricating the symptoms must be considered in arriving at a diagnosis of dissociative amnesia and fugue. When diagnosing dissociative amnesia and fugue, a number of other disorders and conditions have to be excluded. A number of medical conditions such as vitamin deficiency, head trauma, carbon monoxide poisoning, and herpes encephalitis can produce similar symptoms. Amnesia can also be found in conjunction with alcoholism and the use of other drugs. Possible Causes Normal dissociation is often differentiated from pathological dissociation. Normal dissociation can be an adaptive way to handle a traumatic incident. It is commonly seen as a reaction to war and civil disasters. In normal dissociation, the person’s perception of the traumatic experience is temporarily dulled or removed from the conscious mind. Pathological dissociation is an extreme reaction of splitting the anxiety-provoking situation from consciousness. There exist a limited number of research studies that seek to explain the causes of dissociation in certain individuals and predict what persons are vulnerable to the development of dissociative amnesia or fugue during periods of trauma or overwhelming stress. The psychodynamic explanation emphasizes the use of repression as a defense against conscious awareness of the stressful or traumatic event. Entire chunks of the person’s identity or past experiences are split from the conscious mind as a way to avoid painful memories or conflicts. According to this explanation, some individuals are vulnerable to the use of dissociation because of their early childhood experiences of trauma or abuse. With the early experience of abuse, the child learns to repress the memories or engage in a process of self-hypnosis. The hypnotic state permits the child to escape the stress associated with the abuse or neglect. The abused child feels a sense of powerlessness in the face of repeated abuse and splits from this conscious awareness. This isolation of the stressful event leads to the development of different memory processes from those found in normal child development. A behavioral explanation for the likely development of dissociation as a means to cope with stressful events focuses on the rewarding aspects of dissociative symptoms. The child learns to role-play and engage in selective attention to recognize certain environmental cues that provide rewards. Stressful circumstances are blocked out and disturbing thoughts ignored. Eventually, this process expands into a tendency to assume new roles and block out stressful situations. The dissociative disorders appear to be influenced by sociocultural factors which are dependent upon social attitudes and cultural norms. Acceptance and toleration of the symptoms associated with dissociative disorders depend upon prevailing societal attitudes. Over time, cultures vary in the ac62
Amnesia and Fugue ceptance of dissociative symptoms and the manifestation of amnesia and fugue states. For example, historical reports of spirit possession can be interpreted as the experience of a fugue state. Treatment The symptoms associated with dissociative amnesia and fugue usually spontaneously disappear over time. As the experience of stress begins to lessen, the amnesia and fugue often disappear. When providing treatment for these individuals, it is important that caregivers provide a safe environment which removes them from the possible sources of stress. Some persons are hospitalized for this reason. The institutional setting allows them to regain comfort away from the traumatizing or stress-producing situation. Occasionally the memory loss can be retrieved through the use of specific medications. One such medication is sodium amytal, which can be used during an interview process that attempts to restore the lost memories. Hypnosis is also used as a means to put the person in a receptive state for questions that may overcome the amnesia. Hypnosis is also used in the treatment of fugue states. The goal when using hypnosis is to access important memories that may have triggered the fugue. Medications are sometimes used with patients who have a history of fugue. Antianxiety medications, called benzodiazepines, have been utilized with individuals showing dissociative fugue. The medication helps to alleviate the feelings of worry and apprehension. Because amnesia does not typically interfere with a person’s daily functioning, few specific complaints about the lack of memory take place. Individuals may complain about other psychological symptoms but not the amnesia. Consequently, treatment often does not focus on the lost memories. Some of the associated symptoms that occur with amnesia include depression and stress due to a fugue state. Treatment is often directed toward alleviating the depression and teaching a person stress management techniques. Sources for Further Study Lewis, D., C. Yeager, Y. Swica, J. Pincus, and H. Lewis. “Objective Documentation of Child Abuse and Dissociation in Twelve Murderers.” American Journal of Psychiatry 154 (1997): 1703-1710. This research study reports on the relationship between early child abuse and later dissociation. The article investigated a unique sample of murderers in coming to its conclusions. Lowenstein, R. “Psychogenic Amnesia and Psychogenic Fugue.” In Review of Psychiatry, edited by A. Tasman and S. Goldfinger. New York: American Psychiatric Press, 1991. Provides a review of the scientific investigations into the causes of psychogenic amnesia and fugue. Lynn, S., and J. Rhue. Dissociation: Clinical and Theoretical Perspectives. New York: Guilford Press, 1994. This volume comprises a number of chapters 63
Psychology Basics written by experts in the study of dissociation. The contributors place great emphasis on the role of trauma in producing vulnerability for dissociation as a defense in adulthood. Michelson, L, and W. Ray. Handbook of Dissociation: Theoretical, Empirical, and Clinical Perspectives. New York: Plenum Press, 1996. Provides an extensive explanation of dissociation with multiple examples. It is written for a reader who needs detailed research and clinical information. Putnam, F. Dissociation in Children and Adolescents. New York: Guilford Press, 1997. This is a useful book for information on the manifestation of normal dissociation in children and teenagers and how normal dissociation can evolve into pathological dissociation, which signals the development of the dissociative disorders. Sackeim, H., and W. Vingiano. “Dissociative Disorders.” In Adult Psychopathology and Diagnosis, edited by S. Turner and M. Hersen. New York: John Wiley & Sons, 1984. The importance of treating other psychological symptoms is discussed in this chapter. Persons with dissociative disorders often show depression that should receive treatment. Sadovsky, R. “Evaluation of Patients with Transient Global Amnesia.” American Family Physician 57 (1998): 2237-2238. One of the medical conditions that has symptoms similar to those of dissociative amnesia is transient global amnesia. This article, which is written for physicians, provides the specifics for making a differential diagnosis. Tulving, E. “What Is Episodic Memory?” Current Directions in Psychological Science 2 (1993): 67-70. This article is useful for understanding the different forms of memory loss that are seen in dissociative amnesia. Tutkun, H., V. Sar, L. Yargic, and T. Ozpulat. “Frequency of Dissociative Disorders Among Psychiatric Inpatients in a Turkish University Clinic.” American Journal of Psychiatry 155 (1998): 800-805. The dissociative disorders vary in incidence across countries. This article provides information concerning the reasons for the differences between cultural groups. Frank J. Prerost See also: Brain Structure; Memory; Memory: Animal Research.
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Analytic Psychology Jacques Lacan Type of psychology: Personality Fields of study: Classic analytic themes and issues; humanisticphenomenological models; personality theory; psychodynamic and neoanalytic models; thought Lacan, a pioneering psychoanalyst who emphasized the relationship between language and the unconscious, radically reinterpreted Freud in light of philosophy and structuralist linguistics. Lacan’s theories of the unconscious (that it is “structured like a language”) and the mirror phase have significantly reshaped the discourse of psychoanalysis and cultural theory. Key concepts • desire • falsifying character of the ego • imaginary • imaginary misidentification/méconnaissance • jouissance • lack/manque • little object a/objet petit a • mirror stage • real • symbolic According to Freudian psychoanalysis, desire is biological and driven by sexual force, or libido. Jacques Lacan (1901-1981), on the other hand, regarded desire as a drive for an original ontological unity which can never be achieved because of the psychic split resulting from what he called “the mirror stage” as well as the Freudian Oedipal phase. Desire emerges from this split or “lack” which it tries, continually, to fill. Desire expresses itself through language. Lacan believed that his form of psychoanalysis was not a departure from, but a return to, the original principles of Freudian analysis. Lacan’s readers have long complained about the difficulty of his prose, which is characterized by a seeming lack of linearity and an often impenetrable style. Many of Lacan’s commentators have likened his discursive style to a rebus or puzzle, designed to communicate the idea that no “truth” about psychic life can ever be wholly and fully expressed through language because the psyche is always split against itself, and language is the result of absence and difference. The Mirror Stage Central to Lacanian psychoanalysis is the celebrated mirror stage. Lacan argues that a child’s ego only begins to emerge in the ages between six months 65
Psychology Basics and eighteen months, when the child first sees its own reflection in a mirror. This experience is illusory, according to Lacan, because the child’s actual experience of its own body is never that of a clearly delineated whole in the child’s full control. Lacan’s observations on the so-called mirror stage relied heavily upon the earlier work of the American psychologist and philosopher James Mark Baldwin (1861-1934). Desire emerges from the perceived distance between the actual or lived experience of the child’s own body and the reflection it first sees in the mirror. The child envies the perfection of the mirror image or the mirroring response of its parents, says Lacan, and this lack, or manque, is permanent because there will always be a gap or existential distance between the subjective experience of the body and the complete image in the mirror, or the apparent wholeness of others. Desire begins at the mirror stage in the psychic development of the young child. The apparent completeness of the reflected image gives the otherwise helpless child a sense of mastery over its own body, but this sense of self-mastery is as illusory as it is frustrating. Lacan urged his fellow psychoanalysts to reassess their focus on the patient’s ego and turn their attention back to the unconscious because of what he termed “the falsifying character of the ego.” Lacan argued that psychoanalysis should “return to Freud” and abandon its fascination with the ultimately untrustworthy ego of the patient. Lacan believed that his theory of the “mirror stage” answered two fundamental questions raised by Sigmund Freud’s 1914 essay, “On Narcissism”: What “psychical action” takes place to bring the ego into being? If one is not a narcissist from the earliest stages of life, what causes narcissism to emerge? According to Lacan, the mechanism of the mirror stage answers both of these questions. The Oedipus Complex Lacan, like Freud, believed that individuals are socialized by passing through the three stages of the Oedipus complex: seduction, the “primal scene,” and the castration phase, the last of which Lacan reconfigured as the “Father’s ‘No’.” In the so-called seduction phase, the child is attracted to the original object of desire, which is the body of the mother. In the “primal scene” or “primal stage” the child witnesses the father having sexual intercourse with the mother, and this is followed by the “castration phase,” wherein the father restricts the child’s access to the mother under threat of castration. The “Law of the Father” or “Father’s ‘No’” causes the child to redirect desire from the mother to what Lacan calls the “Other”—a hypothetical “place” in the unconscious which allows the individual to later project desire onto other persons—other, that is, than the mother. Lacan holds that there are three “registers” in the child’s psychosexual development: the imaginary, the symbolic, and the real. These correspond— somewhat—to the Freudian oral, anal, and genital stages and are related, indirectly, to the three stages of the Oedipus complex. 66
Analytic Psychology: Jacques Lacan At the level of the imaginary, the pre-Oedipal infant inhabits a world without clear subject-object distinctions. The child thinks that it is coextensive with the mother’s body. While the child perceives the mother’s body as nurturing and pleasurable, it also entertains fantasies that the mother’s body might overwhelm and destroy it. This yields alternating fantasies of incorporation and assault, whereby the child is both blissful in its identification with the body of the mother and frightfully aggressive toward it. At this stage in its development, the child inhabits a world of images. The mirror stage is the most important moment of imaginary misidentification, or méconnaissance. It is the father who disrupts the closed dyadic relationship between mother and child, according to Lacan. The father signifies what Lacan calls “the Law” or the “Law of the Father,” which is always, in the first instance, the incest taboo. The child’s intensely libidinal relationship with its mother’s body is opened to the wider world of family and society by the figure of the father. The father’s appearance divides the child from the mother’s body and drives the child’s desire for its mother into the unconscious. Therefore “the Law” and unconscious desire for the mother emerge at the same time, according to Lacanian psychoanalysis. The child’s experience of the father’s presence is also its first experience of sexual difference, and with it comes the dim awareness that there is someone else other than the mother in its world. The “Father’s ‘No’” deflects the child’s desire from the mother to what Lacan calls the “Other.” Lacan identified the “Other” as a hypothetical place in the unconscious which can be projected onto human counterparts by subjects. Lacan held that the “Other” is never fully grasped because the nature of desire is such that its object is always beyond its reach. Language and the Symbolic This is the point at which the child enters the register of the symbolic. It is at this stage, according to Lacan, that the child also enters the “language system.” Absence, lack, and separation characterize the language system, according to Lacan, because language names things which are not immediately present (“signifieds”) and substitutes words (“signifiers”) for them. This is also the beginning of socialization, says Lacan. Just as the child realizes that sexual identity is the result of an originary difference between mother and father, it comes to grasp that language itself is an unending chain of “differences,” and that the terms of language are what they are only by excluding one another. Signs always presuppose the absence of the objects they signify—an insight which Lacan inherited from structuralist anthropology and linguistics. The loss of the precious object that is the mother’s body drives desire to seek its satisfaction in incomplete or partial objects, none of which can ever fully satisfy the longing bred by the loss of the maternal body. People try vainly to settle for substitute objects, or what Lacan calls the “object little a.” Lacan’s thinking was heavily influenced by structuralist thinkers such as the 67
Psychology Basics anthropologist Claude Lévi-Strauss (b. 1908) and linguists Ferdinand de Saussure (1857-1913) and Roman Jakobson (1896-1982). Lacan’s chief claim, based upon his readings of Saussure and Jakobson, is that the unconscious is “structured like a language.” Lacan refashioned Freud’s terminology of psychic condensation and displacement by translating them into what Lacan believed to be their equivalent rhetorical terms: metaphor and metonymy. Metaphor works by condensing two separate images into a single symbol through substitution, while metonymy operates by association— using a part to represent the whole (such as “crown” for “king”) or using contiguous elements (such as “sea” and “boat”). The presence of the father teaches the child that it must assume a predefined social and familial role over which it exercises no control—a role which is defined by the sexual difference between mother and father, the exclusion of the child from the sexual relationship which exists between the mother and the father, and the child’s relinquishment of the earlier and intense bonds which existed between itself and the mother’s body. This situation of absence, exclusion, and difference is symbolized by the phallus, a universal signifier or metonymic presence which indicates the fundamental lack or absence which lies at the heart of being itself—the manque à être, as Lacan calls it. The Real and Jouissance Finally, Lacan posits a register called “the real”—not the empirical world but the ineffable realm of constancy beyond the field of speech. According to Lacan, the “reality” which is given to consciousness is no more and no less than an amalgam of the imaginary (the specular and imagistic world of the rationalizing ego, with all of its self-delusions, defenses, and falsifications) and the symbolic (the meaningful social world of language). Lacan resists defining the real in any explicit or easily codifiable way. In his later work in the 1960’s Lacan discussed the register of the real in light of his work on jouissance, a term which is loosely translated as “enjoyment” but which is much more complex. According to Lacan, jouissance is any experience which is too much for the organism to bear. More often than not it is experienced as suffering—an unbearable pain which is experienced as a kind of satisfaction by the unconscious drives. According to Lacan, this is what lies at the heart of the Freudian “repetition compulsion,” namely an unconscious, and unconsciously satisfying, wish to suffer. Healthy human life is about the regulation of jouissance. Children’s bodies are prone to overexcitation and overstimulation because they are full of jouissance, which is slowly drained from the body of the child after its encounter with the “Law of the Father” and its entry into the register of the symbolic. Portions of jouissance linked to especially intense bodily memories from childhood can become “caught” or centered in the body and manifest as symptoms. Lacan reconfigured Freud’s theory of castration by redefining it as the loss of jouissance from the body. More broadly, 68
Analytic Psychology: Jacques Lacan Lacan says that the entry into language itself is castration because it introduces the idea of lack or absence into the world. Lacanian Clinical Practice For Lacan, human subjects construct themselves through language. One of the chief goals of Lacanian clinical practice is to create a space wherein the patient can experience and release jouissance through speech without the disintegration of the his or her sense of self. The analyst will then determine where a patient lies on a diagnostic continuum—neurotic (obsessional or hysteric), perverse, or psychotic. Psychotic patients, according to Lacanian analysis, are most greatly disconnected at the level of language, or the symbolic. The Lacanian analyst works with the disjointed speech of the psychotic to allow him or her to live within and to express, through language, the world of signifiers without significant discontinuity. The perverse patient, on the other hand, is often drawn to a fetish object. The fetish object is a compliant one, and it allows the patient to experience jouissance without having to relive the experience of castration which was attendant upon the “Father’s ‘No.’” The perverse patient engages in an act of substitution, whereby a complicit object grants a sense of release—a real or simulated experience of jouissance—while allowing him or her to avoid the painful sense of separation from the Other, or the presymbolic mother. The obsessional neurotic fears loss of control. Obsessional neurotics struggle to control and contain the upwelling of desire and the accompanying experience of jouissance. The obsessional neurotic speaks the language of mastery and order and attempts to exercise control well beyond his or her purview. The analyst is sensitive to dichotomizing tendencies in the patient’s speech (order and disorder, right and wrong). According to Lacan, the patient’s fantasy is that the upwelling of jouissance will alienate those around him or her and leave havoc in its wake. The analyst works with the obsessional neurotic to help the patient meet his or her needs without limiting defenses—to experience and speak desire without the fear of losing selfcontrol. Hysterics experience a deep and debilitating sense of lack which leads to a feeling of alienation from the Other. Once the hysteric obtains the imaginary object of the mother’s desire, he or she wishes to be rid of it— sometimes almost violently. The goal of Lacanian analysis when working with hysterics is to move them beyond the dichotomy of having/not having, to help them to achieve satisfactory levels of comfort with themselves, and to find a neutral space where the sense of lack is not all-consuming. The Case of Aimée Lacan’s early work on paranoia dealt with the case of a patient he called Aimée (Marguerite Anzieu) who was arrested by the Paris police in the attempted stabbing of a famous actress, Huguette Duflos. Lacan first encoun69
Psychology Basics tered Aimée in 1931 at Sainte-Anne’s Hospital, where he had begun his clinical training as a légiste medicale, or forensic psychiatrist, four years earlier. Lacan’s patient, the subject of numerous press accounts and much public speculation, had come to believe that her young son was about to be murdered by Duflos. One night Aimée attended a play which featured the famous Parisian actress and suddenly lunged from the crowd of theatergoers, brandishing a knife. Aimée was promptly arrested and given over to Lacan’s care. Lacan conducted an exhaustive number of analytic interviews with Aimée. Lacan was able to reconstruct the trajectory of Aimée’s descent into what he termed self-punishment paranoia. Aimée both feared and admired Duflos, and she came to believe that the actress—really her ideal image of the actress—posed a danger to her and to her young child. Duflos’s ideal image was the object of Aimée’s intense hatred as well as her excessive fascination, writes Lacan, and in attacking Duflos the deluded woman was really punishing herself. In one especially striking memory, Aimée recalled (falsely) reading an article in a newspaper in which the actress told an interviewer that she was planning to kill Aimée and her young son. Aimée therefore regarded her attack on Duflos as an act of preemptive self-defense based upon a misrecognition. Aimée finally found the real punishment she unconsciously craved (her jouissance) in her public humiliation, arrest, and confinement. Lacan was struck by the relationship between memory (or, in this case, false memory) and identity. One sees in Lacan’s early analysis of Aimée many of the most significant elements of his psychoanalytic theory, including the mirror stage, the imaginary, jouissance and its role in paranoia, and the power of misidentification. Lacan’s detailed analysis of “the case of Aimée” in his 1932 doctoral thesis, De la psychose paranoiaque dans les rapports avec la personnalité (paranoid psychosis and its relations to the personality), laid the groundwork for much of his later work on the nature of identity, the genesis of narcissism, the power of the image, and the fundamentally social character of personality. From 1933 onward, Lacan was known as a specialist in the diagnosis and treatment of paranoia. His densely textured doctoral dissertation was widely circulated among artists and poets identified with the Surrealist movement, and Lacan wrote regularly for Minotaure, a Surrealist review published between 1933 and 1939 by Albert Skira. Many of Lacan’s interpreters regard his work with philosopher Alexandre Kojève (1902-1968) as a theoretical turning point and the genesis of his thinking on the psychological significance of lack, loss, and absence. In 1936 Lacan presented his paper “Le Stade du miroir” (the mirror stage) at the fourteenth International Psychoanalytical Congress, held at Marienbad in August of 1936 under the chairmanship of the preeminent British psychoanalyst Ernest Jones. It is in this seminal essay, since lost, that Lacan outlined his theory of the mirror stage. His theory of self-mastery 70
Analytic Psychology: Jacques Lacan through mimicry, in which the young child responds to its prematuration or defenselessness by identifying with images outside itself, was influenced by the anthropological insights of Roger Caillois (1913-1978). Lacan’s radical revision of psychoanalysis, which he regarded as a “return to Freud,” led to his eventual ejection from the Société Française de Psychanalyse (SFP) in 1963. Lacan founded a new school, first called the École Française de Psychanalyse and then later the École Freudienne de Paris (EFP). Lacan dissolved the EFP in 1980 and died a year later, leaving behind a body of work which continues to influence psychoanalytic studies, philosophy, and literary and cultural theory. Sources for Further Study Dor, Joel. Introduction to the Reading of Lacan: The Unconscious Structured Like a Language. New York: Other Press, 1998. A clearly written and accessible introduction. Includes a useful bibliography. Evans, Dylan. An Introductory Dictionary of Lacanian Psychoanalysis. New York: Routledge, 1996. Evans defines more than two hundred technical terms in their historical contexts. Fink, Bruce. A Clinical Introduction to Lacanian Psychoanalysis: Theory and Technique. Cambridge, Mass.: Harvard University Press, 1997. A practicing psychoanalyst clearly introduces Lacan in theory and in clinical practice. Includes an extensive bibliography. Lacan, Jacques. Écrits: A Selection. Translated by Bruce Fink. New York: W. W. Norton, 2002. Lacan’s selections from his “writings”—really transcriptions of his lectures and seminars. An important collection of seminal works. Leader, Darian, and Judy Groves. Introducing Lacan. New York: Toten Books, 1995. A concise, clearly written, and entertaining introduction to Lacan’s most important concepts. Written by Leader, a practicing Lacanian analyst, for the general reader and wittily illustrated by Groves. Muller, John P., and William J. Richardson. Lacan and Language: A Reader’s Guide to “Écrits.” New York: International Universities Press, 1982. One of the earliest and most comprehensive introductions to Lacan’s work, coauthored by a practicing analyst and a philosopher with psychoanalytic training. Gerard O’Sullivan See also: Language; Psychoanalytic Psychology; Psychoanalytic Psychology and Personality: Sigmund Freud.
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Analytical Psychology Carl Jung Type of psychology: Personality Field of study: Psychodynamic and neoanalytic models Analytical psychology is one of the most complex theories of personality. It attempts to improve on Sigmund Freud’s work by deemphasizing sexual instincts and the abnormal side of human nature. Three of its more significant contributions are the notions of psychological types, the concept of the collective unconscious, and the depiction of the unconscious self as the most critical structure within the psyche. Key concepts • anima and animus • archetypes • collective unconscious • conscious ego • persona • personal unconscious • self • shadow Carl Gustav Jung (1875-1961) founded analytical psychology, perhaps the most complex major theory of personality. It includes the presentation and analysis of concepts and principles based on numerous disciplines within the arts and sciences. Because this complexity is combined with Jung’s often awkward writing, the task of mastering his theory is a challenge even for experts in the field of personality. His key contribution was taking the study of psychology beyond the claims made by Sigmund Freud (1856-1939). Jung’s emphasis on adult development and personality types and his willingness to break with strict Freudian teachings were major contributions within the history of psychology in general and personality in particular. Jung’s theory can best be understood by examining the key structures he proposes and the dynamics of personality. Jung divides the personality, or psyche, into three levels: At the conscious level, there is the conscious ego. The conscious ego lies at the center of consciousness. In essence, it is the conscious mind—one’s identity from a conscious perspective. It is particularly important to the person whose unconscious self is not yet fully developed. As the unconscious self begins to develop, the importance of the conscious ego will diminish. Beneath the conscious ego is the personal unconscious. This level involves material that has been removed from the consciousness of the person. This information may leave consciousness through forgetting or repression. Because the personal unconscious is close to the surface, which is 72
Analytical Psychology: Carl Jung consciousness, items in it may be recalled at a later date. The personal unconscious is similar to Freud’s notion of the preconscious. Material within the personal unconscious is grouped into clusters called complexes. Each complex contains a person’s thoughts, feelings, perceptions, and memories concerning particular concepts. For example, the mother complex contains all personal and ancestral experiences with the concept of mother. These experiences can be both good and bad. The deepest level of the psyche is called the collective unconscious. This level contains the memory traces that have been passed down to all humankind as a function of evolutionary development. It includes tendencies to behave in specific ways, such as living in groups or using spoken language. While each individual has his or her own personal unconscious, all people share the same collective unconscious. The key structures within the collective unconscious that determine how people behave and respond to their environment are labeled archetypes. Each archetype enables people to express their unique status as human beings.
Carl Jung. (Library of Congress) 73
Psychology Basics Archetypes Archetypes are divided into major and minor archetypes. The major archetypes include the persona, animus, anima, shadow, and self. The persona is one’s public personality, which one displays in order to be accepted by society. One’s goal is to balance the needs of the persona with the desire to express one’s true self. In contrast to the persona, the shadow represents the dark side of the psyche. It includes thoughts and feelings which the person typically does not express because they are not social. These cognitions can be held back on either a conscious or an unconscious level. The anima represents the feminine aspects of males, while the animus represents the masculine aspects of females. These archetypes have come about as a function of centuries of interactions between males and females. They have the potential to improve communication and understanding between males and females. Finally, the most important psychic structure in Jung’s theory is the self. It is the archetype which provides the whole psyche with a sense of unity and stability. The major goal of each person’s life is to optimize the development of the self. Psychic Structures and Personalities In an effort to optimize the development of the self, each person develops his or her own psychological type. Each type (Jung conceived of eight types) consists of a combination of a person’s basic attitude and basic function. Jung’s two attitudes are extroversion and introversion. These terms follow societal stereotypes, with the extrovert being outgoing and confident and the introvert being hesitant and reflective. These attitudes are combined with four basic functions, or ways of relating to the world. These functions are thinking, feeling, sensing, and intuiting, which are consistent with a general societal view of these terms. Jung used the possible combination of the attitudes and functions to form the eight possible psychological types. Each person is thought to have dominance within one of the available types. In addition to providing key psychic structures, Jung provides personality dynamics. He claimed that each person is endowed with psychic or libidinal energy. Unlike Freud, however, Jung did not view this energy as strictly sexual. Rather, he perceived it as life-process energy encompassing all aspects of the psyche. According to Jung, this energy operates according to two principles of energy flow: equivalence and entropy. The principle of equivalence states that an increase in energy within one aspect of the psyche must be accompanied by a decrease in another area. For example, if psychic energy is increasing in the unconscious self, it must decrease elsewhere, such as in the conscious ego. The principle of entropy states that when psychic energy is unbalanced, it will seek a state of equilibrium. For example, it would not be desirable to have the majority of one’s psychic energy located in the conscious ego. The energy needs of the other levels of consciousness must also be met. 74
Analytical Psychology: Carl Jung Jung’s psychic structures, along with his views on the dynamics of personality, have provided psychologists with a wealth of information to consider, many complexities to address, and numerous possible ways to apply his ideas to human development and personality assessment. Realization of Self Jung made significant contributions to knowledge of areas such as human development and personality assessment. In terms of human development, Jung emphasized that personality development occurs throughout the life of the person. This was critical in that Freud’s theory, the dominant theory at that time, emphasized the first five years of life in examining personality development. The overall goal of the person in Jung’s approach to development is the realization of the self, which is a long and difficult process. Unlike Freud, Jung was particularly interested in development during the adulthood years. He emphasized the changes that occur beginning at the age of thirty-five or forty. He believed that this was often a time of crisis in the life of the person. This notion of a midlife crisis (which Jung experienced himself) has continued to be the source of significant theoretical and empirical claims. Jung believed that the concept of a crisis during middle age was necessary and beneficial. Often, a person has achieved a certain level of material success and needs to find new meaning in life. This meaning can be realized by shifting from the material and physical concerns of youth to a more spiritual and philosophical view of life. The person seeks gradually to abandon the emphasis on the conscious ego which is dominant in youth. A greater balance between the unconscious and conscious is pursued. If this is successfully achieved, the person can reach a state of positive psychological health that Jung labels individuation. Perhaps the key to the midlife years in Jung’s theory is that these are the years in which the person is attempting to discover the true meaning of life. Finally, Jung stated that religion can play an important role in life during the midlife and old-age years. During the midlife years, a sense of spirituality rather than materialism is important in personality development; looking at the possibility of life after death can be positive for the older adult. Assessment Techniques Jung made use of several interesting assessment techniques in addressing the problems of his patients. Like Freud, Jung was an advocate of the casestudy method. He believed that much could be learned through an in-depth analysis of the problems of his patients. In his cases, Jung made extensive use of dream analysis. Jung maintained that dreams serve many purposes. They can be used to address and resolve current conflicts or to facilitate the development of the self. Dreams can therefore be oriented toward the future. While Freud focused his analysis on individual dreams, Jung would examine a group of dreams in order to uncover the problems of the patient. This ex75
Psychology Basics amination of multiple dreams was viewed by Jung as a superior approach to gaining access to the deeper meanings of dreams, which could often be found in the collective unconscious. Another important assessment device used by Jung which continues to have applications today is the word-association test. In this test, a person responds to a stimulus word with whatever comes to mind. Jung originally worked with a group of one hundred stimulus words and would focus on issues such as the response word given by the patient, the length of time it took the patient to respond, the provision of multiple responses, the repetition of the stimulus word, and the absence of a response. These and other factors could be used to establish the existence of an underlying neurosis as well as specific conflicts and complexes. Split with Freud The development of Jung’s analytical psychology can be traced to the development of his relationship with Sigmund Freud and the subsequent split that occurred between the two theorists. In 1906 Jung published a book which concerned the psychoanalytic treatment of schizophrenia. He sent a copy of this book to Freud, who was thoroughly impressed by Jung’s work. Jung became one of the strongest Freudian advocates from 1907 to 1912. During this time he collaborated with Freud and was viewed by many within psychoanalytic circles as the heir apparent to Freud. Jung had, in fact, been elected president of the prestigious International Psychoanalytic Association. In 1913 and 1914, however, he abandoned Freud and his psychoanalytic theory. Three basic problems led to this split. The first was Freud’s emphasis on sexuality. Jung believed that while sexual instincts did exist, they should not be emphasized at the expense of other relevant aspects of the psyche. Second, Jung believed that Freud overemphasized abnormality. He maintained that Freud appeared to have little to say about the normal aspects of human nature. Finally, unlike Freud, Jung wished to emphasize the biology of the species rather than the biology of the individual. The split between Freud and Jung was important for practical as well as theoretical reasons. Jung was rejected for a period of time by other analytically oriented thinkers because of his split with Freud. In addition, the break with Freud led Jung to experience a mental crisis which lasted for several years. This combination of factors eventually led Jung to conclude that he must develop his own view of the psyche, along with appropriate treatment techniques. While the challenges encountered by Jung in his life were difficult to overcome, they clearly played a major role in his ability to develop the most complex theory of personality ever formulated. His key concepts and psychic structures, including the collective unconscious, personal unconscious, archetypes, self, and personality typology, continue to be among the most interesting theoretical contributions in the history of personality psychology. 76
Analytical Psychology: Carl Jung Sources for Further Study Brome, Vincent. Jung: Man and Myth. New York: Granada, 1980. This is a sound biography of Jung and discussion of his work. Perhaps its main advantage is that it provides an analysis which is fair to both Jung and his critics. Freud, Sigmund, and C. G. Jung. The Freud/Jung Letters. Edited by William McGuire. Cambridge, Mass.: Harvard University Press, 1988. Provides a unique analysis of the development of the relationship between Freud and Jung. Accurately portrays the promise of unity and collaboration within the relationship in its early years, beginning around 1907, and exposes the problems that eventually led to the Freud/Jung split, which was complete by 1914. Provides a context for examining the remainder of Jung’s work and the personal problems that he was to encounter following his split with Freud. Hannah, Barbara. Jung, His Life and Work: A Biographical Memoir. Wilmette, Ill.: Chiron, 1997. This positive biographical view of Jung is provided by a Jungian analyst who was a friend and colleague of Jung for three decades. While it may not be as objectively written as other accounts, it has the advantage of being written by a scholar who had firsthand knowledge of many of Jung’s ideas. Jung, C. G. Memories, Dreams, Reflections. 1963. Reprint. New York: Vintage Books, 1989. Jung’s autobiography. It thoroughly portrays the evolution of his thinking, including all those factors that were critical to his theoretical conceptions. Essential reading for anyone interested in gaining further insights into Jung and his work, even though his writing is often difficult to follow. __________. Psychological Types. Rev. ed. London: Routledge, 1989. Provides both an overview of the basic principles of Jung’s theory and an analysis of the derivation of the attitudes and functions that yield his psychological types. Particularly important to those who are interested in the derivation of Jung’s view of typology. Noll, Richard. The Jung Cult: Origins of a Charismatic Movement. New York: Free Press, 1997. Noll suggests that Jung’s theories spawned not so much a psychology as a religious cult, based in nineteenth century occultism, neopaganism, and social Darwinism. Highly controversial. Shamdasani, Sonu. Cult Fictions: C. G. Jung and the Founding of Analytical Psychology. New York: Routledge, 1998. A rebuttal to Noll’s deconstruction of the “Jung Cult.” Presents an accurate history of the foundation of analytical psychology both during and after Jung’s life. Lawrence A. Fehr See also: Abnormality: Psychological Models; Analytical Psychotherapy; Dreams; Personality Theory; Psychoanalytic Psychology.
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Analytical Psychotherapy Type of psychology: Psychotherapy Field of study: Psychodynamic therapies Analytical psychotherapy is associated with the theory and techniques of Carl Jung. Similar to other psychodynamic therapies, it stresses the importance of discovering unconscious material. Unique to this approach is the emphasis on reconciling opposite personality traits that are hidden in the personal unconscious and the collective unconscious. Key concepts • collective unconscious • compensatory function • confession • education • elucidation • method of active imagination • method of amplification • personal unconscious • transference • transformation Analytical psychotherapy is an approach to psychological treatment pioneered by Carl Jung (1875-1961), a Swiss psychoanalyst. A follower of Sigmund Freud (1856-1939), Jung was trained in the psychoanalytic approach, with its emphasis on the dark, inaccessible material contained in the unconscious mind. Freud was fond of Jung and believed that he was to be the heir to the legacy Freud had begun. Jung began to disagree with certain aspects of Freud’s theory, however, and he and Freud parted ways bitterly in 1914. Jung’s concept of the structure of personality, on which he based his ideas of psychotherapy, was obviously influenced by Freud and the psychoanalytic tradition, but he added his own personal and mystical touches to its concepts. Jung believed that the personality consists of the ego, which is one’s conscious mind. It contains the thoughts, feelings, and perceptions of which one is normally aware. Jung also proposed a personal unconscious that contains events and emotions of which people remain unaware because of their anxiety-provoking nature. Memories of traumatic childhood events and conflicts may reside in the personal unconscious. Jung’s unique contribution to personality theory is the idea of a collective unconscious. This consists of memories and emotions that are shared by all humanity. Jung believed that certain events and feelings are universal and exert a similar effect on all individuals. An example would be his universal symbol of a shadow, meaning the evil, primitive nature that resides within everyone. Jung believed that although people are aware of the workings of the conscious ego, it is the unavailable material contained in the personal uncon78
Analytical Psychotherapy scious and collective unconscious that has the greatest influence on one’s behavior. Jung’s analytical psychotherapy was a pioneering approach during the very early era of psychological treatment. He conformed to the beliefs of other psychodynamic therapists, such as Freud and Alfred Adler (18701937), in the importance of discovering unconscious material. The psychoanalysts would be followed by the behavioral school’s emphasis on environmental events and the cognitive school’s focus on thoughts and perceptions. Psychoanalysis brought a prominence to psychology it had not known previously. Personality and the Unconscious Mind Jung believed that emotional problems originate from a one-sided development of personality. He believed that this is a natural process and that people must constantly seek a balance of their traits. An example might be a person who becomes overly logical and rational in his behavior and decision making, while ignoring his emotional and spontaneous side. Jung believed this one-sided development eventually would lead to emotional difficulty and that one must access the complementary personality forces that reside in the unconscious. Even psychotherapists must be aware that along with their desire to help others, they have complementary darker desires that are destructive to others. Jung believed that emotional problems are a signal that one is becoming unbalanced in one’s personality and that this should motivate one to develop more neutral traits. The process of analytical psychotherapy, as in most psychodynamic approaches, is to make the patient conscious or aware of the material in his or her unconscious mind. Jung believed that if the conscious mind were overly logical and rational, the unconscious mind, to balance it, would be filled with equally illogical and emotional material. To access this material, Jung advocated a free and equal exchange of ideas and information between the analyst and the patient. Jung did not focus on specific techniques as did Freud, but he did believe that the unconscious material would become evident in the context of a strong, trusting therapeutic relationship. Although the patient and analyst have equal status, the analyst serves as a model of an individual who has faced her or his unconscious demons. Stages of Analytic Psychotherapy Analytic psychotherapy proceeds in four stages. The first stage is that of confession. Jung believed that it is necessary for the patient to tell of his or her conflicts and that this is usually accompanied by an emotional release. Jung did not believe that confession is sufficient to provide a cure for one’s ills, however, nor did he believe (unlike Freud) that an intellectual understanding of one’s difficulties is adequate. The patient must find a more neutral ground in terms of personality functioning, and this can only be accomplished by facing one’s unconscious material. 79
Psychology Basics The second stage of psychotherapy is called elucidation, and it involves becoming aware of one’s unconscious transferences. Transference is a process in which a patient transfers emotions about someone else in his or her life onto the therapist; the patient will behave toward the therapist as he or she would toward that other person. It is similar to meeting someone who reminds one of a past relationship; for no apparent reason, one might begin to act toward the new person the same way one did to the previous person. Jung believed that these transferences to the analyst give a clue about unconscious material. A gentle, passive patient might evidence hostile transferences to the therapist, thus giving evidence of considerable rage that is being contained in the unconscious. The third stage of analytic psychotherapy consists of education. The patient is instructed about the dangers of unequal personality development and is supported in his or her attempts to change. The overly logical business executive may be encouraged to go on a spontaneous vacation with his family with few plans and no fixed destinations. The shy student may be cajoled into joining a debate on emotional campus issues. Jung believed in the value of experiencing the messages of one’s unconscious. The final stage of psychotherapy, and one that is not always necessary, is that of transformation. This goes beyond the superficial encouragements of the previous stages and attempts to get the patient to delve deeply into the unconscious and thereby understand who he or she is. This process of understanding and reconciling one’s opposites takes considerable courage and exploration into one’s personal and cultural past. It is a quest for one’s identity and purpose in life that requires diligent work between the analyst and patient; the result is superior wisdom and a transcendent calm when coping with life’s struggles. Analytic Techniques Jung developed several techniques aimed at uncovering material hidden in the unconscious. Like Freud, Jung believed that the content of dreams is indicative of unconscious attitudes. He believed that dreams have a compensatory function; that is, they are reflections of the side of personality that is not displayed during one’s conscious, everyday state. The sophisticated librarian may have dreams of being an exotic dancer, according to Jung, as a way of expressing the ignored aspects of personality. Jung gives an example of the compensatory aspects of dreams when describing the recollections of a dutiful son. The son dreamed that he and his father were leaving home, and his father was driving a new automobile. The father began to drive in an erratic fashion. He swerved the car all over the road until he finally succeeded in crashing the car and damaging it very badly. The son was frightened, then became angry and chastised his father for his behavior. Rather than respond, however, his father began to laugh until it became apparent that he was very intoxicated, a condition the son had not previously noticed. Jung interpreted the dream in the context of the 80
Analytical Psychotherapy son’s relationship with his father. The son overly idealized the father, while refusing to recognize apparent faults. The dream represented the son’s latent anger at his father and his attempt to reduce him in status. Jung indicated to the young man that the dream was a cue from his unconscious that he should evaluate his relationship with his father with a more balanced outlook. Amplification Method Jung employed the method of amplification for interpreting dreams. This technique involved focusing repeatedly on the contents of the dream and giving multiple associations to them. Jung believed that the dream often is basically what it appears to be. This differs dramatically from Freudian interpretation, which requires the patient to associate dream elements with childhood conflicts. The amplification method can be applied to a dream reported by a graduate student in clinical psychology. While preparing to defend his dissertation, the final and most anxiety-provoking aspect of receiving the doctorate, the student had a dream about his oral defense. Before presenting the project to his dissertation committee that was to evaluate its worth (and seemingly his own), the student dreamed that he was in the bathroom gathering his resources. He noticed he was wearing a three-piece brown suit; however, none of the pieces matched. They were different shades of brown. Fortunately, the pieces were reversible, so the student attempted to change them so they would all be the same shade. After repeated attempts he was unable to get all three pieces of the suit to be the same shade of brown. He finally gave up in despair and did not appear for his defense. With a little knowledge about the student, an analytical therapist would have an easy time with the meaning of this dream. This was obviously a stressful time in the young man’s life, and the dream reflected his denied anxiety. In addition, the student did not like brown suits; to him, a brown suit that did not match was even more hideous. It is apparent that he was unhappy and, despite his best attempts to portray confidence, the budding clinician was afraid that he was going to “look stupid.” Jung would have encouraged him to face these fears of failure that were hidden in his unconscious. Active Imagination A final application of analytical psychotherapy stems from Jung’s method of active imagination. Jung believed that unconscious messages could come not only from dreams but also from one’s artistic productions. He encouraged his patients to produce spontaneous, artistic material. Some patients sketched, while others painted, wrote poetry, or sang songs. He was interested in the symbols that were given during these periods, and he asked his clients to comment on them. Jung believed that considerable material in the unconscious could be discovered during these encounters. He also talked with his patients about the universal meanings of these symbols (as in his 81
Psychology Basics idea of the collective unconscious), and they would attempt to relate this material to the their own cultural pasts. Many modern therapies, such as art, music, and dance therapy, draw heavily from this idea that one can become aware of unconscious and emotional material through association involving one’s artistic productions. These therapists believe, as did Jung, that patients are less defensive during these times of spontaneous work and, therefore, are more likely to discover unconscious material. Contributions to Psychology Analytical psychotherapy is not considered a mainstream approach to psychotherapy, but it does have a small group of devoted followers. Some of Jung’s techniques have been adapted into other, more common approaches. Many therapists agree with Jung’s deemphasis on specific techniques in favor of a focus on the establishment of a supportive therapy relationship. Jung moved away from the stereotypical analyst’s couch in favor of face-toface communication between doctor and patient. Many psychotherapists endorse Jung’s belief that the analyst and patient should have relatively equal status and input. Jung also reduced the frequency of meeting with his patients from daily (as Freud recommended) to weekly, which is the norm today. Jung’s analytical approach changed the focus of psychotherapy from symptom relief to self-discovery. He was interested not only in patients with major problems but also in those who were dissatisfied with their mundane existences. These people were usually bright, articulate, and occupationally successful. Jung’s most lasting contributions probably have been his insights into the polarity of personality traits. The Myers-Briggs Type Indicator, based on Jungian personality descriptions, is one of the most widely used personality tests in business and industry. Jung also believed that personality changes throughout one’s life, and he encouraged a continual evaluation of oneself. The idea of a midlife crisis, a period when one reevaluates personal and occupational goals, is a product of Jung’s theory. He believed that individuals continually should strive to achieve a balance in their personality and behavior. Sources for Further Study Bishop, Paul, ed. Jung in Contexts: A Reader. New York: Routledge, 2000. A collection of essays written between 1980 and 2000 on the evolution and theory of Jungian analytic psychology. Hall, Calvin Springer, Gardner Lindzey, and John Campbell. Theories of Personality. 4th ed. New York: John Wiley & Sons, 1998. This is a classic text in personality theory and application, and it gives a detailed description of Jung’s theory. Recommended for the serious student of Jung. Hall, Calvin Springer, and Vernon J. Nordby. A Primer of Jungian Psychology. 82
Analytical Psychotherapy New York: New American Library, 1973. This paperback attempts to provide a comprehensive treatment of Jung’s ideas. It is intended for the beginning student of Jung. Hergenhahn, B. R., and Matthew Olsen. Personality Theories: An Introduction. 5th ed. Upper Saddle River, N.J.: Prentice Hall, 1998. Engler’s chapter on Jung and his psychotherapy is easy to read and contains a good balance between theory and practical application. Jung, C. G. Man and His Symbols. 1961. Reprint. New York: Laureleaf Books, 1997. Jung’s own summary of his theories on dreams and dream analysis, aimed at a lay reader. Mathers, Dale. An Introduction to Meaning and Purpose in Analytical Psychology. Philadelphia: Taylor & Francis, 2001. A guide aimed at therapists, counselors, and other mental health professionals, explaining the basic premises of analytical psychology. Samuels, Andrew. Jung and the Post-Jungians. New York: Routledge, 1986. A comprehensive overview of both Jung’s thought and the developments of his followers. Stevens, Anthony. Jung: A Very Short Introduction. New York: Oxford University Press, 2001. A concise overview of Jung’s analytical psychology theories, written by a prominent Jungian. Brett L. Beck See also: Abnormality: Psychological Models; Analytical Psychology: Carl Jung; Dreams; Psychoanalytic Psychology.
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Animal Experimentation Type of psychology: Psychological methodologies Fields of study: Experimental methodologies; methodological issues Psychologists study animals and animal behavior as well as humans; sometimes the goal is to understand the animal itself, and sometimes it is to try to learn more about humans. Because there are many biological and psychological similarities between humans and other animals, the use of animal models can be extremely valuable, although it is sometimes controversial. Key concepts • analogy • applied research • basic research • biopsychology • ethology • homology • Institutional Animal Care and Use Committees • invasive procedures • learning theory • situational similarity Prior to the general acceptance of Charles Darwin’s evolutionary theory in the late nineteenth century, animals were considered to be soulless machines with no thoughts or emotions. Humans, on the other hand, were assumed to be qualitatively different from other animals because of their abilities to speak, reason, and exercise free will. This assumption made it unreasonable to try to learn about the mind by studying animals. After Darwin, however, people began to see that, even though each species is unique, the chain of life is continuous, and there are similarities as well as differences among species. As animal brains and human brains are made of the same kinds of cells and have similar structures and connections, it was reasoned, the mental processes of animals must be similar to the mental processes of humans. This new insight led to the introduction of animals as psychological research subjects around the year 1900. Since then, animal experimentation has taught much about the brain and the mind, especially in the fields of learning, memory, motivation, and sensation. Psychologists who study animals can be roughly categorized into three groups. Biopsychologists, or physiological psychologists, study the genetic, neural, and hormonal controls of behavior, for example, eating behavior, sleep, sexual behavior, perception, emotion, memory, and the effects of drugs. Learning theorists study the learned and environmental controls of behavior, for example, stress, stimulus-response patterns, motivation, and the effects of reward and punishment. Ethologists and sociobiologists concentrate on animal behavior in nature, for example, predator-prey interac84
Animal Experimentation tions, mating and parenting, migration, communication, aggression, and territoriality. Reasons for Using Animal Subjects Psychologists study animals for a variety of reasons. Sometimes they study the behavior of a particular animal in order to solve a specific problem. They may study dogs, for example, to learn how best to train them as watchdogs, chickens to learn how to prevent them from fighting one another in henhouses, and wildlife to learn how to regulate populations in parks, refuges, or urban areas. These are all examples of what is called applied research. Most psychologists, though, are more interested in human behavior but study animals for practical reasons. A developmental psychologist, for example, may study an animal that has a much shorter life span than humans so that each study takes a much shorter time and more studies can be done. Animals may also be studied when an experiment requires strict controls; researchers can control the food, housing, and even social environment of laboratory animals but cannot control such variables in the lives of human subjects. Experimenters can even control the genetics of animals by breeding them in the laboratory; rats and mice have been bred for so many generations that researchers can special-order from hundreds of strains and breeds and can even obtain animals that are as genetically identical as identical twins. Another reason psychologists study animals is that there are fewer ethical considerations as compared to research with human subjects. Physiological psychologists and neuropsychologists, in particular, may utilize invasive procedures (such as brain surgery or hormone manipulation) that would be unethical to perform on humans. Without animal experimentation, these scientists would have to do all their research on human victims of accident or disease, a situation which would reduce the number of research subjects dramatically as well as raise additional ethical considerations. A number of factors make animal research applicable for the study of human psychology. The first factor is homology. Animals that are closely related to humans are likely to have similar physiology and behavior because they share the same genetic blueprint. Monkeys and chimpanzees are the animals most closely related to humans and thus are homologically most similar. Monkeys and chimpanzees make the best subjects for psychological studies of complex behaviors and emotions, but because they are expensive and difficult to keep, and because there are serious ethical considerations when using them, they are not used when another animal would be equally suitable. The second factor is analogy. Animals that have a similar lifestyle to humans are likely to have some of the same behaviors. Rats, for example, are social animals, as are humans; cats are not. Rats also show similarity to humans in their eating behavior (which is one reason rats commonly live 85
Psychology Basics
The study of animals, particularly primates, has taught researchers much about human beings. (Adobe)
around human habitation and garbage dumps); thus, they can be a good model for studies of hunger, food preference, and obesity. Rats, however, do not have a similar stress response to that of humans; for studies of exercise and stress, the pig is a better animal to study. The third factor is situational similarity. Some animals, particularly domesticated animals such as dogs, cats, domestic rabbits, and some birds, adapt easily to experimental situations such as living in a cage and being handled by humans. Wild animals, even if reared from infancy, may not behave normally in experimental situations. The behavior of a chimpanzee that has been kept alone in a cage, for example, may tell something about the behavior of a human kept in solitary confinement, but it will not necessarily be relevant to understanding the behavior of most people in typical situations. By far the most common laboratory animal used in psychology is Rattus norvegicus, the Norwegian rat. Originally the choice of the rat was something of a historical accident. Because the rat has been studied so thoroughly over 86
Animal Experimentation the past century, it is now often the animal of choice so that comparisons can be made from study to study. Fortunately, the rat shares many features with humans. Other animals frequently used in psychological research include pigeons, mice, hamsters, gerbils, cats, monkeys, and chimpanzees. Scientific Value One of the most important topics for which psychologists use animal experimentation is the study of interactive effects of genes and the environment on the development of the brain and subsequent behavior. These studies can only be done using animals as subjects because they require individuals with a relatively short life span that develop quickly, invasive procedures to measure cell and brain activity, or the manipulation of major social and environmental variables in the life of the subject. In the 1920’s, E. C. Tolman and Robert Tryon began a study of the inheritance of intelligence using rats. They trained rats to run a complex maze and then, over many generations, bred the fastest learners with one another and the slowest learners with one another. From the beginning, offspring of the “bright” rats were substantially faster than offspring of the “dull” rats. After only seven generations, there was no overlap between the two sets, showing that “intelligence” is at least partly genetic and can be bred into or out of animals, just as size, coat color, or milk yield can be. Subsequent work with selectively bred bright versus dull rats, however, found that the bright rats would only outperform the dull rats when tested on the original maze used with their parents and grandparents; if given a different task to measure their intelligence, the bright rats were no brighter than the dull rats. These studies were the first to suggest that intelligence may not be a single attribute that one either has much or little of; there may instead be many kinds of intelligence. Traditionally, intelligence quotient (IQ) tests measure two kinds of intelligence: one related to verbal skills and one related to spatial skills. Newer theories and tests attempt to address the possibility that there are dozens of different kinds of intelligence. The newer tests may help to identify special talents that may otherwise go unrecognized, undeveloped, and unrewarded in people who are not especially good at tasks measured by the more traditional tests. The new theories of multiple intelligences are also being used in the field of artificial intelligence to develop computer and robotic systems which utilize less sequential processing and more parallel systems or netlike processing, more like the human brain. Brain Studies Another series of experiments that illustrates the role of animal models in the study of brain and behavior is that developed by David Hubel and Torsten Wiesel, who study visual perception (mostly using cats). Hubel and Wiesel were able to study the activity of individual cells in the living brain. By inserting a microelectrode into a brain cell of an immobilized animal and 87
Psychology Basics flashing visual stimuli in the animal’s visual field, they could record when the cell responded to a stimulus and when it did not. Over the years, scientists have used this method to map the activities of cells in several layers of the visual cortex, the part of the brain that processes visual information. They have also studied the development of cells and the cell connections, showing how early experience can have a permanent effect on the development of the visual cortex. Subsequent research has demonstrated that the environment has major effects on the development of other areas of the brain as well. The phrase “use it or lose it” has some accuracy when it comes to development and maintenance of brain connections and mental abilities. Harlow’s Experiments Perhaps the most famous psychological experiments on animals were those by Harry Harlow in the 1950’s. Harlow was studying rhesus monkeys and breeding them in his own laboratory. Initially, he would separate infant monkeys from their mothers. Later, he discovered that, in spite of receiving adequate medical care and nutrition, these infants exhibited severe behavioral symptoms: They would sit in a corner and rock, mutilate themselves, and scream in fright at the approach of an experimenter, a mechanical toy, or another monkey. As adolescents, they were antisocial. As adults, they were psychologically ill-equipped to deal with social interactions: Male monkeys were sexually aggressive, and females appeared to have no emotional attachment to their own babies. Harlow decided to study this phenomenon (labeled “maternal deprivation syndrome”) because he thought it might help to explain the stunted growth, low life expectancy, and behavioral symptoms of institutionalized infants which had been documented earlier by René Spitz. Results of the Harlow experiments profoundly changed the way psychologists think about love, parenting, and mental health. Harlow and his colleagues found that the so-called mothering instinct is not very instinctive at all but rather is learned through social interactions during infancy and adolescence. They also found that an infant’s attachment to its mother is based not on its dependency for food but rather on its need for “contact comfort.” Babies raised with both a mechanical “mother” that provided milk and a soft, cloth “mother” that gave no milk preferred the cloth mother for clinging and comfort in times of stress. Through these experiments, psychologists came to learn how important social stimulation is, even for infants, and how profoundly lack of such stimulation can affect mental health development. These findings played an important role in the development of staffing and activity requirements for foundling homes, foster care, day care, and institutions for the aged, disabled, mentally ill, and mentally retarded. They have also influenced social policies which promote parent education and early intervention for children at risk. 88
Animal Experimentation Limitations and Ethical Concerns However, there are drawbacks to using animals as experimental subjects. Most important are the clear biological and psychological differences between humans and nonhuman animals; results one gets in a study using nonhuman animals simply may not apply to humans. In addition, animal subjects cannot communicate directly with the researchers; they are unable to express their feelings, motivations, thoughts, and reasons for their behavior. If a psychologist must use an animal instead of a human subject for ethical or practical reasons, the scientist will want to choose an animal that is similar to humans in the particular behavior being studied. Three factors can create similarity between animal and human behavior; each of these three must be considered. For the same reasons that animals are useful in studying psychological processes, however, people have questioned the moral justification for such use. As it is now realized that vertebrate animals can feel physical pain, and that many of them have thoughts and emotions as well, animal experimentation has become politically controversial. Psychologists generally support the use of animals in research. The American Psychological Association (APA) identifies animal research as an important contributor to psychological knowledge. The majority of individual psychologists would tend to agree. In 1996, S. Plous surveyed nearly four thousand psychologists and found that fully 80 percent either approved or strongly approved of the use of animals in psychological research. Nearly 70 percent believed that animal research was necessary for progress in the field of psychology. However, support dropped dramatically for invasive procedures involving pain or death. Undergraduate students majoring in psychology produced largely similar findings. Support was less strong among newer psychologists than older and was also less strong in women than in men. Some psychologists would like to see animal experimentation in psychology discontinued. An animal rights organization called Psychologists for the Ethical Treatment of Animals (PSYETA), established in 1981, is highly critical of the use of animals as subjects in psychological research and has strongly advocated improving the well-being of those animals that currently are used through publication of the Journal of Applied Animal Welfare Science. PSYETA is also a strong advocate for the developing field of human-animal studies, in which the relationship between humans and animals is explored. Companion animals (pets) can have a significant impact on psychological and physical health and can be used as a therapeutic tool with, for example, elderly people in nursing homes and emotionally disturbed youths. In this field of study, animals are not the subjects of the experiment; rather it is the relationship between humans and animals that is the topic of interest. Regulations In response to such concerns, the U.S. Congress amended the Animal Welfare Act in 1985 so that it would cover laboratory animals as well as pets. 89
Psychology Basics (Rats, mice, birds, and farm animals are specifically excluded.) Although these regulations do not state specifically what experimental procedures may or may not be done on laboratory animals, they do set standards for humane housing, feeding, and transportation. Later amendments were added in 1991 in an effort to protect the psychological well-being of nonhuman primates. In addition, the Animal Welfare Act requires that all research on warmblooded animals (except those listed above) be approved by a committee before it can be carried out. Each committee (called an Institutional Animal Care and Use Committee, or IACUC) is composed of at least five members and must include an animal researcher; a veterinarian; someone with an area of expertise in a nonresearch area, such as a teacher, lawyer, or member of the clergy; and someone who is unaffiliated with the institution where the experimentation is being done who can speak for the local community. In this way, those scientists who do animal experiments are held accountable for justifying the appropriateness of their use of animals as research subjects. The APA has its own set of ethical guidelines for psychologists conducting experiments with animals. The APA guidelines are intended for use in addition to all local, state, and federal laws that apply, including the Animal Welfare Act. In addition to being a bit more explicit in describing experimental procedures that require special justification, the APA guidelines require psychologists to have their experiments reviewed by local IACUCs and do not explicitly exclude any animals. About 95 percent of the animals used in psychology are rodents and birds (typically rats, mice, and pigeons), which are currently not governed by the Animal Welfare Act. It seems likely that federal regulations will change to include these animals at some point in the future, and according to surveys, the majority of psychologists believe that they should be. Finally, psychologists are encouraged to improve the living environments of their animals and consider nonanimal alternatives for their experiments whenever possible. Alternatives to animal experimentation are becoming more widespread as technology progresses. Computer modeling and bioassays (tests using biological materials such as cell cultures) cannot replace animal experimentation in the field of psychology, however, because computers and cell cultures will never exhibit all the properties of mind that psychologists want to study. At the same time, the use of animals as psychological research subjects will never end the need for study of human subjects. While other animals may age, mate, fight, and learn much as humans do, they will never speak, compose symphonies, or run for office. Animal experimentation continues to have an important, though limited, role in psychological research. Sources for Further Study Fox, Michael Allen. The Case for Animal Experimentation. Berkeley: University of California Press, 1986. Although the author is philosophically in favor 90
Animal Experimentation of most animal experimentation, he gives a clear and thorough discussion of the entire context of animal experimentation from both sides. Includes sections on animal rights, similarities and differences between human and nonhuman subjects, the role of methodological considerations and replicability in scientific progress, and alternatives to animal testing. The author specifically addresses some of the uglier behavioral studies on animals, including some by Harry Harlow. Gross, Charles G., and H. Philip Zeigler, eds. Motivation. Vol. 2 in Readings in Physiological Psychology. New York: Harper & Row, 1969. Although there are dozens of newer collections of articles in the area of physiological psychology, this one does a particularly good job of covering the broad diversity of topics in the field. In addition, all the work represented in this particular collection came from animal studies. This or a similar collection can be consulted for illustration of many specific methodologies used in research with animals. Miller, Neal E. “The Value of Behavioral Research on Animals.” American Psychologist 40 (April, 1985): 423-440. Good discussion of advances in the behavioral sciences that came from animal studies, including studies on effects of early experience on the brain and behavior, drug effects, eating disorders, and diseases of aging. Also includes some discussion of applied studies which benefit nonhuman species. National Academy of Sciences and the Institute of Medicine. Committee on the Use of Animals in Research. Science, Medicine, and Animals. Washington, D.C.: National Academy Press, 1991. This thirty-page pamphlet answers commonly asked questions about the use of animals in biomedical research. Although not focusing specifically on psychology, it does address research in psychomedical areas such as brain research and drug addiction. National Research Council. Guide for the Care and Use of Laboratory Animals. Washington, D.C.: National Academy Press, 1996. The primary reference on animal care and use for researchers, the Guide covers specific legal regulations regarding institutional responsibilities; animal housing and environment; veterinary care; and facility requirements. Also available online at http://www.nap. edu/readingroom/books/labrats/ Psychologists for the Ethical Treatment of Animals. http://www.psyeta.org. Informative page for this animal rights organization. Provides links to the table of contents of the journals they publish as well as full-text access to some articles. Linda Mealey; updated by Linda R. Tennison See also: Behaviorism; Conditioning; Emotions; Hunger; Imprinting; Instinct Theory; Memory: Animal Research; Pavlovian Conditioning.
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Anxiety Disorders Type of psychology: Psychopathology Fields of study: Anxiety disorders; behavioral and cognitive models; psychodynamic and neoanalytic models Anxiety is a central concept in many different schools of psychology, and there are many widely varying theories concerning it; theories of anxiety often have spawned approaches to treating anxiety disorders. Key concepts • ego • libido • operant conditioning • Pavlovian conditioning • phobia • preparedness • repression • three-systems approach • two-factor theory • vicarious transmission The concept of anxiety is one of the most often-used and loosely defined concepts in psychology. It can be used to describe a temporary state (“He seems anxious today”) or an enduring personality trait (“He is an anxious person”). It is used to assign cause (“He stumbled over the words in his speech because he was anxious”) and to describe an effect (“Having to give a speech makes him anxious”). It is seen as the result of discrete objects or situations, such as snakes or heights, or as evolving from basic existential problems such as the trauma of birth or the fear of death. All major theories in psychology in some way confront anxiety. Because of its preeminence in the field of psychology, there are many different theories about the nature and origin of anxiety disorders. The two most important and influential viewpoints on anxiety are the Freudian and the behavioral viewpoints. Although these theories attempt to explain many anxiety disorders, an examination of how they apply to phobias presents a good indication of how they work. A phobia can be defined as an anxiety disorder involving an intense fear of a particular thing (such as horses) or situation (such as heights). Freudian Approach Sigmund Freud, who said that understanding anxiety “would be bound to throw a flood of light on our whole mental existence,” had two theories of anxiety, an early one, in 1917, and a later one, in 1926. In the early theory, libido (mental energy, often equated with sexual drive) builds up until it is discharged by some pleasurable activity. Sometimes the energy cannot be 92
Anxiety Disorders discharged, for example, when the sexual object is not attainable or is morally unacceptable. This undischarged energy is anxiety and remains even when its original, unacceptable object is repressed or eliminated from conscious awareness. This anxiety may attach itself to an otherwise harmless object, resulting in a phobia. This theory is best illustrated in one of Freud’s most famous cases, that of “Little Hans,” a five-year-old who developed a phobia of horses. Freud believed that Little Hans had a sexual desire for his mother and wanted his father dead so that he could have his mother to himself. This desire for his mother and hatred of his father were unacceptable impulses and so were repressed from consciousness, resulting in anxiety. This anxiety attached itself to horses, Freud thought, because the black blinders and muzzle of the horse symbolized his father’s glasses and mustache. In Freud’s first theory, repression causes anxiety. In psychoanalytic theory, repression is a defense mechanism that keeps unacceptable thoughts and impulses from becoming conscious. In the later theory, the relationship between them has changed: Anxiety causes repression. In this theory, anxiety acts as a signal to the ego (in Freud’s theory, the rational, conscious part of the mind) that a forbidden impulse (such as Little Hans’s desire for his mother) is trying to force its way into consciousness. This signal alerts the ego to try to repress the unwanted impulse. If the ego cannot successfully repress the forbidden impulse, it may try to transfer the forbidden impulse to an irrelevant object (horses, in Little Hans’s case). This object can arouse all the emotions associated with the forbidden impulse, including the signal anxiety. In this way, it becomes a phobic object. Two-Factor Theory One influential behavioral approach to anxiety is O. Hobart Mowrer’s twofactor theory. It uses the principles of Pavlovian learning—in which two stimuli are presented, one after the other, and the response to the first changes because of the response automatically elicited by the second stimulus—and operant conditioning—learning in which a behavior increases or decreases depending on whether the behavior is followed by reward or punishment—to explain fear and phobic avoidance, respectively. Fear is acquired through Pavlovian conditioning when a neutral object or situation is paired with something painful or punishing. For example, involvement in an automobile crash can result in a fear of driving. At this point, operant learning principles take over to explain phobic avoidance. In operant learning, any action that leads to a reward is likely to be repeated. The person who is anxious about driving might avoid driving. Because this avoidance is rewarded by reduced anxiety, the person is more likely to avoid driving in the future. Continued avoidance makes it harder to get back behind the wheel again. Many problems were found with two-factor theory, and many modifications have been made to it. Two problems will be discussed here to illustrate 93
Psychology Basics these changes. First, the theory predicts that people will be likely to fear things that are most often associated with pain. There are very few people in modern society, however, who are phobic of electrical sockets and end tables, even though almost everyone has received a shock from the former and stubbed a toe on the latter. On the other hand, many people are afraid of snakes and spiders, even if they have never been bitten by one. This has been explained through the concept of preparedness: Human evolutionary history has prepared people to learn that some things—such as reptiles, insects, heights, darkness, and closed spaces—are dangerous. These things are “easy” to learn to fear, and they account for a large proportion of phobias. On the other hand, human evolutionary ancestors had no experience with electric sockets or guns, so people today are not prepared to become phobic of these objects, even though they cause much more pain in modern society than do snakes or spiders. Two-factor theory states that in order for something to cause fear, it must be paired with a painful or punishing experience. People, however, sometimes become phobic of objects or situations with which they have never had a bad experience. Indeed, many people who have never seen a live snake are afraid of snakes. Thus, there must be other ways in which fear is acquired. One of these is vicarious transmission: Seeing someone act afraid of something can lead to acquiring that fear. For example, whether an infant becomes afraid of being in a high place depends on whether its mother is smiling or has an expression of fear on her face. In an ingenious set of experiments, Susan Mineka and her colleagues showed that vicarious transmission of fear is influenced by preparedness. She showed that rhesus monkeys that watched a videotape of other monkeys acting afraid of a snake became afraid of snakes themselves. Monkeys that watched other monkeys act afraid of rabbits, however, did not become afraid of rabbits because they were not evolutionarily prepared to fear rabbits. Human beings also can acquire fear by being told that something is dangerous. A child can learn to avoid running in front of oncoming cars by being told not to do this by his or her parents; he or she does not have to be hit by a car or watch someone get hit in order to acquire this information. Treating Anxiety All theories of anxiety disorders attempt to explain and organize what is known about fear and anxiety. Some of the theories, including the ones described here, also have been applied in developing treatments for anxiety disorders. As might be expected, clinical psychologists with very different ideas about the cause of anxiety will recommend very different treatments to eliminate it. In the case of Little Hans, Freud thought that his anxiety about horses was caused by repressed sexual impulses toward his mother and hatred of his father. From this, it follows that these repressed impulses would need to be brought out into the open and resolved before his anxiety about horses 94
Anxiety Disorders
DSM-IV-TR Criteria for Generalized Anxiety Disorder (DSM code 300.02) Excessive anxiety and worry (apprehensive expectation), occurring more days than not for at least six months, about a number of events or activities (such as work or school performance) Person finds it difficult to control worry Anxiety and worry associated with three or more of the following symptoms, with at least some present more days than not for previous six months (only one item required in children): • restlessness or feeling keyed up or on edge • being easily fatigued • difficulty concentrating or mind going blank • irritability • muscle tension • sleep disturbance (difficulty falling or staying asleep, or restless unsatisfying sleep) Focus of anxiety and worry not confined to features of Axis I disorder Anxiety and worry do not occur exclusively during Post-traumatic Stress Disorder Anxiety, worry, or physical symptoms cause clinically significant distress or impairment in social, occupational, or other important areas of functioning Disturbance not due to direct physiological effects of a substance or general medical condition and does not occur exclusively during a mood disorder, psychotic disorder, or pervasive developmental disorder
would diminish. This was the basic goal of the psychoanalytic therapy Freud recommended for Hans. On the other hand, if Hans’s parents had taken him to a behaviorally oriented therapist, the therapist would have assumed that the child’s fear stemmed from a fright he suffered in the presence of a horse. In fact, Freud stated that the phobia began when Hans saw a horse fall while pulling a bus. Further, the therapist would assume that now Hans was rewarded for avoiding horses by anxiety reduction and by getting extra attention from his parents. Treatment would involve having the boy gradually think about, look at, and even pet horses, and it would include being rewarded for approaching (rather than avoiding) horses. Given these vastly different theories and treatments, a question arises as to which one is right. The theoretical issues are still debated, but it is clear that treatments based on a behavioral model of anxiety are much more successful in reducing fear than are treatments based on the theories of Freud or his followers. 95
Psychology Basics Cognitive Theories Cognitive theories of anxiety also illustrate how theory is applied to develop a treatment. There are many different cognitive models of anxiety, but all are similar in that they assume that there is a cognitive cause of the fear state. This cognitive step is sometimes called an irrational belief. A cognitive theorist might explain Little Hans’s fear in the following way: Hans is afraid of horses because he has some irrational belief that horses are dangerous. The specific belief might be “The horse will bite me” or “The horse might get spooked and run into me” or even “Horses have germs, and if I go near one, I’ll catch its germs and get sick.” The theory assumes that anxiety will stop when the irrational belief is eliminated. Thus, a cognitive therapist would first carefully question Hans to find out the specific irrational belief causing his fear. Once that is determined, the therapist would use persuasion, logical reasoning, and evidence to try to change the belief. (Little Hans was used here only to continue with the same example. A therapist probably would not try to reason with a five-year-old, and a different treatment would be used. Cognitive therapies are more commonly used with adults.) Physiological Theories Physiological theories of anxiety are increasing in importance. As with behavioral, psychodynamic, and cognitive theories, there are many physiological theories. They differ with respect to the brain areas, pathways, or chemicals implicated in anxiety. It is likely that many physiological theories contain an element of truth. Anxiety is a complex state, involving multiple interacting parts of the nervous system, and it will take much additional research to develop a complete model of the brain’s role in anxiety. One physiological variable that has been integrated into many theories of anxiety is the panic attack. This is a sudden and usually short-lived attack that includes trouble with breathing, heart palpitations, dizziness, sweating, and fear of dying or going crazy. These attacks appear purely physiological in that they seem to come “out of the blue” at first; however, psychological factors determine whether they progress into a full-blown disorder. People can become anxious about having panic attacks, and this added anxiety leads to more attacks, producing panic disorder. Some people become afraid of having an attack in a place where they will be unable to cope or receive help. These people may progressively avoid more and more places. This is known as agoraphobia, which at its worst can result in people who are afraid to leave their homes. The development of physiological theories also illustrates an important point in the relationship between theory and therapy. Thus far, it has been stressed that theories of anxiety help determine treatment. This relationship also works in reverse: Success or failure of treatments adds information used in theory development. This is most clear in physiological theories. For example, the physiological mechanisms of different types of anxiety-reducing 96
Anxiety Disorders tranquilizers have been investigated to provide clues as to how the brain is involved in anxiety. Impact on Field of Psychology Just as most theories in psychology have a view of anxiety, anxiety is an important concept in many areas of psychology. Obviously, anxiety is very important in the fields of psychopathology and psychotherapy. It also has been very important in learning theory; experiments with conditioned fear have advanced knowledge about Pavlovian and operant conditioning. Anxiety is also an important trait in theories of personality, and it figures in theories of motivation. It might be said that anxiety is everywhere in psychology. Theoretical developments in anxiety have been incorporated into other areas of psychology. For example, in the early 1960’s, Peter Lang described fear and anxiety as being composed of three systems—that is, there are three systems in which fear is expressed: verbal (saying “I’m anxious”), behavioral (avoiding or running away from a feared object), and physiological (experiencing an increase in heart rate or sweating). An important point in understanding the three systems of fear is that the systems do not always run along parallel tracks. A person may speak of being anxious about the condition of the world environment without any physiological arousal. Alternatively, a boy’s heart might pound at the sight of a snake in the woods, but he reports no fear and does not run away in the presence of his friends. Describing fear in a three-systems framework presents an important challenge to any theory of anxiety. An adequate theory must explain why the three systems sometimes give the same information and sometimes do not. The three-systems approach not only has been very influential in anxiety theory and research but also has been applied to many other areas of psychology, such as studying emotion, stress, and pain. This approach is an important concept in behavioral formulations of anxiety, stating that anxiety has behavioral, physiological, and verbal components and that they do not necessarily provide the same information. Another major challenge for theories of anxiety is to begin to integrate different positions. The present theories are not all mutually exclusive. The fact that a behavioral theory of anxiety has some validity does not mean that cognitive approaches are wrong. Also, psychological theories need to be integrated with physiological theories that describe brain activity during anxiety. Although theory and research in anxiety has a long and fruitful history, there is much work to be done, and many important developments lie ahead. Sources for Further Study Antony, Martin M., Susan M. Orsillo, and Lizabeth Roemer, eds. Practitioner’s Guide to Empirically Based Measures of Anxiety. Plenum Press, 2001. Reviews more than two hundred instruments for measuring adult anxiety. Aimed at mental health professionals. 97
Psychology Basics Barlow, David H. Anxiety and Its Disorders. 2d ed. New York: Guilford Press, 2001. The author, one of the leaders in the field of anxiety research, presents his integrative theory of anxiety. The book also describes assessment and treatment of anxiety and includes a separate chapter on each recognized anxiety disorder. The book’s intended audience is graduate students and professionals in psychology, but it is very well written and worth the effort for anyone interested in an up-to-date and comprehensive presentation of anxiety disorders. Freud, Sigmund. “Analysis of a Phobia in a Five-Year-Old Boy.” In The Standard Edition of the Complete Psychological Works of Sigmund Freud, edited by James Strachey. Vol. 10. London: Hogarth Press, 1955. Originally published in 1909, this is Freud’s description of the case of Little Hans, the most famous patient in the history of anxiety disorders. Freud is an excellent writer, and he presents many vivid details in this case history, making it interesting to read. __________. “Inhibition, Symptoms, and Anxiety.” In The Standard Edition of the Complete Psychological Works of Sigmund Freud, edited by James Strachey. Vol. 20. London: Hogarth Press, 1959. In this paper, originally published in German in 1926, Freud describes his revised theory of anxiety. The paper covers a wide range of topics (including a redescription of Little Hans) and is not as readable as the initial presentation of the case. It is, however, an interesting illustration of the change in Freud’s thinking about anxiety. Marks, Isaac Meyer. Living with Fear: Understanding and Coping with Anxiety. 2d ed. New York: McGraw-Hill, 2001. This is a work written for the general public by Britain’s foremost authority on fear and anxiety. It is accessible and provides a good introduction to theory and treatment of anxiety. Stein, Dan J., and Eric Hollander, eds. Textbook of Anxiety Disorders. Washington, D.C.: American Psychiatric Press, 2002. An up-to-date clinical guide to anxiety and its treatment. Tuma, A. Hussain, and Jack D. Maser, eds. Anxiety and the Anxiety Disorders. New York: Lawrence Erlbaum, 1985. This thousand-page book contains forty-three chapters of high quality, with most of the leaders in the field of anxiety represented. Every important theoretical approach to anxiety is covered. There are two hundred pages of references, an author index, and a subject index, making it easy to find information on specific topics. Scott R. Vrana See also: Abnormality: Psychological Models; Amnesia and Fugue; Conditioning; Multiple Personality; Obsessive-Compulsive Disorder; Pavlovian Conditioning; Phobias.
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Attachment and Bonding in Infancy and Childhood Type of psychology: Developmental psychology Fields of study: Infancy and childhood; interpersonal relations Bonding and attachment are two theoretical constructs that psychologists have used to describe and explain the intense emotional tie that develops between a caregiver and child. Research has helped psychologists to explain the development of several common social behaviors in infancy and to use individual differences in infant behavior to predict aspects of later development. Key concepts • approach behaviors • attachment behaviors • avoidance • felt security • resistance • separation protest • signalling behaviors • “strange situation” • stranger anxiety Bonding refers to the development of an emotional tie of the mother to the infant. This biologically based process is believed to occur in mothers shortly after the birth of an infant, a time period during which the mother’s intense emotional response is triggered by contact with her newborn. The existence of such a bond is then evidenced in the mother’s behavior. Attachment, on the other hand, refers to a relationship between the caregiver and infant that develops over the infant’s first year of life; the quality of the attachment is apparent in the behavior of the infant. Evidence for the biologically based bonding process has been inconsistent. In contrast, there exists considerable scientific evidence to support the notion of attachment. Thus, the remainder of this discussion will focus on the development of the attachment relationship. The work of British psychiatrist John Bowlby played an important role in the acceptance and understanding of the notion of mother-infant attachment. Bowlby argued that the behaviors of infants are not random and that, in fact, some of the behaviors exhibited most commonly by infants actually serve a single goal. Specifically, he argued that the infant behaviors of crying, babbling, smiling, clinging, non-nutritional sucking, and following all play an important role in bringing the infant into close contact with the caregiver. He believed that, for the infant, seeking and maintaining proximity to the caregiver are essential for survival because the infant is dependent upon the caregiver for food, shelter, and protection. Thus, the infant’s be99
Psychology Basics havior is organized and goal-directed. During early infancy, however, this goal is neither understood nor learned by the infant. Rather, humans are born with a biological predisposition to engage in certain behaviors that aid in the maintenance of proximity to the caregiver. Thus, the goal of maintaining proximity is built into the human infant, as are some initial behaviors that serve the function of achieving that goal. With further development, the infant becomes more aware of the goal, and therefore his or her behaviors become more intentional. The infant’s emotional state is also believed to play an important role in attempts to seek and maintain proximity to the caregiver. That is, the infant’s behavior is dependent upon his or her sense of emotional security. For example, as long as a child is in the immediate presence of the attachment figure, or within easy reach, the child feels secure and may then attend to important developmental tasks such as exploration of the environment, using the mother as a secure base from which to explore. Upon the threat of loss of the attachment figure, however, the infant may lose that sense of security and may exhibit attachment behaviors designed to increase the proximity of the attachment figure. Thus, the infant’s attempts to seek or maintain proximity to the caregiver are determined by how secure he or she feels with the caregiver in a specific environment. The attachment relationship and the infant’s sense of security develop over the period of infancy. Bowlby has described four phases in the development of the attachment to the caregiver. In phase one, the newborn shows limited discrimination among people and therefore exhibits no preferential or differential behaviors, thus behaving in a friendly manner toward all people. In phase two, the eight- to twelve-week-old infant shows the ability to discriminate the caregiver from others but exhibits no preferential behavior toward the caregiver. In phase three, which generally appears at approximately seven or eight months of age, the infant clearly discriminates the caregiver from other people and begins to show preferential treatment toward him or her. For example, the infant begins to follow a departing mother, greets mother upon her return, and uses her as a base from which to explore an unfamiliar environment. Furthermore, during phase three, the infant begins to treat strangers with caution and may withdraw from a stranger. In phase four, the child maintains a “goal-directed partnership” with the caregiver, a more complex relationship in which the child is acquiring some insight into the caregiver’s own feelings and motives, and thus interacts with the caregiver as a partner. This final phase is not apparent in most children until after age two. Patterns of Infant-Mother Attachment During the second half of the first year of life (after about eight months of age), infants begin to show very clear attempts at exploration when their mothers are present. In fact, research reported by Mary Ainsworth in the mid-1970’s suggests that once an infant is able to crawl, he or she does not al100
Attachment and Bonding in Infancy and Childhood ways remain close to the mother. Instead, the child begins to move away from the mother, more carefully exploring objects and people. From time to time he or she returns to her, as if to check her whereabouts or to check in with her. If the mother moves away, however, or if the infant is frightened by some event, he or she will either approach the mother or will signal to bring the mother in closer proximity. For example, the infant often fusses, cries, and clings to the caregiver at the first sign of the caregiver’s possible departure, a response known as separation protest. At about the same time, infants begin to express stranger anxiety or stranger wariness by fussing and crying when an unfamiliar person enters the room or approaches. Ainsworth designed a special laboratory technique, known as the “strange situation,” that allows direct observation of the interactions between the behaviors associated with exploration, attachment, separation protest, and stranger anxiety. This situation places an infant in an unfamiliar setting with a stranger, both in the presence and in the absence of the mother. The procedure consists of a series of three-minute episodes (the process lasts a total of about twenty minutes) in which the child is exposed to an unfamiliar playroom containing a set of age-appropriate toys. During the initial episodes, the mother remains in the playroom with the infant. Mother and infant are then joined in the playroom by a female stranger, who first talks to the mother, then approaches the baby. Next, the mother leaves the room, and the baby and stranger are left alone together. Mother then returns and the stranger leaves, so that the baby is reunited with the mother. Following this episode, the baby is left alone in the room, then joined by the stranger; finally, the mother again returns and the stranger leaves. This strange situation, therefore, exposes a child to three potentially upsetting experiences: separation from the caregiver, contact with a stranger, and unfamiliar surroundings. The episodes are arranged in such a way that they present a series of stressful experiences to the infant and thus present an opportunity to observe not only the infant’s immediate response to a stranger and to separation from the mother but also his or her ability to derive comfort from the mother and to use her as a secure base for exploration. Ainsworth has reported that, while there are many similarities in infant responses to this strange situation, there are also important individual differences. In her initial study of twelve-month-old infants and their mothers, Ainsworth reported three distinct patterns of responding to the events of the strange situation, and the validity of these behavior patterns has been demonstrated by much additional research. A majority of the infants exhibited active exploration of the new environment and the available toys when their mothers were present. Some of these infants showed distress during the first separation from mother, and by the second separation, the majority of these infants expressed distress. Upon reunion with their mother, they actively sought contact with her and were easily comforted by her, showing considerable signs of positive emotion but 101
Psychology Basics very little, if any, signs of negative emotion. Furthermore, these infants frequently returned to play and exploration after a period of contact with their mother. In general, then, these infants used their mothers as a secure base from which to explore the novel environment, exhibited appropriate attachment behaviors following her departure, and were easily comforted by the mother upon her return. Ainsworth suggested that this pattern of behavior reflects a secure attachment relationship. A second group of infants showed a very different pattern of behavior. This minority group showed no evidence of distress during separation. They did sometimes show distress when left alone in the playroom but were easily comforted by the returning stranger. Furthermore, this group actually avoided or ignored their mothers when they returned. In essence, the mothers were treated very much as were the strangers. These infants showed virtually no signs of separation protest or stranger anxiety and exhibited very few attachment behaviors. Ainsworth suggested that this pattern of behavior reflects an insecure, avoidant attachment relationship.
Bonding is an emotional and physiological process that begins at birth. (Digital Stock) 102
Attachment and Bonding in Infancy and Childhood Finally, a third group of children were extremely distressed upon separation yet, despite their obvious separation and stranger anxiety, resisted comfort from their mothers. Their behavior suggested an angry ambivalence— they objected to being left alone, but they refused to be consoled when reunited with their mothers. This group of infants often exhibited distress upon first entering the unfamiliar room with their mothers, and they rarely left her side to explore the toys or the environment, either before or after separation, suggesting a lack of a sense of security. Ainsworth suggested that this behavior pattern reflects an insecure, resistant, or ambivalent attachment relationship. It is important to note that Ainsworth’s research was done in the United States in the 1970’s. Follow-up work has demonstrated that various sociocultural factors can influence the patterns of attachment behavior seen in the “strange situation.” For instance, studies done in North Germany in the 1980’s revealed that as many as 60 percent of babies in that culture were classified as insecure-avoidant because of their lack of distress at separation from their mothers in the strange situation test. In contrast, studies of attachment carried out in Japan in the 1980’s and 1990’s indicate that up to 40 percent of Japanese infants are classified as insecure-ambivalent in the strange situation due to their tendency to cling to their mothers throughout the procedure. These differing cross-cultural patterns imply that the wider sociocultural context influences how mothers and infants interact: North German mothers expect their infants to be relatively self-sufficient and confident, even during short separations such as those characteristic of the “strange situation” procedure. Japanese mothers, on the other hand, expect their infants to be upset when they are out of close proximity, and in daily practice are unlikely to leave their infants alone even for short periods. These cross-cultural variations in patterns of attachment highlight the importance of considering mother-infant attachment in context. The development of these distinct patterns of attachment is believed to be the result of the history of interaction between the caregiver and infant. Specifically, attachment theory suggests that responsive and consistent caregiving results in a secure mother-infant attachment, unresponsive caregiving results in an avoidant attachment, and inconsistent caregiving results in a resistant/ambivalent attachment. The “avoidant” mother has been described as cold and disliking physical contact with the infant, who responds by acting aloof and avoiding social interaction. The “resistant” mother, on the other hand, has been described as unpredictable, sometimes responding but sometimes not, and the infant often responds with anger and ambivalence. As the infant matures, the specific behaviors that indicate the existence of the attachment relationship may change. The research evidence strongly suggests, however, that such individual differences in the quality of the motherinfant attachment relationship are predictive of later behavior. For example, infants who exhibit secure attachment patterns at one year of age have been found to be more cooperative with adults, to show greater enthusiasm for 103
Psychology Basics learning, to be more independent, and to be more popular with their peers during the preschool years. Thus, the quality of the mother-infant attachment relationship may have long-range effects. This does not mean that the child’s future is determined solely by the quality of the attachment relationship. The evidence indicates that certain negative consequences of an insecure attachment relationship may be overcome by changes in the nature of the child’s important relationships. Attachment in Nonhuman Primates The existence of a mother-infant attachment relationship has been recognized for many years. For most of those years, however, psychologists explained the development of this attachment by way of traditional learning theory. That is, behaviorists argued that the infant-mother attachment develops because mothers are associated with the powerful, reinforcing event of being fed. In this way, the mother becomes a conditioned reinforcer. This reinforcement theory of attachment, however, came into question as a result of the work of Harry and Margaret Harlow in the early 1960’s. The Harlows’ work was not with human infants but with infant rhesus monkeys. They removed newborn monkeys from their mothers at birth and raised them in the laboratory with two types of artificial or surrogate mothers. One surrogate mother was made of terrycloth and could provide “contact comfort.” The other surrogate mother was made of wire. A feeding bottle was attached to one of the substitute mothers for each of the monkeys. Half of the monkeys were fed by the wire mother; the other half were fed by the cloth mother. This allowed the Harlows to compare the importance of feeding to the importance of contact comfort for the monkeys. In order to elicit attachment behaviors, the Harlows introduced some frightening event, such as a strange toy, into the cages of the young monkeys. They expected that if feeding were the key to attachment, then the frightened monkeys should have run to the surrogate mother that fed them. This was not the case, however: All the young monkeys ran to their cloth mothers and clung to them, even if they were not fed by them. Only the cloth mothers were able to provide security for the frightened monkeys. The Harlows concluded that a simple reinforcement explanation of attachment was inaccurate and that the contact comfort, not the food, provided by a mother plays a critical role in the development of attachment. This research provided the impetus for the development of Bowlby’s ethological account of attachment. Since that time, research by Mary Ainsworth and Alan Sroufe, as well as many others, has provided important information for the continuing development of understanding of the complex relationship between caregivers and infants. Bibliography Ainsworth, Mary D. Salter, Mary C. Blehar, Everett Waters, and S. Wall. Patterns of Attachment. Hillsdale, N.J.: Lawrence Erlbaum, 1978. Outlines, in 104
Attachment and Bonding in Infancy and Childhood general terms, the development of John Bowlby’s attachment theory. Describes in detail the procedures and scoring techniques for the strange situation and describes the patterns of behavior associated with the secure, avoidant, and resistant attachments. Discusses the antecedents of individual differences in the attachment relationship. Bowlby, John. Attachment and Loss. 2d ed. 3 vols. New York: Penguin Books, 1991. Examines the theoretical foundation of the attachment construct and discusses attachment behavior. Outlines the development, maintenance, and function of attachment in both humans and animals. Cassidy, Jude, and Phillip R. Shaver, eds. Handbook of Attachment: Theory, Research, and Clinical Applications. New York: Guilford Press, 1999. A comprehensive collection of papers on modern attachment theory, including chapters on atypical attachment and implications for mental health. Crittenden, Patricia McKinsey, and Angelika Hartl Claussen, eds. The Organization of Attachment Relationships: Maturation, Culture, and Context. New York: Cambridge University Press, 2000. A collection of papers examining important influences on attachment in infancy, childhood, and adulthood. Loretta A. Rieser-Danner; updated by Virginia Slaughter See also: Affiliation and Friendship; Development; Gender-Identity Formation; Imprinting.
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Attention-Deficit Hyperactivity Disorder (ADHD) Type of psychology: Psychopathology Field of study: Childhood and adolescent disorders Attention-deficit hyperactivity disorder is one of the most common disorders of childhood and adolescence, but it is also one of the most disturbing and debilitating conditions that a child or adolescent can experience. Research into this disorder has identified its primary causes; however, it remains difficult to treat effectively. Key concepts • impulsivity • inattention • overactivity • treatment Attention-deficit hyperactivity disorder (ADHD) is one of the most extensively studied behavior disorders that begin in childhood. Thousands of articles and books have been published on the subject. There are a number of reasons this disorder is of such interest to researchers and clinicians. The two primary reasons are, first, that ADHD is a relatively common disorder of childhood, and second, that there are numerous problems associated with ADHD, including lower levels of intellectual and academic performance and higher levels of aggressive and defiant behavior. (Although ADHD usually persists into adulthood, it is most commonly regarded as a childhood disorder.) In national and international studies of childhood emotional and behavioral disorders, ADHD has been found to be relatively common among children. Although prevalence estimates range from 1 percent to 20 percent, most researchers agree that between 3 percent and 7 percent of children could be diagnosed as having ADHD. The revised fourth edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM-IV-TR), published by the American Psychiatric Association in 2000, describes the diagnostic criteria for ADHD. In order to receive the diagnosis of ADHD according to DSM-IV-TR, a child must show abnormally high levels of inattention, hyperactivity-impulsivity, or both when compared with peers of the same age. The DSM-IV-TR lists two sets of behavioral symptoms characteristic of ADHD. The first list contains nine symptoms of inattention such as “often has difficulty sustaining attention in tasks or play activities,” while the second list contains nine symptoms of hyperactivity-impulsivity such as “often talks excessively” and “often has difficulty awaiting turn.” In order to be diagnosed with ADHD, a child must exhibit six to nine symptoms from at least one of the lists. Although many of these behaviors are quite common for most children at some point in their lives, the important point to consider in the diag106
Attention-Deficit Hyperactivity Disorder (ADHD) nosis of ADHD is that these behaviors must be in excess of the levels of behaviors most frequently exhibited by children of that age and that the behaviors must cause functional impairment in at least two settings (for instance, at home and at school). Additionally, it is expected that these behaviors have been excessive for at least six months and that some of the problem behaviors were present by the time the child was seven years old. Boys tend to outnumber girls in the diagnosis of ADHD, with the male: female ratio estimated at 2:1 to 9:1, depending on the source. ADHD boys tend to be more aggressive and antisocial than ADHD girls, while girls are more likely to display inattentive symptoms of ADHD than boys. Associated Problems There are a number of additional problems associated with ADHD, including the greater likelihood of ADHD boys exhibiting aggressive and antisocial behavior. Although many ADHD children do not show any associated problems, many ADHD children show deficits in both intellectual and behavioral functioning. For example, a number of studies have found that ADHD children score an average of seven to fifteen points below other children on standardized intelligence tests. It may be, however, that this poorer performance reflects poor test-taking skills or inattention during the test rather than actual impairment in intellectual functioning. Additionally, ADHD children tend to have difficulty with academic performance and scholastic achievement. It is assumed that this poor academic performance is a result of inattention and impulsiveness in the classroom. When ADHD children are given medication to control their inattention and impulsiveness, their academic productivity has been shown to improve. ADHD children have also been shown to have a high number of associated emotional and behavioral difficulties. As mentioned earlier, ADHD boys tend to show higher levels of aggressive and antisocial behavior than ADHD girls and normal children. Additionally, it is estimated that up to 50 percent of ADHD children have at least one other disorder. Many of these problems are related to depression and anxiety, although many ADHD children also have severe problems with temper tantrums, stubbornness, and defiant behavior. It is also estimated that up to 50 percent of ADHD children have impaired social relations; that is, they do not get along with other children. That there are many problems associated with ADHD may be part of the reason that researchers have been so intrigued by this disorder. Researchers must understand a disorder before they can attempt to treat it. There are a variety of theories on the etiology of ADHD, but most researchers now believe that there are multiple factors that influence its development. It appears that many children have a biological predisposition toward ADHD; in other words, they may have a greater likelihood of developing ADHD as a result of genetic factors. This predisposition is exacerbated by a variety of factors, such as complications during pregnancy, neurological disease, exposure to toxins, family adversity, and inconsistent 107
Psychology Basics parental discipline. Although a very popular belief is that food additives or sugar can cause ADHD, there has been almost no scientific support for these claims. As so many factors have been found to be associated with the development of ADHD, it is not surprising that numerous treatments have been developed for the amelioration of its symptoms. Although numerous treatment methods have been developed and studied, ADHD remains a difficult disorder to treat effectively. Drug Therapies Treatments of ADHD can be broken down into roughly two categories: medication and behavioral or cognitive-behavioral treatment with the individual ADHD child, parents, or teachers. Traditional psychotherapy and play therapy have not been found to be effective in the treatment of ADHD. Stimulant medications have been used in the treatment of ADHD since 1937. The most commonly prescribed stimulant medications are methylphenidate (Ritalin), pemoline (Cylert), and dextroamphetamine (Dexedrine). Behavioral improvements caused by stimulant medications include those in impulse control and improved attending behavior. Overall, approximately 75 percent of ADHD children on stimulant medication show behavioral improvement, and 25 percent show either no improvement or decreased behavioral functioning. The findings related to academic performance are mixed. It appears that stimulant medications can help the ADHD child with school productivity and accuracy but not with overall academic achievement. In addition, although ADHD children tend to show improvement while they are on a stimulant medication, there are rarely any long-term benefits to the use of such medications. In general, stimulant medication can be seen as only a short-term management tool. Antidepressant medications (such as imipramine and Prozac) have also been used with ADHD children. These medications are sometimes used when stimulant medication is not appropriate (for example, if the child has motor or vocal tics). Antidepressant medications, like stimulant medications, appear to provide only short-term improvement in ADHD symptoms. Overall, the use or nonuse of medications in the treatment of ADHD should be carefully evaluated by a qualified physician (such as a psychiatrist). If the child is started on medication for ADHD, the safety and appropriateness of the medication must be monitored continually throughout its use. Behavior Therapies Behavioral and cognitive-behavioral treatments have been used with ADHD children, with parents, and with teachers. Most of these techniques attempt to provide the child with a consistent environment in which on-task behavior is rewarded (for example, the teacher praises the child for raising his or her hand and not shouting out an answer), and in which off-task behavior is either ignored or punished (for example, the parent has the child sit alone in a chair near an empty wall, a “time-out chair,” after the child im108
Attention-Deficit Hyperactivity Disorder (ADHD) pulsively throws a book across the room). In addition, cognitive-behavioral treatments try to teach ADHD children to internalize their own self-control by learning to “stop and think” before they act. One example of a cognitive-behavioral treatment, which was developed by Philip Kendall and Lauren Braswell, is intended to teach the child to learn five “steps” that can be applied to academic tasks as well as social interactions. The five problem-solving steps that children are to repeat to themselves each time they encounter a new situation are the following: Ask “What am I supposed to do?”; ask “What are my choices?”; concentrate and focus in; make a choice; and ask “How did I do?” (If I did well, I can congratulate myself; if I did poorly, I should try to go more slowly next time.) In each therapy session, the child is given twenty plastic chips at the beginning of the session. The child loses a chip each time he or she does not use one of the steps, goes too fast, or gives an incorrect answer. At the end of the session, the child can use the chips to purchase a small prize; chips can also be stored in a “bank” in order to purchase an even larger prize in the following sessions. This treatment approach combines the use of cognitive strategies (the child learns self-instructional steps) and behavioral techniques (the child loses a desired object, a chip, for impulsive behavior). Overall, behavioral and cognitive-behavioral treatments have been found to be relatively effective in the settings in which they are used and at the time they are being instituted. Like the effects of medication, however, the effects of behavioral and cognitive-behavioral therapies tend not to be long-lasting. There is some evidence to suggest that the combination of medication and behavior therapy can increase the effectiveness of treatment. In the long run, however, no treatment of ADHD has been found to be truly effective, and in a majority of cases, the disorder persists into adulthood. History and Changing Diagnostic Criteria Children who might now be diagnosed as having ADHD have been written about and discussed in scientific publications since the mid-1800’s. Attention to ADHD began in the United States after an encephalitis epidemic in 1917. Because the damage to the central nervous system caused by the disease led to poor attention, impulsivity, and overactivity in children who survived, researchers began to look for signs of brain injury in other children who had similar behavioral profiles. By the 1950’s, researchers began to refer to this disorder as “minimal brain damage,” which was then changed to “minimal brain dysfunction” (MBD). By the 1960’s, however, the use of the term MBD was severely criticized because of its overinclusiveness and nonspecificity. Researchers began to use terms that more specifically characterized children’s problems, such as “hyperkinesis” and “hyperactivity.” The Diagnostic and Statistical Manual of Mental Disorders (DSM), is the primary diagnostic manual used in the United States. In 1968, the second edition, called DSM-II, presented the diagnosis of “Hyperkinetic Reaction of Childhood” to characterize children who were overactive and restless. By 109
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DSM-IV-TR Criteria for Attention-Deficit Hyperactivity Disorder (ADHD) Manifested as inattention or hyperactivity-impulsivity Inattention Six or more of the following symptoms, persisting for at least six months to a degree maladaptive and inconsistent with developmental level: • often fails to give close attention to details or makes careless mistakes in schoolwork, work, or other activities • often has difficulty sustaining attention in tasks or play activities • often does not seem to listen when spoken to directly • often does not follow through on instructions and fails to finish school work, chores, or duties in the workplace (not due to oppositional behavior or failure to understand instructions) • often has difficulty organizing tasks and activities • often avoids, dislikes, or is reluctant to engage in tasks that require sustained mental effort (such as schoolwork or homework) • often loses things necessary for tasks or activities (such as toys, school assignments, pencils, books, tools) • often easily distracted by extraneous stimuli • often forgetful in daily activities Hyperactivity-impulsivity Six or more of the following symptoms, persisting for at least six months to a degree maladaptive and inconsistent with developmental level: Hyperactivity • often fidgets with hands or feet or squirms in seat • often leaves seat in classroom or in other situations in which remaining seated is expected • often runs about or climbs excessively in situations in which it is inappropriate (in adolescents or adults, may be limited to subjective feelings of restlessness) • often has difficulty playing or engaging in leisure activities quietly • often “on the go” or often acts as if “driven by a motor” • often talks excessively Impulsivity • often blurts out answers before questions have been completed • often has difficulty awaiting turn • often interrupts or intrudes on others Some hyperactive-impulsive or inattentive symptoms cause impairment present before age seven Some impairment from the symptoms present in two or more settings, such as school and home
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Attention-Deficit Hyperactivity Disorder (ADHD) Clear evidence of clinically significant impairment in social, academic, or occupational functioning Symptoms do not occur exclusively during the course of a pervasive developmental disorder, schizophrenia, or other psychotic disorder and are not better accounted for by another mental disorder (mood disorder, anxiety disorder, dissociative disorder, personality disorder) DSM code based on type: • Attention-Deficit/Hyperactivity Disorder, Predominantly Inattentive Type (DSM code 314.00): Inattention, but not hyperactivity-impulsivity during the previous six months • Attention-Deficit/Hyperactivity Disorder, Predominantly HyperactiveImpulsive Type (DSM code 314.01): Hyperactivity-impulsivity but not inattention during the previous six months • Attention-Deficit/Hyperactivity Disorder, Combined Type (DSM code 314.01): Both inattention and hyperactivity-impulsivity during the previous six months
1980, when the third edition (DSM-III) was published, researchers had begun to focus on the deficits of attention in these children, so two diagnostic categories were established: “Attention Deficit Disorder with Hyperactivity (ADD with H)” and “Attention Deficit Disorder without Hyperactivity (ADD without H).” After the publication of DSM-III, many researchers argued that there were no empirical data to support the existence of the ADD without H diagnosis. In other words, it was difficult to find any children who were inattentive and impulsive but who were not hyperactive. For this reason, in 1987, when the revised DSM-III-R was published, the only diagnostic category for these children was “Attention-Deficit Hyperactivity Disorder (ADHD).” With the publication of the fourth version of the manual, the DSM-IV, in 1994, three distinct diagnostic categories for ADHD were identified: ADHD Predominantly Hyperactive-Impulsive Type, ADHD Predominantly Inattentive Type, and ADHD Combined Type. The type of ADHD diagnosed is dependent upon the number and types of behavioral symptoms a child exhibits. Six of nine symptoms from the Hyperactivity-Implusivity list but fewer than six symptoms from the Inattention list lead to a diagnosis of ADHD Predominantly Hyperactive-Impulsive Type. Six of nine symptoms from the Inattention list but fewer than six symptoms from the Hyperactivity-Implusivity list lead to a diagnosis of ADHD Predominantly Inattentive Type. A child who exhibits six of nine behavioral symptoms simultaneously from both lists receives a diagnosis of ADHD Combined Type. While the diagnostic definition and specific terminology of ADHD will undoubtedly continue to change throughout the years, the interest in and commitment to this disorder will likely continue. Children and adults with 111
Psychology Basics ADHD, as well as the people around them, have difficult lives to lead. The research community is committed to finding better explanations of the etiology and treatment of this common disorder. Sources for Further Study Barkley, Russell A. “Attention-Deficit Hyperactivity Disorder.” In Treatment of Childhood Disorders, edited by E. J. Mash and R. A. Barkley. 2d ed. New York: Guilford Press, 1998. This chapter provides a thorough discussion of different treatments for ADHD children, including stimulant medication, antidepressant medication, behavior therapy, parent training, teacher training, and cognitive-behavioral therapy. Each treatment modality is discussed in a fair and objective manner, and empirical research is provided to support the conclusions given. __________. Attention-Deficit Hyperactivity Disorder: A Handbook for Diagnosis and Treatment. 2d ed. New York: Guilford Press, 1998. Provides comprehensive discussion of nearly all aspects of ADHD, including assessment, diagnosis, and treatment. Also notable for a thorough discussion of ADHD in older adolescents and adults. This excellent and comprehensive book is written by one of the leading researchers in the investigation of ADHD. Kendall, Philip C. “Attention-Deficit Hyperactivity Disorder.” In Childhood Disorders. Hove, East Sussex, England: Psychology Press, 2000. A volume in the series Clinical Psychology, A Modular Course. A succinct but thorough discussion of ADHD, including current research on cognitive and neuropsychological performance of children with the disorder. Wender, Paul H. ADHD: Attention-Deficit Hyperactivity Disorder in Children and Adults. New York: Oxford University Press, 2000. A comprehensive overview of ADHD history, diagnosis, treatment. Discusses strengths associated with ADHD as well as problems associated with the disorder. Wodrich, David L. Attention-Deficit/Hyperactivity Disorder: What Every Parent Wants to Know. 2d ed. Baltimore: Paul H. Brookes, 2000. A book aimed at the general public, containing practical advice and clear descriptions of ADHD and related disorders, as well as resources for treatment. Vicky Phares; updated by Virginia Slaughter See also: Cognitive Behavior Therapy; Drug Therapies; Learning Disorders.
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Attraction Theories Type of psychology: Social psychology Field of study: Interpersonal relations Theories of interpersonal attraction attempt to specify the conditions that lead people to like, and in some cases love, each other. Attraction is a two-way process, involving not only the person who is attracted but also the attractor. Key concepts • equity theory • matching phenomenon • mere exposure • physical attractiveness stereotype • proximity • reciprocity • reinforcement model • social exchange theory Relationships are central to human social existence. Personal accounts by people who have been forced to endure long periods of isolation serve as reminders of people’s dependence on others, and research suggests that close relationships are the most vital ingredient in a happy and meaningful life. In short, questions dealing with attraction are among the most fundamental in social psychology. The major theories addressing interpersonal attraction have a common theme: reinforcement. The principle of reinforcement is one of the most basic notions in all of psychology. Put simply, it states that behaviors that are followed by desirable consequences (often these take the form of rewards) tend to be repeated. Applied to interpersonal relations, this principle suggests that when one person finds something rewarding in an interaction with another person (or if that person anticipates some reward in a relationship that has not yet been established), then the person should desire further interaction with that other individual. In behavioral terms, this is what is meant by the term “interpersonal attraction,” which emerges in everyday language in such terms as “liking” or, in the case of deep involvement, “loving.” Appropriately, these theories, based on the notion that individuals are drawn to relationships that are rewarding and avoid those that are not, are known as reinforcement or reward models of interpersonal attraction. The first and most basic theory of this type was proposed in the early 1970’s by Donn Byrne and Gerald Clore. Known as the reinforcement-affect model of attraction (“affect” means “feeling” or “emotion”), this theory proposes that people will be attracted not only to other people who reward them but also to those people whom they associate with rewards. In other words, a person can learn to like others through their connections to experiences that are positive for that individual. It is important to recognize that a 113
Psychology Basics major implication here is that it is possible to like someone not so much because of that person himself or herself but rather as a consequence of that person’s merely being part of a rewarding situation; positive feelings toward the experience itself get transferred to that other person. (It also follows that a person associated with something unpleasant will tend to be disliked.) This is called indirect reinforcement. For example, in one experiment done during the summer, people who evaluated new acquaintances in a cool and comfortable room liked them better than when in a hot and uncomfortable room. In another, similar, study subjects rating photographs of strangers gave more favorable evaluations when in a nicely furnished room than when they were in a dirty room with shabby furniture. These findings provide some insight into why married couples may find that their relationship benefits from a weekend trip away from the children or a romantic dinner at a favorite restaurant; the pleasant event enhances their feelings for each other. There are other models of interpersonal attraction that involve the notion of rewards but consider the degree to which they are offset by the costs associated with a relationship. Social exchange theory suggests that people tend to evaluate social situations. In the context of a relationship, a person will compare the costs and benefits of beginning or continuing that relationship. Imagine, for example, that Karen is considering a date with Dave, who is kind, attractive, and financially stable but fifteen years older. Karen may decide that this relationship is not worth pursuing because of the disapproval of her mother and father, who believe strongly that their daughter should be dating a man her own age. Karen’s decision will be influenced by how much she values the approval of her parents and by whether she has dating alternatives available. A third model of attraction, equity theory, extends social exchange theory. This approach suggests that it is essential to take into account how both parties involved in a relationship assess the costs and benefits. When each person believes that his or her own ratio of costs to benefits is fair (or equitable), then attraction between the two tends to be promoted. On the other hand, a relationship may be placed in jeopardy if one person thinks that the time, effort, and other resources being invested are justified, while the other person does not feel that way. Considering the rewards involved in the process of interpersonal attraction provides a useful model but one that is rather general. To understand attraction fully, one must look more specifically at what people find rewarding in relationships. Social psychological research has established some definite principles governing attraction that can be applied within the reward framework. Factors of Attraction The first determinant of attraction, reciprocity, is probably fairly obvious, as it most directly reflects the reinforcement process; nevertheless, it is a pow114
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Determinants of attraction include reciprocity and proximity. (CLEO Photography)
erful force: People tend to like others who like them. There are few things more rewarding than genuine affection, support, concern, and other indicators that one is liked by another person. The second principle, proximity, suggests that simple physical closeness tends to promote attraction. Research has confirmed what many people probably already know: People are most likely to become friends (or romantic partners) with others with whom they have worked, grown up, or gone to school. Other studies have shown that people living in dormitories or apartments tend to become friends with the neighbors who live closest to them. Simply being around people gives an individual a chance to interact with them, which in turn provides the opportunity to learn who is capable of providing the rewards sought in a relationship. It seems, however, that there is yet another force at work, a very basic psychological process known as the mere exposure phenomenon. Research has demonstrated consistently that repeated exposure to something new tends to increase one’s liking for it, and examples of the process are quite common in everyday life. It is not uncommon, for example, for a person to buy a new tape or compact disc by a favorite musical artist without actually having heard the new material, only to be disappointed upon listening to it. The listener soon discovers, however, that the album “grows” on him or her and finds himself or herself liking it quite a bit after hearing it a few times. Such occurrences probably involve the mere exposure phenomenon. In short, familiarity breeds liking, and physical closeness makes it possible for that familiarity to develop. 115
Psychology Basics Beauty and Romance Generally speaking, the same factors that promote the development of friendships also foster romantic attraction. The third principle of attraction, physical attractiveness, is somewhat of an exception, however, as it is more powerful in the romantic context. In a classic study published by Elaine Hatfield Walster and her associates in 1966, first-year men and women at the University of Minnesota were randomly paired for dates to a dance. Prior to the date, these students had provided considerable information about themselves, some of it through personality tests. During the evening, each person individually completed a questionnaire that focused primarily on how much that person liked his or her date, and the participants were contacted for follow-up six months later. Despite the study of complex facts about attraction, such as what kinds of personality traits within a couple promote it, the only significant factor in this experiment’s results was physical appearance. For both sexes, the better-looking the partner, the more the person liked his or her date, the stronger was the desire to date the person again, and the more likely the individual was actually to do so during the next six months. The potent effect of physical attractiveness in this study sparked much interest in this variable on the part of researchers over the next decade or so. The earliest studies determined rather quickly that both men and women, given the opportunity to select a date from among several members of the opposite sex, almost invariably would select the most attractive one. In reallife dating, however, there is usually the chance that the person asking another out might be turned down. When later experiments began building the possibility of rejection into their procedures, an interesting effect emerged, one that has been termed the “matching phenomenon.” People tend to select romantic partners whose degree of attractiveness is very similar to their own. Other research revealed that physically attractive people are often judged favorably on qualities other than their appearance. Even when nothing is known but what the person looks like, the physically attractive individual is thought to be happier, more intelligent, and more successful than someone who is less attractive. This finding is referred to as the “physical attractiveness stereotype,” and it has implications that extend the role of appearance well beyond the matter of dating. Studies have shown, for example, that work (such as a writing sample) will be assessed more favorably when produced by an attractive person than when by someone less attractive, and that a cute child who misbehaves will be treated more leniently than a homely one. What is beautiful is also good, so to speak. Finally, one may note that physical attractiveness fits well with the reward model: It is pleasant and reinforcing both to look at an attractive person and to be seen with him or her, particularly if that person is one’s date. The last principle of attraction, similarity, is the most important one in long-term relationships, regardless of whether they are friendships or ro116
Attraction Theories mances. An extremely large body of research has demonstrated consistently that the more similar two people are, especially attitudinally, the more they will like each other. It turns out that the old adage, “opposites attract,” is simply false. (Note that the matching phenomenon also reflects similarity.) A friend or spouse who holds attitudes similar to one’s own will provide rewards by confirming that one’s own feelings and beliefs are correct; it is indeed reinforcing when someone else agrees. Evolutionary Theories of Attraction Evolutionary psychologists have provided an important new way to look at why individuals are attracted to others. Borrowing from the basic theorizing of the English biologist Charles Darwin, psychologists are paying increasing attention to the information provided by both physical and social features of living creatures. Everyone is influenced by what people look like; they form impressions of others before they even hear them speak. People often use the appearance and behavior of others to make a variety of judgments about them. These judgments are made quickly and unconsciously and are fairly resistant to change. What sort of impressions are formed? What aspects of a person are focused upon? Evolutionary psychology has some answers to these questions. Specifically, evolutionary psychologists suggest that the attractiveness of a person’s body serves as a valuable and subtle indicator of social behavior, social relationship potential, fitness, reproductive value, and health. Evolutionary psychologists place heavy emphasis on clearly observable features of human bodies and do not focus as much on internal, unobservable aspects of personality such as kindness or trustworthiness. There is a growing body of research that supports these ideas. For example, significant relationships were found between attractiveness and measures of mental health, social anxiety, and popularity, so the idea behind evolutionary theory does seem to be relevant. Most work studying how body characteristics relate to attractiveness has focused on a single factor, such as the face, although many features of the body can influence attractiveness. Faces are often the first part of a person that is looked at. Furthermore, the face is almost always clearly visible (except for those of women in cultures that forbid it). Social psychologists have shown that people often make quick judgments about others based on their faces, and more than 80 percent of studies on judging attractiveness have focused on the face alone. The sex, age, and past experiences of the perceiver, specific facial features such as large lips for women and strong jaws for men, body and facial symmetry, and specific body ratios such as the waist-to-hip ratio (WHR, the number attained by dividing the waist measurement by the circumference of the hips) all influence judgments of attractiveness. Consistent with this idea are findings that some standards of attractiveness are consistent across time and cultures. For example, people with symmetrical faces—those whose eyes and ears appear to be of equal size and 117
Psychology Basics equal distances apart—are preferred over people who do not have symmetrical faces. Female Shapeliness Another example of a body characteristic that is tied to attractiveness from an evolutionary perspective is women’s WHR. Around the world, men prefer women with lower WHRs (between 0.7 and 0.8). Evolutionary psychology research emphasizes the importance of WHRs as a major force in social perception and attraction because shape is a very visible sign of the location of fat stores. This consequently signals reproductive potential and health. Low WHRs do indeed directly map onto higher fertility, lower stress levels, and resistance to major diseases. For example, women with WHRs of 0.8 are almost 10 percent more likely to get pregnant than women with WHRs around 0.9. Although not as much research has focused on the female breast as a signaler of reproductive fitness, a variety of studies suggest that it is also an important factor, although the evidence is mixed. Some studies support the commonly held stereotype that men prefer larger breasts, although others seem to show no such preference. In contrast, some studies have showed that small and medium breasts are preferred to larger breasts, but much of this work focused either on the bust or on WHRs, not both together. Unfortunately, methodological restrictions and poor stimulus materials limit the generalizability of most previous work using WHRs and other bodily features. For example, many studies used line drawings of figures or verbal descriptions of figures instead of pictures of real people. Research is currently under way to provide clearer tests of evolutionary psychology theories of attraction. The most consistently documented finding on the evolutionary basis of attraction relates to gender differences in human mate choice. Consistent with Darwin’s ideas that humans are naturally programmed to behave in ways to ensure that their genes will be passed on to future generations (ensuring survival), evidence indicates that men tend to prefer young, healthylooking mates, as these characteristics are associated with the delivery of healthy babies. An examination of the content of more than eight hundred personal advertisements found that men stressed attractiveness and youth in mates more than did women, a finding supported by marriage statistics throughout the twentieth century. Women have been shown to place more emphasis on a prospective mate’s social status and financial status, and these traits are often related to being able to take good care of children. The fact that women in Western societies are achieving higher economic positions, however, would suggest that this pattern of preferences may change in time. Historical Development Although it would seem to be of obvious importance, physical appearance as a determinant of romantic attraction was simply neglected by researchers 118
Attraction Theories until the mid-1960’s. Perhaps they mistakenly assumed the widespread existence of an old ideal that one should judge someone on the basis of his or her intrinsic worth, not on the basis of a superficial characteristic. Nevertheless, when the Minnesota study discussed earlier produced a physical attractiveness effect so strong as to eliminate, or at least obscure, any other factors related to attraction in the context of dating, social psychologists took notice. In any science, surprising or otherwise remarkable findings usually tend to stimulate additional research, and such a pattern definitely describes the course of events in this area of inquiry. By around 1980, social psychology had achieved a rather solid understanding of the determinants of attraction to strangers, and the field began turning more of its attention to the nature of continuing relationships. Social psychologist Zick Rubin had first proposed a theory of love in 1970, and research on that topic flourished in the 1980’s as investigators examined such topics as the components of love, different types of love, the nature of love in different kinds of relationships, and the characteristics of interaction in successful long-term relationships. Still other lines of research explored how people end relationships or attempt to repair those that are in trouble. People view relationships with family, friends, and lovers as central to their happiness, a research finding that is totally consistent with common experience. One need only look at the content of motion pictures, television programs, song lyrics, novels, and poetry, in which relationships, particularly romantic ones, are so commonly a theme, to find evidence for that point. Nearly half of all marriages end in divorce, however, and the lack of love in the relationship is usually a precipitating factor. Whatever social psychology can teach people about what determines and maintains attraction can help improve the human condition. Sources for Further Study Berscheid, Ellen, and Harry T. Reis. “Attraction and Close Relationships.” In The Handbook of Social Psychology, Vol. 2, edited by Daniel T. Gilbert, Susan T. Fiske, and Gardner Lindsey. 4th ed. Boston: McGraw-Hill, 1998. An in-depth review of theories of attraction and a good summary of research findings. Berscheid, Ellen, and Elaine Hatfield Walster. Interpersonal Attraction. 2d ed. Reading, Mass.: Addison-Wesley, 1978. Presents a solid overview of the psychology of attraction. Directed toward the reader with no background in social psychology, the book is quite readable. It is highly regarded and frequently cited within the field. Clever illustrations feature many cartoons. Buss, David M. Evolutionary Psychology: The New Science of the Mind. Boston: Allyn & Bacon, 1999. A readable book about the ways in which evolutionary science can help the study of social behavior. Good sections on mating strategies and the factors determining attraction. 119
Psychology Basics Duck, Steve. Relating to Others. Chicago: Dorsey Press, 1988. Deals briefly with the traditional work on interpersonal attraction but is most notable for being devoted primarily to reviewing the research on personal relationships, which became important in the 1980’s. Covers such topics as developing and maintaining relationships, exclusivity in relationships, and repairing and ending them. Hatfield, Elaine, and Susan Sprecher. Mirror, Mirror: The Importance of Looks in Everyday Life. Albany: State University of New York Press, 1986. A thorough and readable review of all the different effects of personal appearance. Explores how judgments of attractiveness are made and addresses the effects of beauty across the entire life span. Nicely supported with effective photographs and illustrations. Langlois, Judith H., et al. “Maxims or Myths or Beauty? A Meta-analytic and Theoretical Review.” Psychological Bulletin 126, no. 3 (2000): 390-423. Provides a wonderful resource by reviewing many articles that look at the factors that predict attractiveness. Also uses the evolutionary approach to explain some of the findings. Myers, David G. Social Psychology. 6th ed. New York: McGraw-Hill, 1999. This popular social psychology textbook features an unusually good chapter on interpersonal attraction. Offers a solid survey of the research relating to the principles of attraction and provides good coverage of work on love. The author’s engaging writing style makes this an excellent starting point for further exploration of the topic. Steve A. Nida; updated by Regan A. R. Gurung See also: Affiliation and Friendship.
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Autism Type of psychology: Psychopathology Field of study: Childhood and adolescent disorders Aspects of autism, a poorly understood, nonschizophrenic psychosocial disorder, include great social unresponsiveness, speech and language impairment, ritualistic play activity, and resistance to change. The causes of and treatments for autism have not been conclusively determined, although behavior therapy is a promising alternative. Key concepts • affective • cognitive • dopamine • echolalia • electroencephalogram (EEG) • epileptic seizure • norepinephrine • schizophrenia • secretin • serotonin The modern term “autism” was originated by Leo Kanner in the 1940’s. In “Autistic Disturbances of Affective Contact” (1943), he described a group of autistic children; he viewed them as much more similar to one another than to schizophrenics, with whom they generally had been associated. Until that time, the classical definition for autism (still seen in some dictionaries) was “a form of childhood schizophrenia characterized by acting out and withdrawal from reality.” Kanner believed that these children represented an entirely different clinical psychiatric disorder. He noted four main symptoms associated with the disease: social withdrawal or “extreme autistic aloneness”; either muteness or failure to use spoken language “to convey meaning to others”; an “obsessive desire for maintenance of sameness”; and preoccupation with highly repetitive play habits, producing “severe limitation of spontaneous activity.” Kanner also noted that autism—unlike other types of childhood psychoses—began in or near infancy and had both cognitive and affective components. Over the years, several attempts have been made to establish precise diagnostic criteria for autism. Among the criteria given in the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders (rev. 4th ed., 2000, DSM-IV-TR) are pervasive lack of responsiveness to other people; gross deficits in language development; if speech is present, peculiar patterns (such as echolalia and pronoun reversals); bizarre reaction to environmental aspects (resistance to change); and the absence of any symptoms of schizophrenia. These criteria are largely a restatement of Kanner’s viewpoint. 121
Psychology Basics The prevalence of autism is generally estimated at between 3 to 9 percent of the population of the United States. Study of the sex distribution shows that it is 2.5 to 4 times as common in males as in females. The causes of autism have not been conclusively determined, although the possibilities are wide-ranging and said to be rooted in both biology and environment. As an example of the latter, one of the most widely cited causes has been vaccination, particularly the mumps, measles, and rubella (MMR) vaccine that is given at approximately eighteen months of age and often corresponds with the earliest detected symptoms of autism. Still, researchers in the United States and Europe have determined that this vaccine does not cause autism, based on the fact that vaccination rates held steady throughout the 1990’s at almost 97 percent of children, yet the rate of autism diagnosis increased sevenfold during the same time period. Possible physiological causes include genetics (siblings of autistic children are two hundred times more likely than the general population to be diagnosed with autism themselves), neurochemistry (abnormal levels of the neurotransmitters norepinephrine, serotonin, and dopamine have been established in children with autism as well as their relatives), low birth weight, older mothers, and brain abnormalities such as reduction of tissue in the cerebellum and enlarged ventricles in the cerebrum. Largely because of Kanner’s original sample (now known to have been atypical), many people believe that autistic children come from professional families. Subsequent studies have indicated that this is not so. Rather, autistic children come from families within a wide socioeconomic range, and more than 75 percent of them score in the moderately mentally retarded range on intelligence tests prior to or in the absence of effective treatment. The behavior that characterizes the autistic personality strongly suggests that the disorder is related to other types of neurologic dysfunction. Identified neurological correlations include soft neurologic signs (such as poor coordination), seizure disorders (such as phenylketonuria), abnormal electroencephalograms, and unusual sleep patterns. This emphasis on neurologic—or organic—explanations for autism is relatively new; autism was previously thought to be an entirely emotional disorder. The difficulties that autistic children show in social relationships are exhibited in many ways. Most apparent is a child’s failure to form social bonds. For example, such youngsters rarely initiate any interactions with other children. Moreover, unlike nonautistic children, they do not seek parental company or run to parents for solace when distressed. Many sources even point to frequent parental statements that autistic children are not as “cuddly” as normal babies and do not respond to their mothers or to affectionate actions. Autistic children avoid direct eye contact and tend to look through or past other people. In addition, autistic children rarely indulge in any cooperative play activities or strike up close friendships with peers. Sometimes speech does not develop at all. When speech development does occur, it is very slow and may even disappear again. Another prominent 122
Autism
DSM-IV-TR Criteria for Autism Autistic Disorder (DSM code 299.00) Six or more criteria from three lists 1) Qualitative impairment in social interaction, manifested by at least two of the following: • marked impairment in use of multiple nonverbal behaviors (eye-to-eye gaze, facial expression, body postures, gestures) • failure to develop peer relationships appropriate to developmental level • lack of spontaneous seeking to share enjoyment, interests, or achievements with others • lack of social or emotional reciprocity 2) Qualitative impairments in communication, manifested by at least one of the following: • delay in, or total lack of, development of spoken language, not accompanied by attempts to compensate through alternative modes of communication such as gesture or mime • in individuals with adequate speech, marked impairment in ability to initiate or sustain conversation • stereotyped and repetitive use of language or idiosyncratic language • lack of varied, spontaneous make-believe play or social imitative play appropriate to developmental level 3) Restricted, repetitive, and stereotyped patterns of behavior, interests, and activities, manifested by at least one of the following: • preoccupation with one or more stereotyped and restricted patterns of interest abnormal in either intensity or focus • apparently inflexible adherence to specific, nonfunctional routines or rituals • stereotyped and repetitive motor mannerisms (hand or finger flapping, complex whole-body movements) • persistent preoccupation with parts of objects Delays or abnormal functioning in at least one of the following areas, with onset prior to age three: • social interaction • language as used in social communication • symbolic or imaginative play Symptoms not better explained by Rett’s Disorder or Childhood Disintegrative Disorder
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Psychology Basics speech pathology in autism is either immediate or delayed repetition of something heard but simply parroted back (such as a television commercial), phenomena called immediate and delayed echolalia, respectively. Yet another problem seen is lack of true language comprehension, shown by the fact that an autistic child’s ability to follow instructions is often dependent on situational cues. For example, such a child may understand the request to come and eat dinner only when a parent is eating or sitting at the dinner table. Behavior denoting resistance to change is often best exemplified by rigid and repetitive play patterns, the interruption of which results in tantrums and even self-injury. Some autistic children also develop very ritualistic preoccupations with an object or a schedule. For example, they may become extremely distressed with events as minor as the rearrangement of furniture in a particular room at home. Treatment Autistic children can be very frustrating to both parents and siblings, disrupting their lives greatly. Often, individuals with autism also cause grief and guilt feelings in parents. According to Mary Van Bourgondien, Gary Mesibov, and Geraldine Dawson, this can be ameliorated by psychodynamic, biological, or behavioral techniques. These authors point out that all psychodynamic therapy views autism as an emotional problem, recommending extensive psychotherapy for the individual with autism and the rest of the family. In contrast, biological methodology applies psychoactive drugs and vitamins. Finally, behavioral therapy uses the axioms of experimental psychology, along with special education techniques that teach and reinforce appropriate behavior. Psychodynamic approaches are based on the formation of interpersonal relationships between the child and others. One example of these is holding therapy, which involves the mother holding the child for long periods of time so that a supposedly damaged bond between the two can be mended. Floor time, joining the child in his or her activities, is a more active method of establishing a bond with a child. However, both of these methods lack empirical verification of their effectiveness. Biological methods, on the other hand, involve affecting how the brain receives and processes information. Sensory integration is favored by occupational therapists from the perspective that the nervous system is attempting to regain homeostasis, causing the individual to behave oddly. The approach, an attempt to meet the sensory needs through a “sensory diet” of activities throughout the day, is not supported by scientific research and is not even implemented in an agreed-upon fashion by all of its practitioners. Auditory integration training (AIT) works in the same way as sensory integration with regard to the sensation of sound but is not generally accepted by professionals as being effective. Drug therapies include antiseizure medications, tranquilizers, stimulants, antidepressants, and antianxiety medica124
Autism tions that have varying results. One of the most controversial drug therapies is the injection of the hormone secretin, which reportedly causes remarkable improvements in the symptoms of some children but no change in others. Dietary interventions include megadoses of vitamins and minerals that could have very harmful side effects and are not reliably beneficial. Some parents also follow a gluten-free and casein-free regimen with their children, effectively eliminating all milk and wheat products from their diets. Only anecdotal evidence exists of the effectiveness of this and other special diets. The last category of therapies, behavioral or skill-based techniques, is the most empirically supported. The Treatment and Education of Autistic and Related Communication Handicapped Children (TEACCH) program emphasizes modification of the environment to improve the adaptive functioning of the individual given his or her unique characteristics and teaching others to accommodate autistic children at their particular level of functioning. In contrast, applied behavior analysis programs, such as those advocated by Norwegian psychologist Ivar Lovaas, involve manipulating the environment only for the initial purpose of shaping an individual’s skills toward more normal functioning, with the eventual goal of mainstreaming the child with his or her typically developing peers in the regular education setting, an outcome that is estimated to be more likely for children whose treatment begins by two or three years of age. Changing Perceptions of Autism It is widely reported that autistic children, as defined by Kanner in the 1940’s, were at first perceived as victims of an affective disorder brought on by their emotionally cold, very intellectual, and compulsive parents. The personality traits of these parents, it was theorized, encouraged such children to withdraw from social contact with them, and then with all other people. In the years that have followed, additional data—as well as conceptual changes in medicine and psychology—have led to the belief that autism, which may actually be a constellation of disorders that exhibit similar symptoms, has a biological basis that may reside in subtle brain and hormone abnormalities. These concepts have been investigated and are leading to definitive changes in the therapy used to treat individual autistic children. Although no general treatment or unifying concept of autism has developed, promising leads include modalities that utilize drugs which alter levels of serotonin and other neurotransmitters, as well as examination of patients by nuclear magnetic resonance and other techniques useful for studying the brain and the nervous system. The evolution of educational methodology aimed at helping individuals with autism has also been useful, aided by legislation aimed at bringing severely developmentally disabled children into the mainstream. Some cities and states have developed widespread programs for educating autistic peo125
Psychology Basics ple of all ages. Instrumental here has been the development of the National Society for Autistic Children, which has focused some of its efforts on dealing with autistic adolescents and adults. Combined therapy, biological intervention, and educational techniques have helped autistic persons and their families to cope, have decreased behavior problems in autists, have enhanced the scholastic function of a number of these people, and have produced hope for autistic adults, once nearly all institutionalized. Sources for Further Study Herin, L. Juane, and Richard L. Simpson. “Interventions for Children and Youth with Autism: Prudent Choices in a World of Exaggerated Claims and Empty Promises. Part I: Intervention and Treatment Option Review.” Focus on Autism and Other Developmental Disabilities 13 (1998): 194-211. Covers the specific interventions from the psychodynamic, biological, and behavioral categories and gives an overview of the research support for each. Kalat, James W. Biological Psychology. 8th ed. Belmont, Calif.: Thomson Wadsworth, 2004. A basic text that explains the role of physiological factors in behavior. Kaye, James A., Maria del Mar Melero-Montes, and Hershel Jick. “Mumps, Measles, and Rubella Vaccine and the Incidence of Autism Recorded by General Practitioners: A Time-Trend Analysis.” British Medical Journal 322 (2001): 460-463. Describes evidence refuting the hypothesis that the MMR vaccination causes autism. Lonsdale, Derrick, and Raymond J. Shamberger. “A Clinical Study of Secretin in Autism and Pervasive Developmental Delay.” Journal of Nutritional and Environmental Medicine 10 (2000): 271-280. Describes an experiment to measure the effectiveness of secretin injections for alleviating the symptoms of autism. Lovaas, Ivar, and Tristam Smith. “Intensive Behavioral Treatment for Young Autistic Children.” In Advances in Clinical Child Psychology, edited by B. B. Lahey and A. E. Kazdin. New York: Plenum Press, 1988. A detailed description of ABA therapy and specific research findings relating to the topic. Maurice, Catherine, Gina Green, and Stephen C. Luce, eds. Behavioral Intervention for Young Children with Autism: A Manual for Parents and Professionals. Austin, Tex.: Pro-Ed, 1996. Edited by the mother of two children who were diagnosed with autism and successfully treated with behavior therapy, it provides clear guidance for parents embarking on a search for effective treatment methods for their children and the professionals who are helping them. Included is information on the effectiveness of various treatments, funding behavior therapy, working with educators and other professionals, and what is involved in behavior therapy. Murray, John B. “Psychophysiological Aspects of Autistic Disorders: Over126
Autism view.” Journal of Psychology 130 (1996): 145-158. Covers the symptoms and potential causes of autism. Sundberg, Mark L., and James W. Partington. Teaching Language to Children with Autism or Other Developmental Disabilities. Pleasant Hill, Calif.: Behavior Analysts, 1998. Gives technical guidelines on applied behavior analysis techniques used to teach the different components of language in a skill-based intervention. Van Bourgondien, Mary E., Gary B. Mesibov, and Geraldine Dawson. “Pervasive Developmental Disorders: Autism.” In The Practical Assessment and Management of Children with Disorders of Development and Learning, edited by Mark L. Wolraich. Chicago: Year Book Medical Publishers, 1987. Succinctly and clearly describes autism, including its definition, incidence, etiologies and pathophysiologies, assessment and findings, and management. Also included are 133 useful references. Although technically written, the article is nevertheless very useful to the beginning reader. Sanford S. Singer; updated by April Michele Williams See also: Abnormality: Psychological Models; Language; Schizophrenia: Background, Types, and Symptoms; Schizophrenia: Theoretical Explanations.
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Behaviorism Date: Founded in 1912 Type of psychology: Learning Fields of study: Behavioral and cognitive models; experimental methodologies; instrumental conditioning; methodological issues; nervous system; Pavlovian conditioning; thought Behaviorism uses the methods of natural science to search for relationships between behavior and the observable social and physical environment. The focus on observable and measurable behavior-environment relationships distinguishes behaviorism from other psychological perspectives that rely on unobservable and hypothetical explanations such as the mind, ego, the self, and consciousness. Key concepts • classical conditioning • operant behavior • operant conditioning • punisher • reflex • reinforcer • stimulus control Behaviorism was founded in 1912 by the American psychologist John Broadus Watson (1878-1958). Watson’s position was formed as a reaction to the contemporary focus of psychology on consciousness and the method of research known as introspection, which he considered to be highly subjective. Using the research of the Russian Nobel Prize-winning physiologist Ivan Petrovich Pavlov (1849-1936), Watson argued that psychology could become a natural science only by truly adopting the methods of science. For him, psychological study must have an empirical, objective subject matter and that the events to be investigated as possible causes of behavior must also be described objectively and verified empirically through experimental research. This latter point meant that introspection would have to be abandoned, for it was unscientific. Watson therefore presented the goals of psychology as the prediction and control of behavior rather than as the understanding of the mind and consciousness. Watson’s behaviorism was an extension of Pavlov’s discovery of the conditioning of stimulus-response reflexive relationships. The term “reflex” refers to the connection between some environmental event, or stimulus, and the response that it elicits. The response is involuntary—inborn or unlearned—and relatively simple. In addition, no prior learning is necessary for the response to occur when the stimulus is presented. What Pavlov had already demonstrated experimentally was how previously neutral parts of the environment could become effective in stimulating or eliciting an ani128
Behaviorism mal’s salivation response. By repeatedly pairing a bell with food powder, which elicited salivation, and then presenting the bell alone, Pavlov showed that the bell by itself could then elicit salivation. This process, termed classical conditioning (the process is also known as Pavlovian or respondent conditioning), in turn offered Watson an explanation for behavior that relied on observable elements, thus eliminating the need to use unobservable and hypothetical mental explanations. Watson’s significant contribution resulted from his attempt to show how Pavlov’s discovery of the conditioning process with animals could also explain the behavior of human beings. Watson assumed that human behavior and the behavior of animals were both governed by the same laws of nature. Given this assumption, the objective methods of study that were appropriate for the scientific study of nonhuman animals were therefore appropriate for the study of human beings as well. Watson demonstrated the application of these methods in the famous but ethically controversial case study of “Little Albert.” In this study, Watson and his graduate student, Rosalie Rayner, showed how human emotional responses could come to be conditioned to previously neutral environmental stimuli. “Little Albert” was eleven months old at the time of the study, which Watson and Rayner began by showing that Albert initially approached and smiled when he was shown a live rat. At a time when the rat was not present, Watson struck a metal bar with a hammer. Albert then flinched and began to cry. Next, the rat and the loud, unexpected sound were presented together on seven occasions. On these occasions, Albert reacted to the sound of the hammer striking the metal bar, withdrawing from the rat, moving away from the sound, whimpering, and then crying. Finally, the rat alone was shown to Albert. Now, when only the rat was placed before Albert, he would instantly move away from the rat, whimper, and then cry. Watson and Rayner had demonstrated through the process of classical conditioning that the once-neutral object, the rat, would now produce, or elicit, a strong emotional response. Watson attempted to present an objective, behavioristic account of the full range of human behavior in Behaviorism (1924), written for a popular audience. In that book, Watson proposed that the stimulus-response reflex was the essential building block of all human behaviors. A collection of separate elemental reflexive responses, unlearned and as-yet unconditioned, could become integrated into a complex habit through the regular presentation of the appropriate stimuli by the physical and social environment by parents, siblings, teachers, and others. The result would be, in Watson’s words, “habits, such as tennis, fencing, shoe-making, mother-reactions, religious reactions, and the like.” The process by which these habits were formed was presumably the conditioning process discovered by Pavlov. In addition to such “habits,” Watson attempted to show that the conditioning of neutral environmental stimuli to existing reflexive responses could also account for thinking and the personality. 129
Psychology Basics B. F. Skinner and Radical Behaviorism A very different form of behaviorism came from the work of the American psychologist Burrhus Frederic Skinner (1904-1990). Skinner, too, focused his research on behavior. He also continued to search for lawful relationships between behavior and the environment. Skinner’s thinking began with an acceptance of the stimulus-response approach of Watson, but Skinner ultimately took behaviorism in a different direction. The first presentation of Skinner’s approach was in The Behavior of Organisms (1938). In this book, he described the methods and results of systematic research that demonstrated the key points of what was later to become known as radical behaviorism: Stimulus-response relationships, or reflexes, include only a narrow range of behavior; classical, or Pavlovian, conditioning could not account for the development of new behavior or the complexity of human behavior; behavior does show lawful relationships with the environment; the consequences immediately following a behavior determine the future strength of that behavior; new behavior can be acquired by the process of shaping (from existing behavior, elemental forms can be strengthened by consequences which follow the step-by-step approximations until the new behavior is present); once acquired, behavior is maintained by a particular arrangement of environmental consequences; and certain events are present when a behavior is strengthened. Often, one of those antecedent events is, by design, especially correlated with the behavior and the consequence that makes that behavior stronger in the future. At a later time, the presence of that antecedent event by itself will make the behavior more likely to occur. Skinner named the process that he used to investigate these behaviorenvironment relationships operant conditioning. He called the behavior in this process operant behavior because it operates or acts on the environment. In operating, or acting, on the environment, the behavior produces consequences, or changes, in the environment. Consequences in turn affect the behavior for the future. Skinner was able to detect this relationship between present consequences to the behavior and their later effect on behavior by the method that he used for his research. This method, used initially with rats and later with pigeons, allowed him to observe and measure the behavior of interest continuously and over long periods of time. Not only was the behavior observed at the time that the consequence to it occurred, but it was also observed continuously subsequent to the consequence. Skinner observed two effects of consequences on the future strength of behavior. Some consequences resulted in stronger behavior (reinforced the behavior), while other consequences resulted in weaker behavior (punished the behavior). For Skinner and his followers, the consequent events to behavior that serve as reinforcers or punishers are defined only in terms of their effects on the future strength of some behavior. Events or things in themselves are not reinforcers or punishers. For example, a harsh command to a learner in the classroom (“Sit down and get to work!”) is assumed by many teachers to “punish” wandering around the room and inattentive130
Behaviorism ness to seatwork. In countless instances, however, the teacher’s consequence serves only to strengthen or maintain the learner’s wandering and inattentiveness. In this case, the teacher’s remarks function as a reinforcer, irrespective of what the teacher believes. Skinner also showed that once a behavior had been acquired and was maintained, the occurrence of the behavior could be made more or less probable by the presentation or removal of events that preceded the behavior. These antecedent events—for example, the ringing of a telephone— have been reliably present when one picks up the telephone and says “Hello.” If one picks up the telephone and says “Hello” when the telephone has not rung, the voice of another person responding to the greeting is extremely unlikely. The term for this process is “stimulus control,” defined as the effect that events preceding a behavior can have on the likelihood of that behavior occurring. Stimulus control comes about because of the presence of particular events when a behavior is reinforced. The Causes of Behavior For Skinner, the causes of behavior lie in humans’ genetic endowment and the environment in which they live. The specific ways in which the environment causes behavior can be seen in the experimentally derived principles noted previously. Skinner’s approach differs sharply from most psychological theories that put the causes of behavior inside the person. Skinner believed that these internal causes were either not scientific explanations but actually behaviors themselves in need of explanation or were explanations taken from disciplines other than psychology. Skinner regarded the “mind” as an unscientific explanation because of its status as an inference from the behavior that it was supposed to explain. While psychological theory has, since the 1970’s, redefined the “mind” in two broad ways, Skinner noted that the redefining did not solve the problems posed by the requirements of science. On one hand, mental processes have become cognitive processes, a metaphor based on computer operations. Humans are said to “process” information by “encoding, decoding, storing, and retrieving” information. However, all these hypothesized activities remain inferences from the behavior that they are said to explain. There is no independent observation of these hypothetical activities. On the other hand, the mind has been translated to mean the brain, which can be studied scientifically. Thus, the physiology of the brain is thought to explain behavior. Neither Skinner nor other radical behaviorists deny the role of the brain in a complete understanding of behavior. However, psychology and brain physiology look for the causes of behavior at different levels of observation. Psychology is viewed as a separate discipline with its own methods of scientific investigation leading to the discovery of distinct psychological explanations for behavior. In addition, research results suggest that rather than brain physiology explaining behavior, changes 131
Psychology Basics in the brain and changes in behavior appear to result from changes in the environment. Changes in behavior are correlated with changes in the brain, but changes at both levels appear to be the result of the environment. Thoughts and feelings are also considered to be causes of behavior. One thinks about talking with a friend and then goes to the telephone and dials the friend’s number. These two people talk together on the telephone regularly because they feel affection for each other. The “thinking” or “feeling” referred to as causes for the actions involved in dialing the telephone and talking with each other are themselves viewed as responses in need of explanation. What gave rise to thinking in early development, and what now makes thoughts of this particular friend so strong? How have feelings of affection become associated with this friend? From the radical behaviorist perspective, both the thoughts and the feeling are explained by the principles of operant or classical conditioning. Radical Behaviorism and Complex Human Behavior Some of the facts of human experience include talking, thinking, seeing, problem solving, conceptualizing, and creating new ideas and things. A common point of view holds that behaviorism either rejects or neglects these aspects of human experience. However, a fuller reading of Skinner’s works reveals that he offered a serious examination of these topics and demonstrated that behavioral principles could account for their presence in the repertoire of human behavior. For example, Skinner’s examination of verbal behavior resulted in Verbal Behavior (1957). In this book, he showed that behavioral principles were capable of explaining the acquisition and continuation of behaviors such as talking, reading, and thinking. Basic processes such as imitation, reinforcement, shaping, and stimulus control were all shown to have likely roles in the various aspects of verbal behavior. Behaviorism’s analysis of verbal behavior is directly related to the more complex forms of human behavior, often referred to as higher mental processes. For example, radical behaviorism views thinking as an activity derived from talking out loud. Parents and teachers encourage children to talk to themselves, initially by encouraging whispering, then moving the lips as in speaking but without making sounds. What results, then, is talking privately, “in our own heads.” In a similar fashion, a parent asks a child to “think before you act” and a teacher asks learners to “think through” the solution to a problem in mathematics or ethics. The social environment thus encourages people to think, often shows them how to do so, and then reinforces them for doing so when the overt results of their thinking are praised or given high scores. More complex behavior-environment relationships such as those found in concept formation have also been analyzed in terms of the principles of behaviorism. The term “concept” is defined as a characteristic that is common to a number of objects that are otherwise different from one another. 132
Behaviorism People are said to have concepts in their heads which produce the behaviors they observe. A radical behavioral analysis, however, views concepts as the appropriate response to the common characteristic. The appropriate response has been reinforced only when it occurs in the presence of the specific characteristic. For example, a child is said to understand the concept of “red” when the child reliably says “red” in response to the question “What color are these objects?” in the presence of a red hat, red fire truck, red tomato, and red crayon. Applications of the Principles of Behaviorism The behaviorism of Watson has resulted in applications in psychology and many other disciplines. The most notable form of application of Watson’s behaviorism is the psychological treatment known as systematic desensitization. This treatment was created by South African psychiatrist Joseph Wolpe (1915-1997). Systematic desensitization was designed to reverse the outcome of the classical conditioning process in which extremely intense negative emotional responses, such as fear or anxiety, are elicited by everyday aspects of the environment. This outcome is referred to as a phobia. The treatment first requires training in relaxation. The second component of treatment takes a person through a hierarchy of steps beginning with a setting very distant from the feared stimulus and ending with the problem setting. At each step, the individual is asked to note and in some manner signal the experiencing of fear or anxiety and then is instructed to relax. Movement through the hierarchy is repeated until the person can experience each step, including the one that includes the feared stimulus, and report feeling relaxed at every step. This treatment has been employed in both the clinic and in real-life settings. Systematic desensitization has been shown to be an effective intervention for fears associated with, for example, dental treatment and flying, as well as the intense anxiety that accompanies social phobia and panic disorder. Applied behavior analysis is the field of application that has arisen out of Skinner’s behavioral principles. Applied behavior analysis was introduced first in educational settings. Applications in education have occurred at every level from preschool to university classrooms. Equally important has been repeated successful application to learners with autism, severe and profound delays in behavioral development, and attention deficit disorder, with and without hyperactive behavior. The application of behavioral principles has been shown to be effective across behaviors, settings, individuals, and teachers. Applications of behavioral principles have also been shown to be effective in reducing behaviors that pose a threat to public health, including smoking, overeating, essential hypertension, and domestic violence. Finally, behavioral principles have found application in the arena of public safety. For example, researchers using techniques based on Skinner’s science of behavior have increased seat belt usage by automobile drivers. 133
Psychology Basics Sources for Further Study Alberto, Paul A., and Anne C. Troutman. Applied Behavior Analysis for Teachers. 5th ed. Upper Saddle River, N.J.: Prentice-Hall, 1999. A readable introduction to applied behavior analysis principles and methods for use in the classroom. Baum, William J. Understanding Behaviorism: Science, Behavior, and Culture. New York: HarperCollins College Publishers, 1994. Written by a wellknown radical behaviorist. A thorough review of Skinner’s behaviorism in relation to philosophy of science and in its societal implications. Johnson, Kent R., and T. V. Joe Layng. “Breaking the Structuralist Barrier: Literacy and Numeracy with Fluency.” American Psychologist 47, no. 11 (1992): 1475-1490. Demonstrates the application of Skinner’s principles to the design of maximally effective academic curricula for children and adults. Accessible reading that does not require a background in statistics. Pierce, W. David, and Carl D. Cheney. Behavior Analysis and Learning. 3d ed. Mahwah, N.J.: L. Erlbaum Associates, 2004. An excellent introduction at the college level to basic Skinnerian principles and experimental methods for basic behavioral research. Skinner, B. F. About Behaviorism. New York: Alfred A. Knopf, 1974. Skinner’s analysis of thinking, perceiving, emotions, and the self. __________. Walden Two. 1948. Reprint. New York: Macmillan, 1990. A fictional account of the application of behavioral principles in a utopian community. Watson, John B. Behaviorism. 1924. Reprint. New Brunswick, N.J.: Transaction, 1998. Early principles of behaviorism in the words of its founder. Robert Jensen See also: Conditioning; Habituation and Sensitization; Learned Helplessness; Learning; Pavlovian Conditioning; Phobias; Radical Behaviorism: B. F. Skinner; Reflexes; Thought: Study and Measurement.
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Bipolar Disorder Type of psychology: Biological bases of behavior; psychopathology; psychotherapy Fields of study: Biological treatments; depression Knowledge about bipolar disorder, a serious mental illness that is characterized by depressive episodes and manic episodes, has grown extensively since the 1970’s. Advanced neurobiological research and assessment techniques have shown the biochemical origins and genetic element of this disorder. Recent research indicates the ways in which stress may play a role in precipitating recurrence of episodes. Key concepts • diathesis-stress model • lithium carbonate • mania • melatonin • neurotransmitter • psychotic symptoms • seasonal affective disorder (SAD) Although mood fluctuations are a normal part of life, individuals with bipolar affective disorder experience extreme mood changes. Bipolar affective disorder, or bipolar disorder (also called manic-depressive disorder), has been identified as a major psychiatric disorder characterized by dramatic mood and behavior changes. These changes, ranging from episodes of high euphoric moods to deep depressions, with accompanying behavioral and personality changes, are devastating to the victims of the disorder and perplexing to the loved ones of those affected. Prevalence rates have been estimated at about 1.6 (0.8 to 2.6) percent of the American population. The disorder is divided fairly equally between males and females. Clinical psychiatry has been effective in providing biochemical intervention in the form of lithium carbonate to stabilize or modulate the ups and downs of this illness. However, lithium treatment has only been effective for approximately 70 percent of those to whom it is administered. Mood-stabilizing anticonvulsant medications such as Depakote, Tegretol, and Lamictal, are showing promise in helping some people who were formerly referred to as lithium nonresponders. Psychotherapy is seen by most practitioners as a necessary adjunct to medication. Symptoms In the manic phase of a bipolar episode, the individual may experience inappropriately good moods, or “highs,” or may become extremely irritable. During a manic phase, the person may overcommit to work projects and meetings, social activities, or family responsibilities in the belief that he or she can accomplish anything; this is known as manic grandiosity. At times, 135
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DSM-IV-TR Criteria for Bipolar I Disorder Bipolar I Disorder, Single Manic Episode (DSM code 296.0x) Only one Manic Episode and no past Major Depressive Episodes Manic Episode not better accounted for by Schizoaffective Disorder and not superimposed on Schizophrenia, Schizophreniform Disorder, Delusional Disorder, or Psychotic Disorder Not Otherwise Specified Specify mixed if symptoms meet criteria for Mixed Episode Specify for current or most recent episode: Severity/Psychotic/Remission Specifiers; with Catatonic Features; with Postpartum Onset Bipolar I Disorder, Most Recent Episode Hypomanic (DSM code 296.40) Currently or most recently in Hypomanic Episode Previously at least one Manic Episode or Mixed Episode Symptoms cause clinically significant distress or impairment in social, occupational, or other important areas of functioning Episodes not better accounted for by Schizoaffective Disorder and not superimposed on Schizophrenia, Schizophreniform Disorder, Delusional Disorder, or Psychotic Disorder Not Otherwise Specified Specify: Longitudinal Course Specifiers (with and Without Interepisode Recovery); with Seasonal Pattern (applies only to pattern of Major Depressive Episodes); with Rapid Cycling
psychotic symptoms such as delusions, severe paranoia, and hallucinations may accompany a manic episode. These symptoms may lead to a misdiagnosis of another psychotic disorder such as schizophrenia. However, skilled clinicians can make a differential diagnosis between schizophrenia and bipolar disorder. The initial episode of bipolar disorder is typically one of mania or elation, although in some people a depressive episode may signal the beginning of the disorder. Episodes of bipolar disorder can recur rapidly—within hours or days—or may have a much slower recurrence rate, even of years. The duration of each episode, whether it is depression or mania, varies widely among individuals but normally remains fairly consistent for each individual. Types According to the Diagnostic and Statistical Manual of Mental Disorders: DSM-IVTR (rev. 4th ed., 2000), the diagnostic manual of the American Psychiatric Association, there are several types of bipolar disorder, which are categorized according to the extent of severity, the types of the symptoms, and the duration of the symptoms. Bipolar I disorder is characterized by alternating 136
Bipolar Disorder periods of mania and depression. At times, severe bipolar disorder may be accompanied by psychotic symptoms such as delusions and hallucinations. For this reason, Bipolar I disorder is also considered a psychotic disorder. Bipolar II disorder is characterized by alternating episodes of a milder form of mania (known as hypomania) and depression. Cyclothymia is a form of bipolar disorder in which hypomania alternates with a low-level, chronic depressive state. Seasonal affective disorder (SAD) is characterized by alternating mood episodes that vary according to seasonal patterns; the mood changes are thought to be related to changes in the amount of sunlight and accompanying effects on the levels of hormone melatonin. In the Northern Hemisphere, the typical pattern is associated with manic symptoms in the spring and summer and depression in the fall and winter. Manic episodes often have a shorter duration than the depressive episodes. Bipolar disorder must be differentiated from depressive disorders, which include major depression (unipolar depression) and dysthymia, a milder but chronic form of depression. Causes The causes of bipolar disorder are not fully understood, but genetic factors play a major role. Approximately 80 percent of individuals with bipolar disorder have a relative with some form of mood disorder, whether bipolar disorder or depression. It is not uncommon to see families in which several
DSM-IV-TR Criteria for Bipolar II Disorder (DSM code 296.89) Presence or history of one or more Major Depressive Episodes Presence or history of at least one Hypomanic Episode No Manic Episodes or Mixed Episodes Mood symptoms not better accounted for by Schizoaffective Disorder and not superimposed on Schizophrenia, Schizophreniform Disorder, Delusional Disorder, or Psychotic Disorder Not Otherwise Specified Symptoms cause clinically significant distress or impairment in social, occupational, or other important areas of functioning Specify for current or most recent episode: Hypomanic (currently or most recently in Hypomanic Episode) or Depressed (currently or most recently in Major Depressive Episode) Specify for current or most recent Major Depressive Episode (only if the most recent type of mood episode): Severity/Psychotic/Remission Specifiers; Chronic; with Catatonic Features; with Melancholic Features; with Atypical Features; with Postpartum Onset Specify: Longitudinal Course Specifiers (with and Without Interepisode Recovery); with Seasonal Pattern (applies only to pattern of Major Depressive Episodes); with Rapid Cycling 137
Psychology Basics generations are affected by bipolar disorder. Serotonin, norepinephrine, and dopamine, brain chemicals known as neurotransmitters that regulate mood, arousal, and energy, respectively, may be altered in bipolar disorder. A diathesis-stress model has been proposed for some psychosomatic disorders such as hypertension and ulcers. This model has also been applied to bipolar disorder. In a diathesis-stress model, there is a susceptibility (the diathesis) for the disorder. An individual who has a diathesis is at risk for the disorder but may not show signs of the disorder unless there is sufficient stress. In this model, a genetic or biochemical predisposition toward the disorder (the bipolar diathesis) may lie dormant until stress triggers the emergence of the illness. The stress may be psychosocial, biological, neurochemical, or a combination of these factors. A diathesis-stress model can also account for some of the recurrent episodes of mania in bipolar disorder. Investigators suggest that positive life events, such as the birth of a baby or a job promotion, as well as negative life events, such as divorce or the loss of a job, may trigger the onset of episodes in individuals with bipolar disorder. Stressful life events and the social rhythm disruptions that they cause can have adverse effects on a person’s circadian rhythms. Circadian rhythms are normal biologic rhythms that govern such functions as sleeping and waking, body temperature, and oxygen consumption. Circadian rhythms affect hormonal levels and have significant effects on both emotional and physical well-being. For those reasons, many clinicians encourage individuals with bipolar disorder to work toward maintaining consistency in their social rhythms. More recently, investigators have compared the course of bipolar disorder to kindling, a process in which epileptic seizures increase the likelihood of further seizures. According to the kindling hypothesis, triggered mood episodes may leave the individual’s brain in a sustained sensitized state that makes the person more vulnerable to further episodes. After a while, external factors are less necessary for a mood episode to be triggered. Episode sensitization may also account for rapid-cycling states, in which the individual shifts from depression to mania over the course of a few hours or days. Impact The impact of bipolar disorder is considerable. Some believe that the illness puts people on an “emotional roller coaster” in which their ups and downs are so severe that resulting behavior can have its own disastrous consequences. For example, people suffering from episodes of mania sometimes use drugs, alcohol, money, or sex to excess, then later have to deal with an additional set of problems and trauma brought about by their behavior and impulsiveness. Organizations such as the National Alliance for the Mentally Ill (NAMI) and support groups such as the Depressive and Manic Depressive Association (DMDA) have provided a way for people with bipolar disorder to share their pain as well as to triumph over the illness. Many people have found 138
Bipolar Disorder comfort in knowing that others have suffered from the mood shifts, and they can draw strength from one another. Family members and friends can be the strongest supporters and advocates for those who have bipolar disorder or other psychiatric illnesses. Many patients have credited their families’ constant, uncritical support, in addition to competent effective treatment including medications and psychotherapy, with pulling them through the devastating effects of the illness. Treatment Approaches Medications have been developed to aid in correcting the biochemical imbalances thought to be part of bipolar disorder. Lithium carbonate is usually effective for approximately 70 percent of those who take it. Many brilliant and successful people have reportedly suffered from bipolar disorder and have been able to function successfully with competent and responsible treatment. Some people who have taken lithium for bipolar disorder, however, have complained that it robs them of their energy and creativity and said that they actually miss the energy associated with manic phases of the illness. This perceived loss, some of it realistic, can be a factor in relapse associated with lithium noncompliance. Other medications have been developed to help those individuals who are considered lithium nonresponders or who find the side effects of lithium intolerable. Anticonvulsant medications, such as Depakote (valproic acid), Tegretol (carbamazepine), and Lamictal (lamotrigine), which have been found to have mood-stabilizing effects, are often prescribed to individuals with bipolar disorder. During the depressive phase of the disorder, electroconvulsive (shock) therapy (ECT) has also been administered to help restore the individual’s mood to a normal level. Phototherapy is particularly useful for individuals who have SAD. Psychotherapy, especially cognitivebehavioral therapy or interpersonal social rhythm therapy, is viewed by most practitioners as a necessary adjunct to medication. Indeed, psychotherapy has been found to assist individuals with bipolar disorder in maintaining medication compliance. Local mental health associations are able to recommend psychiatric treatment by board-certified psychiatrists and licensed psychologists who specialize in the treatment of mood disorders. Often, temporary hospitalization is necessary for complete diagnostic assessment, initial mood stabilization, and intensive treatment, medication adjustment, or monitoring of an individual who feels suicidal. As many as 15 percent of those with bipolar disorder commit suicide. This frightening reality makes early intervention, relapse prevention, and treatment of the disorder necessary to prevent such a tragic outcome. Sources for Further Study Goldberg, J., and Martin Harrow, eds. Bipolar Disorders: Clinical Course and Outcome. Washington, D.C.: American Psychiatric Press, 1999. This edited 139
Psychology Basics volume summarizes recent research regarding the course and outcome of bipolar disorder. Chapters are written by experts in the field. Goodwin, Frederick K., and Kay R. Jamison. Manic Depressive Illness. New York: Oxford University Press, 1990. This comprehensive book on bipolar disorder provides information on diagnosis, theories regarding the etiology of the disorder, and treatment options. Jamison, Kay R. An Unquiet Mind. New York: A. A. Knopf, 1995. An insightful first-person account of a psychiatrist’s experience with bipolar disorder. Offers descriptions of mania as well as depression and discusses relevant issues such as the genetic basis of the disorder. Johnson, Sheri L., and John E. Roberts. “Life Events and Bipolar Disorder: Implications from Biological Theories.” Psychological Bulletin 117, no. 3 (1995): 434-449. This theoretical article was written for psychologists but is readily accessible to laypeople. The authors review research and accounts for ways in which life events, both positive and negative ones, may trigger the onset of episodes in individuals with bipolar disorder. Diane C. Gooding and Karen Wolford See also: Anxiety Disorders; Attention-Deficit Hyperactivity Disorder (ADHD); Clinical Depression; Depression; Drug Therapies; Madness: Historical Concepts; Obsessive-Compulsive Disorder; Personality Disorders; Schizophrenia: Background, Types, and Symptoms; Schizophrenia: Theoretical Explanations.
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Brain Structure Type of psychology: Biological bases of behavior Fields of study: Biological influences on learning; nervous system; thought Different areas of the brain have specialized functions that control activities ranging from basic biological processes to complex psychological operations. Understanding the distinctive features of different neurological areas provides insight into why people and other animals act, feel, and think as they do. Key concepts • cerebral cortex • cerebral hemispheres • forebrain • hindbrain • lobes • midbrain • neural tube • neurons About two weeks after conception, a fluid-filled cavity called the neural tube begins to form on the back of the human embryo. This neural tube will sink under the surface of the skin, and the two major structures of the central nervous system (CNS) will begin to differentiate. The top part of the tube will enlarge and become the brain; the bottom part will become the spinal cord. The cavity will persist through development and become the fluidfilled central canal of the spinal cord and the four ventricles of the brain. The ventricles and the central canal contain cerebrospinal fluid, a clear plasmalike fluid that supports and cushions the brain and also provides nutritive and eliminative functions for the CNS. At birth the average human brain weighs approximately 12 ounces (350 grams), a quarter of the size of the average adult brain, which is about 3 pounds (1,200 to 1,400 grams). Development of the brain in the first year is rapid, with the brain doubling in weight in the first six months. The development of different brain areas depends on intrinsic and extrinsic factors. Internally, chemicals called neurotrophins promote the survival of neurons (the basic cells of the nervous system that are specialized to communicate electrochemically with one another) and help determine where and when neurons will form connections and become diverse neurological structures. Externally, diverse experiences enhance the survival of neurons and play a major role in the degree of development of different neurological areas. Research has demonstrated that the greater the exposure a child receives to a particular experience, the greater the development of the neurological area involved in processing that type of stimulation. While this phenomenon occurs throughout the life span, the greatest im141
Psychology Basics pact of environmental stimulation in restructuring and reorganizing the brain occurs in the earliest years of life. Experience can alter the shape of the brain, but its basic architecture is determined before birth. The brain consists of three major subdivisions: the hindbrain (rhombencephalon, or “parallelogram-brain”), the midbrain (mesencephalon, or “midbrain”), and the forebrain (prosencephalon, or “forward brain”). The hindbrain is further subdivided into the myelencephalon (“marrow-brain”) and the metencephalon (“after-brain”), while the forebrain is divided into the diencephalon (“between-brain”) and the telencephalon (“end-brain”). To visualize roughly the locations of these brain areas in a person, one can hold an arm out, bend the elbow 90 degrees, and make a fist. If the forearm is the spinal cord, where the wrist enlarges into the base of the hand corresponds to the hindbrain, with the metencephalon farther up than the myelencephalon. The palm of the hand, enclosed by the fingers, would be the midbrain. The fingers would be analogous to the forebrain, with the topmost surface parts of the fingers being the telencephalon. One can take the analogy a step further. If a fist is made with the fingers of the other hand and placed next to the fist previously made, each fist would represent the two cerebral hemispheres of the forebrain, with the skin of the fingers representing the forebrain’s cerebral cortex, the six layers of cells that cover the two hemispheres. Finally, like close-fitting gloves, the meninges cover the cortex. The three layers of the meninges play a protective and nutritive role for the brain. The more advanced the species, the greater the development of the forebrain in general and the cortex in particular. The emphasis here is placed on a neuroanatomical examination of the human brain, beginning with a look at the hindbrain and progressing to an investigation of the cerebral cortex. The terms “anterior” (“toward the front”) and “posterior” (“toward the back”) will be used frequently in describing the location of different brain structures. Additionally, the words “superior” (“above”) and “inferior” (“below”) will be used to describe vertical locations. The Hindbrain As the spinal cord enters the skull, it enlarges into the bottommost structure of the brain, the medulla (or medulla oblongata). The medulla controls many of the most basic physiological functions for survival, particularly breathing and the beating of the heart. Reflexes such as vomiting, coughing, sneezing, and salivating are also controlled by the medulla. The medulla is sensitive to opiate and amphetamine drugs, and overdoses of these drugs can impair its normal functioning. Severe impairment can lead to a fatal shutdown of the respiratory and cardiovascular systems. Just above the medulla lie the pons, parts of the reticular formation, the raphe system, and the locus coeruleus. All these structures play a role in arousal and sleep. The pons plays a major role in initiating rapid eye move142
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(Hans & Cassidy, Inc.)
ment (REM) sleep. REM sleep is characterized by repeated horizontal eye movements, increased brain activity, and frequent dreaming. The reticular system (sometimes called the reticular activating system, or RAS) stretches from the pons through the midbrain to projections into the cerebral cortex. Activation of the reticular system, by sensory stimulation or thinking, causes increases in arousal and alertness in diverse areas of the brain. For the brain to pay attention to something, there must be activation from the reticular formation. The raphe system, like the reticular system, can increase the brain’s readiness to respond to stimuli. However, unlike the reticular formation, the raphe system can decrease alertness to stimulation, decrease sensitivity to pain, and initiate sleep. Raphe system activity is modulated somewhat by an adjacent structure called the locus coeruleus. Abnormal functioning of this structure has been linked with depression and anxiety. The largest structure in the metencephalon is the cerebellum, which branches off from the base of the brain and occupies a considerable space in the back of the head. The cerebellum’s primary function is the learning and control of coordinated perceptual-motor activities. Learning to walk, run, jump, throw a ball, ride a bike, or perform any other complex motor activity 143
Psychology Basics causes chemical changes to occur in the cerebellum that result in the construction of a sort of program for controlling the muscles involved in the particular motor skills. Activation of specific programs enables the performance of particular motor activities. The cerebellum is also involved in other types of learning and performance. Learning language, reading, shifting attention from auditory to visual stimuli, and timing (such as in music or the tapping of fingers) are just a few tasks for which normal cerebellar functioning is essential. People diagnosed with learning disabilities often are found to have abnormalities in the cerebellum. The Midbrain The superior and posterior part of the midbrain is called the tectum. There are two enlargements on both sides of the tectum known as the colliculi. The superior colliculus controls visual reflexes such as tracking the flight of a ball, while the inferior colliculus controls auditory reflexes such as turning toward the sound of a buzzing insect. Above and between the colliculi lies the pineal gland, which contains melatonin, a hormone that greatly influences the sleep-wake cycle. Melatonin levels are high when it is dark and low when it is light. High levels of melatonin induce sleepiness, which is one reason that people sleep better when it is darker. Another structure near the colliculi is the periaqueductal gray (PAG) area of the ventricular system. Stimulation of the PAG helps to block the sensation of pain. Beneath the tectum is the tegmentum, which includes some structures involved in movement. Red nucleus activity is high during twisting movements, especially of the hands and fingers. The substantia nigra smooths out movements and is influential in maintaining good posture. The characteristic limb trembling and posture difficulties of Parkinson’s disease are attributable to neuronal damage in the substantia nigra. The Forebrain Right above the midbrain, in the center of the brain, lies the thalamus, which is the center of sensory processing. All incoming sensory information, except for the sense of smell, goes to the thalamus first before it is sent on to the cerebral cortex and other areas of the brain. Anterior to and slightly below the thalamus is the hypothalamus. Hypothalamic activity is involved in numerous motivated behaviors such as eating, drinking, sexual activity, temperature regulation, and aggression. Its activity occurs largely through its regulation of the pituitary gland, which is beneath the hypothalamus. The pituitary gland controls the release of hormones that circulate in the endocrine system. subcortical structures. Numerous structures lie beneath the cerebral cortex in pairs, one in each hemisphere. Many of these structures are highly interconnected with one another and are therefore seen to be part of a system. Furthermore, most of the subcortical structures can be categorized as belonging to one of two major systems. Surrounding the thalamus is 144
Brain Structure one system called the basal ganglia, which is most prominently involved in movements and muscle tone. The basal ganglia deteriorate in Parkinson’s and Huntington’s diseases, both disorders of motor activity. The three major structures of the basal ganglia are the caudate nucleus and putamen, which form the striatum, and the globus pallidus. The activities of the basal ganglia extend beyond motor control. The striatum, for instance, plays a significant role in the learning of habits as well as in obsessive-compulsive disorder, a disorder of excessive habits. In addition, disorders of memory, attention, and emotional expression (especially depression) frequently involve abnormal functioning of the basal ganglia. The nucleus basalis, while not considered part of the basal ganglia, nevertheless is highly interconnected with those structures (and the hypothalamus) and receives direct input from them. Nucleus basalis activity is essential for attention and arousal. The other major subcortical system is the limbic system. The limbic system was originally thought to be involved in motivated or emotional behaviors and little else. Later research, however, demonstrated that many of these structures are crucial for memory formation. The fact that people have heightened recall for emotionally significant events is likely a consequence of the limbic system’s strong involvement in both memory and motivation or emotion. Two limbic structures are essential for memory formation. The hippocampus plays the key role in making personal events and facts into longterm memories. For a person to remember information of this nature for more than thirty minutes, the hippocampus must be active. In people with Alzheimer’s disease, deterioration of the hippocampus is accompanied by memory loss. Brain damage involving the hippocampus is manifested by amnesias, indecisiveness, and confusion. The hippocampus takes several years to develop fully. This is thought to be a major reason that adults tend to remember very little from their first five years of life, a phenomenon called infantile amnesia. The second limbic structure that is essential for learning and memory is the amygdala. The amygdala provides the hippocampus with information about the emotional context of events. It is also crucial for emotional perception, particularly in determining how threatening events are. When a person feels threatened, that person’s amygdala will become very active. Early experiences in life can fine-tune how sensitive a person’s amygdala will be to potentially threatening events. A child raised in an abusive environment will likely develop an amygdala that is oversensitive, predisposing that person to interpret too many circumstances as threatening. Two additional limbic structures work with the amygdala in the perception and expression of threatening events, the septal nuclei and the cingulate gyrus. High activity in the former structure inclines one to an interpretation that an event is not threatening. Activity in the latter structure is linked to positive or negative emotional expressions such as worried, happy, or angry looks. 145
Psychology Basics Other major structures of the limbic system include the olfactory bulbs and nuclei, the nucleus accumbens, and the mammillary bodies. The olfactory bulbs and nuclei are the primary structures for smell perception. Experiencing pleasure involves the nucleus accumbens, which is also often stimulated by anything that can become addictive. The mammillary bodies are involved in learning and memory. cortical lobes. The most complex thinking abilities are primarily attributable to the thin layers that cover the two cerebral hemispheres—the cortex. It is this covering of the brain that makes for the greatest differences between the intellectual capabilities of humans and other animals. Both hemispheres are typically divided into four main lobes, the distinct cortical areas of specialized functioning. There are, however, many differences among people, not only in the relative size of different lobes but also in how much cerebral cortex is not directly attributable to any of the four lobes. The occipital lobe is located at the back of the cerebral cortex. The most posterior tissue of this lobe is called the striate cortex because of its distinctive striped appearance. The striate cortex is also called the primary visual cortex because it is there that most visual information is eventually processed. Each of the layers of this cortical area is specialized to analyze different features of visual input. The synthesis of visual information and the interpretation of that result involve other lobes of the brain. The occipital lobe also plays the primary role in various aspects of spatial reasoning. Activities such as spatial orientation, map reading, or knowing what an object will look like if rotated a certain amount of degrees all depend on this lobe. Looking down on the top of the brain, a deep groove called the central sulcus can be seen roughly in the middle of the brain. Between the central sulcus and the occipital lobe is the parietal lobe. The parietal lobe’s predominate function is the processing of the bodily sensations: taste, touch, temperature, pain, and kinesthesia (feedback from muscles and joints). A parietal band of tissue called the postcentral gyrus that is adjacent to the central sulcus (posterior and runs parallel to it) contains the somatosensory cortex in which the surface of the body is represented upside down in a maplike fashion. Each location along this cortical area corresponds to sensations from a different body part. Furthermore, the left side of the body is represented on the right hemisphere and vice versa. Damage to the right parietal cortex usually leads to sensory neglect of the left side of the body—the person ignores sensory input from that side. However, damage to the left parietal cortex causes no or little sensory neglect of the right side of the body. The parietal lobe is involved with some aspects of distance sensation. The posterior parietal lobe plays a role in the visual location of objects and the bringing together of different types of sensory information, such as coordinating sight and sound when a person looks at someone who just called his or her name. Some aspects of the learning of language also engage the operation of the parietal cortex. 146
Brain Structure On the sides of each hemisphere, next to the temples of the head, reside the temporal lobes. The lobes closest to the ears are the primary sites of the interpretation of sounds. This task is accomplished in the primary auditory cortex, which is tucked into a groove in each temporal lobe, called a lateral sulcus. Low-frequency sounds are analyzed on the outer part of this sulcus; higher-pitched sounds are represented deeper inside this groove. Closely linked with auditory perception are two other major functions of the temporal lobe: language and music comprehension. Posterior areas, particularly Wernicke’s area, play key roles in word understanding and retrieval. More medial areas are involved in different aspects of music perception, especially the planum temporale. The temporal cortex is the primary site of two important visual functions. Recognition of visual objects is dependent on inferior temporal areas. These areas of the brain are very active during visual hallucinations. One area in this location, the fusiform gyrus, is very active during the perception of faces and complex visual stimuli. A superior temporal area near the conjunction of the parietal and occipital lobes is essential for reading and writing. The temporal lobe is in close proximity to, and shares strong connections with, the limbic system. Thus, it is not surprising that the temporal lobe plays a significant role in memory and emotions. Damage to the temporal cortex leads to major deficits in the ability to learn and in maintaining a normal emotional balance. The largest cerebral lobe, comprising one-third of the cerebral cortex, is the frontal lobe. It is involved in the greatest variety of neurological functions. The frontal lobe consists of several anatomically distinct and functionally distinguishable areas that can be grouped into three main regions. Starting at the central sulcus (which divides the parietal and frontal lobes) and moving toward the anterior limits of the brain, one finds, in order, the precentral cortex, the premotor cortex, and the prefrontal cortex. Each of these areas is responsible for different types of activities. In 1870 German physicians Gustav Fritsch and Eduard Hitzig were the first to stimulate the brain electrically. They found that stimulating different regions of the precentral cortex resulted in different parts of the body moving. Subsequent research identified a “motor map” that represents the body in a fashion similar to the adjacent and posteriorly located somatosensory map of the parietal lobe. The precentral cortex, therefore, can be considered the primary area for the execution of movements. The premotor cortex is responsible for planning the operations of the precentral cortex. In other words, the premotor cortex generates the plan to pick up a pencil, while the precentral cortex directs the arm to do so. Thinking about picking up the pencil, but not doing so, involves more activity in the premotor cortex than in the precentral cortex. An inferior premotor area essential for speaking was discovered in 1861 by Paul Broca and has since been named for him. Broca’s area, usually found only in the 147
Psychology Basics left hemisphere, is responsible for coordinating the various operations necessary for the production of speech. The prefrontal cortex is the part of the brain most responsible for a variety of complex thinking activities, foremost among them being decision making and abstract reasoning. Damage to the prefrontal cortex often leads to an impaired ability to make decisions, rendering the person lethargic and greatly lacking in spontaneous behavior. Numerous aspects of abstract reasoning, such as planning, organizing, keeping time, and thinking hypothetically, are also greatly disturbed by injuries to the prefrontal cortex. Research with patients who have prefrontal disturbances has demonstrated the important role of this neurological area in personality and social behavior. Patients with posterior prefrontal damage exhibit many symptoms of depression: apathy, restlessness, irritability, lack of drive, and lack of ambition. Anterior abnormalities, particularly in an inferior prefrontal region called the orbitofrontal area, result in numerous symptoms of psychopathy: lack of restraint, impulsiveness, egocentricity, lack of responsibility for one’s actions, and indifference to others’ opinions and rights. The prefrontal cortex also contributes to the emotional value of decisions, smell perception, working memory (the current ability to use memory), and the capacity to concentrate or shift attention. Children correctly diagnosed with attention-deficit hyperactivity disorder (ADHD) often have prefrontal abnormalities. hemispheric differences. The two cerebral hemispheres are connected by a large band of fibers called the corpus callosum and several small connections called commissures. In the early 1940’s, American surgeon William van Wagenen, in order to stop the spread of epileptic seizures from crossing from one hemisphere to the other, performed the first procedure of cutting the 200 million fibers of the corpus callosum. The results were mixed, however, and it was not until the 1960’s that two other American surgeons, Joe Bogen and P. J. Vogel, decided to try the operation again, this time also including some cutting of commissure fibers. The results reduced or stopped the seizures in most patients. However, extensive testing by American psychobiologist Roger Sperry and his colleagues demonstrated unique behavioral changes in the patients, called split-brain syndrome. Research with split-brain syndrome and less invasive imaging techniques of the brain, such as computed tomography (CT) and positron-emission tomography (PET) scans, has demonstrated many anatomical and functional differences between the left and right hemispheres. The degree of differences between the two cerebral hemispheres varies greatly, depending on a number of factors. Males develop the greatest lateralization—differences between the hemispheres—and develop the differences soonest. Those with a dominant right hand have greater lateralization than left- or mixed-handers. Therefore, when there is talk of “left brain versus right brain,” it is important to keep in mind that a greater degree of difference exists in right-handed males. A minority of people, usu148
Brain Structure ally left-handers, show little differences between the left and right hemispheres. The right hemisphere (RH) tends to be larger and heavier than the left hemisphere (LH), with the greatest difference in the frontal lobe. Conversely, several other neurological areas have been found to be larger in the LH: the occipital lobe, the planum temporale, Wernicke’s area, and the Sylvian fissure. An interesting gender difference in hemispheric operation is that the LH amygdala is more active in females, whereas the RH amygdala is more active in males. The left-brain/right-brain functional dichotomy has been the subject of much popular literature. While there are many differences in operation between the two hemispheres, many of these differences are subtle, and in many regards both hemispheres are involved in the psychological function in question, only to different degrees. The most striking difference between the two hemispheres is that the RH is responsible for sensory and motor functions of the left side of the body, and the LH controls those same functions for the body’s right side. This contralateral control is found, to a lesser degree, for hearing and, due to the optic chiasm, not at all for vision. In the domain of sound and communication, the LH plays a greater role in speech production, language comprehension, phonetic and semantic analysis, visual word recognition, grammar, verbal learning, lyric recitation, musical performance, and rhythm keeping. A greater RH contribution is found in interpreting nonlanguage sounds, reading Braille, using emotional tone in language, understanding humor and sarcasm, expressing and interpreting nonverbal communication (facial and bodily expressions), and perceiving music. Categorical decisions, the understanding of metaphors, and the figurative aspects of language involve both hemispheres. Regarding other domains, the RH plays a greater role in mathematical operations, but the LH is essential for remembering numerical facts and the reading and writing of numbers. Visually, the RH contributes more to mental rotation, facial perception, figured/ground distinctions, map reading, and pattern perception. Detail perception draws more on LH resources. The RH is linked more with negative emotions such as fear, anger, pain, and sadness, while positive affect is associated more with the LH. Exceptions are that schizophrenia, anxiety, and panic attacks have been found to be related more to increases in LH activity. Summary It has been estimated that the adult human brain contains 100 billion neurons, forming more than 13 trillion connections with one another. These connections are constantly changing, depending on how much learning is occurring and on the health of the brain. In this dynamic system of different neurological areas concerned with diverse functions, the question arises of how a sense of wholeness and stability emerges. In other words, where is the 149
Psychology Basics “me” in the mind? While some areas of the brain, such as the frontal lobe, appear more closely linked with such intimate aspects of identity as planning and making choices, it is likely that no single structure or particular function can be equated with the self. It may take the activity of the whole brain to give a sense of wholeness to life. Moreover, the self is not to be found anyplace in the brain itself. Instead, it is what the brain does—its patterns of activity—that defines the self. Sources for Further Study Goldberg, Stephen. Clinical Neuroanatomy Made Ridiculously Simple. Miami: MedMaster, 2000. One of a series of books intended to help students in the medical professions by presenting an abbreviated version of various medical subjects. The use of mnemonic devices, humor, and case studies makes the book accessible to a college-educated audience. Hendleman, Walter J. Atlas of Functional Neuroanatomy. Boca Raton, Fla.: CRC Press, 2000. Presents a visual tour of the brain through drawings, photographs, and computer-generated illustrations. Three-dimensional images of the brain can be observed by using the accompanying CDROM. Kalat, James W. Biological Psychology. 8th ed. Belmont, Calif.: Thomson Wadsworth, 2004. A top-selling book in the area of physiological psychology. While intended for college students, this engaging, easy-to-read text is accessible to general audiences. Two chapters contain excellent overviews of brain anatomy and functioning. Ornstein, Robert. The Right Mind: Making Sense of the Hemispheres. New York: Harcourt Brace, 1997. The author who helped popularize the left-brain/ right-brain dichotomy in The Psychology of Consciousness (1972) reexamines the functioning of the two hemispheres in this book. The result is an easy-to-read, entertaining view of hemispheric lateralization that dispels many myths about differences in hemispheric functioning. Ornstein, Robert, and Richard F. Thompson. The Amazing Brain. Boston: Houghton Mifflin, 1991. One of the best introductory books about the brain, written with a light and humorous touch. The lay reader will enjoy the accessibility of the text, the excellent (and unique) sketches, and the fanciful flare the authors use in examining a complicated subject. Paul J. Chara, Jr. See also: Animal Experimentation; Consciousness; Consciousness: Altered States; Endocrine System; Hormones and Behavior; Memory; Memory: Animal Research; Nervous System; Neuropsychology.
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Case-Study Methodologies Type of psychology: Psychological methodologies Field of study: Descriptive methodologies Case-study methodologies include a number of techniques for studying people, events, or other phenomena within their natural settings. Typically, case studies involve careful observations made over an extended period of time in situations where it is not possible to control the behaviors under observation. The results and interpretation of the data are recorded in narrative form. Key concepts • extraneous variable • independent variable • laboratory setting research • naturalistic observation • quasi-experiments According to social scientist Robert Yin, case-study research is one of the most frequently misunderstood methods used to study behaviors. Yin, in his book Case Study Research: Design and Methods (1984), points out that misconceptions have come about because of the limited coverage that case-study research receives in the average textbook on research methods. In addition, most texts typically confuse the case-study approach with either qualitative research methods or specific types of quasi-experimental designs (experiments that do not allow subjects to be assigned randomly to treatment conditions). Yin defines a case study as a method for studying contemporary phenomena within their natural settings, particularly when the behaviors under study cannot be manipulated or brought under the experimenter’s control. Thus, unlike studies that are performed in the sometimes rigidly sterile laboratory setting (in which phenomena are studied in an artificial environment with rigorous procedures in place to control for outside influences), the case-study approach collects data where the behaviors occur, in real-life contexts. Although behavior in natural settings can lead to a wealth of data waiting to be mined, case-study methodology also has its drawbacks. Someone using this approach needs to recognize that the lack of control over extraneous variables can compound the difficulty associated with trying to identify the underlying variables that are causing the behaviors. Extraneous variables can be defined as those that have a detrimental effect on a research study, making it difficult to determine if the result is attributable to the variable under study or to some unknown variable not controlled for. Despite this concern, case-study methods are seen as valuable research tools to help unlock the mysteries behind events and behaviors. The approach has been used by psychologists, sociologists, political scientists, anthropologists, historians, and economists, to name a few. 151
Psychology Basics History of Case Studies Long before the scientific community began to formalize the procedures associated with conducting case studies, scientists, philosophers, and physicians were studying phenomena in their natural contexts by making direct observations and later systematically recording them. Although it is difficult to pinpoint how long this method has been used, there are a number of documented cases dating back to the second and third centuries. Galen, a leading physician in Rome in the second century, spent five years as a surgeon to the gladiators in the Roman Colosseum. During this time, he made painstaking observations correlating head injuries that the gladiators received with loss of intellectual abilities. In a sense, this was a prelude to the case study of today. Psychology has been heavily influenced by the natural sciences. Since the natural sciences gave birth to the scientific method—a particular technique for gaining knowledge which includes the testing of hypotheses in ways that can be verified—it is not surprising that psychology adopted a modified version of the scientific method that could be applied to the study of people and other organisms. It soon became apparent, however, that not all situations lend themselves to study by an experiment. Thus, it was important for alternative methodologies to be developed and used. The case study is an outgrowth of this quest to find alternative methods for studying complex phenomena. Design Types and Purposes Yin suggests that case-study designs vary according to two distinct dimensions. One dimension accounts for the number of “cases” being studied: the presence of either single- or multiple-case designs. A second dimension allows for case studies to be either “holistic” (studying the entire unit of analysis as a single global entity) or “embedded” (allowing multiple units of analysis to be studied for the purpose of understanding their interworkings). According to Yin, this classification system leaves the researcher with a choice among four different design types: single-case (holistic) design, single-case (embedded) design, multiple-case (holistic) design, and multiplecase (embedded) design. Choosing among these designs involves the kinds of research questions that the researcher is attempting to answer. Case-study methods are initiated for a variety of reasons, one of which is to serve as a vehicle for exploratory research. As a new research area begins to develop, the initial uncharted territory is sometimes best studied (particularly when the research questions are ill-defined) using a case-study method to determine which direction should be pursued first. This method has therefore been commonly misperceived as being able to contribute only in a limited exploratory capacity; however, the case study can, and should, be used not only to help focus initial research questions but also to describe and explain behaviors. As Yin makes clear, both “how” questions and “why” questions can be answered by this approach. 152
Case-Study Methodologies Experiments Versus Case Studies A frequently asked question is, “When should one choose to conduct a case study, rather than an experiment?” To answer this question, it is important to understand some basic differences between case-study methods and experimental designs. Experiments allow the researcher to manipulate the independent variables (those under the control of the experimenter) that are being studied. For example, in a study to determine the most effective treatment approach for severe depression, subjects could be randomly assigned to one of three different treatments. The treatments are under the control of the researcher in the sense that he or she determines who will get a particular treatment and exactly what it will be. On the other hand, case studies are used in situations where the variables cannot be manipulated. Experiments typically, although not exclusively, are performed in a laboratory setting. Case studies occur in naturalistic settings, a research environment in which, in contrast to laboratory research, subjects are studied in the environment in which they live, with little or no intervention on the part of the researcher. Experiments are characterized as having rigorous control over extraneous variables. Case studies typically lack such control. Experiments place a heavy emphasis on data-analysis procedures that use numbers and statistical testing. Case studies emphasize direct observation and systematic interviewing techniques, and they are communicated in a narrative form. Experiments are designed so that they can be repeated. Case studies, by their very nature, can be quite difficult to repeat. Single-Case Versus Multiple-Case Studies One of Yin’s dimensions for classifying case studies involves single-case versus multiple-case studies. In some instances, only a single-case study is necessary or at times even possible; this is true when a unique case comes along that presents a valuable source of information. For example, a social scientist wanting to explore the emotional impact of a national tragedy on elementary-school children might choose to study the Challenger space shuttle disaster or the World Trade Center attacks, as a single-case study. Eminent Russian psychologist Aleksandr Luria, in his book The Mind of a Mnemonist: A Little Book About a Vast Memory (1968), has, in a most engaging style, described a single-case (holistic) study. The case involved a man by the name of Shereshevskii (identified in the book as subject “S”) who possessed an extraordinary memory. Luria began to observe “S” systematically in the 1920’s, after “S” had asked him to test his memory. Luria was so astounded by the man’s ability to study information for brief periods of time and then repeat it back to him without an error that he continued to observe and test “S” over the following thirty years. Luria was convinced that this man possessed one of the best memories ever studied. Because of the nature of the phenomenon—an unusually vast memory— and the fact that this man was capable of performing memory feats never 153
Psychology Basics before witnessed, a single-case (holistic) study was begun. When studying rare phenomena, as in this instance, it is not possible to find the number of subjects typically required for an experiment; thus, the case-study approach presents the best alternative. Over the ensuing thirty years, Luria carefully documented the results of literally hundreds of memory feats. In some instances, Luria presented “S” with a list of words to memorize and asked him to recall them immediately. At other times, without any forewarning, Luria asked “S” to recall words from lists given more than fifteen years before. In most of these instances, “S” recalled the list with only a few errors. Luria commented on much more than the results of these memory tests; he also carefully studied the personality of “S.” Luria wanted to understand him as a whole person, not only as a person with a great memory. Closely involved with his subject, Luria personally gave the instructions and collected the data. Whereas the data from the memory tasks provided some degree of objectivity to the study, most of the information came from the subjective observations and judgments made by Luria himself. The study was reported in a book-length narrative. Hawthorne Studies A second example involves a case study that was part of a larger group known as the Hawthorne studies, conducted at the Western Electric Company, near Chicago, in the 1920’s. One particular study, called the Bank Wiring Observation Room Study, was initiated to examine the informal social interactions that occur within a small group of employees in an industrial plant. A group of fourteen men was moved to a self-contained work room that simulated the plant environment; a psychologist was assigned to observe the behavior of the group. No manipulation of any variables occurred; there was only passive observation of the employees’ behavior. As might be expected, the presence of the observer discouraged many of the men from behaving as they normally would if someone were not present. The men were suspicious that the psychologist would inform their supervisor of any behaviors that were not allowed on the job. After a month passed, however, the men became accustomed to the observer and started to behave as they normally did inside the plant. (One should note the length of time needed to begin observing “normal” work behaviors; most experiments would have been terminated long before the natural behaviors surfaced.) The informal social interactions of this group were studied for a total of eight months. This study was significant in that it exposed a number of interesting social phenomena that occur in a small division at work. One finding was that informal rules were inherent in the group and were strictly enforced by the group. For example, workers always reported that the same number of units were assembled for that day, regardless of how many were actually assembled. This unspoken rule came from a group that had considerable influence over the rate of production. Also, despite a company policy that for154
Case-Study Methodologies bade an employee to perform a job he was not trained to do, men frequently rotated job assignments to counteract the boredom that typically occurs in this kind of work. This study was important because it systematically observed the naturally occurring relationships and informal social interactions that exist in an industrial setting. The case-study method proved to be very effective in bringing this information to light. Case Study Criticisms Over the years, case-study methods have not received universal acceptance, which can be seen in the limited exposure that they receive in social science textbooks on methodology; it is not uncommon for a textbook to devote only a few paragraphs to this method. This attitude is attributable in part to some of the criticisms raised about case-study designs. One criticism is that this technique lends itself to distortions or falsifications while the data are being collected. Because direct observation may rely on subjective criteria, in many instances based on general impressions, it is alleged that this data should not be trusted. A second criticism is that it is difficult to draw causeand-effect conclusions because of the lack of control measures to rule out alternative rival hypotheses. Third, the issue of generalization is important after the data have been collected and interpreted. There will often be a question regarding the population to which the results can be applied. In the second half of the twentieth century, there appears to have been a resurgence of the use of case-study methods. Part of the impetus for this change came from a reactionary movement against the more traditional methods that collect data in artificial settings. The case-study method plays a significant role in studying behavior in real-life situations, under a set of circumstances that would make it impossible to use any other alternative. Sources for Further Study Baker, Therese L. Doing Social Research. 3d ed. New York: McGraw-Hill, 1998. Gives the reader a general introduction to field research, observational studies, data collection methods, survey research, and sampling techniques as well as other topics which will help the reader evaluate “good” field experiments from those that are poorly constructed. Berg, Bruce L. Qualitative Research Methods for the Social Sciences. 4th ed. Boston: Allyn & Bacon, 2000. Discusses a field strategy used by anthropologists and sociologists to study groups of people; in addition, discusses the ethical issues that arise while conducting research. Looks at the dangers of covert research and provides the guidelines established by the National Research Act. Griffin, John H. Black Like Me. Reprint. New York: Signet, 1996. This excellent book, first published in 1962, is a narrative of the author’s experiences traveling around the United States observing how people react to him after he takes on the appearance of a black man. This monumental 155
Psychology Basics field study, which contributed to an understanding of social prejudice, provides the reader with an excellent example of the significance of and need for conducting field research. Luria, Aleksandr R. The Mind of a Mnemonist: A Little Book About a Vast Memory. 1968. Reprint. Cambridge, Mass: Harvard University Press, 1988. A fascinating case study, written by a founder of neuropsychology and one of the most significant Russian psychologists. Directed toward a general audience. The case study focuses on his subject, Shereshevskii (subject “S”), and his extraordinary memory. Singleton, Royce, Jr., et al. Approaches to Social Research. 3d ed. New York: Oxford University Press, 1999. This well-written text discusses various aspects of field experimentation, such as how to select a research setting and gather information, how to get into the field, and when a field study should be adopted. The chapter on experimentation can be used to contrast “true” experiments with field studies. Spradley, James. Participant Observation. New York: International Thompson, 1997. A guide to constructing and carrying out a participant observation study, from a chiefly anthropological perspective. Yin, Robert K. Case Study Research: Design and Methods. 3d ed. Thousand Oaks, Calif.: Sage, 2003. This volume is perhaps the finest single source on case-study methods in print. Yin shows the reader exactly how to design, conduct, analyze, and even write up a case study. Approximately forty examples of case studies are cited with brief explanations. Not highly technical. Bryan C. Auday See also: Animal Experimentation; Experimentation: Independent, Dependent, and Control Variables; Survey Research: Questionnaires and Interviews.
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Clinical Depression Type of psychology: Psychopathology Field of study: Depression Clinical depression is an emotional disorder characterized by extreme sadness or a loss of ability to experience pleasure. Its clinical features also include symptoms that are cognitive (for example, low self-worth), behavioral (for example, decreased activity level), and physical (for example, fatigue). Depression is a frequently diagnosed disorder in both inpatient and outpatient mental health settings. Key concepts • anhedonia • Beck Depression Inventory (BDI) • Children’s Depression Inventory (CDI) • cognitive therapy for depression • dysphoria • dysthymic disorder • helplessness • monoamine oxidase inhibitors (MAOIs) • tricyclics Clinical depression is a severe emotional disorder that is characterized by four classes of symptoms: emotional, cognitive, behavioral, and physical. The major emotional symptoms, at least one of which is necessary for the diagnosis of depression, are dysphoria (extreme sadness or depressed mood) and anhedonia (lack of capacity to experience pleasure). Depressed individuals also experience cognitive symptoms. They may have feelings of worthlessness or excessive or inappropriate guilt. Some may have recurrent thoughts of death or suicidal ideation; others actually attempt suicide or create a specific plan for doing so. Behavioral symptoms of depression may include either restlessness or agitation, diminished ability to think or concentrate, and indecisiveness. Depressed individuals also experience several physical symptoms. They become easily fatigued, experience a loss or gain in appetite, show significant weight loss or gain, and experience sleep disturbances, such as insomnia (an inability to fall asleep) or hypersomnia (excessive sleepiness). Prevalence Depression is one of the more commonly experienced mental disorders. For example, in 1985, psychologists John Wing and Paul Bebbington examined research that used psychological tests to measure the prevalence of (or lifetime risk for) depression in the general population. They found that estimates of the prevalence of depression generally ranged from about 5 to 10 percent. Interestingly, all the studies examined by Wing and Bebbington agreed that depression was more common in women than in men. Estimates 157
Psychology Basics of the prevalence of depression ranged from 2.6 to 4.5 percent in men and from 5.9 to 9.0 percent in women. Depression is also related to other characteristics. Risk for depression increases with age. The evidence is clear that depression is more common in adults and the elderly than in children or adolescents. Interest in childhood depression has increased since the early 1970’s, however, and the number of children and adolescents who have been diagnosed as depressed has increased since that time. Depression is also related to socioeconomic status. In general, people who are unemployed and who are in lower income groups have higher risks for depression than others. This may be a result of the higher levels of stress experienced by individuals in lower-income groups. Finally, family history is related to depression. That is, clinical depression tends to run in families. This is consistent with both biological and psychological theories of depression. Psychologists face several difficulties when attempting to determine the prevalence of depression. First, the symptoms of depression range in severity from mild to severe. It may not always be clear at which point these symptoms move from the mild nuisances associated with “normal” levels of sadness to significant symptoms associated with clinical depression. Since the early 1970’s, clinical psychologists have devoted an increased amount of attention to depressions that occur at mild to moderate levels. Even though these milder depressions are not as debilitating as clinical depression, they produce significant distress for the individual and so warrant attention. In 1980 the term “dysthymic disorder” was introduced to describe depressions which, although mild to moderate, persist chronically. Another complication in determining the prevalence of depression is that it may occur either as a primary or as a secondary problem. As a primary problem, depression is the initial or major disorder which should be the focus of clinical intervention. On the other hand, as a secondary problem, depression occurs in reaction to or as a consequence of another disorder. For example, many patients experience such discomfort or distress from medical or mental disorders that they eventually develop the symptoms of depression. In this case, the primary disorder and not depression is usually the focus of treatment. Treatment Approaches There are several major approaches to the treatment of clinical depression, each focusing on one of the four classes of symptoms of depression. Psychoanalytic therapists believe that the cause of depression is emotional: underlying anger that stems from some childhood loss and that has been turned inward. Psychoanalysts therefore treat depression by helping the patient to identify the cause of the underlying anger and to cope with it in an effective manner. Psychiatrist Aaron T. Beck views depression primarily as a cognitive disorder. He holds that depressives have negative views of self, world, and fu158
Clinical Depression ture, and that they interpret their experiences in a distorted fashion so as to support these pessimistic views. A related cognitive model of depression is that of Martin E. P. Seligman. He argues that depression results from the perception that one is helpless or has little or no control over the events in one’s life. Seligman has shown that laboratory-induced helplessness produces many of the symptoms of depression. Cognitive therapy for depression, which Beck described in 1979, aims at helping depressed patients identify and then change their negative and inaccurate patterns of thinking. Behavioral therapists view depression as the result of conditioning. Psychologist Peter Lewinsohn suggests that depression results from low amounts of reinforcement. His behavioral therapy for depression aims at increasing reinforcement levels, through scheduling pleasant activities and improving the patient’s social skills. Biologically oriented therapies exist as well. Two classes of antidepressant medications, monoamine oxidase inhibitors (MAOIs) and tricyclics, are effective both in treating clinical depression and in preventing future episodes of depression. Electroconvulsive (shock) therapy (ECT) has also been found to be effective in treating severe depression. Although the reasons the biological treatments work have not been conclusively identified, it is thought that they are effective because they increase the activity or amounts of norepinephrine and serotonin, two neurotransmitters which are important in the transmission of impulses in the nervous system. Depression Measures In 1983, Eugene Levitt, Bernard Lubin, and James Brooks reported the results of the National Depression Survey, which attempted to determine the prevalence and correlates of depression in the general population. They interviewed more than 3,000 people, including 622 teenagers, who were randomly selected to be a representative sample of the entire United States’ population. Subjects completed a brief self-report measure of depression and answered questions concerning their age, occupation, education, religion, and other variables. Levitt, Lubin, and Brooks found that slightly more than 3 percent of the population was experiencing depression that was severe enough to warrant clinical intervention and so could be termed clinical depression. This figure is similar to that found by other investigators. In addition, Levitt, Lubin, and Brooks found that depression was related to sex, age, occupational status, and income. Depression was higher for subjects who were female, older, lower in occupational status, and either low or high in income (earning less than $6,000 or more than $25,000). One of the most widely used measures of depression is the Beck Depression Inventory (BDI). Beck introduced this test in 1961 to assess the severity of depression in individuals who are known or suspected to have depression. The BDI has twenty-one items, each concerning a symptom of depression 159
Psychology Basics
DSM-IV-TR Criteria for Major Depression Major Depressive Episode Five or more of the following symptoms present during the same two-week period and representing a change from previous functioning: • depressed mood or loss of interest or pleasure (at least one); does not include symptoms clearly due to a general medical condition, moodincongruent delusions, or hallucinations • depressed mood most of the day, nearly every day, as indicated by either subjective report or observation made by others; in children and adolescents, can be irritable mood • markedly diminished interest or pleasure in all, or almost all, activities most of the day, nearly every day, as indicated by either subjective account or observation made by others • significant weight loss (when not dieting) or weight gain or decrease/ increase in appetite nearly every day; in children, consider failure to make expected weight gains • insomnia or hypersomnia nearly every day • psychomotor agitation or retardation nearly every day observable by others, not merely subjective feelings of restlessness or being slowed down • fatigue or loss of energy nearly every day • feelings of worthlessness or excessive or inappropriate guilt (which may be delusional) nearly every day, not merely self-reproach or guilt about being sick • diminished ability to think or concentrate, or indecisiveness, nearly every day, either by subjective account or as observed by others • recurrent thoughts of death (not just fear of dying), recurrent suicidal ideation without a specific plan, or suicide attempt or specific plan for committing suicide Criteria for Mixed Episode not met Symptoms cause clinically significant distress or impairment in social, occupational, or other important areas of functioning
(for example, weight loss, suicidal thinking) which is rated for severity. The BDI can be self-administered or can be completed by an interviewer. Since its introduction, the BDI has become one of the most widely used measures of depression for both research and clinical purposes. Many studies have shown that the BDI is an accurate and useful measure of depression. For example, BDI scores have been found to be related to both clinicians’ ratings of the severity of a patient’s depression and clinical improvements during the course of treatment for depression as well as being able to discrimi160
Clinical Depression Symptoms not due to direct physiological effects of a substance or general medical condition Symptoms not better accounted for by bereavement, persist for longer than two months, or characterized by marked functional impairment, morbid preoccupation with worthlessness, suicidal ideation, psychotic symptoms, or psychomotor retardation Major Depressive Disorder, Single Episode (DSM code 296.2x) Presence of single Major Depressive Episode Major Depressive Episode not better accounted for by Schizoaffective Disorder and not superimposed on Schizophrenia, Schizophreniform Disorder, Delusional Disorder, or Psychotic Disorder Not Otherwise Specified No Manic Episodes, Mixed Episodes, or Hypomanic Episodes, unless all manic-like, mixed-like, or hypomanic-like episodes are substance- or treatmentinduced or due to direct physiological effects of a general medical condition Specify for current or most recent episode: Severity/Psychotic/Remission Specifiers; Chronic; with Catatonic Features; with Melancholic Features; with Atypical Features; with Postpartum Onset Major Depressive Disorder, Recurrent (DSM code 296.3x) Presence of two or more Major Depressive Episodes; with an interval of at least two consecutive months in which criteria not met for Major Depressive Episode Major Depressive Episodes not better accounted for by Schizoaffective Disorder and not superimposed on Schizophrenia, Schizophreniform Disorder, Delusional Disorder, or Psychotic Disorder Not Otherwise Specified No Manic Episodes, Mixed Episodes, or Hypomanic Episodes, unless all manic-like, mixed-like, or hypomanic-like episodes are substance- or treatmentinduced or due to direct physiological effects of a general medical condition Specify for current or most recent episode: Severity/Psychotic/Remission Specifiers; Chronic; with Catatonic Features; with Melancholic Features; with Atypical Features; with Postpartum Onset Specify: Longitudinal Course Specifiers (with and Without Interepisode Recovery); with Seasonal Pattern
nate between the diagnosis of clinical depression and other conditions. Psychologist Maria Kovacs developed the Children’s Depression Inventory (CDI) by modifying the BDI for use with children. Similar in format to the BDI, the CDI contains twenty-eight items, each of which concerns a symptom of depression that is rated for severity. Research has supported the utility of the CDI. CDI ratings have been found to be related to clinicians’ ratings of childhood depression. CDI scores have also been found to discriminate children hospitalized for depression from children hospitalized 161
Psychology Basics for other disorders. The CDI (along with other measures of childhood depression) has contributed to psychology’s research on and understanding of the causes and treatment of childhood depression. Depression Research Many research projects since the 1970’s have examined the effectiveness of cognitive and behavioral treatments of depression. Beck and his colleagues have demonstrated that cognitive therapy for depression is superior to no treatment whatsoever and to placebos (inactive psychological or medical interventions which should have no real effect but which the patient believes have therapeutic value). In addition, this research has shown that cognitive therapy is about as effective as both antidepressant medications and behavior therapy. Similarly, Lewinsohn and others have shown the effectiveness of behavior therapy on depression by demonstrating that it is superior to no treatment and to placebo conditions. One of the most important studies of the treatment of depression is the Treatment of Depression Collaborative Research Program, begun by the National Institute of Mental Health (NIMH) in the mid-1980’s. Members of a group of 250 clinically depressed patients were randomly assigned to one of four treatment conditions: interpersonal psychotherapy, cognitive behavioral psychotherapy, tricyclic antidepressant medication, and placebo medication. Treatment was presented over sixteen to twenty sessions. Patients were assessed by both self-report and a clinical evaluator before treatment, after every fourth session, and at six-, twelve-, and eighteen-month followups after the end of treatment. This study found that patients in all four treatment conditions improved significantly over the course of therapy. In general, patients who received antidepressant medication improved the most, patients who received the placebo improved the least, and patients who received the two forms of psychotherapy improved to an intermediate degree (but were closer in improvement to those receiving antidepressant medication than to those receiving the placebo). This study also found that, for patients in general, there was no significant difference between the effectiveness rates of the antidepressant medication and the two forms of psychotherapy. For severely depressed patients, however, antidepressant medication and interpersonal psychotherapy were found to be more effective than other treatments; for less severely depressed patients, there were no differences in effectiveness across the four treatment conditions. Theories Clinical depression is one of the most prevalent psychological disorders. Because depression is associated with an increased risk for suicide, it is also one of the more severe disorders. For these reasons, psychologists have devoted much effort to determining the causes of depression and developing effective treatments. 162
Clinical Depression Theories and treatments of depression can be classified into four groups: emotional, cognitive, behavioral, and physical. In the first half of the twentieth century, the psychoanalytic theory of depression, which emphasizes the role of the emotion of anger, dominated clinical psychology’s thinking about the causes and treatment of depression. Following the discovery of the first antidepressant medications in the 1950’s, psychologists increased their attention to physical theories and treatments of depression. Since the early 1970’s, Beck’s and Seligman’s cognitive approaches and Lewinsohn’s behavioral theory have received increased amounts of attention. By the 1990’s, the biological, cognitive, and behavioral theories of depression had all surpassed the psychoanalytic theory of depression in terms of research support for their respective proposed causes and treatments. Another shift in emphasis in psychology’s thinking about depression concerns childhood depression. Prior to the 1970’s, psychologists paid relatively little attention to depression in children; classical psychoanalytic theory suggested that children had not yet completed a crucial step of their psychological development that psychoanalysts believed was necessary for a person to become depressed. Thus, many psychologists believed that children did not experience depression or that, if they did become depressed, their depressions were not severe. Research in the 1970’s demonstrated that children do experience depression and that, when depressed, children exhibit symptoms similar to those of depressed adults. Since the 1970’s, psychologists have devoted much effort to understanding the cause and treatment of childhood depression. Much of this work has examined how the biological, cognitive, and behavioral models of depression, originally developed for and applied to adults, may generalize to children. Another shift in psychology’s thinking about depression concerns the attention paid to mild and moderate depressions. Since the 1960’s, clinical psychology has been interested in the early detection and treatment of minor conditions in order to prevent the development of more severe disorders. This emphasis on prevention has influenced the field’s thinking about depression. Since the early 1970’s, psychologists have applied cognitive and behavioral models of depression to nonpatients who obtain high scores on measures of depression. Even though these individuals are not clinically depressed, they still experience significant distress and so may benefit from the attention of psychologists. By using cognitive or behavioral interventions with these individuals, psychologists may prevent the development of more severe depressions. Sources for Further Study Beck, Aaron T., A. J. Rush, B. F. Shaw, and G. Emery. Cognitive Therapy of Depression. 1979. Reprint. New York: Guilford Press, 1987. Summarizes the cognitive theory of depression and describes how this model can be applied in the treatment of depressed patients. Beutler, Larry E., John F. Clarkin, and Bruce Bongar. Guidelines for the System163
Psychology Basics atic Treatment of the Depressed Patient. New York: Oxford University Press, 2000. Summarizes the state of research and extracts treatment principles that can be applied by mental health professionals from a wide range of theoretical backgrounds. Blazer, Dan. Depression in Late Life. 3d ed. New York: Springer, 2002. A comprehensive review of the treatment of depression among the elderly. Covers epidemiology, pharmacology, depression and cognitive impairment, unipolar and bipolar disorders, bereavement, and existential depression. Hammen, Constance. Depression. New York: Psychology Press, 1997. A modular course presenting research-based information on the diagnosis and treatment of depression. Written for students and mental health professionals. Lewinsohn, Peter M., Rebecca Forster, and M. A. Youngren. Control Your Depression. Rev. ed. New York: Simon & Schuster, 1992. A self-help book for a general audience. Describes Lewinsohn’s behavioral therapy, which has been found to be an effective treatment for depression. Nezu, Arthur M., George F. Ronan, Elizabeth A. Meadows, and Kelly S. McClure, eds. Practitioner’s Guide to Empirically Based Measures of Depression. New York: Plenum Press, 2000. Reviews and compares more than ninety measures of depression in terms of requirements, suitability, costs, administration, reliability, and validity. Seligman, Martin E. P. Helplessness: On Depression, Development, and Death. 1975. Reprint. San Francisco: W. H. Freeman, 1992. Seligman explains the learned helplessness theory of depression, describing his early research and comparing the symptoms of laboratory-induced helplessness to those of clinical depression. Michael Wierzbicki See also: Bipolar Disorder; Cognitive Behavior Therapy; Cognitive Therapy; Depression; Diagnosis; Drug Therapies; Mood Disorders; Suicide.
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Cognitive Behavior Therapy Type of psychology: Psychotherapy Field of study: Behavioral therapies A number of approaches to therapy fall within the scope of cognitive behavior therapy. These approaches all share a theoretical perspective that assumes that internal cognitive processes, called thinking or cognition, affect behavior; that this cognitive activity may be monitored; and that desired behavior change may be effected through cognitive change. Key concepts • behavior therapy • cognition • cognitive restructuring • cognitive therapy • depression The cognitive behavior therapies are not a single therapeutic approach but rather a loosely organized collection of therapeutic approaches that share a similar set of assumptions. At their core, cognitive behavior therapies share three fundamental propositions: Cognitive activity affects behavior; cognitive activity may be monitored and altered; and desired behavior change may be effected through cognitive change. The first of the three fundamental propositions of cognitive behavior therapy suggests that it is not the external situation which determines feelings and behavior but rather the person’s view or perception of that external situation that determines feelings and behavior. For example, if one has failed the first examination of a course, one could appraise it as a temporary setback to be overcome or as a horrible loss. While the situation remains the same, the thinking about that situation is radically different in the two examples cited. Each of these views will lead to significantly different emotions and behaviors. The third cognitive behavioral assumption suggests that desired behavior change may be effected through cognitive change. Thus, while cognitive behavior theorists do not reject the notion that rewards and punishment (reinforcement contingencies) can alter behavior, they are likely to emphasize that there are alternative methods for behavior change, one in particular being cognitive change. Many approaches to therapy fall within the scope of cognitive behavior therapy as it is defined above. While these approaches share the theoretical assumptions described above, a review of the major therapeutic procedures subsumed under the heading of cognitive behavior therapy reveals a diverse amalgam of principles and procedures, representing a variety of theoretical and philosophical perspectives. Rational Therapies Rational-emotive therapy, developed by psychologist Albert Ellis, is regarded by many as one of the premier examples of the cognitive behavioral ap165
Psychology Basics proach; it was introduced in the early 1960’s. Ellis proposed that many people are made unhappy by their faulty, irrational beliefs, which influence the way they interpret events. The therapist will interact with the patient, attempting to direct him or her to more positive and realistic views. Cognitive therapy, pioneered by Aaron T. Beck, has been applied to such problems as depression and stress. For stress reduction, ideas and thoughts that are producing stress in the patient will be questioned; the therapist will get the patient to examine the validity of these thoughts. Thought processes can then be restructured so the situations seem less stressful. Cognitive therapy has been found to be quite effective in treating depression, as compared to other therapeutic methods. Beck held that depression is caused by certain types of negative thoughts, such as devaluing the self or viewing the future in a consistently pessimistic way. Rational behavior therapy, developed by psychiatrist Maxie Maultsby, is a close relative of Ellis’s rational-emotive therapy. In this approach, Maultsby combines several approaches to include rational-emotive therapy, neuropsychology, classical and operant conditioning, and psychosomatic research; however, Maultsby was primarily influenced by his association with Albert Ellis. In this approach, Maultsby attempts to couch his theory of emotional disturbance in terms of neuropsychophysiology and learning theory. Rational behavior therapy assumes that repeated pairings of a perception with evaluative thoughts lead to rational or irrational emotive and behavioral reactions. Maultsby suggests that self-talk, which originates in the left hemisphere of the brain, triggers corresponding right-hemisphere emotional equivalents. Thus, in order to maintain a state of psychological health, individuals must practice rational self-talk that will, in turn, cause the right brain to convert left-brain language into appropriate emotional and behavioral reactions. Rational behavior therapy techniques are quite similar to those of rationalemotive therapy. Both therapies stress the importance of monitoring one’s thoughts in order to become aware of the elements of the emotional disturbance. In addition, Maultsby advocates the use of rational-emotive imagery, behavioral practice, and relaxation methods in order to minimize emotional distress. Self-Instructional Training Self-instructional training was developed by psychologist Donald Meichenbaum in the early 1970’s. In contrast to Ellis and Beck, whose prior training was in psychoanalysis, Meichenbaum’s roots are in behaviorism and the behavioral therapies. Thus Meichenbaum’s approach is heavily couched in behavioral terminology and procedures. Meichenbaum’s work stems from his earlier research in training schizophrenic patients to emit “healthy speech.” By chance, Meichenbaum observed that patients who engaged in spontaneous self-instruction were less distracted and demonstrated superior task performance on a variety of tasks. As a result, Meichenbaum emphasizes the 166
Cognitive Behavior Therapy critical role of “self-instructions”—simple instructions such as “Relax. . . Just attend to the task”—and their noticeable effect on subsequent behavior. Meichenbaum developed self-instructional training to treat the deficits in self-instructions manifested in impulsive children. The ultimate goal of this program was to decrease impulsive behavior. The way to accomplish this goal, as hypothesized by Meichenbaum, was to train impulsive children to generate verbal self-commands, to respond to their verbal self-commands, and to encourage the children to self-reinforce their behavior appropriately. The specific procedures employed in self-instructional training involve having the child observe a model performing a task. While the model is performing the task, he or she is talking aloud. The child then performs the same task while the model gives verbal instructions. Subsequently, the child performs the task while instructing himself or herself aloud, then while whispering the instructions. Finally, the child performs the task covertly. The self-instructions employed in the program included questions about the nature and demands of the task, answers to these questions in the form of cognitive rehearsal, self-instructions in the form of self-guidance while performing the task, and self-reinforcement. Meichenbaum and his associates have found that this self-instructional training program significantly improves the task performance of impulsive children across a number of measures. Systematic Rational Restructuring Systematic rational restructuring is a cognitive behavioral procedure developed by psychologist Marvin Goldfried in the mid-1970’s. This procedure is a variation on Ellis’s rational-emotive therapy; however, it is more clearly structured than Ellis’s method. In systematic rational restructuring, Goldfried suggests that early social learning experiences teach individuals to label situations in different ways. Further, Goldfried suggests that emotional reactions may be understood as responses to the way individuals label situations, as opposed to responses to the situations themselves. The goal of systematic rational restructuring is to train patients to perceive situational cues more accurately. The process of systematic rational restructuring is similar to systematic desensitization, in which a subject is to imagine fearful scenes in a graduated order from the least fear-provoking to the most fear-provoking scenes. In systematic rational restructuring, the patient is asked to imagine a hierarchy of anxiety-eliciting situations. At each step, the patient is instructed to identify irrational thoughts associated with the specific situation, to dispute them, and to reevaluate the situation more rationally. In addition, patients are instructed to practice rational restructuring in specific real-life situations. Stress Inoculation Stress inoculation training incorporates several of the specific therapies already described. This procedure was developed by Meichenbaum. Stress inoculation training is analogous to being inoculated against disease. That is, 167
Psychology Basics it prepares patients to deal with stress-inducing events by teaching them to use coping skills at low levels of the stressful situation and then gradually to cope with more and more stressful situations. Stress inoculation training involves three phases: conceptualization, skills acquisition and rehearsal, and application and follow-through. In the conceptualization phase of stress inoculation training, patients are given an adaptive way of viewing and understanding their negative reactions to stressful events. In the skills-acquisition and rehearsal phase, patients learn coping skills appropriate to the type of stress they are experiencing. With interpersonal anxiety, a patient might develop skills that would make the feared situation less threatening (for example, learning to initiate and maintain conversations). The patient might also learn deep muscle relaxation to lessen tension. In cases of anger, patients learn to view potential provocations as problems that require a solution rather than as threats that require an attack. Patients are also taught to rehearse alternative strategies for solving the problem at hand. The application and follow-through phase of stress inoculation training involves the patients practicing and applying the coping skills. Initially, patients are exposed to low levels of stressful situations in imagery. They practice applying their coping skills to handle the stressful events, and they overtly role-play dealing with stressful events. Next, patients are given homework assignments that involve gradual exposure to actual stressful events in his or her everyday life. Stress inoculation training has been effectively applied to many types of problems. It has been used to help people cope with anger, anxiety, fear, pain, and health-related problems (for example, cancer and hypertension). It appears to be suitable for all age levels. Problem-Solving Therapy Problem-solving therapy, as developed by psychologists Thomas D’Zurilla and Marvin Goldfried, is also considered one of the cognitive behavioral approaches. In essence, problem-solving therapy is the application of problem-solving theory and research to the domain of personal and emotional problems. Indeed, the ability to solve problems is seen as the necessary and sufficient condition for emotional and behavioral stability. Problem solving is, in one way or another, a part of all psychotherapies. Cognitive behavior therapists have taught general problem- solving skills to patients with two specific aims: to alleviate the particular personal problems for which patients have sought therapy and to provide patients with a general coping strategy for personal problems. The actual steps of problem solving that patients are taught to carry out systematically are as follows. First, it is necessary to define the dilemma as a problem to be solved. Next, a goal must be selected which reflects the ultimate outcome a patient desires. The patient then generates a list of many different possible solutions, without evaluating their potential merit (a kind of brainstorming). Now the patient evaluates the pros and cons of each op168
Cognitive Behavior Therapy tion in terms of the probability that it will meet the goal selected and its practicality, which involves considering the potential consequences to oneself and to others of each solution. The possible solutions are ranked in terms of desirability and practicality, and the highest one is selected. Next, the patient tries to implement the solution chosen. Finally, the patient evaluates the therapy, assessing whether the solution alleviated the problem and met the goal, and, if not, what went wrong—in other words, which of the steps in problem solving needs to be redone. Problem-solving therapies have been used to treat a variety of target behaviors with a wide range of patients. Examples include peer relationship difficulties among children and adolescents, examination and interpersonal anxiety among college students, relapse following a program to reduce smoking, disharmony among family members, and the inability of chronic psychiatric patients to cope with interpersonal problems. Self-Control Therapy Self-control therapy for depression, developed by psychologist Lynn Rehm, is an approach to treating depression which combines the self-regulatory notions of behavior therapy and the cognitive focus of the cognitive behavioral approaches. Essentially, Rehm believes that depressed people show deficits in one or some combination of the following areas: monitoring (selectively attending to negative events), self-evaluation (setting unrealistically high goals), and self-reinforcement (emitting high rates of self-punishment and low rates of self-reward). These three components are further broken down into a total of six functional areas. According to Rehm, the varied symptom picture in clinically depressed patients is a function of different subsets of these deficits. Over the course of therapy with a patient, each of the six self-control deficits is described, with emphasis on how a particular deficit is causally related to depression, and on what can be done to remedy the deficit. A variety of clinical strategies are employed to teach patients self-control skills, including group discussion, overt and covert reinforcement, behavioral assignments, self-monitoring, and modeling. Structural Psychotherapy Structural psychotherapy is a cognitive behavioral approach that derives from the work of two Italian mental health professionals, psychiatrist Vittorio Guidano and psychologist Gianni Liotti. These doctors are strongly persuaded by cognitive psychology, social learning theory, evolutionary epistemology, psychodynamic theory, and cognitive therapy. Guidano and Liotti suggest that for an understanding of the full complexity of an emotional disorder and subsequent development of an adequate model of psychotherapy, an appreciation of the development and the active role of an individual’s knowledge of self and the world is critical. In short, in order to understand a patient, one must understand the structure of that person’s world. 169
Psychology Basics Guidano and Liotti’s therapeutic process utilizes the empirical problemsolving approach of the scientist. Indeed, the two suggest that therapists should assist patients in disengaging themselves from certain ingrained beliefs and judgments and in considering them as hypotheses and theories subject to disproof, confirmation, and logical challenge. A variety of behavioral experiments and cognitive techniques are used to assist the patient in assessing and critically evaluating his or her beliefs. Other Therapies As can be seen, the area of cognitive behavior therapy involves a wide collection of therapeutic approaches and techniques. The approaches described here are but a representative sample of possible cognitive behavioral approaches. Also included within this domain are anxiety management training, which comes from the work of psychologist Richard Suinn, and personal science, from the work of psychologist Michael Mahoney. The cognitive behavioral approaches are derived from a variety of perspectives, including cognitive theory, classical and operant conditioning approaches, problem-solving theory, and developmental theory. All these approaches share the perspective that internal cognitive processes, called thinking or cognition, affect behavior, and that behavior change may be effected through cognitive change. These approaches have several other similarities. One is that all the approaches see therapy as time-limited. This is in sharp distinction to the traditional psychoanalytic therapies, which are generally open-ended. The cognitive behavior therapies attempt to effect change rapidly, often with specific, preset lengths of therapeutic contact. Another similarity among the cognitive behavior therapies is that their target of change is also limited. For example, in the treatment of depression, the target of change is the symptoms of depression. Thus, in the cognitive behavioral approaches to treatment, one sees a time-limited focus and a limited target of change. Evolution Cognitive behavior therapy evolved from two lines of clinical and research activity. First, it derives from the work of the early cognitive therapists (Albert Ellis and Aaron Beck); second, it was strongly influenced by the careful empirical work of the early behaviorists. Within the domain of behaviorism, cognitive processes were not always seen as a legitimate focus of attention. In behavior therapy, there has always been a strong commitment to an applied science of clinical treatment. In the behavior therapy of the 1950’s and 1960’s, this emphasis on scientific methods and procedures meant that behavior therapists focused on events that were directly observable and measurable. Within this framework, behavior was seen as a function of external stimuli which determined or were reliably associated with observable responses. Also during this period, there was a deliberate avoidance of such “nebulous” concepts as thoughts, cogni170
Cognitive Behavior Therapy tions, or images. It was believed that these processes were by their very nature vague, and one could never be confident that one was reliably observing or measuring these processes. By following scientific principles, researchers developed major new treatment approaches which in many ways revolutionized clinical practice (among them are systematic desensitization and the use of a token economy). During the 1960’s, however, several developments within behavior therapy had emphasized the limitations of a strict conditioning model to understanding human behavior. In 1969, psychologist Albert Bandura published his influential volume Principles of Behavior Modification. In this book, Bandura emphasized the role of internal or cognitive factors in the causation and maintenance of behavior. Following from the dissatisfaction of the radical behavioral approaches to understanding complex human behavior and the publication of Bandura’s 1969 volume, behavior therapists began actively to seek and study the role of cognitive processes in human behavior. Sources for Further Study D’Zurilla, Thomas J., and Arthur M. Nezu. “Social Problem-Solving in Adults.” In Advances in Cognitive-Behavioral Research and Therapy, edited by Philip C. Kendall. Vol. 1. New York: Academic Press, 1982. An excellent summary of problem-solving therapy. As indicated by its title, the Kendall book in which this article appears also contains other informative articles dealing with cognitive behavior therapy. Goldfried, Marvin R. “The Use of Relaxation and Cognitive Relabeling as Coping Skills.” In Behavioral Self-Management: Strategies, Techniques, and Outcomes, edited by Richard B. Stuart. New York: Brunner/Mazel, 1977. A description of systematic rational restructuring by Marvin Goldfried, who developed the technique; reveals its similarities to and differences from rational-emotive therapy. Maultsby, Maxie C., Jr. Rational Behavior Therapy. Englewood Cliffs, N.J.: Prentice-Hall, 1984. An excellent summary of rational behavior therapy, as developed by Maultsby; discusses self-talk and its emotional and behavioral consequences. Meichenbaum, Donald. Cognitive Behavior Modification. New York: Plenum Press, 1979. A well-written introduction to Meichenbaum’s approaches, with clear examples of the applications of self-instructional training to impulsive children and schizophrenic patients. _________. Stress Inoculation Training. New York: Pergamon Press, 1985. This short training manual presents a clear, useful overview of stress inoculation training, along with a detailed account of the empirical research completed in testing the approach. Donald G. Beal See also: Cognitive Social Learning: Walter Mischel; Cognitive Therapy. 171
Cognitive Development Jean Piaget Type of psychology: Developmental psychology Field of study: Cognitive development Piaget, in one of the twentieth century’s most influential development theories, proposed a sequence of maturational changes in thinking: From the sensorimotor responses of infancy, the child acquires symbols. Later, the child begins relating these symbols in such logical operations as categorizing and quantifying. In adolescence, abstract and hypothetical mental manipulations become possible. Key concepts • concrete operations stage • conservation • egocentric • formal operations stage • operations • preoperational stage • schema (pl. schemata) • sensorimotor stage Jean Piaget (1896-1980), a Swiss psychologist, generated the twentieth century’s most influential and comprehensive theory of cognitive development. Piaget’s theory describes how the maturing child’s interactions with the environment result in predictable sequences of changes in certain crucial understandings of the world about him or her. Such changes occur in the child’s comprehension of time and space, quantitative relationships, cause and effect, and even right and wrong. The child is always treated as an actor in his or her own development. Advances result from the active desire to develop concepts, or schemata, which are sufficiently similar to the real world that this real world can be fitted or assimilated into these schemata. Schemata can be defined as any process of interpreting an object or event, including habitual responses, symbols, or mental manipulations. When a schema (“Cats smell nice”) is sufficiently discrepant from reality (“That cat stinks”), the schema itself must be accommodated or altered (“That catlike creature is a skunk”). For children everywhere, neurologically based advances in mental capacity introduce new perceptions that make the old ways of construing reality unsatisfactory and compel a fundamentally new construction of reality— a new stage of development. Piaget conceptualizes four such stages: sensorimotor (in infancy), preoperational (the preschool child), concrete operational (the school-age child), and formal operational (adolescence and adulthood). 172
Cognitive Development: Jean Piaget Sensorimotor Stage In the sensorimotor stage, the infant orients himself or herself to objects in the world by consistent physical (motor) movements in response to those sensory stimuli that represent the same object (for example, the sight of a face, the sound of footsteps, or a voice all represent “mother”). The relationship between motor responses and reappearing objects becomes progressively more complex and varied in the normal course of development. First, reflexes such as sucking become more efficient; then sequences of learned actions that bring pleasure are repeated (circular reactions). These learned reactions are directed first toward the infant’s own body (thumb sucking), then toward objects in the environment (the infant’s stuffed toy). The baby seems to lack an awareness that objects continue to exist when they are outside the range of his or her senses. When the familiar toy of an infant is hidden, he or she does not search for it; it is as if it has disappeared from reality. As the sensorimotor infant matures, the infant becomes convinced of the continuing existence of objects that disappear in less obvious ways for longer intervals of time. By eighteen months of age, most toddlers have achieved such a conviction of continuing existence, or object permanence. Preoperational Stage In the preoperational stage, the preschool child begins to represent these permanent objects by internal processes or mental representations. Now the development of mental representations of useful objects proceeds at an astounding pace. In symbolic play, blocks may represent cars and trains. Capable of deferred imitation, the child may pretend to be a cowboy according to his or her memory image of a motion-picture cowboy. The most important of all representations are the hundreds of new words the child learns to speak. As one might infer from the word “preoperational,” this period, lasting from about age two through ages six or seven, is transitional. The preschool child still lacks the attention, memory capacity, and mental flexibility to employ his or her increasing supply of symbolic representations in logical reasoning (operations). It is as if the child remains so focused upon the individual frames of a motion picture that he or she fails to comprehend the underlying plot. Piaget calls this narrow focusing on a single object or salient dimension “centration.” The child may say, for example, that a quart of milk he or she has just seen transferred into two pint containers is now “less milk” because the child focuses upon the smaller size of the new containers. Fido is seen as a dog, not as an animal or a mammal. The child uncritically assumes that other people, regardless of their situation, share his or her own tastes and perspectives. A two-year-old closes his eyes and says, “Now you don’t see me, Daddy.” Piaget calls this egocentrism.
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Psychology Basics Concrete Operations Stage The concrete operations stage begins at age six or seven, when the schoolage child becomes capable of keeping in mind and logically manipulating several concrete objects at the same time. The child is no longer the prisoner of the momentary appearance of things. In no case is the change more evident than in the sort of problem in which a number of objects (such as twelve black checkers) are spread out into four groups of three. While the four-year-old, preoperational child would be likely to say that now there are more checkers because they take up a larger area, to the eight-year-old it is obvious that this transformation could easily be reversed by regrouping the checkers. Piaget describes the capacity to visualize the reversibility of such transformations as “conservation.” This understanding is fundamental to the comprehension of simple arithmetical manipulations. It is also fundamental to a second operational skill: categorization. To the concreteoperational child, it seems obvious that while Rover the dog can for other purposes be classified as a household pet, an animal, or a living organism, it will still be a “dog” and still be “Rover.” A related skill is seriation: keeping in mind that an entire series of objects can be arranged along a single dimension, such as size (from smallest to largest). The child now is also capable of role-taking, of understanding the different perspective of a parent or teacher. No longer egocentric (assuming that everyone shares one’s own perspective and cognitively unable to understand the different perspective of another), the child becomes able to see himself or herself as others see him or her and to temper the harshness of absolute rules with a comprehension of the viewpoints of others. Formal Operations Stage The formal operational stage begins in early adolescence. In childhood, logical operations are concrete ones, limited to objects that can be visualized, touched, or directly experienced. The advance of the early adolescent into formal operational thinking involves the capacity to deal with possibilities that are purely speculative. This permits coping with new classes of problems: those involving relationships that are purely abstract or hypothetical or that involve the higher-level analysis of a problem by the systematic consideration of every logical (sometimes fanciful) possibility. The logical adequacy of an argument can be examined apart from the truth or falsity of its conclusions. Concepts such as “forces,” “infinity,” or “justice,” nowhere directly experienced, can now be comprehended. Formal operational thought permits the midadolescent or adult to hold abstract ideals and to initiate scientific investigations. Illustrating Stage Development Piaget was particularly clever in the invention of problems which illustrate the underlying premises of the child’s thought. The crucial capability that 174
Cognitive Development: Jean Piaget signals the end of the sensorimotor period is object permanence, the child’s conviction of the continuing existence of objects that are outside the range of his or her senses. Piaget established the gradual emergence of object permanence by hiding from the child familiar toys for progressively longer periods of time, with the act of hiding progressively less obvious to the child. Full object permanence is not considered achieved until the child will search for a familiar missing object even when he or she could not have observed its being hidden. The fundamental test of concrete operational thought is conservation. In a typical conservation task, the child is shown two identical balls of putty. The child generally affirms their obvious equivalence. Then one of the balls of putty is reworked into an elongated, wormlike shape while the child watches. The child is again asked about their relative size. Younger children are likely to say that the wormlike shape is smaller, but the child who has attained conservation of mass will state that the size must still be the same. Inquiries concerning whether the weights of the differently shaped material (conservation of weight) are the same and whether they would displace the same amount of water (conservation of volume) are more difficult questions, generally not answerable until the child is older. Standardized Tests Since Piaget’s original demonstrations, further progress has necessitated the standardization of these problems with materials, questions, procedures, and scoring so clearly specified that examiners can replicate one another’s results. Such standardization permits the explanation of the general applicability of Piaget’s concepts. Standardized tests have been developed for measuring object permanence, egocentricity, and role-taking skills. The Concept Assessment Kit, for example, provides six standard conservation tasks for which comparison data (norms) are available for children in several widely diverse cultures. The relative conceptual attainments of an individual child (or culture) can be measured. Those who attain such basic skills as conservation early have been shown to be advanced in many other educational and cognitive achievements. Implications for Education Piaget’s views of cognitive development have broad implications for educational institutions charged with fostering such development. The child is viewed as an active seeker of knowledge. This pursuit is advanced by his or her experimental engagement with problems which are slightly more complex than those problems successfully worked through in the past. The teacher is a facilitator of the opportunities for such cognitive growth, not a lecturer or a drillmaster. The teacher provides physical materials that can be experimentally manipulated. Such materials can be simple: Blocks, stones, bottle caps, and plastic containers all can be classified, immersed in water, thrown into fire, dropped, thrown, or balanced. Facilitating peer relation175
Psychology Basics ships and cooperation in playing games is also helpful in encouraging social role-taking and moral development. Because each student pursues knowledge at his or her own pace and in his or her own idiom, great freedom and variety may be permitted in an essentially open classroom. The teacher may nudge the student toward cognitive advancement by presenting a problem slightly more complex than that already comprehended by the student. A student who understands conservation of number may be ready for problems involving the conservation of length, for example. The teacher, however, does not reinforce correct answers or criticize incorrect ones. Sequencing is crucial. The presentation of knowledge or skill before the child is ready can result in superficial, uncomprehended verbalisms. Piaget does not totally reject the necessity of the inculcation of social and cultural niceties (social-arbitrary knowledge), the focus of traditional education. He would maintain, however, that an experimentally based understanding of physical and social relationships is crucial for a creative, thoughtful society. Finessing Piaget’s Research Piaget hypothesized sequences of age-related changes in ways of dealing with reality. His conclusions were based on the careful observation of a few selected cases. The voluminous research since Piaget’s time overwhelmingly supports the sequence he outlined. The process almost never reverses. Once a child understands the conservation of substance, for example, his or her former conclusion that “Now there is more” seems to the child not simply wrong but absurd. Even within a stage, there is a sequence. Conservation of mass, for example, precedes conservation of volume. Post-Piagetian research has nevertheless led to a fine-tuning of some of Piaget’s conclusions and a modification of others. Piaget believed that transitions to more advanced cognitive levels awaited neurological maturation and the child’s spontaneous discoveries. Several researchers have found that specific training in simplified and graded conservation and categorization tasks can lead to an early ripening of these skills. Other research has called into question Piaget’s timetable. The fact that, within a few months of birth, infants show subtle differences in their reactions to familiar versus unfamiliar objects suggests that recognition memory for objects may begin earlier than Piaget’s age for object permanence. If conservation tasks are simplified—if all distraction is avoided, and simple language and familiar materials are used—it can be shown that concrete operations also may begin earlier than Piaget thought. Formal operations, on the other hand, may not begin as early or be applied as universally in adult problem solving as suggested by Piaget’s thesis. A significant percentage of older adolescents and adults fail tests for formal operations, particularly in new problem areas. More basic than readjustments of his developmental scheduling is the reinterpretation of Piaget’s stages. The stage concept implies not only an invariant sequence of age-related changes but also developmental discon176
Cognitive Development: Jean Piaget tinuities involving global and fairly abrupt shifts in an entire pattern or structure. The prolonged development and domain-specific nature of many operational skills, however, suggest a process that is neither abrupt nor global. An alternative view is that Piaget’s sequences can be understood as the results of continuous improvements in attention, concentration, and memory. Stages represent only transition points on this continuous dimension. They are more like the points of a scale on a thermometer than the stages of the metamorphosis of a caterpillar into a moth. Piaget’s Impact Even with the caveat that his stages may reflect, at a more fundamental level, an underlying continuum, Piaget’s contributions can be seen as a great leap forward in approximate answers to one of humankind’s oldest riddles: how human beings know their world. The eighteenth century philosopher Immanuel Kant described certain core assumptions, such as quantity, quality, and cause and effect, which he called “categories of the understanding.” Human beings make these assumptions when they relate specific objects and events to one another—when they reason. Piaget’s work became known to a 1960’s-era American psychology that was dominated by B. F. Skinner’s behavioral view of a passive child whose plastic nature was simply molded by the rewards and punishments of parents and culture. The impact of Piaget’s work shifted psychology’s focus back to a Kantian perspective of the child as an active reasoner who selectively responds to aspects of culture he or she finds relevant. Piaget himself outlined the sequence, the pace, and some of the dynamics of the maturing child’s development of major Kantian categories. Such subsequent contributions as Lawrence Kohlberg’s work on moral development and Robert Selman’s work on role-taking can be viewed as an elaboration and extension of Piaget’s unfinished work. Piaget, like Sigmund Freud, was one of psychology’s pivotal thinkers. Without him, the entire field of developmental psychology would be radically different. Sources for Further Study Piaget, Jean. The Psychology of the Child. Translated by Helen Weaver. New York: Basic Books, 2000. Piaget’s seminal presentation of his theories on children’s cognitive development from infancy to adolescence. Scholnik, Ellin Kofsky, ed. Conceptual Development: Piaget’s Legacy. Hillsdale, N.J.: Lawrence Erlbaum, 1999. A collection of papers presented at the centenary of Piaget’s birth at the Jean Piaget Society’s annual symposium, assessing his legacy and effect on the understanding of children’s cognitive development. Serulnikov, Adriana. Piaget for Beginners. New York: Writers and Readers, 2000. A condensed overview of Piaget’s theories for the general public. Part of the well-known For Beginners series. Singer, Dorothy G., and Tracey A. Robinson. A Piaget Primer: How a Child Thinks. Rev. ed. New York: Plume, 1996. An introduction to Piaget’s theo177
Psychology Basics ries aimed at educators, child psychologists, and parents, using examples and illustrations from classic children’s literature and popular children’s television programming. Smith, Lesley M., ed. Critical Readings on Piaget. New York: Routledge, 1996. A collection of essays assessing Piaget’s theories and their impact, all originally published between 1990 and 1995. A follow-up to the same editor’s Piaget: Critical Assessments (1992), which covered the period 1950 to 1990. Thomas E. DeWolfe See also: Adolescence: Cognitive Skills; Cognitive Psychology; Development; Language; Moral Development.
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Cognitive Psychology Type of psychology: Cognition Fields of study: Cognitive processes; thought Cognitive psychology is concerned with the scientific study of human mental activities involved in the acquisition, storage, retrieval, and use of information. Among its wide concerns are perception, memory, reasoning, problem solving, intelligence, language, and creativity; research in these areas has widespread practical applications. Key concepts • artificial intelligence • cognitive behavioral therapy • cognitive science • episodic memory • long-term memory • metamemory • prospective memory • semantic memory • short-term memory • working memory Cognitive psychology is that branch of psychology concerned with human mental activities. A staggering array of topics fit under such a general heading. In fact, it sometimes seems that there is no clear place to end the catalog of cognitive topics, as mental operations intrude into virtually all human endeavors. As a general guideline, one might consider the subject matter of cognitive psychology as those mental processes involved in the acquisition, storage, retrieval, and use of information. Among the more specific concerns of cognitive psychologists are perception, attention, memory, and imagery. Studies of perception and attention might be concerned with how much of people’s vast sensory experience they can further process and make sense of, and how they recognize incoming information as forming familiar patterns. Questions regarding the quality of memory include how much information can be maintained, for how long, and under what conditions; how information is organized in memory and how is it retrieved or lost; and how accurate the memory is, as well as what can be done to facilitate a person’s recall skills. Cognitive researchers concerned with imagery are interested in people’s ability to “see” in their minds a picture or image of an object, person, or scene that is not physically present; cognitive researchers are interested in the properties of such images and how they can be manipulated. In addition to these concerns, there is great interest in the higher-order processes of planning, reasoning, problem solving, intelligence, language, and creativity. Cognitive psychologists want to know, for example, what steps 179
Psychology Basics are involved in planning a route to a destination or a solution to a problem, and what factors influence people’s more abstract ability to reason. They seek to understand the importance of prior knowledge or experience, to discover which strategies are effective, and to see what obstacles typically impede a person’s thinking. They are interested in the relationships between language and thought and between creativity and intelligence. The following exchange is useful in illustrating some of the topics important to cognitive psychologists. Imagine that “Jacob” and “Janet” are two children on a busy playground: Jacob: Do you want to play some football? Janet: Sure! Tell me where the ball is and I’ll go get it. Jacob: The football’s in my locker in the equipment room. Go back in the building. Go past our classroom, turn right at the water fountain, and it’s the second door on your left. My locker is number 12, and the combination is 621-13. Janet: Okay, it’ll just take me a couple of minutes. [As she runs to get the ball, Janet repeats over and over to herself, “12; 6, 21, 13. . . .”] Jacob: [shouting] The football field’s being watered; meet me in the gym.
Even such a simple encounter involves and depends upon a rich assortment of cognitive skills. At a basic level, Jacob and Janet have to be aware of each other. Their sensory systems allow the detection of each other, and their brains work on the raw data (information) from the senses in order to perceive or interpret the incoming information. In this case, the data are recognized as the familiar patterns labeled “Jacob” and “Janet.” During the course of the brief conversation, the children must also attend to (concentrate on) each other, and in doing so they may be less attentive to other detectable sights and sounds of their environment. This scenario illustrates the use of more than one type of memory. Janet stores the locker number and combination in short-term memory (STM), and she maintains the information by rehearsing it. After Janet retrieves the ball and redirects her attention to choosing teams for the football game, she may forget this information. Jacob does not need to rehearse his combination continually to maintain it; rather, his frequent use of his combination and the meaningfulness of this information have helped him to store it in long-term memory (LTM). If someone later asks Janet where she got the football, she will retrieve that information from her episodic LTM. Episodic memory holds information about how things appeared and when they occurred; it stores things that depend on context. The language comprehension of the children also illustrates another type of LTM. Semantic LTM, or semantic memory, holds all the information they need in order to use language; it includes not only words and the symbols for them, their meaning and what they represent but also the rules for manipulating them. When Janet hears the words “football,” “water fountain,” and “locker,” she effort180
Cognitive Psychology lessly retrieves their meanings from LTM. Furthermore, metamemory, an understanding of the attributes of one’s own memories, is demonstrated. Janet knows to rehearse the combination to prevent forgetting it. Jacob probably employed mental imagery and relied on a cognitive map in order to direct Janet to the equipment room. From his substantial mental representation of the school environment, Jacob retrieved a specific route, guided by a particular sequence of meaningful landmarks. In addition to their language capabilities and their abilities to form and follow routes, a number of other higher-level mental processes suggest something of the intelligence of these children. They appear to be following a plan that will result in a football game. Simple problem solving is demonstrated by Janet’s calculation of how long it will take to retrieve the football and in Jacob’s decision to use the gym floor as a substitute for the football field. Theoretical and Methodological Approaches To understand cognitive psychology, one must be familiar not only with the relevant questions—the topic matter of the discipline—but also with the approach taken to answer these questions. Cognitive psychologists typically employ an information-processing model to help them better understand mental events. An assumption of this model is that mental activities (the processing of information) can be broken down into a series of interrelated stages and scientifically studied. A general comparison can be made between the information processing of a human and a computer. For example, both have data input into the system, humans through their sense organs and computers via the keyboard. Both systems then translate and encode (store) the data. The computer translates the keyboard input into electromagnetic signals for storage on a disk. People oftentimes translate the raw data from their senses to a linguistic code which is retained in some unique human storage device (for example, a piercing, rising-and-falling pitch may be stored in memory as “baby’s cry”). Both humans and computers can manipulate the stored information in virtually limitless ways, and both can later retrieve information from storage for output. Although there are many dissimilarities between how computers and humans function, this comparison accurately imparts the flavor of the information-processing model. In addition to constructing computational models that specify the stages and processes involved in human thought, cognitive psychologists use a variety of observational and experimental methods to determine how the mind works. Much can be learned, for example, from the study of patients with neuropsychological disorders such as the progressive dementias, including Alzheimer’s disease. The “lesion,” or brain injury, study is the oldest and most widely used technique to study brain function. Examining what happens when one aspect of cognition is disrupted can reveal much about the operation of the remaining mechanisms. Behavioral studies—in contrast to “lesion” studies—examine cognitive 181
Psychology Basics function in healthy subjects, using a variety of experimental methods developed throughout the twentieth century. One of the continuing challenges of cognitive psychology is the construction of experiments in which observable behaviors accurately reveal mental processes. Researchers bring volunteers into the laboratory and measure, for example, the time it takes for subjects to judge whether a word they are shown had appeared in a list of words they had earlier studied. Other researchers study human cognition in more naturalistic settings called field studies. In one such study, the average score of grocery shoppers on a paper-and-pencil arithmetic test was 59 percent, but their proficiency in the supermarket on analogous tasks reached ceiling level (98 percent). Much of what is done in the laboratory could be thought of as basic research, whereas field approaches to the study of cognition could be characterized as applied research. Applied Research in Cognitive Psychology For many psychologists, the desire to “know about knowing” is sufficient reason to study human cognition; however, there are more tangible benefits. Examples of these widespread practical applications may be found in the fields of artificial intelligence, law, and in the everyday world of decision making. Artificial intelligence (AI) is a branch of computer science that strives to create a computer capable of reasoning, processing language, and, in short, mimicking human intelligence. While this goal has yet to be obtained in full, research in this area has made important contributions. The search for AI has improved the understanding of human cognition; it has also produced applied benefits such as expert systems. Expert systems are computer programs that simulate human expertise in specific domains. Such programs have been painstakingly developed by computer scientists who have essentially extracted knowledge in a subject area from a human expert and built it into a computer system designed to apply that knowledge. Expert systems do not qualify as true artificial intelligence, because, while they can “think,” they can only do so very narrowly, on one particular topic. A familiar expert system is the “chess computer.” A computerized chess game is driven by a program that has a vast storehouse of chess knowledge and the capability of interacting with a human player, “thinking” about each game in which it is involved. Expert systems are also employed to solve problems in law, computer programming, and various facets of industry. A medical expert system has even been developed to consult interactively with patients and to diagnose and recommend a course of treatment for infectious diseases. The cognitive research of Elizabeth Loftus and her colleagues at the University of Washington demonstrates the shortcomings of human long-term memory. This research is relevant to the interpretation of eyewitness testimony in the courtroom. In one study, Loftus and John Palmer showed their 182
Cognitive Psychology subjects films of automobile accidents and asked them to estimate the speeds of the cars involved. The critical variable was the verb used in the question to the subjects. That is, they were asked how fast the cars were going when they “smashed,” “collided,” “bumped,” “hit,” or “contacted” each other. Interestingly, the stronger the verb, the greater was the speed estimated. One interpretation of these findings is that the nature of the “leading question” biased the answers of subjects who were not really positive of the cars’ speeds. Hence, if the question employed the verb “smashed,” the subject was led to estimate that the cars were going fast. Any astute attorney would have no trouble capitalizing on this phenomenon when questioning witnesses to a crime or accident. In a second experiment, Loftus and Palmer considered a different explanation for their findings. Again, subjects saw filmed car accidents and were questioned as to the speeds of the cars, with the key verb being varied as previously described. As before, those exposed to the verb “smashed” estimated the fastest speeds. In the second part of the experiment, conducted a week later, the subjects were asked additional questions about the accident, including, “Did you see any broken glass?” Twenty percent of the subjects reported seeing broken glass, though none was in the film. Of particular interest was that the majority of those who made this error were in the group that had been exposed to the strongest verb, “smashed.” Loftus and Palmer reasoned that the subjects were melding actual information that they had witnessed with information from another source encountered after the fact (the verb “smashed” presented by the questioner). The result was a mental representation of an event that was partly truth and partly fiction. This interpretation has implications for the evaluation of eyewitness testimony. Before testifying in court, a witness will likely have been questioned numerous times (and received many suggestions as to what may have taken place) and may even have compared notes with other witnesses. This process is likely to distort the originally experienced information. Consider next the topic of decision making, an area of research in cognitive psychology loaded with practical implications. Everyone makes scores of decisions on a daily basis, from choosing clothing to match the weather to selecting a college or a career objective. Psychologists Amos Tversky and Daniel Kahneman are well known for their research on decision making and, in particular, on the use of heuristics. Heuristics are shortcuts or rules of thumb that are likely, but not guaranteed, to produce a correct decision. It would seem beneficial for everyone to appreciate the limitations of such strategies. For example, the availability heuristic often leads people astray when their decisions involve the estimating of probabilities, as when faced with questions such as, Which produces more fatalities, breast cancer or diabetes? Which are more numerous in the English language, words that begin with k or words that have k as the third letter? Experimental subjects typically, and incorrectly, choose the first alternative. Kahneman and Tversky’s research indicates that people rely heavily on examples that come most eas183
Psychology Basics ily to mind—that is, the information most available in memory. Hence, people overestimate the incidence of breast-cancer fatalities because such tragedies get more media attention relative to diabetes, a more prolific but less exotic killer. In a similar vein, words that begin with k come to mind more easily (probably because people are more likely to organize their vocabularies by the initial sounds of the words) than words with k as the third letter, although the latter, in fact, outnumber the former. One’s decision making will doubtless be improved if one is aware of the potential drawbacks associated with the availability heuristic and if one is able to resist the tendency to estimate probabilities based upon the most easily imagined examples. Cognitive Contexts The workings of the human mind have been pondered throughout recorded history. The science of psychology, however, only dates back to 1879, when Wilhelm Wundt established the first laboratory for the study of psychology in Leipzig, Germany. Although the term was not yet popular, Wundt’s primary interest was clearly in cognition. His students laboriously practiced the technique of introspection (the careful attention to, and the objective reporting of, one’s own sensations, experiences, and thoughts), as Wundt hoped to identify through this method the basic elements of human thought. Wundt’s interests remained fairly popular until around 1920. At that time, John B. Watson, a noted American psychologist and behaviorist, spearheaded a campaign to redefine the agenda of psychology. Watson was convinced that the workings of the mind could not be objectively studied through introspection and hence mandated that the proper subject matter for psychologists should be overt, observable behaviors exclusively. In this way, dissatisfaction with a method of research (introspection) led to the abandonment of an important psychological topic (mental activity). In the 1950’s, a number of forces came into play that led to the reemergence of cognitive psychology in the United States. First, during World War II, considerable research had been devoted to human-factors issues such as human skills and performance within, for example, the confines of a tank or cockpit. After the war, researchers showed continued interest in human attention, perception, decision making, and so on, and they were influenced by a branch of communication science, known as information theory, that dealt abstractly with questions of information processing. The integration of these two topics resulted eventually in the modern information-processing model, mentioned above. Second, explosive gains were made in the field of computer science. Of particular interest to psychology were advances in the area of artificial intelligence. It was a natural progression for psychologists to begin comparing computer and brain processes, and this analogy served to facilitate cognitive research. Third, there was growing dissatisfaction with behavioral psychology as defined by Watson and with its seeming inability to explain complex psycho184
Cognitive Psychology logical phenomena. In particular, Noam Chomsky, a well-known linguist, proposed that the structure of language was too complicated to be acquired via the principles of behaviorism. It became apparent to many psychologists that to understand truly the diversity of human behavior, internal mental processes would have to be accepted and scientifically studied. Working memory emerged as an important theoretical construct in the 1980’s and 1990’s. Everyday cognitive tasks—such as reading a newspaper article or calculating the appropriate amount to tip in a restaurant—often involve multiple steps with intermediate results that need to be kept in mind temporarily to accomplish the task at hand successfully. “Working memory” refers to the system or mechanism underlying the maintenance of taskrelevant information during the performance of a cognitive task. As the “hub of cognition,” working memory has been called “perhaps the most significant achievement of human mental evolution.” According to Alan Baddeley, working memory comprises a visuospatial sketchpad; a phonological loop, concerned with acoustic and verbal information; a central executive that is involved in the control and regulation of the system; and an episodic buffer that combines information from long-term memory with that from the visuospatial sketchpad and the phonological loop. Prospective memory is also emerging as an important domain of research in cognitive psychology. This type of memory involves the intention to carry out an action in the future: for instance, to pick up dry cleaning after work. Cognitive psychology is now a vibrant subdiscipline that has attracted some of the finest scientific minds. It is a standard component in most undergraduate and graduate psychology programs. More than half a dozen academic journals are devoted to its research, and it continues to pursue answers to questions that are important to psychology and other disciplines as well. The cognitive perspective has heavily influenced other subfields of psychology. For example, many social psychologists are interested in social cognition, the reasoning underlying such phenomena as prejudice, altruism, and persuasion. Some clinical psychologists are interested in understanding the abnormal thought processes underlying problems such as depression and anorexia nervosa. A subspecialty—cognitive behavioral therapy—treats mental illness using methods that attempt to directly treat these abnormal thoughts. The burgeoning field of cognitive science represents a union of cognitive psychology, neuroscience, computer science, linguistics, and philosophy. Cognitive scientists are concerned with mental processes but are particularly interested in establishing general, fundamental principles of information processing as they may be applied by humans or machines. Their research is often heavily dependent on complex computer models rather than experimentation with humans. With fast-paced advances in computer technology, and the exciting potential of expertise shared in an interdisciplinary fashion, the field of cognitive science holds considerable promise for answering questions about human cognition. 185
Psychology Basics Sources for Further Study Ashcraft, Mark H. Human Memory and Cognition. 2d ed. New York: HarperCollins College, 1994. A fine textbook, geared for college students who have had some background in psychology but accessible to the inquisitive layperson. Ashcraft writes informally and provides chapter outlines and summaries, a glossary of key terms, and suggested supplemental readings. Perception and attention, memory, language, reasoning, decision making, and problem solving are all well covered. Baddeley, Alan D. “The Cognitive Psychology of Everyday Life.” British Journal of Psychology 72, no. 2 (1981): 257-269. An interesting journal article in which Baddeley describes his research conducted outside the laboratory environment. Considers such practical topics as absentmindedness, alcohol effects, and the effectiveness of saturation advertising. A must for those who question the ecological validity (the real-life applicability) of cognitive research. Berger, Dale E., Kathy Pezdek, and William P. Banks, eds. Applications of Cognitive Psychology. Hillsdale, N.J.: Lawrence Erlbaum, 1987. Five chapters each on three topics: educational applications, teaching of thinking and problem solving, and human-computer interactions. The chapters range in sophistication and accessibility, so this book should appeal to readers of diverse backgrounds. Includes helpful name and subject indexes. Hochberg, Julian. Perception and Cognition at Century’s End. San Diego, Calif.: Academic Press, 1998. This book reviews research findings over the preceding half-century in broad areas of perception and other aspects of cognitive functioning. Kahneman, Daniel, Paul Slovic, and Amos Tversky, eds. Judgment Under Uncertainty: Heuristics and Biases. New York: Cambridge University Press, 1987. A comprehensive source on heuristics and decision making with an easy-to-understand introductory chapter by the editors. A four-chapter section is devoted to the availability heuristic, and there is an interesting chapter on probabilistic reasoning in clinical medicine. Kendler, Howard H. Historical Foundations of Modern Psychology. Chicago: Dorsey Press, 1987. A well-written account of the emergence of cognitive psychology and the contributions of other disciplines such as linguistics, engineering, and computer science. Approachable for the layperson; provides a fine historical backdrop. It is of limited use, beyond review, for the upper-level college student. Miyake, Akira, and Priti Shah, eds. Models of Working Memory: Mechanisms of Active Maintenance and Executive Control. New York: Cambridge University Press, 1999. This volume compares and contrasts existing models of working memory. It does so by asking each contributor to address the same comprehensive set of important theoretical questions on working memory. The answers to these questions provided in the volume elucidate the emerging general consensus on the nature of working memory among 186
Cognitive Psychology different theorists and crystallize incompatible theoretical claims that must be resolved in future. Pinker, Steven. How the Mind Works. New York: W. W. Norton, 1997. Pinker, one of the world’s leading cognitive scientists, discusses what the mind is, how it evolved, and how it allows one to see, think, feel, laugh, interact, enjoy the arts, and ponder the mysteries of life. He explains the mind by “reverse-engineering” it—figuring out what natural selection designed it to accomplish in the environment in which humans evolved. Sternberg, Robert J., and Talia Ben-Zeev. Complex Cognition: The Psychology of Human Thought. New York: Oxford University Press, 2001. Reviews of the key concepts and research findings within the field of cognitive psychology. The authors offer a synthesis of the two dominant approaches in cognitive studies—normative reference and “bounded rationality”—combining the best elements of each to present an inclusive new theory that emphasizes multiple points of view, including both the objective and subjective views of the self and others. Wells, Gary L., and Elizabeth F. Loftus, eds. Eyewitness Testimony: Psychological Perspectives. New York: Cambridge University Press, 1984. A fourteenchapter source with heavy consideration of laboratory research and references to courtroom cases as well. There is nice coverage of research on children as witnesses as well as on “earwitness” testimony and the use of hypnosis as a memory aid. Mark B. Alcorn; updated by Allyson M. Washburn See also: Cognitive Development: Jean Piaget; Language; Logic and Reasoning.
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Cognitive Social Learning Walter Mischel Type of psychology: Personality Fields of study: Behavioral and cognitive models; personality theory Mischel’s social learning theory presents a cognitive-social alternative to traditional personality theories. He posits that behavior is determined by a complex interaction of situational and cognitive variables and cannot be predicted from a few widely generalized traits. Consistent features in behavior result from cognitive person variables, defined as acquired and relatively stable modes of information processing. Key concepts • construction competencies • encoding strategy • expectancies • person variable • personal construct • personality trait • prototype • stimulus value Psychologist Walter Mischel developed a cognitive social learning approach to personality that presents a serious challenge to traditional theories and their central tenet that behavior can be predicted from a few widely generalized traits. In his influential book Personality and Assessment (1968), Mischel reviewed the literature on personality traits. Personality traits can be defined as a stable disposition to behave in a given way over time and across situations. Although Mischel found impressive consistencies for some attributes, such as intelligence, the vast majority of behavior patterns were not consistent, even in highly similar situations. Mischel concluded that behavior is largely determined by situational variables that interact in complex ways with individual modes of information processing. Stable features in behavior result from acquired cognitive person variables (relatively stable individual differences that influence how people interact with their world). Person Variables Cognitive and behavioral construction competencies represent the first of the person variables. Mischel terms them “competencies” to emphasize that they represent potentials—that is, what people can do, rather than what they do. Referring to their “constructive” quality implies that people do not passively store but actively construct their experiences by transforming and synthesizing incoming information in novel ways. Another of these person variables involves encoding strategies and personal constructs. People encode information and classify events in personalized, unique ways. For different 188
Cognitive Social Learning: Walter Mischel individuals, traitlike constructs such as intelligence or honesty may therefore have some overlapping features but may also have many idiosyncratic ones. This explains why two people can witness and process the same event but interpret it differently. Both people only attend to stimuli consistent with their own personal construct systems and ignore discrepant information. Mischel maintains that besides knowing people’s potentials and how they construct events, to predict behavior people must also know their expectations. One type, termed stimulus-outcome expectancies, develops when people form associations between two events and begin to expect the second event as soon as the first occurs. For example, if a child learns to associate parental frowning with being scolded, any angry face alone may instill anxiety. A second type, termed response-outcome expectancies, refers to learned “if-then rules,” in which specific actions will result in certain outcomes. Outcome expectancies can have a significant influence on what people do. When expectations are inconsistent with reality, they can lead to dysfunctional behavior. Expecting relief from alcohol, when drinking actually leads to multiple problems, illustrates this point. Subjective stimulus values—subjective values or worth that a person attributes to an object or event—are another type of person variable. In spite of holding identical outcome expectancies, people may behave differently if they do not attribute equal value to this outcome. For example, many believe that practice makes perfect, but not everyone values achievement. Furthermore, the worth of a given outcome often depends on its context. Even an avid skier might cancel a ski trip on an icy, stormy winter day. Self-regulatory systems and plans are yet another kind of person variable. Besides being affected by external rewards and punishments, people are capable of regulating their own behavior. They set goals and mediate selfimposed consequences, depending on whether they meet their own standards. These self-regulatory processes produce individual differences in behavior independently from the effects of extrinsically imposed conditions. More recently, Mischel and his colleagues have proposed that people also classify events based on cognitive prototypes. These are analogous to templates, and they contain only the best or most typical features of a concept. Although prototypes facilitate the classification of input information, they carry with them the danger of stereotyping. Anyone who, for example, has mistaken a woman business executive for the secretary can appreciate the problem resulting from inaccurate classification. In summary, with the concept of person variables, Mischel can explain behavioral consistency and at the same time take into account the environment as an important determinant of human actions. In psychologically strong situations, person variables play a minimal role (at a church service, for example, all people behave similarly). In psychologically weak situations (such as a cocktail party), however, individual differences are pronounced because there are no consistent cues to signal what behaviors are deemed 189
Psychology Basics appropriate. Therefore, whether or how much cognitive dispositions influence behavior varies with the specific situation. Dispositional and Situational Variables Despite a widespread tendency among people to describe themselves and others in traitlike terms (intelligent, friendly, aggressive, domineering, and so forth), research has shown that a person’s behavior cannot be predicted from a few broadly generalized personality traits. This does not mean that behavior is totally inconsistent, but that dispositions alone are insufficient to explain consistency and that dispositional, as well as situational, variables need to be taken into account for a complete analysis. To separate the effects of person and situation variables on behavior, Mischel and his colleagues conducted a series of experiments. In one study, the experimenters assessed adolescents’ dispositions toward success or failure. Weeks later they had them solve skill-related tasks and, regardless of their actual performance, gave one group success, a second group failure, and a third group no feedback on their performance. Then the adolescents had to choose between a less desirable reward, one for which attainment was independent of performance on similar tasks, and a preferred reward, for which attainment was performance-dependent. In both bogus feedback conditions, the situational variables had a powerful effect and completely overrode preexisting dispositions toward success or failure. Adolescents who believed they had failed the tasks more often selected the noncontingent reward, while those who believed they had succeeded chose the contingent reward. For subjects in the no-feedback condition, however, the preexisting expectancy scores were highly accurate predictors of their reward choices. This study illustrates how dispositions emerge under weak situational cues but play a trivial role when the setting provides strong cues for behavior. Therefore, Mischel (1973) considers it more meaningful to analyze “behavior-contingency units” that link specific behavior patterns to those conditions in which they are likely to occur, rather than looking only at behavior. In other words, instead of labeling people “aggressive,” it would be more useful to specify under what conditions these people display aggressive behaviors. Such precise specifications would guard against an oversimplified trait approach and highlight the complexities and idiosyncrasies of behavior as well as its interdependence with specific stimulus conditions. Self-Control Mischel and his colleagues also have conducted extensive research on selfcontrol. Their work has been summarized in an article published in 1989 in the journal Science. In several experiments, the researchers attempted to clarify why some people are capable of self-regulation, at least in some areas of their lives, while others fail in such attempts. They found enduring differences in self-control as early as the preschool years. In one study, for example, they showed young children pairs of treats, one less and one more desir190
Cognitive Social Learning: Walter Mischel able (for example, two versus five cookies or one versus two marshmallows). The children were told that the experimenter would leave the room and that they could obtain the more valuable treat if they waited until he or she returned. They could also ring the bell to bring the experimenter back sooner, but then they would receive the lesser treat. During the waiting period, which lasted a maximum of fifteen minutes, the children were unobtrusively observed. Later, the children’s strategies to bridge the waiting period were analyzed. It became apparent that self-control increased when the children used behavioral or cognitive strategies to bridge the delay, such as avoiding looking at the rewards, distracting themselves with singing, playing with their fingers, or cognitively transforming the rewards (for example, thinking of marshmallows as clouds). Interestingly, a follow-up study more than ten years later revealed that those preschool children who had displayed more self-control early were socially and academically more competent, more attentive, more verbal, and better able than their peers to cope with stress as adolescents. In a related study, the length of delay time in preschool proved to be correlated with the adolescents’ Scholastic Aptitude Test (SAT) scores, suggesting that greater self-control is related to superior academic achievement. These studies provide an excellent illustration of how cognitive person variables sometimes can have very stable and generalized effects on behavior. The early acquisition of effective cognitive and behavioral strategies to delay gratification had a positive influence on the children’s long-term adjustment. Thus, self-control fulfills the requirements of a “personality disposition” in Mischel’s sense, because it constitutes an important mediating mechanism for adaptive social behavior throughout the life cycle. Although the examples presented above lend support to Mischel’s theory, one might argue that children’s behavior under the constraints of a research setting is artificial and may not reflect what they normally do in their natural environment. While this argument is plausible, it was not supported in a later study with six- to twelve-year-old children in a summer residential treatment facility. Observing children under naturalistic circumstances in this facility led to comparable results. Children who spontaneously used effective cognitive-attentional strategies for self-regulation showed greater self-control in delay situations and were better adjusted than their peers. An unanswered question is how best to teach children effective information-processing skills. If these skills acquire dispositional character and influence overall adjustment, their attainment would indeed be of vital importance to healthy development. Evolution of Research Until the late 1960’s, the field of personality psychology was dominated by trait and state theories. Their central assumption, that people have traits that produce enduring consistencies in their behavior, went unchallenged for many years. The widespread appeal of these trait assumptions notwith191
Psychology Basics standing, since the late 1960’s personality and social psychologists have been entangled in the “person-situation debate,” a controversy over whether the presumed stability in behavior might be based more on illusion than reality. While doubts about the existence of traits were already raised in the middle of the twentieth century, the work of Walter Mischel was instrumental in bringing the controversy into the forefront of academic psychology. In reviewing a voluminous body of literature, Mischel showed in 1968 that virtually all so-called trait measures, except intelligence, change substantially over time and even more dramatically across situations. Traits such as honesty, assertiveness, or attitudes toward authority typically showed reliability across situations of .20 to .30. This means that if the correlation of behavior presumably reflecting a trait in two different situations is .30, less than onetenth (.30 × .30 = .09, or 9 percent) of the variability in the behavior can be attributed to the trait. Mischel therefore concluded that perceptions of behavioral stability, while not arbitrary, are often only weakly related to the phenomenon in question. Functional Analysis There is consensus, however, that human actions show at least some degree of consistency, which is evidenced most strongly by the sense of continuity people experience in their own selves. How can people reconcile the inconsistency between their own impressions and the empirical data? Mischel’s cognitive social learning perspective presents one possible solution to this dilemma. Rather than trying to explain behavior by a few generalized traits, Mischel has shifted the emphasis to a thorough examination of the relationship between behavior patterns and the context in which they occur, as the following example illustrates. Assume that parents are complaining about their child’s demanding behavior and the child’s many tantrums. After observing this behavior in various situations, a traditional personality theorist might conclude that it manifests an underlying “aggressive drive.” In contrast, a social learning theorist might seek to identify the specific conditions under which the tantrums occur and then change these conditions to see if the tantrums increase or decrease. This technique, termed “functional analysis” (as described in Mischel in 1968), systematically introduces and withdraws stimuli in the situation to examine how the behavior of interest changes as a function of situational constraints. The controversy sparked by Mischel’s work has not been completely resolved. Few psychologists today, however, would assume an extreme position and either argue that human actions are completely determined by traits or advocate a total situation-specificity of behavior. As with so many controversies, the truth probably lies somewhere in the middle. Sources for Further Study Lieber, Robert M., and Michael D. Spiegler. Personality: Strategies and Issues. 7th ed. Monterey, Calif.: Brooks/Cole, 1996. Chapter 21 presents a read192
Cognitive Social Learning: Walter Mischel able synopsis of Mischel’s cognitive social-learning theory and reviews the concept of person variables, Mischel’s work on delay of gratification, and his position on the interaction of emotion and cognition. Highly recommended as an easy introduction to Mischel’s work. Mischel, Harriet N., and Walter Mischel, eds. Readings in Personality. New York: Holt, Rinehart and Winston, 1973. Presents a collection of papers by different authors on some of the central topics and viewpoints in personality psychology. Provides in-depth analyses of various trait, state, and social theories of personality. Several chapters by Walter Mischel present his views on social learning, personality, and his empirical work on selfcontrol. Mischel, Walter. Personality and Assessment. 1968. Reprint. Mahwah, N.J.: Lawrence Erlbaum, 1996. Classic exposition of Mischel’s early work, containing a compelling critique of traditional trait and state approaches to personality. Discusses issues relevant to the assessment and modification of maladaptive social behavior. Should be available in many public and all university libraries. __________. “Toward a Cognitive Social Learning Reconceptualization of Personality.” Psychological Review 80, no. 4 (1973): 252-283. Written in response to the many reactions Mischel’s 1968 book provoked in the research community. Clarifies several common misunderstandings of Mischel’s position (for example, the situation-specificity issue) and gives a thorough presentation of his five personality variables. No specialized knowledge in psychology or personality theory is necessary for the reader to be able to follow the author’s main arguments. Mischel, Walter, Yuichi Shoda, and Monica L. Rodriguez. “Delay of Gratification in Children.” Science 244, no. 4907 (1989): 933-938. Presents an excellent, brief summary of Mischel’s work on self-control and delay of gratification spanning almost two decades. Discusses a number of stable individual differences in information-processing and strategic behaviors used by preschool children that were predictive of adult social adjustment. Edelgard Wulfert See also: Cognitive Behavior Therapy; Cognitive Psychology; Cognitive Therapy; Learning; Personal Constructs: George A. Kelly; Social Learning: Albert Bandura.
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Cognitive Therapy Type of psychology: Psychotherapy Field of study: Cognitive therapies Cognitive therapy holds that emotional disorders are largely determined by cognition, or thinking, that cognitive activity can take the form of language or images, and that emotional disorders can be treated by helping patients modify their cognitive distortions. Treatment programs based on this model have been highly successful with depression, panic disorder, generalized anxiety disorder, and other emotional problems. Key concepts • arbitrary inference • automatic thoughts • cognitive specificity hypothesis • cognitive triad • schemata • selective abstraction Cognitive therapy, originally developed by Aaron T. Beck (born in 1921), is based on the view that cognition (the process of acquiring knowledge and forming beliefs) is a primary determinant of mood and behavior. Beck developed his theory while treating depressed patients. He noticed that these patients tended to distort whatever happened to them in the direction of self-blame and catastrophe. Thus, an event interpreted by a normal person as irritating and inconvenient, for example, the malfunctioning of an automobile, would be interpreted by the depressed patient as another example of the utter hopelessness of life. Beck’s central point is that depressives draw illogical conclusions and come to evaluate negatively themselves, their immediate world, and their future. They see only personal failings, present misfortunes, and overwhelming difficulties ahead. It is from these cognitions that all the other symptoms of depression derive. It was from Beck’s early work with depressed patients that cognitive therapy was developed. Shortly thereafter, the concepts and procedures were applied to other psychological problems, with notable success. Automatic Thoughts and Schemata Two concepts of particular relevance to cognitive therapy are the concepts of automatic thoughts and schemata. Automatic thoughts are thoughts that appear to be going on all the time. These thoughts are quite brief—only the essential words in a sentence seem to occur, as in a telegraphic style. Further, they seem to be autonomous, in that the person made no effort to initiate them, and they seem plausible or reasonable to the person (although they may seem far-fetched to somebody else). Thus, as a depressed person is giving a talk to a group of business colleagues, he or she will have a variety of thoughts. There will be thoughts about the content of the material. There is 194
Cognitive Therapy also a second stream of thoughts occurring. In this second channel, the person may experience such thoughts as: “This is a waste of time,” or “They think I’m dumb.” These are automatic thoughts. Beck has suggested that although automatic thoughts are occurring all the time, the person is likely to overlook these thoughts when asked what he or she is thinking. Thus, it is necessary to train the person to attend to these automatic thoughts. Beck pointed out that when people are depressed, these automatic thoughts are filled with negative thoughts of the self, the world, and the future. Further, these automatic thoughts are quite distorted, and finally, when these thoughts are carefully examined and modified to be more in keeping with reality, the depression subsides. The concept of schemata, or core beliefs, becomes critical in understanding why some people are prone to having emotional difficulties and others are not. The schema appears to be the root from which the automatic thoughts derive. Beck suggests that people develop a propensity to think crookedly as a result of early life experiences. He theorizes that in early life, an individual forms concepts—realistic as well as unrealistic—from experiences. Of particular importance are individuals’ attitudes toward themselves, their environment, and their future. These deeply held core beliefs about oneself are seen by Beck as critical in the causation of emotional disorders. According to cognitive theory, the reason these early beliefs are so critical is that once they are formed, the person has a tendency to distort or view subsequent experiences to be consistent with these core beliefs. Thus, an individual who, as a child, was subjected to severe, unprovoked punishment from a disturbed parent may conclude “I am weak” or “I am inferior.” Once this conclusion has been formulated, it would appear to be strongly reinforced over years and years of experiences at the hands of the parent. Thus, when this individual becomes an adult, he or she tends to interpret even normal frustrations as more proof of the original belief: “See, I really am inferior.” Examples of these negative schemata or core beliefs are “I am inferior,” “I am unlovable,” and “I cannot do anything right.” People holding such core beliefs about themselves would differ strongly in their views of a frustrating experience from those people who hold a core belief such as “I am capable.” Another major contribution of cognitive therapy is Beck’s cognitive specificity hypothesis. Specifically, Beck has suggested that each of the emotional disorders is characterized by its own patterns of thinking. In the case of depression, the thought content is concerned with ideas of personal deficiency, impossible environmental demands and obstacles, and nihilistic expectations. For example, a depressed patient might interpret a frustrating situation, such as a malfunctioning automobile, as evidence of his or her own inadequacy: “If I were really competent, I would have anticipated this problem and been able to avoid it.” Additionally, the depressed patient might react to the malfunctioning automobile with “This is too much, I cannot take it anymore.” To the depressed patient, this would simply be another example of the utter hopelessness of life. 195
Psychology Basics Patterns of Thought While the cognitive content of depression emphasizes the negative view of the self, the world, and the future, anxiety disorders are characterized by fears of physical and psychological danger. The anxious patient’s thoughts are filled with themes of danger. These people anticipate detrimental occurrences to themselves, their family, their property, their status, and other intangibles that they value. In phobias, as in anxiety, there is the cognitive theme of danger; however, the “danger” is confined to definable situations. As long as phobic sufferers are able to avoid these situations, they do not feel threatened and may be relatively calm. The cognitive content of panic disorder is characterized by a catastrophic interpretation of bodily or mental experiences. Thus, patients with panic disorder are prone to regard any unexplained symptom or sensation as a sign of some impending catastrophe. As a result, their cognitive processing system focuses their attention on bodily or psychological experience. For example, one patient saw discomfort in the chest as evidence of an impending heart attack. The cognitive feature of the paranoid reaction is the misinterpretation of experience in terms of mistreatment, abuse, or persecution. The cognitive theme of the conversion disorder (a disorder characterized by physical complaints such as paralysis or blindness, of which no underlying physical basis can be determined) is the conviction that one has a physical disorder. As a result of this belief, the patient experiences sensory or motor abnormalities that are consistent with the patient’s faulty conception of organic pathology. Changing the Patient’s Mind The goal of cognitive therapy is to assist the patient to evaluate his or her thought processes carefully, to identify cognitive errors, and to substitute more adaptive, realistic cognitions. This goal is accomplished by therapists helping patients to see their thinking about themselves (or their situation) as similar to the activity of a scientist—that they are engaged in the activity of developing hypotheses (or theories) about their world. Like a scientist, the patient needs to “test” his or her theory carefully. Thus, patients who have concluded that they are “worthless” people would be encouraged to test their “theories” rigorously to determine if this is indeed accurate. Further, in the event that the theories are not accurate, patients would be encouraged to change their theories to make them more consistent with reality (what they find in their experience). A slightly different intervention developed by Beck and his colleagues is to help the patient identify common cognitive distortions. Beck originally identified four cognitive distortions frequently found in emotional disorders: arbitrary inference, selective abstraction, overgeneralization, and magnification or minimization. These were later expanded to ten or more by Beck’s colleagues and students. Arbitrary inference is defined as the process of drawing a conclusion 196
Cognitive Therapy from a situation, event, or experience when there is no evidence to support the conclusion or when the conclusion is contrary to the evidence. For example, a depressed patient on a shopping trip had the thought, “The salesclerk thinks I am a nobody.” The patient then felt sad. On being questioned by the psychologist, the patient realized that there was no factual basis for this thought. Selective abstraction refers to the process of focusing on a detail taken out of context, ignoring other, more salient features of the situation, and conceptualizing the whole experience on the basis of this element. For example, a patient was praised by friends about the patient’s child-care activities. Through an oversight, however, the patient failed to have her child vaccinated during the appropriate week. Her immediate thought was “I am a failure as a mother.” This idea became paramount despite all the other evidence of her competence. Overgeneralization refers to patients’ patterns of drawing a general conclusion about their ability, their performance, or their worth on the basis of a single incident. For example, a student regards his poor performance on the first examination of the semester as final proof that he “will never make it in college.” Magnification and minimization refer to gross errors in evaluation. For example, a person, believing that he has completely ruined his car (magnification) when he sees that there is a slight scratch on the rear fender, regards himself as “good for nothing.” In contrast, minimization refers to minimizing one’s achievements, protesting that these achievements do not mean anything. For example, a highly successful businesswoman who was depressed concluded that her many prior successes “were nothing. . . simply luck.” Using the cognitive distortions, people are taught to examine their thoughts, to identify any distortions, and then to modify their thoughts in order to eliminate the distortions. Therapeutic Techniques In terms of the therapeutic process, the focus is initially on the automatic thoughts of patients. Once patients are relatively adept at identifying and modifying their maladaptive automatic thoughts, the therapy begins to focus on the maladaptive underlying beliefs or schemata. As previously noted, these beliefs are fundamental beliefs that people hold about themselves. These beliefs are not as easy to identify as the automatic thoughts. Rather, they are identified in an inferential process. Common patterns are observed; for example, the person may seem to be operating by the rule “If I am not the best _____, then I am a failure,” or “If I am not loved by my spouse or mate, then I am worthless.” As in the case of the earlier cognitive work with automatic thoughts, these beliefs are carefully evaluated for their adaptability or rationality. Maladaptive beliefs are then modified to more adaptive, realistic beliefs. A variety of techniques have been developed by cognitive therapists for modifying maladaptive cognitions. One example of these techniques is self197
Psychology Basics monitoring. This involves the patient’s keeping a careful hour-by-hour record of his or her activities, associated moods, or other pertinent phenomena. One useful variant is to have the patient record his or her mood on a simple zero-to-one-hundred scale, where zero represents the worst he or she has ever felt and one hundred represents the best. In addition, the patient can record the degree of mastery or pleasure associated with each recorded activity. A number of hypotheses can be tested using self-monitoring, such as “It does not do any good for me to get out of bed,” “I am always miserable; it never lets up,” and “My schedule is too full for me to accomplish what I must.” By simply checking the self-monitoring log, one can easily determine if one’s miserable mood ever ceases. A careful examination of the completed record is a far better basis for judging such hypotheses than is the patient’s memory of recent events, because his or her recollections are almost always tainted by the depression. As therapy progresses and patients begin to experience more elevated moods, the focus of treatment becomes more cognitive. Patients are instructed to observe and record automatic thoughts, perhaps at a specific time each evening, as well as recording when they become aware of increased dysphoria. Typically, the thoughts are negative self-referents (“I am worthless” or “I will never amount to anything”), and initially, the therapist points out their unreasonable and self-defeating nature. With practice, patients learn “distancing,” or dealing with such thoughts objectively and evaluating them, rather than blindly accepting them. Homework assignments can facilitate distancing: The patient records an automatic thought, and next to it he or she writes down a thought that counters the automatic thought, as the therapist might have done. According to Beck, certain basic themes soon emerge, such as being abandoned, as well as stylistic patterns of thinking, such as overgeneralization. The themes reflect the aforementioned rules, and the ultimate goal of therapy is to assist the patient to modify them. Finally, cognitive therapy has been applied to a variety of psychological disorders with striking success. For example, studies from seven independent centers have compared the efficacy of cognitive therapy to antidepressant medication, a treatment of established efficacy. Comparisons of cognitive therapy to drugs have found cognitive therapy to be superior or equal to antidepressant medication. Further, follow-up studies indicate that cognitive therapy has greater long-term effects than drug therapy. Of special significance is the evidence of greater sustained improvement over time with cognitive therapy. Cognitive therapy has been successfully applied to panic disorder, resulting in practically complete reduction of panic attacks after twelve to sixteen weeks of treatment. Additionally, cognitive therapy has been successfully applied to generalized anxiety disorder, eating disorders, and inpatient depression. 198
Cognitive Therapy Depression and Cognitive Therapy Cognitive theory and cognitive therapy originated in Beck’s observation and treatment of depressed patients. Originally trained in psychoanalysis, Beck observed that his patients experienced specific types of thoughts, of which they were only dimly aware, that they did not report during their free associations. Beck noticed that these thoughts were frequently followed by an unpleasant effect. Further, he noted that as the patients examined and modified their thoughts, their mood began to improve. At the time of the emergence of the cognitive model, the treatment world was dominated primarily by the psychoanalytic model (with its heavy emphasis on the unconscious processes) and to a lesser extent by the behavioral model (with its emphasis on the behavioral processes, to the exclusion of thought). The psychoanalytic model was under attack, primarily because of a lack of careful empirical support. In contrast, behavior therapists were actively demonstrating the efficacy of their approaches in carefully designed studies. Beck and his students began to develop and test cognitive procedures systematically, and they have developed an impressive body of research support for the approach. Sources for Further Study Beck, Aaron T. Cognitive Therapy and the Emotional Disorders. New York: International Universities Press, 1976. An easy-to-read book that presents a general overview of the cognitive model and illustrates the cognitive model of different psychological disorders. Beck, Aaron T., and Gary Emery. Anxiety Disorders and Phobias: A Cognitive Perspective. Reprint. New York: Basic Books, 1990. Presents the cognitive theory and model of anxiety disorders, as well as the clinical techniques used with anxious patients. Beck, Aaron T., A. J. Rush, B. F. Shaw, and Gary Emery. Cognitive Therapy of Depression. Reprint. New York: Guilford Press, 1987. Presents the cognitive theory of depression and actual techniques used with depressed patients. Makes a theoretical contribution and serves as a clinical handbook on depression. Burns, David D. Feeling Good: The New Mood Therapy. Rev. ed. New York: Avon, 1999. Readable introduction to the major concepts and techniques of cognitive therapy; written by one of Beck’s students. Emery, Gary, Steven D. Hollom, and Richard C. Bedrosian, eds. New Directions in Cognitive Therapy: A Casebook. New York: Guilford Press, 1981. Contains cases presented by major cognitive therapists. Focuses on the application of cognitive therapy to a wide range of presenting problems (such as loneliness and agoraphobia) as well as diverse populations. Donald G. Beal See also: Cognitive Behavior Therapy; Cognitive Social Learning: Walter Mischel; Personal Constructs: George A. Kelly. 199
Conditioning Type of psychology: Learning Fields of study: Instrumental conditioning; Pavlovian conditioning Conditioning and learning are roughly synonymous terms. Both refer to changes in behavior resulting from experience, but conditioning has a more specific meaning, referring to changes in behavior that are the direct result of learning relationships between environmental events. Two types of relationships are studied by learning psychologists. The first involves learning the relationship between environmental events that consistently occur together. The second involves learning the environmental consequences of behavior. These two learning scenarios correspond to classical and operant conditioning respectively. Key concepts • behavioral approach • conditioned stimulus (CS) • conditioned response (CR) • contiguity • Law of Effect • operant response (R) • reinforcing stimulus (Sr) • schedules of reinforcement • shaping • unconditioned stimulus (US) • unconditioned response (UR) Learning refers to any change in behavior or mental processes associated with experience. Traditionally psychologists interested in learning have taken a behavioral approach which involves studying the relationship between environmental events and resulting behavioral changes in detail. Though the behavioral approach typically involves studying the behavior of nonhuman subjects in controlled laboratory environments, the results that have been found in behavioral research have often found wide application and use in human contexts. Since the early twentieth century behavioral psychologists have extensively studied two primary forms of learning, classical and operant conditioning. Classical Conditioning Classical conditioning is also referred to as associative learning or Pavlovian conditioning, after its primary founder, the Russian physiologist Ivan Petrovich Pavlov (1849-1936). Pavlov’s original studies involved examining digestion in dogs. The first step in digestion is salivation. Pavlov developed an apparatus that allowed him to measure the amount of saliva a dog produced when presented with food. Dogs do not need to learn to salivate when food is given to them—that is an automatic, reflexive response. However, Pavlov 200
Conditioning noticed that, with experience, the dogs began to salivate before the food was presented, suggesting that new stimuli had acquired the ability to elicit the response. In order to examine this unexpected finding, Pavlov selected specific stimuli, which he systematically presented to the dog just before food was presented. The classic example is the ringing of a bell, but there was nothing special about the bell per se. Dogs do not salivate in response to a bell ringing under normal circumstances. What made the bell special was its systematic relationship to the delivery of food. Over time, the dogs began to salivate in response to the ringing of the bell even when the food was not presented. In other words, the dogs learned to associate the bell with food so that the response (salivation) could be elicited by either stimulus. In classical conditioning terminology, the food is the unconditioned stimulus (US). It is unconditioned (or unlearned) because the animal naturally responds to it before the experiment has begun. The sound of the bell ringing is referred to as the conditioned stimulus (CS). It is not naturally effective in eliciting salivation—for it to be so, learning on the part of the subject is required. Salivating in response to food presentation is referred to as
Ivan Pavlov. (Library of Congress) 201
Psychology Basics the unconditioned response (UR), and salivating when the bell is rung is referred to as the conditioned response (CR). Though it would seem that saliva is saliva, it is important to differentiate the conditioned from the unconditioned response, because these responses are not always identical. More important, one is a natural, unlearned response (the UR), while the other requires specific learning experiences in order to occur (the CR). Classical conditioning is not limited to dogs and salivation. Modern researchers examine classical conditioning in a variety of ways. What is important is the specific pairing of some novel stimulus (the CS) with a stimulus that already elicits the response (the US). One common experimental procedure examines eye blink conditioning in rabbits, where a brief puff of air to the eye serves as the US, and the measured response (UR) is blinking. A tone, a light, or some other initially ineffective stimulus serves as the CS. After many pairings in which the CS precedes the air puff, the rabbit will begin to blink in response to the CS in the absence of the air puff. Another common behavior that is studied in classical conditioning research is conditioned suppression. Here a CS is paired with an aversive US, such as a mild electric shock. Presentation of the shock disrupts whatever behavior the animal is engaged in at the time, and with appropriate pairing over time, the CS comes to do so as well. A final example that many humans can relate to is taste aversion learning. Here a specific taste (CS) is paired with a drug or procedure that causes the animal to feel ill (US). In the future, the animal will avoid consuming (CR) the taste (CS) associated with illness (US). Taste aversions illustrate the fact that all forms of conditioning are not created equal. To learn a conditioned eye blink or salivation response requires many CS-US pairings, while taste aversions are often learned with only one pairing of the taste and illness. Underlying Factors Psychologists have long studied the factors that are necessary and sufficient for producing classical conditioning. One important principle is contiguity, which refers to events occurring closely together in space or time. Classical conditioning is most effective when the CS and US are contiguous, though precisely how closely together they must be presented depends upon the type of classical conditioning observed. Taste aversion conditioning, for example, will occur over much longer CS-US intervals than would be effective with other conditioning arrangements. Nevertheless, the sooner illness (US) follows taste (CS), the stronger the aversion (CR) will be. Though seemingly necessary for classical conditioning, contiguity is not sufficient. A particularly clear demonstration of this fact is seen when the CS and US are presented at the exact same moment (a procedure called simultaneous conditioning). Though maximally contiguous, simultaneous conditioning is an extremely poor method for producing a CR. Furthermore, the order of presentation matters. If the US is presented before the CS, rather than afterward as is usually the case, then inhibitory conditioning will occur. 202
Conditioning Inhibitory conditioning is seen in experiments in which behavior can change in two directions. For example, with a conditioned suppression procedure, inhibitory conditioning is seen when the animal increases, rather than decreases, its ongoing behavior when the CS is presented. These findings have led modern researchers to focus on the predictive relationship between the CS and the UCS in classical conditioning. An especially successful modern theory of classical conditioning, the RescorlaWagner Model, suggests that CS’s acquire associative strength in direct proportion to how much information they provide about the upcoming US. In addition to providing a quantitative description of the way in which CRs are learned, the Rescorla-Wagner model has predicted a number of counterintuitive conditioning phenomena, such as blocking and overshadowing. Taken as a whole, the newer theoretical conceptions of classical conditioning tend to view the learning organism less as a passive recipient of environmental events than as an active analyzer of information. Does classical conditioning account for any human behaviors? At first glance, these processes might seem a bit simplistic to account for human behaviors. However, some common human reactions are quite obviously the result of conditioning. For instance, nearly everyone who has had a cavity filled will cringe at the sound of a dentist’s drill, because the sound of the drill (CS) has been paired in the past with the unpleasant experience of having one’s teeth drilled (US). Cringing at the sound of the drill would be a conditioned response (CR). Psychologists have found evidence implicating classical conditioning in a variety of important human behaviors, from the emotional effects of advertising to the functioning of the immune system to the development of tolerance in drug addiction. Operant Conditioning At about the same time that Pavlov was conducting his experiments in Russia, an American psychologist named Edward L. Thorndike (1874-1949) was examining a different form of learning that has come to be called instrumental or operant conditioning. Thorndike’s original experiments involved placing cats in an apparatus he designed, which he called a puzzle box. A plate of food was placed outside the puzzle box, but the hungry cat was trapped inside. Thorndike designed the box so that the cat needed to make a particular response, such as moving a lever or pulling a cord, in order for a trap door to be released, allowing escape and access to the food outside. The amount of time it took the cat to make the appropriate response was measured. With repeated experience, Thorndike found that it took less and less time for the cat to make the appropriate response. Operant conditioning is much different from Pavlov’s classical conditioning. As was stated before, classical conditioning involves learning “what goes with what” in the environment. Learning the relationship changes behavior, though behavior does not change the environmental events themselves. Through experience, Pavlov’s dogs began to salivate when the bell 203
Psychology Basics was rung, because the bell predicted food. However, salivating (the CR) did not cause the food to be delivered. Thorndike’s cats, on the other hand, received no food until the appropriate response was made. Through experience, the cats learned about the effects of their own behavior upon environmental events. In other words, they learned the consequences of their own actions. To describe these changes, Thorndike postulated the Law of Effect. According to the Law of Effect, in any given situation an animal may do a variety of things. The cat in the puzzle box could walk around, groom itself, meow, or engage in virtually any type of feline behavior. It could also make the operant response, the response necessary to escape the puzzle box and gain access to the food. Initially, the cat may engage in any of these behaviors and may produce the operant response simply by accident or chance. However, when the operant response occurs, escape from the box and access to the food follows. In operant conditioning terminology, food is the reinforcer, (Sr, or reinforcing stimulus) and it serves to strengthen the operant response (R) that immediately preceded it. The next time the animal finds itself in the puzzle box, its tendency to produce the operant response will be a bit stronger as a consequence of the reinforcement. Once the response is made again, the animal gains access to the food again—which strengthens the response further. Over time, the operant response is strengthened, while other behaviors that may occur are not strengthened and thus drop away. So, with repeated experience, the amount of time that it takes for the animal to make the operant response declines. Skinnerian Conditioning In addition to changing the strength of responses, operant conditioning can be used to mold entirely new behaviors. This process is referred to as shaping and was described by American psychologist B. F. Skinner (19041990), who further developed the field of operant conditioning. Suppose that the experiment’s objective was to train an animal, such as a laboratory rat, to press a lever. The rat could be given a piece of food (Sr) each time it pressed the lever (R), but it would probably be some considerable time before it would do so on its own. Lever pressing does not come naturally to rats. To speed up the process, the animal could be “shaped” by reinforcing successive approximations of lever-pressing behavior. The rat could be given a food pellet each time that it was in the vicinity of the lever. The Law of Effect predicts that the rat would spend more and more of its time near the lever as a consequence of reinforcement. Then the rat may be required to make some physical contact with the lever, but not necessarily press it, in order to be rewarded. The rat would make more and more contact with the lever as a result. Finally, the rat would be required to make the full response, pressing the lever, in order to get food. In many ways, shaping resembles the childhood game of selecting some object in the room without saying what it is, and guiding guessers by saying “warmer” as they approach the object, and 204
Conditioning as they move away from it, saying nothing at all. Before long, the guessers will use the feedback to zero in on the selected object. In a similar manner, feedback in the form of reinforcement allows the rat to “zero in” on the operant response. Skinner also examined situations where reinforcement was not given for every individual response but was delivered according to various schedules of reinforcement. For example, the rat may be required to press the lever a total of five times (rather than once) in order to get the food pellet, or the reinforcing stimulus may be delivered only when a response occurs after a specified period of time. These scenarios correspond to ratio and interval schedules. Interval and ratio schedules can be either fixed, meaning that the exact same rule applies for the delivery of each individual reinforcement, or variable, meaning that the rule changes from reinforcer to reinforcer. For example, in a variable ratio-five schedule, a reward may be given after the first five responses, then after seven responses, then after three. On average, each five responses would be reinforced, but any particular reinforcement may require more or fewer responses. To understand how large an impact varying the schedule of reinforcement can have on behavior, one might consider responding to a soda machine versus responding to a slot machine. In both cases the operant response is inserting money. However, the soda machine rewards (delivers a can of soda) according to a fixed-ratio schedule of reinforcement. Without reward, one will not persist very long in making the operant response to the soda machine. The slot machine, on the other hand, provides rewards (delivers a winning payout) on a variable-ratio schedule. It is not uncommon for people to empty out their pockets in front of a slot machine without receiving a single reinforcement. Superstitious Pigeons As with classical conditioning, exactly what associations are learned in operant conditioning has been an important research question. For example, in a classic 1948 experiment, Skinner provided pigeons with food at regular intervals regardless of what they were doing at the time. Six of his eight pigeons developed stereotyped (consistent) patterns of behavior as a result of the experiment despite the fact that the pigeons’ behavior was not really necessary. According to the Law of Effect, some behavior would be occurring just prior to food delivery and this behavior would be strengthened simply by chance pairing with reinforcement. This would increase the strength of the response, making it more likely to occur when the next reward was delivered—strengthening the response still further. Ultimately, one behavior would dominate the pigeons’ behavior in that experimental context. Skinner referred to this phenomenon as superstition. One need only observe the behavior of baseball players approaching the plate or basketball players lining up for a free-throw shot to see examples of superstition in human behavior. 205
Psychology Basics Superstition again raises the issue of contiguity—simply presenting reinforcement soon after the response is made appears to strengthen it. However, later studies, especially a 1971 experiment conducted by J. E. R. Staddon and V. Simmelhag, suggested that it might not be quite that simple. Providing food rewards in superstition experiments changes a variety of responses, including natural behaviors related to the anticipation of food. In operant conditioning, animals are learning more than the simple contiguity of food and behavior; they are learning that their behavior (R) causes the delivery of food (Sr). Contiguity is important but is not the whole story. In addition, psychologists have explored the question “What makes a reinforcer reinforcing?” That is to say, is there some set of stimuli that will “work” to increase the behaviors followed in every single circumstance? The answer is that there is not some set of rewards that will always increase behavior in all circumstances. David Premack was important in outlining the fact that reinforcement is relative, rather than absolute. Specifically, Premack suggested that behaviors in which an organism is more likely to engage serve to reinforce behaviors in which they are less likely to engage. In a specific example, he examined children given the option of playing pinball or eating candy. Some children preferred pinball and spent more of their time playing the game than eating the candy. The opposite was true of other children. Those who preferred pinball would increase their candy-eating behavior (R) in order to gain access to the pinball machine (Sr). Those who preferred eating candy would increase their pinball-playing behavior (R) in order to gain access to candy (Sr). Behaviors that a child initially preferred were effective in reinforcing behaviors that the child was less likely to choose—but not the other way around. Negative Consequences Positive or rewarding outcomes are not the only consequences that govern behavior. In many cases, people respond in order to avoid negative outcomes or stop responding when doing so produces unpleasant events. These situations correspond to the operant procedures of avoidance and punishment. Many psychologists have advocated using reinforcement rather than punishment to alter behavior, not because punishment is necessarily less effective in theory but because it is usually less effective in practice. In order for punishers to be effective, they should be (among other things) strong, immediate, and consistent. This can be difficult to accomplish in practice. In crime, for example, many offenses may have occurred without detection prior to the punished offense, so punishment is not certain. It is also likely that an individual’s court hearing, not to mention his or her actual sentence, will be delayed by weeks or even months, so punishment is not immediate. First offenses are likely to be punished less harshly than repeated offenses, so punishment gradually increases in intensity. In the laboratory, such a situation would produce an animal that would be quite persistent in responding, despite punishment. 206
Conditioning In addition, punishment can produce unwanted side effects, such as the suppression of other behaviors, aggression, and the learning of responses to avoid or minimize punishing consequences. Beyond this, punishment requires constant monitoring by an external authority, whereas reinforcement typically does not. For example, parents who want to punish a child for having a messy room must constantly inspect the room to determine its state. The child certainly is not going to point out a messy room that will lead to punishment. On the other hand, if rewarded, the child will bring the neat room to the parents’ attention. This is not to suggest that punishment should necessarily be abandoned as one tool for controlling behavior. Rather, the effectiveness of punishment, like reinforcement, can be predicted on the basis of laboratory results. Interactions and Biological Constraints Though the distinction between classical and operant conditioning is very clear in principle, it is not always so clear in practice. This makes sense if one considers real-life learning situations. In many circumstances, events in the environment are associated (occur together) in a predictable fashion, and behavior will have consequences. This can be true in the laboratory as well, but carefully designed experiments can be conducted to separate out the impact of classical and operant conditioning on behavior. In addition, the effectiveness of both classical and operant conditioning is influenced by biological factors. This can be seen both in the speed with which classically conditioned taste aversions (as compared with other CRs) are learned and in the stimulation of natural food-related behaviors in operant superstition experiments. Related findings have demonstrated that the effects of rewarding behavior can be influenced by biology in other ways that may disrupt the conditioning process. In an article published in 1961, Keller and Marian Breland described their difficulties in applying the principles of operant conditioning to their work as animal trainers in the entertainment industry. They found that when trained with food reinforcement, natural behaviors would often interfere with the trained operant response—a phenomenon they called instinctive drift. From a practical point of view, their research suggested that to be successful in animal training, one must select operant responses that do not compete with natural food-related behaviors. From a scientific point of view, their research suggested that biological tendencies must be taken into account in any complete description of conditioning processes. Applications of Conditioning Technology Conditioning research serves as a valuable tool in the psychological exploration of other issues. In essence, conditioning technology provides a means for asking animals questions—a way to explore interesting cognitive processes such as memory, attention, reasoning, and concept formation under highly controlled laboratory conditions in less complex organisms. 207
Psychology Basics Another area of research is the field of behavioral neuroscience, a field that combines physiological and behavioral approaches in order to uncover the neurological mechanisms underlying behavior. For example, the impact of various medications and substances on behavior can be observed by administering drugs as reinforcing stimuli. Animals will produce operant responses in order to receive the same drugs to which humans become addicted. However, in animals, the neurological mechanisms involved in developing addictions can be studied directly, using both behavioral and physiological experimental techniques in a way that would not be possible with human subjects because of ethical considerations. In addition, the principles of classical and operant conditioning have been used to solve very real human problems in a variety of educational and therapeutic settings, a strategy called applied behavior analysis. The principles of operant conditioning have been widely applied in settings where some degree of control over human behavior is desirable. Token economies are situations in which specified behaviors, such as appropriate classroom behavior, are rewarded according to some schedule of reinforcement. The reinforcers are referred to as tokens because they need not have any rewarding value in and of themselves but can be exchanged for reinforcers at some later time. According to the principles of operant conditioning, people should increase the operant response in order to gain the reinforcers, and if the token economy is developed properly, that is exactly what occurs. If token economies sound rather familiar, it is for good reason. Money is an extremely potent token reinforcer for most people, who perform operant responses (work) in order to receive token reinforcers (money) that can later be exchanged for primary reinforcers (such as food, clothing, shelter, or entertainment). Finally, learning principles have been applied in clinical psychology in an effort to change maladaptive behaviors. Some examples include a procedure called systematic desensitization, in which the principles of classical conditioning are applied in an effort to treat phobias (irrational beliefs), and social skills training, in which operant conditioning is used to enhance communication and other interpersonal behaviors. These are only two examples of useful applications of conditioning technology to treat mental illness. Such applications suggest the need for ongoing research into basic conditioning mechanisms. One must fully understand conditioning principles in order to apply them appropriately in the effort to understand and improve the human condition. Sources for Further Study Domjan, Michael. The Principles of Learning and Behavior. 5th ed. Belmont, Calif.: Thomson/Wadsworth, 2003. An extremely useful and complete textbook presenting classical as well as up-to-date research in the areas of operant and classical conditioning. Schwartz, Barry, ed. Psychology of Learning: Readings in Behavior Theory. New 208
Conditioning York: W. W. Norton, 1984. A collection of reprinted articles on conditioning and learning. Skinner, B. F. Beyond Freedom and Dignity. 1971. Reprint. Indianapolis, Ind.: Hackett, 2002. The influential B. F. Skinner outlines his philosophical views on conditioning and its importance in confronting world problems. Linda R. Tennison See also: Behaviorism; Habituation and Sensitization; Learned Helplessness; Learning; Pavlovian Conditioning; Phobias; Reflexes.
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Consciousness Type of psychology: Consciousness Fields of study: Cognitive processes; sleep; thought Consciousness refers to a number of phenomena, including the waking state; experience; and the possession of any mental state. The phenomena of self-consciousness include proneness to embarrassment in social settings; the ability to detect one’s own sensations and recall one’s recent actions; self-recognition; awareness of awareness; and self-knowledge in the broadest sense. Key concepts • awareness • alternate state of consciousness • developmental aspects of consciousness • evolution of consciousness • history of consciousness study Many scientists have ignored the phenomena associated with consciousness because they deem it inappropriate for empirical investigation. However, there is clear evidence that this position is changing. Researchers in the fields of psychology, neurobiology, philosophy, cognitive science, physics, medicine, anthropology, mathematics, molecular biology, and art are now addressing major issues relating to consciousness. These researchers are asking such questions as what constitutes consciousness, whether it is possible to explain subjective experience in physical terms, how scientific methods can best be applied to the study of consciousness, and the neural correlates of consciousness. Moreover, new methods of brain imaging have helped clarify the nature and mechanisms of consciousness, leading to better understanding of the relationship between conscious and unconscious processes in perception, memory, learning, and other domains. These and other questions have led to a growing interest in consciousness studies, including investigations of properties of conscious experience in specific domains (such as vision, emotion, and metacognition) and a better understanding of disorders and unusual forms of consciousness, as found in blindsight, synesthesia, and other syndromes. History of Consciousness Study The definition of consciousness proposed by English philosopher John Locke (1632-1704)—“the perception of what passes in a man’s own mind”— has been that most generally accepted as a starting point in understanding the concept. Most of the philosophical discussions of consciousness, however, arose from the mind-body issues posed by the French philosopher and mathematician René Descartes (1596-1650). Descartes raised the essential questions that, until recently, dominated consciousness studies. He asked 210
Consciousness whether the mind, or consciousness, is independent of matter, and whether consciousness is extended (physical) or unextended (nonphysical). He also inquired whether consciousness is determinative or determined. English philosophers such as Locke tended to reduce consciousness to physical sensations and the information they provide. European philosophers such as Gottfried Wilhelm Leibniz (1646-1716) and Immanuel Kant (1724-1804), however, argued that consciousness had a more active role in perception. The nineteenth century German educator Johann Friedrich Herbart (1776-1841) had the greatest influence on thinking about consciousness. His ideas on states of consciousness and unconsciousness influenced the German psychologist and physiologist Gustav Theodor Fechner (18011887) as well as the ideas of Sigmund Freud (1856-1939) on the nature of the unconscious. The concept of consciousness has undergone significant changes since the nineteenth century, and the study of consciousness has undergone serious challenge as being unscientific or irrelevant to the real work of psychology. Nineteenth century scholars had conflicting opinions about consciousness. It was either a mental stuff different from everyday material or a physical attribute like sensation. Sensation, along with movement, separates humans and other animals from nonsensate and immobile lower forms of life. Scholars viewed consciousness as different from unconsciousness, such as occurred in sleep or under anesthesia. Whatever the theory, these scholars generally employed the same method, that of introspection. Experimental Study It was the German psychologist Wilhelm Max Wundt (1832-1920) who began the experimental study of consciousness in 1879 when he established his research laboratory. Wundt saw the task of psychology as the study of the structure of consciousness, which extended well beyond sensations and included feelings, images, memory, attention, duration, and movement. By the 1920’s, however, behavioral psychology had become the major force in psychology. John Broadus Watson (1878-1958) was the leader of this revolution. He wrote in 1913, “I believe that we can write a psychology and never use the terms consciousness, mental states, mind . . . imagery and the like.” Between 1920 and 1950, consciousness was either neglected in psychology or treated as a historical curiosity. Behaviorist psychology led the way in rejecting mental states as appropriate objects for psychological study. The inconsistency of introspection as method made this rejection inevitable. Neurophysiologists also rejected consciousness as a mental state but allowed for the study of the biological underpinnings of consciousness. Thus, brain functioning became part of their study. The neural mechanisms of consciousness that allow an understanding between states of consciousness and the functions of the brain became an integral part of the scientific approach to consciousness. Brain waves—patterns of electrical activity—correlate with different levels of consciousness. These waves measure different levels 211
Psychology Basics of alertness. The electroencephalograph provides an objective means for measuring these phenomena. Beginning in the late 1950’s, however, interest in the subject of consciousness returned, specifically in those subjects and techniques relating to altered states of consciousness: sleep and dreams, meditation, biofeedback, hypnosis, and drug-induced states. When a physiological indicator for the dream state was found, a surge in sleep and dream research followed. The discovery of rapid eye movement (REM) helped to generate a renaissance in consciousness research. Thus, during the 1960’s there was an increased search for “higher levels” of consciousness through meditation, resulting in a growing interest in the practices of Zen Buddhism and yoga from Eastern cultures. This movement yielded such programs as transcendental meditation, and these self-directed procedures of physical relaxation and focused attention led to biofeedback techniques designed to bring body systems involving factors such as blood pressure or temperature under voluntary control. Researchers discovered that people could control their brain-wave patterns to some extent, especially the alpha rhythms generally associated with a relaxed, meditative state. Those people interested in consciousness and meditation established a number of “alpha training” programs. Hypnosis and psychoactive drugs also received great attention in the 1960’s. Lysergic acid diethylamide (LSD) was the most prominent of these substances, along with mescaline. These drugs have a long association with religious ceremonies in non-Western cultures. Fascination with the altered states of consciousness they induce led to an increased interest in research on consciousness. As the twentieth century progressed, the concept of consciousness began to come back into psychology. Developmental psychology, cognitive psychology, and the influence of cognitive philosophy each played a role in influencing the reintroduction of the concept, more sharply etched, into the mainstream of psychology. Jean Piaget Jean Piaget, the great developmental psychologist, viewed consciousness as central to psychological study. Therefore, he sought to find ways to make its study scientific. To do so, Piaget dealt in great detail with the meaning of the subject-object and mind-body problems. Piaget argued that consciousness is not simply a subjective phenomenon; if it were, it would be unacceptable for scientific psychology. Indeed, Piaget maintained that conscious phenomena play an important and distinctive role in human behavior. Moreover, he directed research to examine the way in which consciousness is formed, its origins, stages, and processes. Consciousness is not an epiphenomenon, nor can psychologists reduce it to physiological phenomena. For Piaget, consciousness involves a constructed subjective awareness. It is a developmentally constructed process, not a product. It results from interaction with the environment, not from the environment’s action on it: “[T]he process of be212
Consciousness coming conscious of an action scheme transforms it into a concept; thus becoming conscious consists essentially in conceptualization.” There are two relationships necessary for the understanding of consciousness. The first is that of subject and object. The second is the relationship between cognitive activity and neural activity. Both are essential to getting at the process of cognition and its dynamic nature. Memory and Altered States A variety of studies and experiments have explored the effects of certain variables on consciousness. For instance, it is important to ascertain the way in which variables that increase memorability in turn influence metamemory. Results have been inconsistent. However, it was found that when experimenters directed subjects to remember some items and forget others, there was an increase in recalling those items that experimenters were directed to remember. There was, nevertheless, no effect on the accuracy of what was remembered. Sleep and dreams, hypnosis, and other altered states have provided another intriguing area of study for those interested in consciousness. The relationship of naps to alertness later in the day has proved of great interest to psychologists. In one study, nine healthy senior citizens, seventy-four to eighty-seven years of age, experienced nap and no-nap conditions in two studies each. Napping was for one and one-half hours, from 1:30 to 3:00 p.m. daily. The no-nap condition prohibited naps and encouraged activity in that period. Various tests were used to measure evening activity as well as record sleep. Aside from greater sleep in the twenty-four-hour period for those who had the ninety-minute nap, there was no difference on any other measure. The threat simulation theory of dreaming holds that dreams have a biological function to protect the dream self. This dream self behaves in a defensive fashion. An empirical test of this theory confirmed the predictions and suggests that the theory has wide implications regarding the functions of consciousness. The study of consciousness, then, has elucidated understanding of perception, memory, and action, created advances in artificial intelligence, and illustrated the philosophical basis of dissatisfaction with the dualistic separation of mind and body. Electrical correlates of states of consciousness have been discovered as well as structures in the brain stem that regulate the sleep cycle. Other studies have looked at neural correlates in various states such as wakefulness, coma, the persistent vegetative state, the “locked-in” syndrome, akinetic mutism, and brain death. There are many other areas of consciousness in which neuroscience has made major advances. An important problem neglected by neuroscientists is the problem of meaning. Neuroscientists are apt to assume that if they can see that a neuron’s firing is roughly correlated with some aspect of the visual scene, such as an oriented line, then that firing must be part of the neural correlate of the seen line. However, it is necessary to explain how meaning can be ex213
Psychology Basics pressed in neural terms as well as how the firing of neurons is connected to the perception of a face or person. Imagery Imagery is associated with memory, perception, and thought. Imagery occurs in all sensory modes. However, most work on imagery has neglected all but visual imagery. Concerns with imagery go back to the ancient Greek philosophers. Plato (c. 428-348 b.c.e.) and Aristotle (384-322 b.c.e.), for example, compared memory to a block of wax into which one’s thoughts and perceptions stamp impressions. Aristotle gave imagery an important place in cognition and argued that people think in mental images. Early experimental psychologists, such as Wundt, carried on this notion of cognition. Around 1901, Oswald Külpe (1862-1915) and his students at the University of Würzburg in Germany challenged these assumptions. However, these experiments employed introspective techniques, which Wundt and other attacked as being inconclusive. The controversy led to a rejection of mental imagery, introspection, and the study of consciousness itself. In the twentieth century, a movement toward seeing language as the primary analytical tool and a rejection of the old dominance of imagery came into fashion. The phenomenology of French philosopher and writer Jean-Paul Sartre (1905-1980) also led to a decline of interest in imagery. A revival of research in imagery followed the cognitive science revolution of the 1960’s and 1970’s, contributing greatly to the rising scientific interest in mental representations. This revival stemmed from research on sensory deprivation and on hallucinogenic drugs. Studies in the role of imagery mnemonics also contributed to this reemergence of imagery studies. Conclusion As the concept of a direct, simple linkage between environment and behavior became unsatisfactory in the late twentieth century, the interest in altered states of consciousness helped spark new interest in consciousness. People are actively involved in their own behavior, not passive puppets of external forces. Environments, rewards, and punishments are not simply defined by their physical character. There are mental constructs involved in each of these. People organize their memories. They do not merely store them. Cognitive psychology, a new division of the field, has emerged to deal with these interests. Thanks to the work of developmental psychologists such as Piaget, great attention is being given to the manner in which people understand or perceive the world at different ages. There are advances in the area of animal behavior, stressing the importance of inherent characteristics that arise from the way in which a species has been shaped to respond adaptively to the environment. There has also been the emergence of humanistic psychologists, concerned with the importance of self-actualization and growth. Clinical and industrial psychology have demonstrated that a person’s state 214
Consciousness of consciousness in terms of current feelings and thoughts is of obvious importance. Although the role of consciousness was often neglected in favor of unconscious needs and motivations, there are clear signs that researchers are interested in emphasizing once more the nature of states of consciousness. Sources for Further Study Brann, Eva T. H. The World of the Imagination: Sum and Substance. Savage, Md.: Rowman & Littlefield, 1991. Discusses the role of imagination in cognition. Chalmers, David. The Conscious Mind: In Search of a Fundamental Theory. New York: Oxford University Press, 1996. Presents a clear summary of various theories of consciousness. Greenfield, Susan A. Journey to the Centers of the Mind. New York: W. H. Freeman, 1995. This is a study of biological influences in cognition. Libet, Benjamin. Neurophysiology of Consciousness: Selected Papers and New Essays. Boston: Birkhäuser, 1993. Clearly presents the role of neurophysiology in conscious thought. Weiskrantz, Lawrence. Consciousness Lost and Found. New York: Oxford University Press, 1997. A study of modes of consciousness and the manner in which psychologists have rediscovered the importance of the concept. Frank A. Salamone See also: Consciousness: Altered States; Dementia; Dreams; Thought: Study and Measurement.
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Consciousness: Altered States Type of psychology: Consciousness Field of study: Cognitive processes The investigation of altered states of consciousness began in psychology with the recognition that consciousness is not a fixed, unvarying state but is in a continual state of flux. Consciousness can be altered by many chemical and nonchemical means, and there is some evidence to indicate that certain altered states are necessary for normal psychological functioning. Key concepts • biofeedback • circadian rhythm • electroencephalogram (EEG) • hypnagogic and hypnopompic states • hypnosis • meditation • psychoactive drugs • restricted environmental stimulation (RES) The great psychologist William James, in his 1890 textbook The Principles of Psychology, made the following now-famous observation regarding states of consciousness: “Our normal waking consciousness, rational consciousness as we call it, is but one special type of consciousness, whilst all about it, parted from it by the filmiest of screens, there lie potential forms of consciousness entirely different.” James went on to say that the understanding of human psychological functioning would never be complete until these alternate states were addressed. Most psychologists would now acknowledge that a person’s normal waking consciousness is readily subject to changes. These changes are referred to as altered states of consciousness. What constitutes a genuine altered state and how many such states may exist are both subjects of some controversy. States of consciousness have always been central to the attempt to understand human nature. For example, every society of which any record exists has possessed both chemical and nonchemical means of altering consciousness. From a historical point of view, Sigmund Freud (1856-1939) may have done more than any other theorist to stimulate interest in states of consciousness. Freud’s psychoanalytic theory of personality held that there were three primary levels of consciousness: consciousness, preconsciousness, and unconsciousness. The conscious level includes mental activities of which one is unaware. The preconscious level consists of mental material of which one is currently unaware but that can be voluntarily recalled—roughly equivalent to memory. The unconscious level, which held the greatest interest for Freud, contains thoughts, feelings, memories, and drives that are 216
Consciousness: Altered States blocked from awareness because they are unpleasant or arouse anxiety. In addition to his interest in these three levels of consciousness, Freud’s interest in altered states at various points in his career was manifested in investigations of cocaine, hypnosis, and the analysis and interpretation of dreams. In the early twentieth century, with the growth of behaviorism (which insisted that in order to be a science, psychology should confine itself to investigating only objective, observable behavior), the study of altered states of consciousness fell out of favor. Events in the larger culture during the 1960’s and 1970’s, however, helped stimulate interest in altered states within psychology. During this period, efforts to expand consciousness by means of drugs, meditation, Eastern religious practice, and new ways of relating to oneself and others led to the active study of altered states of consciousness. The attempts of psychologists to study altered states of experience will perhaps be viewed in the future as a landmark in the development of psychology as a science. The willingness of psychology to explore the novel realms that altered states represent may help to expand the understanding of both consciousness and reality. Variations in Consciousness Physiological psychologist Karl Pribram lists the following states of consciousness: states of ordinary perceptual awareness; states of self-consciousness; dream states; hypnagogic and hypnopompic states (the transition states, characterized by vivid dreamlike imagery, that occur as one goes into and comes out of sleep); ecstatic states (such as the orgiastic experience); socially induced trance or trancelike states; drug-induced states; social role states; linguistic states (for example, a multilingual person thinking in one, rather than another, language); translational states (as when one linguistic universe is being recorded or translated in another); ordinary transcendental states (such as those experienced by an author in the throes of creative composition); extraordinary transcendental states that are achieved by special techniques; other extraordinary states (such as those that allow “extrasensory awareness”); meditational states; dissociated states, as in the case of pathological multiple personality; and psychomotor states manifest in temporal-lobe epilepsies. To that list could be added the following additional states: sleep; the hyperalert state, characterized by increased vigilance while one is awake; the lethargic state, characterized by dulled, sluggish mental activity; states of hysteria, with intense feeling and overpowering emotion; regressive states, such as senility; daydreaming with rapidly occurring thoughts that bear little relation to the external environment; coma; sleep deprivation; sensory overload or deprivation; and prolonged strenuous exercise. This list is by no means exhaustive. Some of these states clearly represent greater degrees of alteration of the “normal” consciousness than others. There is, however, no universal agreement on what constitutes the normal state of consciousness. Charles Tart and other authors have suggested that what is usually called “normal” con217
Psychology Basics sciousness is not a natural, given state but a construction based mainly on cultural values and inputs. In any case, some altered states of consciousness are experienced on a daily basis by everyone, while others are much more rare and may require great effort or special circumstances to achieve. Influences on Altered Consciousness Some alterations in conscious functions are induced by daily changes in biological rhythms. Bodily events that occur in roughly a twenty-four-hour cycle are referred to as circadian rhythms, from the Latin circa (“about”) and dies (“day”). It is thought that these cycles are created by natural events, such as the light-dark cycle, and by other cues in the daily routine, such as mealtimes. The sleeping-waking cycle is the major circadian rhythm, but there are others, such as fluctuations in body temperature. This daily temperature cycle appears to be directly related to levels of mental activity. When all external cues are removed, circadian rhythms extend to about twenty-five hours. As a result of prolonged isolation, the cycle can become completely distorted, with periods of up to forty hours of waking followed by periods of up to twenty-two hours of sleep. When the change is gradual in this way, the individual has a distorted sense of time and believes that he or she is experiencing normal periods of sleep and waking. Abrupt changes in circadian rhythms, as when one crosses several time zones, are what lead to that sleepy, uncomfortable feeling known as jet lag. In addition to biological rhythms, there are other regular daily variations in consciousness. On the way to sleep each night, people enter a kind of “twilight” period known as the hypnagogic state. The state of consciousness that is entered immediately before waking is called the hypnopompic state. In both these states, one is partially asleep and partially continuing to process environmental stimuli. Both are characterized by vivid imagery, and many people have reported creative insight during these periods. Stages of Sleep Sleep itself is not a unified state but consists of five distinct stages: one stage of rapid eye movement (REM) sleep and four stages of nonrapid eye movement (NREM) sleep. During a typical night’s sleep, one moves in and out of these stages four or five times. REM sleep is primarily associated with periods of dreaming. Sleeping subjects awakened during a period of REM sleep report having just experienced a dream about 80 percent of the time, compared with less than 10 percent when NREM sleep is interrupted. Psychologists are still unclear on exactly why humans need to sleep, but the need for periods of REM sleep might be part of the reason. When sleeping subjects are deprived of REM sleep (and their NREM sleep is undisturbed), they often show many of the symptoms of not having slept at all. Also, when later given the opportunity for uninterrupted sleep, they spend a greater percentage of time in the REM stage, as if making up for the lost REM sleep (this is referred to as the REM-rebound effect). The REM-rebound effect is 218
Consciousness: Altered States lessened if the individual is encouraged to engage in an increased amount of daydreaming, which indicates a possible connection between day and night dreams. Psychoactive Drugs The use of psychoactive drugs is a common method for altering consciousness. These drugs are chemical substances that act on the brain to create psychological effects and are typically classified as depressants, stimulants, narcotics (opiates), hallucinogens, or antipsychotics. Several drugs, such as nicotine, caffeine, and alcohol, are so much a part of the lifestyle in modern society that users may not even think of them as drugs. The use of many psychoactive drugs can lead to physical or psychological dependence or addiction, as the body/mind develops a physiological/psychological need for the drug. The body can also build up a tolerance for a drug, which means that higher and higher doses are necessary to produce the same effects. Once addiction has been established, discontinuing the use of the drug can lead to withdrawal symptoms, such as nausea, fever, convulsions, and hallucinations, among others, which can sometimes be fatal. The type of altered state produced by a psychoactive drug depends on the class to which the drug belongs. Depressants, such as alcohol, barbiturates, and tranquilizers, depress central nervous system functioning and usually produce relaxation, anxiety reduction, and—eventually—sleep. Narcotics (opiates), such as heroin, morphine, and codeine, depress activity in some areas of the cortex but create excitation in others, producing feelings of euphoria and providing relief from pain. Stimulants, such as amphetamines, cocaine, caffeine, and nicotine, stimulate central nervous system activity, producing feeling of alertness and euphoria and lack of appetite. Hallucinogens, such as lysergic acid diethylamide (LSD), mescaline, and psilocybin, can produce hallucinations, delusions, exhilaration, and, in some cases, quasi-mystical experiences. Hypnosis and Meditation Two popular nonchemical techniques for altering consciousness are hypnosis and meditation. Hypnosis was first discovered in the eighteenth century by Franz Mesmer, and its use has been marked by controversy ever since. An altered state is induced in hypnosis by the suggestive instructions of the hypnotist, usually involving progressive relaxation. The hypnotized subject often appears to be asleep but remains alert inside, exhibiting varying degrees of responsiveness to the suggestions of the hypnotist. Only about 10 percent of the population can enter the deepest hypnotic state, while another 10 percent cannot be hypnotized at all. The rest of the population can achieve some degree of hypnotic induction. Psychologists argue about whether hypnosis is a genuine altered state or simply a form of role playing. There is less controversy regarding meditation as a true altered state. Since the mid-1960’s, there has been extensive research on the physiological 219
Psychology Basics changes that occur during meditation. Some of the findings include a decrease in oxygen consumption of 16 percent during meditation (compared with an 8 percent drop during the deepest stage of sleep), a cardiac output decrease of 25 percent, and an average slowing of the heart rate by five beats per minute. During meditation, electroencephalogram (EEG) patterns are dominated by the alpha rhythm, which has been associated with relaxation. An EEG is a graphic recording of the electrical activity of brain waves. Researchers R. K. Wallace and Herbert Benson believed that there was sufficient physiological evidence to justify calling the meditative state a “fourth major state of consciousness” (along with waking, dreaming, and sleeping), which they termed a “wakeful, hypometabolic [reduced metabolic activity] state.” Beginning meditators usually report feelings of relaxation and “ordinary thoughts,” while advanced practitioners sometimes report transcendental experiences of “consciousness without content.” Applications of Hypnosis Research on altered states of consciousness has led to many benefits. The analgesic properties of hypnosis were verified in research conducted by Ernest Hilgard at Stanford University. He found that hypnotic suggestion could be used to reduce or eliminate experimentally induced pain. Even though subjects were not consciously aware of the pain, Hilgard found that, with the right questions, he could uncover a “hidden observer,” a dissociated aspect of the subject’s conscious awareness that did monitor the feelings of pain. Hilgard reports that hypnotic relief from pain has been reported for the chronic pain of arthritis, nerve damage, migraine headaches, and cancer. For individuals who are unable to be anesthetized because of allergic reactions or fear of needles, hypnosis is often used as an effective substitute for the control of pain. It has been effectively applied in cases involving dental work, childbirth, burns, abdominal surgery, and spinal taps. Hypnotic suggestion has also been effective in reducing the nausea associated with cancer chemotherapy. The use of hypnosis to recover forgotten memories is much more controversial. One dramatic phenomenon displayed with certain hypnotic subjects is age regression, in which the individual not only is able to recall vividly childhood memories but also seems to reenact behaviors from childhood, including body postures, voice, and handwriting characteristics of a given age. There is no way of knowing, however, whether this represents true recall or is simply a type of fantasy and role playing. Hypnosis has also been used to enhance the memories of crime witnesses in court proceedings. There is evidence, however, that actual recall does not become more accurate and that the witness may be unintentionally influenced by the suggestions of the hypnotist, which could lead to inaccuracies and distortions in the “remembered” events. For this reason, courts in many states automatically disqualify testimony obtained by means of hypnosis. 220
Consciousness: Altered States Benefits of Meditation Research on the physiological effects of meditation led to the application of meditative techniques as a treatment to combat stress-related illnesses. Meditators have often experienced significant decreases in such problems as general anxiety, high blood pressure, alcoholism, drug addiction, insomnia, and other stress-related problems. Researchers have also found that the scores of meditators on various psychological tests have indicated general mental health, self-esteem, and social openness. Many psychologists argue, however, that these effects are not unique to meditation and can be produced by means of other relaxation techniques. Meditation researcher Robert Ornstein has suggested that the long-term practice of meditation may induce a relative shift in hemispheric dominance in the brain from the left hemisphere, which is associated with such linear processes as language and logical reasoning, to the right hemisphere, which is associated with nonlinear processes such as music perception and spatial reasoning. Consistent with this idea are findings that meditators are better on certain righthemispheric tasks such as remembering musical tones but worse on verbal problem-solving tasks that involve the left hemisphere. Biofeedback Early research on advanced meditators in India indicated that they could exhibit control over what are normally autonomic processes in the body—for example, speeding up or slowing down the heart rate at will, stopping the heart for up to seventeen seconds, controlling blood flow to different areas of the body, and controlling brain-wave patterns at will. At first, these results were met with skepticism, but it is now known that humans and animals can learn to control previously involuntary processes by using a technique known as biofeedback. Through biofeedback training, an individual who is connected to a special measuring device can monitor autonomic events such as blood pressure, skin temperature, and muscle tension. Having this information can allow the individual gradually to gain control over these autonomic processes. Biofeedback techniques have been applied to an enormous variety of clinical problems. EEG biofeedback, for example, has been used to train epileptics to emit brain-wave patterns that are incompatible with those that occur during brain seizures. Other disorders that have been successfully treated by means of biofeedback include cardiac disorders, high blood pressure, tension headaches, anxiety, and neuromuscular disorders such as cerebral palsy. Sensory Deprivation Other applications have grown out of research on altered states of consciousness produced by restricting sensory stimulation from the environment. Researchers in the 1950’s completed extensive studies on the effects of prolonged sensory deprivation. Subjects placed in soundproof isolation chambers with translucent goggles to eliminate vision and padded arm 221
Psychology Basics tubes to minimize touch sensation often experienced negative psychological effects after about a day. Most subjects suffered from extreme boredom, slowed reaction time, and impaired problem-solving ability. Some subjects reacted to sensory deprivation by creating their own internally generated sights and sounds in the form of hallucinations. These results led to the institution of special procedures to help reduce the effects of sensory deprivation in certain occupations; for example, airline pilots on long night flights, astronauts living for prolonged periods in tiny space capsules, and individuals working in isolated weather stations. A controlled form of sensory deprivation, known as restricted environmental stimulation therapy (REST), has been used to reduce the effects of overarousal and hyperactivity. REST sessions usually involve floating in heavily salted warm water in a dark, soundproof tank. Most subjects find this floating sensation very pleasant, and there have been many reports of long-term reductions in high blood pressure and other stress-related problems. Argument for State-Specific Sciences Although traditional scientific methods are poorly suited to the study of consciousness, many beneficial tools that can be used to measure the physiological correlation of altered states, such as the electroencephalograph, have been developed as an outgrowth of the study of states of consciousness. Psychologist Charles Tart suggested the creation of state-specific sciences. In reaching this conclusion, he argues that any particular state of consciousness (including ordinary waking) is a semiarbitrary construction—a specialized tool that is useful for some things but not for others and that contains large numbers of structures shaped by a particular group’s value judgments. Thus, science is observation and conceptualization carried out within the highly selective framework provided by a culturally determined ordinary state of consciousness. Tart suggests that, as altered states of consciousness often represent radically different ways of organizing observations and reworking conceptualizations of the universe (including oneself), if the scientific method were applied to developing sciences within various states of consciousness, there would be sciences based on radically different perceptions, logics, and communications, and thus science as a whole would gain new perspectives that would complement the existing one. Regardless of whether this suggestion is taken seriously, it is clear that the study of states of consciousness has achieved legitimacy in scientific psychology. The investigation so far has revealed that human consciousness is much more diverse and varied than many psychologists previously believed. Sources for Further Study Flannagan, Owen J. Dreaming Souls: Sleep, Dreams, and the Evolution of the Mind. New York: Oxford University Press, 1999. A professor of philosophy, experimental psychology, and neurobiology proposes that dreams are an unplanned side effect of the evolution of a human mind designed 222
Consciousness: Altered States to “have experiences.” Reviews current research and theory on the nature and functions of dreaming as well as presenting his own thesis. Hilgard, Ernest Ropiequet. Divided Consciousness: Multiple Controls in Human Thought and Action. Expanded ed. New York: John Wiley & Sons, 1986. A discussion of consciousness by one of the most respected experimental psychologists. Included are discussions on the hidden observer phenomenon in hypnosis and on other dissociation phenomena such as multiple personality, amnesia, and fugue states. Hobson, J. Allen. The Dream Drugstore: Chemically Altered States of Consciousness. Cambridge, Mass.: MIT Press, 2001. Discusses the natural and voluntarily altered chemistry of the brain and its effects on human consciousness. Hobson addresses the modern reliance on antidepressants such as Prozac as well as the “recreational” drugs of underground culture and presents the possible connections between dreaming states, drug-induced states, and mental illnesses in a nonjudgmental fashion. Ornstein, Robert Evan, ed. The Nature of Human Consciousness. San Francisco: W. H. Freeman, 1973. This anthology contains essays by many of the pioneers in the psychological study of altered states of consciousness, including Carl Jung, Roberto Assagioli, Arthur Deikman, and many others. Topics include meditative states, psychosynthesis, Sufism, and synchronicity. __________. The Psychology of Consciousness. 2d rev. ed. New York: Penguin Books, 1986. This is considered a classic text on altered states of consciousness. It provides in-depth discussions of the psychology of meditation and the relationship of altered states to hemispheric differences in the brain. Ward, Colleen A., ed. Altered States of Consciousness and Mental Health: A Crosscultural Perspective. Thousand Oaks, Calif.: Sage, 1989. A collection of papers assessing the mental health value and use of altered states of consciousness from a non-Western perspective. Wolman, Benjamin B., and Montague Ullman, ed. Handbook of States of Consciousness. New York: Van Nostrand Reinhold, 1986. This is an excellent sourcebook on psychological theory and research on altered states of consciousness. Discusses, in addition to the topics covered in this article, trance states, lucid dreams, ultradian rhythms, and many other subjects. Oliver W. Hill, Jr. See also: Consciousness; Dementia; Dreams; Thought: Study and Measurement.
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Creativity and Intelligence Type of psychology: Intelligence and intelligence testing Field of study: General issues in intelligence Creativity and intelligence are two aspects of cognitive performance in humans. Creativity refers to having inventive, productive, and imaginative qualities; intelligence refers to having mental acuteness, the ability to understand, and the ability to act effectively to solve problems within one’s environment. The areas of creativity and intelligence have provided insight into what it means to be gifted and talented. Key concepts • analogy • cognitive skills • creativity • giftedness • intelligence • problem solving • problem solving by analogy Creativity and intelligence are two areas of cognitive functioning and performance which have been examined by researchers, educators, and others. Creativity can be defined as a person’s cognitive abilities in areas such as fluency, flexibility, originality, elaboration, visualization, metaphorical thinking, problem definition, and evaluation. Intelligence is defined as the ability to perform various mental tasks which include reasoning, knowledge, comprehension, memory, applying concepts, and manipulating figures. The study of creativity and intelligence has developed based on studies in cognitive, developmental, and educational psychology. Given that psychology as a discipline may be defined as the systematic study of the mind and behavior, when one studies creativity and intelligence, one learns how to improve performance and lead those persons who are creative, gifted, and talented to new heights. Specifically, when one studies creativity, one gains information about students’ abilities in imagination, discovery, and the ability to invent. When one studies intelligence, one gains information about students’ abilities in logic, memory, and organization. Creativity and intelligence have played a significant role in the history of psychology and an even greater role in the history of humankind. Progress in education is evident in at least three occurrences. First, interest in measuring individual differences has led to the development of tests to quantify creative and intellectual abilities. Second, attention to persons who have been identified as creative, gifted, talented, or highly intelligent has led to the development of special programs, learning experiences, and scholarships for these students. Third, the needs of these students have led to re224
Creativity and Intelligence search on the students themselves. The results of numerous empirical studies have been published to aid parents, educators, and the gifted or creative individual in understanding the needs of those with special abilities. Certain issues related to creativity and intelligence have evolved from discrepancies that have been found in obtaining relationships between creativity and intelligence. It is a mistake to lump creative and intelligent people together: Creative ability is not synonymous with intellectual ability. Many students who are very high in intelligence, as measured by a test, are not high in other intellectual functions, such as creativity. Many students who are high in creativity are not also high in intelligence. Defining and Measuring Creativity Creativity refers to the process of being imaginative and innovative. A creative person is able to link existing information with new information in productive ways. Students who are creative may often be referred to as being gifted and talented. Charles F. Wetherall has listed many characteristics of gifted, talented, or creative students. Creative students, for example, have a keen sense of observation and a desire to improve their abilities, produce a variety of possible solutions to problems, are curious and original, have the characteristic of persistence, are comfortable with ambiguity, are able to work independently, are able to analyze and synthesize information, demonstrate compulsivity and an urgency to complete a task or execute an idea, and have multiple latent abilities. Thus, when one’s existing knowledge and information combine in a unique way, a creative product or idea is formed. Many others have sought to describe creativity. Characteristics of creative persons and creativity, according to Gary A. Davis and Sylvia Rimm, include valuing creative thinking, appreciating novel and far-fetched ideas, being open-minded and receptive to zany ideas, and being mentally set to produce creative ideas. Robert Sternberg describes creative people as those who have the ability and willingness to go beyond the ordinary limitations of themselves and their environment and to think and act in unconventional and perhaps dreamlike ways. Further, he states that creative people go beyond the unwritten canons of society, have aesthetic taste, and are inquisitive and intuitive. Major contributions have been made to many fields of endeavor as a result of creative enterprise. Creativity has been studied through research that sought to examine personality and family issues related to creativity, the ecology of creativity, musical creativity, and creative ability in women. Research by Robert Albert that examined relationships between creativity, identity formation, and career choice led him to make six suggestions for parents and teachers to help students achieve maximally. This information would be beneficial both to students who are gifted and to those who are not. His suggestions include helping students experience emotions such as anger, joy, fear, and passion; teaching involvement rather than techniques to students; seeking to dis225
Psychology Basics cover what people can do; allowing students to experience some novelty and flexibility; encouraging the students to ask the questions “What do I think?” “How do I think?” “What can I do?” and “How do I feel about it now that I have tried?”; and enhancing learning by being actively engaged with and taking chances with one another. Theories of Intelligence Intelligence, according to Paul Kline, refers to a person’s ability to learn, understand, and deal with novel situations. The intelligent person may be viewed as quick-witted, acute, keen, sharp, canny, astute, bright, and brilliant. Robert Sternberg, in Intelligence Applied: Understanding and Increasing Your Intellectual Skills (1986), describes intelligence as comprising a very wide array of cognitive and other skills; he does not see intelligence as a single ability. After examining many theories of intelligence, Sternberg developed the triarchic (three-part) theory of intelligence. In the componential subtheory, the first part of the theory, intelligence is related to the internal world of the individual. For example, a person who is intelligent in this area obtains high scores on standardized tests and is excellent in analytical thinking. The second part of the theory, the experiential subtheory, specifies intelligence in situations. A person who is intelligent in handling novel tasks with creativity but who may not have the best standardized test scores is demonstrating intelligence in this area. In the third part of the theory, the contextual subtheory, intelligence is related to the external world of the individual. For example, a person who is able to achieve success when interacting on the job or when influencing other people is demonstrating contextual intelligence. Role of Analogies Characteristics of intelligent persons include greater preference for, more attention to, and highly developed abilities for dealing with novelty; an ability to process information rapidly; an ability to ignore irrelevant information; and an ability to solve problems accurately. Problem-solving ability in intelligence may be observed in a person’s ability to complete many tasks successfully. Among these tasks would be a person’s ability to solve analogies. Analogies are statements of a relationship between words, concepts, or situations. Problem solving by analogy occurs when students attempt to use the conditions and solution to one problem to assist them in understanding the conditions and solutions of another problem. Put another way, students use the relationships they see in one context or situation to assist them in understanding relationships in another context or situation. Many educators believe that solving analogies helps students to concretize their thinking, gauge how they understand information, tap and develop a facility for visual thinking, exercise and nurture creative and critical thinking, clarify and or226
Creativity and Intelligence ganize unfamiliar subject matter, and synthesize instructional material. Past research has pointed to an ability to solve analogies as one of the best predictors of intellectual ability. Intelligence has also been studied by examining the way in which students who have been identified as gifted (based on high intelligence test scores) solve problems. It was found that highly intelligent people are better able to separate relevant and irrelevant information. Assessment Tests Both creativity and intelligence can be assessed by specialized tests designed for that purpose. One of the first people to examine the concept of intelligence in the United States was James McKeen Cattell (1860-1944). He is credited with the introduction of the use of the phrase “mental tests.” After studying in Europe, Cattell developed and sought to refine tests which focused on the cognitive skills that he believed indicated intellectual ability: strength, reaction time, and sensory discrimination. The first test to examine individual differences in intelligence was devised and published in France by Alfred Binet and Théodore Simon in 1905; it was called the Binet-Simon test. The Binet-Simon test was translated into English and went through a series of revisions by various people. The version of the Binet-Simon test most used in the United States is the StanfordBinet, which was first published in 1916. E. Paul Torrance developed the Torrance Tests of Creative Thinking. These tests seek to assess creativity as it relates to fluency, flexibility, originality, and elaboration. Each of these areas can be understood in the context of examples. Fluency in creativity is the ability one has to produce numerous original ideas that solve problems. For example, persons may demonstrate fluency when they can state multiple uses for a ballpoint pen. Flexibility in creativity is the ability to produce ideas that show a variety of approaches that may be used. Originality is the ability to create uncommon or unusual responses; for example, a unique or unconventional use of the ballpoint pen would be classified as original. Elaboration refers to a person’s ability to add details to a basic idea. For example, if a common item such as a ballpoint pen is discussed in extreme and minute details that do not focus on obvious aspects of the pen, elaboration is being demonstrated. Intelligence tests consist of standardized questions and tasks that seek to determine the mental age of a person or the person’s relative capacity to solve problems and absorb new information. Intelligence tests try to measure students’ capacity to learn separate from their actual academic achievement. Intelligence tests are either group-administered or individually administered; in group testings, large numbers of students can be assessed at the same time. According to Miles Storfer, individual intelligence tests such as the Stanford-Binet and the Wechsler series provide a good approximation of most people’s abilities in the cognitive skills that the tests are designed to 227
Psychology Basics measure. These cognitive skills include being able to solve problems well, reasoning clearly, thinking logically, having a good vocabulary, and knowing an abundance of information in many areas. Implications for Science and Technology Creative discovery has led to many technological breakthroughs and innovations in science and industry. Technological breakthroughs and success in science and industry have been evident in the extensive research into creative activity conducted by W. J. Gordon. He provides some source material that points to the relationship between invention, discovery, and learning. Creativity and analogies have led to breakthroughs in a wide variety of technological fields. One example of the many technological breakthroughs and innovations in science and industry presented by Gordon occurred in 1865. John Boyd Dunlop was trying to think of a way to help his son be more comfortable when riding his bicycle over cobblestone streets. While watering his garden, he noticed how the hose resisted his fingers when he pressed his hand more firmly around it. He made the connections between the elastic resistance of the hose and how this type of elasticity would make his son more comfortable when biking. His first successful tire was made from a piece of garden hose. Sources for Further Study Albert, Robert S. “Identity, Experiences, and Career Choice Among the Exceptionally Gifted and Eminent.” In Theories of Creativity, edited by Mark A. Runco and Robert S. Albert. Newbury Park, Calif.: Sage, 1990. This twelve-chapter book on creativity is a compilation of the expertise of persons who have studied creativity in areas such as anthropology, behavior, cognition, development, and ecology. Davis, Gary A., and Sylvia B. Rimm. Education of the Gifted and Talented. 5th ed. Boston: Pearson, 2004. Presents various skills, behaviors, and characteristics of students who are gifted, talented, or creative. The abilities and skills involved in creative problem solving are explained in clear language. An excellent source to gain information on the educational needs of gifted, talented, or creative students. Gordon, W. J. “Some Source Material in Discovery-by-Analogy.” Journal of Creative Behavior 8, no. 4 (1974): 239-257. Focusing on an associative view of invention, discovery, and learning, Gordon cites thirty-eight examples of associative analogical connections which have triggered famous innovations and breakthroughs. A wide variety of technological fields are included. Interesting reading; gives the foundations of many items used in everyday life. Kline, Paul. Intelligence: The Psychometric View. New York: Routledge, 1991. Provides a summary of studies focusing on the nature of intelligence and other human abilities. Topics include the history of the concept of intelli228
Creativity and Intelligence gence and ways to measure intelligence. The definitions of statistical and technical terms are presented in a clear and readable fashion. Simenton, Dean Keith. Origins of Genius: Darwinian Perspectives on Creativity. New York: Oxford University Press, 1999. Explores the source of creativity in Darwinian properties of variation and selection. Steptoe, Andrew, ed. Genius and the Mind: Studies of Creativity and Temperament. New York: Oxford University Press, 1998. A collection of case study essays on the psychology of creative “geniuses” such as Wolfgang Amadeus Mozart; George Gordon, Lord Byron; and William Shakespeare. Sternberg, Robert J. Intelligence Applied: Understanding and Increasing Your Intellectual Skills. Orlando, Fla.: Harcourt Brace Jovanovich, 1986. A training program based on the triarchic theory of intelligence that Sternberg has developed. Details effective strategies for solving various types of problems, including science insight problems and analogies. Exercises for practice are included. Storfer, Miles D. Intelligence and Giftedness: The Contributions of Heredity and Early Environment. San Francisco: Jossey-Bass, 1990. Storfer presents information on the effects of nurture on intelligence, focusing on the nature and development of intellectual giftedness and the characteristics of intellectually gifted people. The concept of intelligence in different socioeconomic conditions, in enrichment programs, and in its varying types are highlighted in separate chapters. The factors that influence intelligence and giftedness are examined in detail. Torrance, Ellis Paul. Education and the Creative Potential. Minneapolis: University of Minnesota Press, 1963. A compilation of seven papers and six experimental studies conducted by Torrance, who developed a test to measure creative thinking and conducted longitudinal studies on creativity. Contains information on topics such as developing creative potential in schoolchildren and factors that facilitate or inhibit creativity in children. Weisberg, Robert W. Creativity: Genius and Other Myths. New York: W. H. Freeman, 1986. Weisberg discusses the behaviors, activities, and finished products of individuals who have been described as creative. Defines creativity by giving real-life examples and discusses the role that intense knowledge or expertise plays in creative problem solving. Debra A. King-Johnson See also: Giftedness; Intelligence; Intelligence Tests; Learning.
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Crowd Behavior Type of psychology: Social psychology Fields of study: Aggression; group processes; social motives Crowd behavior is the study of how the behavior of people in groups differs from that of individuals. People in crowds often become much more focused on their social identity than on their own individual identity. As a result, they are much more influenced by the norms of the group. Key concepts • bystander effect • deindividuation • diffusion of responsibility • group norms • social identity theory Crowds are groups of people who are together for short periods of time. The study of crowd behavior examines the actions that people in a crowd perform and how these actions differ from the behavior of individuals acting alone. Crowd behavior became a focus of scholarly thought in the late nineteenth and early twentieth centuries in reaction to the social turmoil in Western Europe at that time. Italian criminologist Scipio Sighele (18681913) first wrote about crowd behavior. French psychologist Gustave Le Bon (1841-1931), the founder of crowd psychology, formalized and popularized the concept with his book The Crowd, published in 1895. Le Bon’s ideas reached a wide audience and are said to have influenced German dictator Adolf Hitler and Italian dictator Benito Mussolini as well as psychologists. Because crowds have performed many senseless and destructive acts, both historically and recently, understanding crowd behavior remains extremely important for psychologists. The term “crowd” refers to a wide spectrum of human gatherings, varying in their complexity and the intention with which people join them. Some crowds are casual; people come together by happenstance (as a group of pedestrians standing on a sidewalk.) These tend to be simple, disorganized groups of people who do not know one another and will probably not see one another again. Others are conventionalized—the people have all chosen a common activity (for example, watching a parade or a sporting event) and express excitement in standard ways (cheering). Some crowds are purposive, choosing to be together for a common goal, such as a rally or political protest. These groups are often highly cohesive and highly organized. Because crowds differ so much in their composition, organization, and purpose, there is also considerable variation in typical crowd behavior. Popular and scholarly attention has tended to focus on the situations in which 230
Crowd Behavior crowd behavior is considered problematic. In these situations, the crowd often has an unusual problem to solve rapidly (for example, how to respond to a hostile police force). The occurrence of riots and violence attest to the fact that these sorts of problems are not always solved constructively by crowds. Crowds, of course, are capable of behaving in positive ways as well. Underlying Psychological Processes Early theories of crowd behavior hypothesized that unruly crowds were made up of criminals or the mentally deficient. Proponents of this perspective assumed that crowd behavior could be explained by the makeup of the individual personalities of people in the crowd and that certain kinds of people were more likely to be found in a crowd. Le Bon provided a more psychological analysis of crowd behavior, recognizing that even people of high intelligence could become members of an unruly crowd. He believed that crowds transform people, obliterating their normal abilities to be rational and putting them in a hypnotic, highly suggestible state. Le Bon disapproved of crowd behavior in all forms. Consequently, in his book he painted an extremely negative picture of crowd behavior. Modern social psychological research suggests that neither of these early viewpoints is a good description of the psychological forces underlying crowd behavior. Experimental research has determined that almost any individual could be influenced to behave in uncharacteristic ways under the right circumstances. Le Bon’s perspective has also been greatly refined. Rather than relying on Le Bon’s concepts of mass hypnosis and loss of rationality, modern researchers draw primarily from social identity theory to help explain crowd behavior. Social identity theory, originally developed by European psychologists Henri Tajfel and John Turner in the 1970’s, posits that the individual derives an important part of his or her sense of identity from the groups to which he or she belongs. Groups such as one’s family, school, or religion can all provide positive sources of identity. Under some circumstances, crowds can become a source of identity as well. A key psychological mechanism through which crowds become a source of identity is deindividuation, the loss of a person’s sense of identity and weakening of inhibitions, which occurs only in the presence of others. Being in a crowd is likely to lead to deindividuation for a number of reasons. First, crowds lead individuals to feel less accountable for their actions; the individual is less likely to be singled out and feels less personally responsible for any act the crowd commits. Crowds also focus attention away from the self, so one’s own values and internal standards become less influential. Thus, in line with social identity theory, deindividuation leads someone to become focused on social identity rather than individual identity. When social identity is salient to an individual, that person becomes particularly susceptible to social influence. Group norms, or a group’s standards and expectations regarding appropriate behavior, become especially important, and the individual is likely to conform strictly to those norms. In the short 231
Psychology Basics time frame of many crowd gatherings, the norm becomes whatever everyone else is doing. Being amid a group of people, however, does not always lead one to become deindividuated, nor does it always lead to the ascendancy of social identity over individual identity. Often crowds do not engage in collective behavior at all. For example, on most city streets, pedestrians walking and milling about do not consider themselves to be part of a group and do not draw a sense of identity from the people around them. Eugen Tarnow noted that these wide variations in the effect of crowds on individuals can be best understood by identifying two phases, an individual phase and a conforming phase. During the individual phase, people move freely about. At these times, individuals are not particularly aware of their membership in a crowd and are not particularly influenced by those around them. In the conforming phase, however, individuals in a crowd are highly aware of the group of which they are a part, and they show high levels of conformity. During this phase, the group norms heavily influence each individual’s behavior. Crowds typically alternate between these two phases, sometimes acting collectively, sometimes individually. For example, at a sporting event, fans are sometimes talking to their friends about topics of individual interest. However, when points are scored by the home team, the crowd responds collectively, as part of social group. At these moments spectators are not responding as individuals but as members of the social group, “fans.” The behaviors that members of a crowd perform will thus depend upon how strongly the crowd becomes a source of social identity and the norms
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The way in which individuals behave in a crowd has been a subject of increasing attention. (CLEO Photography) 232
Crowd Behavior for behavior that become established among the group. Because these factors vary considerably from group to group, crowds cannot be characterized as wholly negative or uniformly simplistic, as Le Bon described them. The Violent Crowd Violent and destructive acts are among the most studied forms of crowd behavior. Many historical examples, from the French Revolution of 1789 to the Los Angeles riots of 1992, attest to the destructive power of crowds. A crowd of deindividuated people will not become violent, however, unless a group norm of violence becomes established. In riots, for example, there is usually an identifiable precipitating event (for example, one person smashing a window) that introduces a norm of violence. If a critical mass of people immediately follows suit, a riot ensues. Other crowds, such as lynch mobs, have the norm of violence previously established by their culture or by the group’s previous actions. Further, there is some evidence to suggest that the way in which a crowd of people is viewed by authorities can escalate crowd conflicts. For example, in 1998, European psychologists Clifford Stott and Stephen Reicher interviewed police officers involved with controlling a riot in Great Britain. Their analysis revealed that while police officers recognize that crowds contain subgroups of more dangerous or less dangerous members, they tend to treat all group members as potentially dangerous. The police officers’ negative expectations often translate into combative behavior toward all crowd members. By acting on their negative expectations, authority figures often elicit the very behaviors they hope to prevent. This often leads to increased violence and conflict escalation. Much evidence suggests that there is a direct relationship between the degree of deindividuation and the extremity of a crowd’s actions. For example, in 1986, Brian Mullen examined newspaper accounts of sixty lynchings occurring in the first half of the twentieth century. His analysis revealed that the more people in the mob, the more violent and vicious was the event. Similarly, Leon Mann found in his analysis of twenty-one cases of threatened suicides that crowds watching were more likely to engage in crowd baiting (encouraging the person to jump from a ledge or bridge) when crowds were large and when it was dark. On a more mundane level, sports players are more aggressive when wearing identical uniforms than when dressed in their own clothes. Any factor that increases anonymity seems to increase deindividuation and increase the power of social identity and thus increases the likelihood of extreme behavior. In South Africa, psychological research on these phenomena has been presented in murder trials. People being tried for murder have argued that these psychological principles help explain their antisocial behavior. The use of psychological research findings for these purposes has sparked a great deal of controversy in the field. 233
Psychology Basics The Apathetic Crowd While crowds are most infamous for inciting people to rash action, sometimes crowds inhibit behavior. Research on helping behavior suggests that helping is much less likely to occur when there are many people watching. This well-established phenomenon, known as the bystander effect, was researched and described by American psychologists John Darley and Bibb Latane. In a typical experiment, participants overhear an “accident,” such as someone falling off a ladder. Researchers observe whether participants go to help. Most people help when they are alone, but people are significantly less likely to help when they are with a crowd of other people. Darley and Latane argued that bystanders in a crowd experience a diffusion of responsibility. That is, each individual feels less personally responsible to act because each assumes that someone else will do so. This phenomenon is exacerbated by the fact that in many situations, it is unclear whether an event is an emergency. For example, an adult dragging a screaming child out of a store could be a kidnapper abducting a child or a parent responding to a tantrum. Bystanders observe the reactions of others in the crowd to help them determine the appropriate course of action in an ambiguous situation. However, because the situation is ambiguous, typically each individual is equally confused and unsure. By waiting for someone else to act, bystanders convey the impression to others that they think nothing is wrong. Psychologists call this phenomenon pluralistic ignorance. People assume that even though others are behaving in exactly the same way as themselves (not acting), they are doing so for a different reason (knowing the situation is not an emergency). Thus, a social norm of inaction can also become established in a crowd. The Prosocial Crowd Despite the potential for great violence and destruction, most crowds that gather do so quite uneventfully. Further, sometimes crowd behavior is quite positive and prosocial. Research shows that sometimes deindividuation can lead to prosocial behavior. For example, nonviolent protests operate under an explicit norm of peaceful resistance and rarely lead to escalated violence on both sides. The power of prosocial norms was also experimentally established in a 1979 study conducted by psychologists Robert Johnson and Leslie Downing. Johnson and Downing had participants dress in either nurse’s apparel or a white robe and hood like those worn in the Ku Klux Klan. Some from each group had their individual identity made salient, while the rest did not. All participants were then given the opportunity to deliver an electric shock to someone who had previously insulted them. Among participants wearing the robes, those who were not identified delivered higher shock levels than those who were identified. Presumably these people were deindividuated and thus more strongly influenced by the violent cue of their costume. Of those in nurses’ uniforms, the opposite was observed. Unidentified, dein234
Crowd Behavior dividuated participants gave much less intense shocks than identified participants did. They were also more strongly influenced by the cues around them, but in this case the cues promoted prosocial action. Sources for Further Study Coleman, A. M. “Crowd Psychology in South African Murder Trials.” American Psychologist 46, no. 10 (1992): 1071-1079. This article describes the use of modern social psychological research on crowd behavior to argue for extenuating factors in murder trials. The ethical issues raised from psychological testimony are discussed. Gaskell, G., and R. Benewick, eds. The Crowd in Contemporary Britain. London: Sage, 1987. An excellent, comprehensive discussion of crowd behavior and political responses to it, drawing on work from scholars in several social scientific disciplines. Le Bon, Gustave. The Crowd. New Brunswick, N.J.: Transaction, 1995. First published in 1895, this classic work explores the nature of crowd behavior and the places in modern life where crowd behavior holds sway. McPhail, Clark. The Myth of the Madding Crowd. New York: Aldine De Gruyter, 1991. Authored by one of the major modern researchers on crowd behavior, this book summarizes and critiques Gustave Le Bon and earlier crowd theorists and presents new formulations for understanding crowd behavior. Mann, L. “The Baiting Crowd in Episodes of Threatened Suicide.” Journal of Personality and Social Psychology 41, no. 4 (1981): 703-709. In this paper, Mann provides a fascinating analysis of the factors that make crowds more likely than individuals to bait potential suicides. __________. “‘The Crowd’ Century: Reconciling Practical Success with Theoretical Failure.” British Journal of Social Psychology 35, no. 4 (1996): 535553. Discusses the limits of Gustave Le Bon’s crowd psychology theory and explores why, despite these limits, Adolf Hitler and Benito Mussolini were able to use his theory so successfully to manipulate crowds. Reicher, S. Crowd Behavior. New York: Cambridge University Press, 2002. Scholarly perspectives on crowd behavior. Van Ginneken, Jaap. Crowds, Psychology, and Politics, 1871-1899. New York: Cambridge University Press, 1992. Provides a historical perspective on the development of the field of crowd psychology, showing how early theories were shaped by current political events. Cynthia McPherson Frantz See also: Aggression; Groups; Helping.
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Death and Dying Type of psychology: Developmental psychology Fields of study: Aging; classic analytic themes and issues; stress and illness Death is a universal human experience that, for most of history, has been primarily the province of religion and philosophy. It has, however, increasingly been a concern of social scientists; perhaps, more than has been previously realized, death has important things to teach both scientists and laypersons about human existence. Key concepts • chronic illnesses • death anxiety • defense mechanisms • denial • five-stage theory • syndrome Although death is a universal phenomenon, it is a topic which has come late to psychology and the other social sciences. All people, including authors, scholars, and theologians, have dealt with death since before the beginning of recorded history. Handling death in a scientific way is, to a large extent, a product of the twentieth century. The reasons for the scientific neglect of death are manifold. It is a complex idea and one against which most people build defense mechanisms (psychological strategies, generally unconscious, which the personality uses as a defense against anxiety). The scientist might argue that death is not an empirical fact (that is, one which relies on information that comes through the senses, as opposed to relying on logical or rational processes), in the sense that no one can experience death firsthand in order to study it or write about it. Sigmund Freud, the founder of psychoanalysis, said that no one can imagine his or her own death, and that does seem to be true; one who tries to imagine himself or herself dead is still around, in some sense, doing the imagining. Some scholars have distinguished between the death state and the death event. The death state (what it is like to be dead) is essentially a religious or philosophical issue. It is not amenable to empirical study, although the impact of death on other people and the impact of thoughts about death while one is still alive can be studied. The death event, on the other hand, is, to some degree at least, a part of life. It is possible to study how, why, and where people die. It is possible to study the process of dying and to study grief and bereavement. It has also become necessary, particularly in recent years, to ask difficult questions about death: questions about when physical death actually occurs, 236
Death and Dying about humane treatment for the dying patient, about the so-called right to die, about children and the best way to answer their concerns about death, and about how best to help people deal with their grief. Most of these questions generally cannot be answered by science alone. Almost all deal with ethical, religious, and social issues as well as with scientific information. It has been argued that Americans are “death-denying.” Even though aspects of death are around all the time, Americans live most of the time as if death were not a reality. Ernest Becker argued in his classic book The Denial of Death (1973) that American lives are organized around the fear and denial of death. His often-convincing, although primarily philosophical, argument is augmented by research such as that of psychologists at Princeton University who studied undergraduates, most of whom did not admit having much conscious death anxiety (an emotional apprehension or vague fear caused by thinking about or facing the fact of death). Yet by a word-association test, measures of galvanic skin response (a biological electrical current in the skin assumed to be related to levels of psychological anxiety), and response latency (the time between the presentation of a stimulus word and the response from the subject), researchers collected data that clearly showed that these college students responded to words related to death with greater emotional intensity than to equivalent words drawn from other topic areas. Emerging Understanding of Death If the United States is a death-denying society, it is nevertheless apparent that in the latter part of the twentieth century some people became willing to look at death more clearly; this is demonstrated in the behavioral and social sciences. In research, books, articles, and in many other ways, interest in death, dying, and closely related topics multiplied enormously. In 1944 Erich Lindemann did a systematic study of the grief reactions of individuals who had lost a close relative; many of his subjects were relatives of those who died in the 1942 Cocoanut Grove nightclub fire in Boston that killed almost five hundred people. Lindemann was particularly interested in studying the differences between what he called “normal” grief and the “abnormal” reactions he saw in some of the survivors. He concluded from his study that acute grief is a definite syndrome (a combination of behaviors or symptoms which together may be signs of illness or pathology) with psychological and somatic symptomatology. In his description of normal grief, he said: “Common to all is the following syndrome—sensations of somatic distress occurring in waves lasting from 20 minutes to an hour, a feeling of tightness in the throat, choking with shortness of breath, need for sighing, an empty feeling in the abdomen, lack of muscular power, and an intense subjective distress described as tension or mental pain.” Lindemann then pointed out the pathologies of grief, many of which are the intensification, elongation, or absence of the symptoms of normal grief. Lindemann was a pioneer in the attempt to bring death into the arena of science, and since his time there have been thousands of studies, the cre237
Psychology Basics ation of several organizations (such as the Association for Death Education and Counseling) and journals (such as Omega), and the publication of dozens of books (including textbooks) in the area of death and dying. As an example of how science grows by building on the work of others, it was later found that Lindemann had not contacted his bereaved subjects soon enough to observe a stage of grief which seems to be almost universal: a period of shock, numbness, and denial in which the bereaved person acts as if nothing had happened for a few hours or even days—sometimes even longer in abnormal grief. Stages of Dying Evidence that many people were interested in the subject of death was the remarkable popularity of a book published in 1969. On Death and Dying was written by Elisabeth Kübler-Ross, a physician who had come to the United States from Switzerland. Perhaps the best-known aspect of Kübler-Ross’s book, based on her informal research, was her outline of a series of stages which she had found many dying patients go through. She became convinced that modern medicine, in its efforts to keep the patient alive, treated dying patients in ways that were often inhumane. She found that very little was known about the psychology of the dying person; she pointed out that there were no courses on death and dying in medical schools or, for all practical purposes, anywhere else at the time. Kübler-Ross interviewed several hundred persons who were dying of chronic illnesses—generally long-term illnesses, such as heart disease and cancer, which are the major causes of death in older Americans. She found that most dying patients go through five stages in the terminal period of their lives. The first stage is one of denial: “This is not really happening. Someone has made a mistake. I am not really going to die.” In most people, the probable reality of the diagnosis eventually replaces the denial with a sense of anger: “Why me? Why now?” Generally, the anger is displaced onto the most available candidate—a physician, a family member, a nurse, God. The real object of the anger is death, but it is difficult to express anger toward an abstract and ill-defined concept. The third stage is one of bargaining: “If only I do not die, or at least if my life is extended, then I will change my ways.” It generally becomes clear that the bargaining is not going to work, and the fourth stage is depression. Kübler-Ross describes it as “a sense of great loss.” Losses of any kind are one of life’s major difficulties, and death is the ultimate loss of everything. Finally, the fifth stage that KüblerRoss observed is the stage of acceptance. This is not the same as saying that the patient now wants to die or is looking forward to death. Kübler-Ross describes this stage as “almost void of feelings.” It is the acceptance of the inevitability of what is about to happen. Kübler-Ross’s five-stage theory has come under criticism. Edwin Shneidman, one of the first professionals to be called thanatologists because they specialize in working with the dying and the grieving, stated that in his expe238
Death and Dying rience he rarely sees the neat progression through the five stages that Kübler-Ross enumerates. Many others believe that the five-stage theory is too simplistic to describe the way things happen in the real world. (KüblerRoss agrees that the five-stage theory does not apply to all dying people.) Undoubtedly, factors such as the length of the terminal illness, the religious beliefs of the dying person, the amount of support, and even the age of the patient may make a difference in the way people deal with their dying. Nevertheless, a framework such as the five stages, if not held too literally, seems to be a great aid for many who have to support or work with someone who is dying. The Death System Turning from the individual to the society, it is easy to see many places where death plays an important role in social life. Robert Kastenbaum has characterized this as the “death system.” Just as society has many systems to deal with essential functions, such as the economic system, the educational system, and the transportation system, society must also deal with death on a daily basis. The death system would include, among other matters, all that is involved with the disposition of the dead body: the church or other religious organization, the funeral arrangements, the cemetery. A large number of people are involved, in one way or another, in this aspect of the death system. Although the funeral business has taken its share of criticism, some of it undoubtedly deserved, it fills a need that the majority of people in Western society have. The death system also has other functions. Already noted is the care of the dying, which involves a large part of the health care system in the United States as well as family and friends and organizations such as hospice. One might also include in the death system the many aspects of society which are involved in trying to prevent death, from police officers to the national Centers for Disease Control to the hurricane warning center to the manufacturer of railroad crossing signals. Actually, few people in the United States do not have at least a peripheral connection to the death system. Many florists, for example, say that half or more of their business is providing flowers and wreaths for funerals and for cemetery plots. Modern Relationships with Death Richard Kalish, among others, has pointed out a number of reasons for the interest in the study of death and dying. It is fairly easy to identify a number of factors that have increased concern about this topic. For example, more lives were lost in the twentieth century in warfare than in any other period of history. The presence of thermonuclear weapons continues to be a realistic concern for the peoples of the world. The increase in the number and influence of the elderly is also undoubtedly a factor. Most of the elderly die of heart disease, cancer, or other chronic illnesses in which dying takes place over a period of time. This has led to a different kind of acquaintance with 239
Psychology Basics death, in comparison to times not so long ago when death more commonly came as the result of a short acute illness. Closely related to the previous point are the advances in medical technology which allow some people with chronic illnesses to be kept alive on lifesupport systems when their brains are no longer functioning. Because of such scientific advances, serious questions arise as to when death really occurs and as to what decisions ought to be made about that situation, legally, morally, and psychologically. Undoubtedly, the impact of television has profoundly influenced society in its attitudes toward death and dying. For several decades, television has depicted death in both real-life and fictional situations. The effect of all this death on television (as well as in motion pictures) has yet to be studied or understood fully by psychologists or other social scientists. A more sanguine reason for the increased interest in death and dying is that, perhaps, society is becoming more humane in its attempt to deal with these issues. There is a concern for “dying with dignity” and for a “good death” (the original meaning of the term “euthanasia”). The hospice movement has grown rapidly in the attempt to give the dying (particularly those dying from chronic illnesses) more choices about their dying and the opportunity to live out their final days in a way not so different from the way in which they lived the rest of their lives. Social scientists may be coming to realize that death has something important to teach humankind about human existence. Sources for Further Study Becker, Ernest. The Denial of Death. 1973. Reprint. New York: Free Press, 1997. A strong book on the power of death both for the individual and within a culture. Written, to a large extent, from a psychoanalytic standpoint. Not easy to read without some background in psychology or anthropology. Cohen-Almagor, Raphael. The Right to Die with Dignity: An Argument in Ethics, Medicine, and the Law. New Brunswick, N.J.: Rutgers University Press, 2001. An even-handed overview of the controversies surrounding physicianassisted suicide and the right to choose death in the face of terminal illness. Feifel, Herman, ed. The Meaning of Death. New York: McGraw-Hill, 1965. One of the original books which stimulated interest in death and dying. Contains essays by writers such as Carl Jung, Paul Tillich, and Robert Kastenbaum, as well as articles reporting empirical studies. Generally reads well and contains myriad interesting and thoughtful ideas. Kastenbaum, Robert. Death, Society, and Human Experience. Boston: Allyn & Bacon, 2000. A textbook for classes on the sociology of death and dying, bringing together perspectives from the humanities, social sciences, and psychology. Kessler, David. The Needs of the Dying: A Guide for Bringing Hope, Comfort, and Love to Life’s Final Chapter. New York: HarperCollins, 2000. Written by a 240
Death and Dying leader in hospice care. Explains the common emotions and psychology of the dying and offers suggestions for dealing with death. Kübler-Ross, Elisabeth. On Death and Dying. 1969. Reprint. New York: Scribner Classics Sons, 1997. A popular book which had a major impact on the general public. It reads well and is not only interesting but also of practical help to many who are dealing with the issue of dying. Mitford, Jessica. The American Way of Death. 1963. Reprint. New York: Fawcett Crest, 1978. A polemical look at the funeral business. This book made many Americans aware of excesses and shoddy practices, which eventually led to a number of changes—some because of government regulation. Quite one-sided. __________. The American Way of Death Revisited. New York: Alfred A. Knopf, 1998. Mitford’s follow-up to her 1963 classic traces changes in the funeral industry over the intervening thirty-odd years. Ironically, a posthumous publication. Tomer, Adrian, ed. Death Attitude and Older Adults. New York: Brunner/ Mazel, 2001. A collection of essays studying current practice in dealing with death from the perspectives of gerontology, thanatology, and general psychology. James Taylor Henderson See also: Emotions; Stress-Related Diseases; Suicide.
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Dementia Type of psychology: Cognition; memory; psychopathology Fields of study: Aging; cognitive processes; depression; interpersonal relations; social perception and cognition; thought Dementia is a chronic progressive brain disorder that may occur as a result of various events. Dementia is the loss of cognitive and social abilities to the degree that they interfere with activities of daily living (ADLs). Dementia may or may not be reversible. Key concepts • activities of daily living (ADLs) • cognition • delirium • depression • memory loss • pseudodementia Dementia is usually characterized as a gradual, progressive decline in cognitive function that affects speech, memory, judgment, and mood. However, it may also be an unchanging condition that results from an injury to the brain. Initially individuals may be aware of a cognitive decline, but over time they cease to notice. The insidious and progressive nature of dementia may make early diagnosis difficult because cognitive changes may appear as only slight declines in memory, attention, and concentration or rare episodes of inconsistencies in behavior that are attributed to aging. Over time, increased confusion and irritability in unfamiliar environments, poor judgment, difficulty in abstract thinking, and personality changes may be seen. Delirium is a transient alteration in mental status that is a common feature of dementia. Signs and symptoms of delirium develop over a short period of time. Once the underlying causes of delirium, such as medical problems, stress, or medications, are identified and ministered to, delirium can be reversed. Visual and auditory hallucinations, paranoia, and delusions of persecution may be observed. Memory loss is another symptom of dementia. People with dementia often forget how to perform activities of daily living (ADLs) that they have been performing for years, such as dressing, cleaning, and cooking. They may repeatedly ask the same questions, have the same conversations, forget simple words, or use incorrect words when speaking. They may become disoriented as to time and place and become lost in familiar surroundings. Problems with abstract thinking may make solving math problems and balancing a checkbook impossible. People with dementia may misplace items and be unable to find them because the items were put in unaccustomed places. Mood swings and drastic personality changes, such as sudden, unexpected swings from calm and happy states to tears and anger, are not uncommon in those with dementia. 242
Dementia Depression may be mistaken for dementia. Symptoms of depression include feelings of profound sadness, difficulty in thinking and concentrating, feelings of despair, and apathy. Severe depression brings with it an inability to concentrate and a poor attention span. As the person with dementia tries to conceal memory loss and cognitive decline, appetite loss, apathy, and feelings of uselessness may ensue. In combined dementia and depression, intellectual deterioration can be extreme. An older adult who is depressed may also show signs of confusion and intellectual impairment even though dementia is not present. These individuals are identified as having pseudodementia. Depression, alone or in combination with dementia, is treatable. Prevalence and Impact Dementia may occur at all ages, but its incidence increases with advanced age. Dementia is most frequent in those older than seventy-five. There are an estimated 600,000 cases of advanced dementia in the United States, and milder degrees of altered mental status are very common in the elderly. The prevalence of dementia increases from 1 percent at age sixty to 40 percent at age eighty-five. The expense of long-term care at home or in a nursing facility has been estimated at $40 billion per year for people age sixty-five and older. The prevalence of dementia is expected to continue to increase as a result of increased life expectancy and an aging population of baby boomers. Many of the problems caused by dementia are due to memory loss. Causes Dementia may be reversible or irreversible. Reversible causes include brain tumors, subdural hematoma, slowly progressive or normal-pressure hydrocephalus; head trauma; endocrine conditions (such as hypothyroidism, hypercalcemia, hypoglycemia); vitamin deficiencies (of thiamin, niacin, or vitamin B12); thyroid disease; ethanol abuse; infections; metabolic abnormalities; effects of medications; renal, hepatic, and neurological conditions; and depression. Irreversible dementia is more common in the elderly. Irreversible causes of dementia include diseases of the brain such as Alzheimer’s, Parkinson’s, Pick’s, Creutzfeldt-Jakob, and Huntington’s diseases; human immunodeficiency virus (HIV) infection; vascular dementia; and head trauma. Types of Dementia Alzheimer’s disease is the most common form of dementia and is responsible for 50 percent of all dementias. No direct cause has been identified, but it is thought that viruses, environmental toxins, and family history are involved. Definitive diagnosis of Alzheimer’s disease can only be made on autopsy when neurofibrillary tangles are found in the brain. Vascular dementia generally affects people between the ages of sixty and seventy-five. It is estimated that 8 percent of individuals over sixty years old 243
Psychology Basics who have a stroke develop dementia within one year. Early treatment of hypertension and vascular disease may prevent further progression of dementia. Parkinson’s disease is an insidious, slow, progressive neurological condition that begins in middle to late life. It is characterized by tremor, rigidity, bradykinesia, and postural instability. Dementia is also present in 20 percent to 60 percent of those with Parkinson’s disease. It is characterized by diminishing cognitive function, diminishing motor and executive function, and memory impairment. Lewy body disease is similar to Alzheimer’s disease. Visual hallucinations and Parkinson’s-like features progress quickly. Lewy bodies are found in the cerebral cortex. Patients exhibit psychotic symptoms and have a sensitivity to antipsychotic medications. Pick’s disease and other frontal lobe dementias are rare and are identified by changes in personality and emotions, executive dysfunction, deterioration of social skills, inappropriate behavior, and language problems. Pick’s disease is most common between ages fifty and sixty. It progresses rapidly and may be accompanied by apathy, extreme agitation, severe language difficulties, attention deficits, and inappropriate behavior. Pick’s disease can only be confirmed on autopsy when Pick’s inclusion bodies are found. Another disorder that can lead to progressive dementia is Huntington’s disease, a genetic disorder that usually occurs in middle age. The basal ganglia and subcortical structures in the brain are affected, causing spasticity in body movements. Personality, memory, intellect, speech, and judgment are altered. Creutzfeldt-Jakob disease (spongiform encephalopathy) is a rare and fatal brain disorder caused by a virus that converts protein into infectious, deadly molecules. Early symptoms may be memory loss and changes in behavior. Creutzfeldt-Jakob disease progresses into mental deterioration, muscle spasms, weakness in the extremities, blindness, and coma. Risk Factors and Diagnosis Risk factors for dementia include a family history of dementia, head trauma, lower educational level, and gender (women are more prone than men to dementia). Alcohol and drug abuse, infections, cardiovascular disease, and head injuries are also causes for the development of dementia. The criteria in the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000) for the diagnosis of dementia require the presence of multiple cognitive deficits in addition to memory impairment. The diagnosis of dementia is based on cognitive deficits that are severe enough to cause impairment in occupational or social functioning and must represent a decline from a previous level of functioning. The nature and degree of impairment are variable and often depend on the particular social setting of the individual. Standardized mental status tests are a baseline for evaluation for dementia. Examples of 244
Dementia
A computer tomography (CT) scan can sometimes identify the source of dementia. (Digital Stock)
some short tests are the Mini-Mental Status Test, the Blessed InformationMemory-Concentration Test, and the Short Portable Mental Status Questionnaire. A standardized mental status test score should be used to confirm the results of a history and physical examination. Standardized mental status tests should not be the single deciding factor for the diagnosis of dementia. Some tests such as blood evaluations, urinalysis, chest radiography, carotid ultrasound, Doppler flow studies, electroencephalogram, lumbar puncture, and computed tomography (CT) scans of the head are done in relation to the presenting symptoms. Treatment The goals of treating dementia are improving mental function and maintaining the highest level of function possible. Many families care for family members with dementia at home. A structured home environment and established daily routines are important as the person with dementia begins to experience difficulty learning and remembering new activities. Establishing simple chores to enhance a sense of usefulness, such as watering plants, dusting, and setting the table, are helpful. It is essential to provide a safe home environment. This includes maintaining uncluttered surroundings and removing potentially dangerous items such as matches, lighters, knives, scissors, and medications. In later stages of dementia, stoves, ovens, and other cooking items may need to be disabled to prevent fires. Clocks, calendars, television, magazines, and newspapers are good ways to help to keep 245
Psychology Basics those with dementia oriented. As functioning decreases, nursing home placement may be necessary. It is important that the families who care for members with dementia at home are made aware of community services that can assist them in locating support groups and social service agencies to access day care, counseling, home, day, respite care, and group therapy services. Pharmaceutical Therapies Nerve growth factor, antioxidant therapy, and other drugs are being investigated for the management of dementia. Psychotrophic medications such as carbamazepine, desipramine, haloperidol, lorazepam, and thioridazine are used to control symptoms of agitation, anxiety, confusion, delusions, depression, and hallucinations in patients with dementia. Unfortunately, some of the medications used to improve patients’ quality of life may not work, may worsen memory deficits, or cause neurological effects such as irreversible tremors (tardive diskinesia). It is important to reduce cerebrovascular risk factors such as hypertension, diabetes, smoking, hyperlipidemia, and coronary artery disease in patients with vascular dementia. Dementia resulting from neurologic conditions (Parkinson’s disease, normal-pressure hydrocephalus, brain lesions, carotid artery disease) requires a neurological workup. Dementia related to a hereditary condition requires referral for genetic counseling. Sources for Further Study Epstein, David, and James Gonnor. “Dementia in Elderly: An Overview.” Generations 23, no. 3 (1999): 9-17. Presents an overview of various types of dementia and their treatments. Rabins, Peter V., Constantine G. Lyketsos, and Cynthia Steele. Practical Dementia Care. New York: Oxford University Press, 1999. Written primarily for medical professionals. Covers definitions, evaluation, diseases causing dementia, care for the patient and the family, treatment options, terminal care, and ethical and legal issues. Schindler, Rachel. “Late-Life Dementia.” Geriatrics 55, no. 10 (2000): 55-57. Discusses American Psychiatric Association guidelines for detecting and treating dementia. Teitel, Rosette, and Marc Gordon. The Handholder’s Handbook: A Guide to Caregivers of People with Alzheimer’s or Other Dementias. New Brunswick, N.J.: Rutgers University Press, 2001. A guide to practical and emotional issues for caregivers of dementia patients. Chapters provide checklists of topics that caregivers should deal with or cover as they adjust to their role. Sharon Wallace Stark See also: Aging: Cognitive Changes; Alzheimer’s Disease; Brain Structure; Parkinson’s Disease; Support Groups. 246
Depression Type of psychology: Psychopathology Field of study: Depression The study of depression has focused on biological underpinnings, cognitive concomitants, stress and coping style precursors, and interpersonal context. Key concepts • bipolar disorder • major depressive episode • manic episode • unipolar depression Almost everyone gets “down in the dumps” or has “the blues” sometimes. Feeling sad or dejected is clearly a normal part of the spectrum of human emotion. This situation is so common that a very important issue is how to separate a normal blue or down mood or emotion from an abnormal clinical state. Most clinicians use measures of intensity, severity, and duration of these emotions to separate the almost unavoidable human experience of sadness and dejection from clinical depression. Depression is seen in all social classes, races, and ethnic groups. It is so pervasive that it has been called the common cold of mental illness in the popular press. It is approximately twice as common among women as it is among men. Depression is seen among all occupations, but it is most common among people in the arts and humanities. Famous individuals such as American president Abraham Lincoln and British prime minister Winston Churchill had to cope with depression; Churchill called the affliction “the black dog.” More recently, United States senator Thomas Eagleton and astronaut Edwin “Buzz” Aldrin were known to have bouts of serious depression. Of all problems that are mentioned by patients at psychological and psychiatric clinics, some form of depression is most common. It is estimated that approximately 25 percent of women in the United States will experience at least one significant depression during their lives. Contrary to a popular misconception that depression is most common among the elderly, it is actually most common in twenty-five- to forty-four-year-olds. About 10 percent of the college population report moderate depression, and 5 percent report severe depression. Suicidal thoughts are common in depressive clients. In long-term follow-up, it has been found that approximately 15 percent of depressed individuals eventually kill themselves. Alternatively viewed, approximately 60 percent of suicides are believed to be caused by depression or by depression in association with alcohol abuse. As has been vividly portrayed in the media, teenage suicide in the United States is increasing at an alarming rate. The role of family or genetic factors in depression was addressed long ago 247
Psychology Basics by Robert Burton in The Anatomy of Melancholy (1621), in which he noted that the “inbred cause of melancholy is our temperature, in whole or part, which we receive from our parents” and “such as the temperature of the father is, such is the son’s, and look what disease the father had when he begot him, his son will have after him.” More than 350 years later, the role of family factors in depression was addressed in a major collaborative study in the United States. In what was called the National Institute of Mental Health Collaborative Study of the Psychobiology of Depression, a large number of standardized instruments were developed to assess prevalence and incidence of depression, life histories, psychosocial stressors, and outcome of depression. The family members of depressed persons were assessed along with the depressed individual. It was found that bipolar depression was largely confined to relatives of individuals with bipolar disorder. Unipolar depression, however, was common among relatives of both unipolar- and bipolar-depressed individuals. The different patterns of familial transmission for bipolar and unipolar disorders strengthen the general conviction that these two disorders should be kept distinct from each other. One explanation for increased vulnerability to depression in close relatives of depressed individuals is an inherited deficiency in two key compo-
The loss of a life partner is a source of intense grief and may trigger depression in the survivor. (PhotoDisc) 248
Depression nents of brain chemistry: norepinephrine and serotonin, both of which are neurotransmitters. If depressions could be reliably subtyped according to the primary neurotransmitter deficiency, the choice of antidepressant medication would logically follow. Research is conflicting, however, on whether there is one group of depressed individuals who are low in norepinephrine and normal in serotonin and another group of depressives who are low in serotonin and normal in norepinephrine. Future developments in the study of neurotransmitters may have practical implications for the matching of particular pharmacotherapy interventions with particular types of depression. Evidence does indicate that for many depressed patients, substantial alteration in neurotransmitter activity occurs during their depression. This altered activity may directly mediate many of the disturbing symptoms of depression. Cognitive and Stress Theories A different approach to understanding depression has been put forward by cognitive theorists. According to Aaron Beck, in Cognitive Therapy and the Emotional Disorders (1976), cognitive distortions cause many, if not most, of a person’s depressed states. Three of the most important cognitive distortions are arbitrary inference, overgeneralization, and magnification and minimization. Arbitrary inference refers to the process of drawing a conclusion from a situation, event, or experience when there is no evidence to support the conclusion or when the conclusion is contrary to the evidence. For example, an individual concludes that his boss hates him because she seldom says positive things to him. Overgeneralization refers to an individual’s pattern of drawing conclusions about his or her ability, performance, or worth based on a single incident. An example of overgeneralization is an individual concluding that he is worthless because he is unable to find his way to a particular address (even though he has numerous other exemplary skills). Magnification and minimization refer to errors in evaluation that are so gross as to constitute distortions. Magnification refers to the exaggeration of negative events; minimization refers to the underemphasis of positive events. According to Beck, there are three important aspects of these distortions or depressive cognitions. First, they are automatic—that is, they occur without reflection or forethought. Second, they appear to be involuntary. Some patients indicate that these thoughts occur even though they have resolved not to have them. Third, the depressed person accepts these thoughts as plausible, even though others would not view them in the same manner. While there is ample empirical support for the association of depression and negative cognitive factors such as cognitive distortions, irrational beliefs, and negative statements about oneself, research that demonstrates the ability of cognitive variables to predict subsequent depression is just beginning. It appears that a cognitive vulnerability plays a role in symptom formation for at least some individuals and in the maintenance of ongoing episodes of depression for many, if not all, depressed persons. 249
Psychology Basics Yet another approach to understanding depression focuses on stress and coping. James Coyne, in a 1991 article, suggests that depression may be understood as a failure to cope with ongoing life problems or stressors. It has been hypothesized that coping effectively with problems and stressors can lessen the impact of these problems and help prevent them from becoming chronic. Depressed patients show slower recovery if they display poor coping skills. Avoidance coping strategies appear to be particularly likely in depression and are one example of poor coping. Depressed persons also show elevated levels of emotion-focused coping strategies, such as wishful thinking, distancing, self-blame, and isolation. These strategies also tend to be ineffective. While most forms of coping are impaired during an episode of depression, only self-isolation, an interpersonal avoidance strategy, appears to be an enduring coping style of persons vulnerable to depression. Thus, coping processes appear to change for the worse during an episode of depression, and poor coping helps to maintain the episode. In particular, depressed persons appear likely to avoid problem situations and to engage in strategies with a low likelihood of resulting in problem resolution or an enhanced sense of personal control. Interpersonal approaches to understanding depression are related to stress and coping models but highlight the interpersonal environment as particularly important in depression. There is considerable evidence that low levels of social support are related to depression. Perhaps the relationship between social support and depression results from the fact that depressed persons do not seek social support; however, there is also evidence that poor social support leads to or maintains depressive symptomatology. In particular, evidence links the absence of close relationships with the development of depressive symptomatology. Accordingly, the work on general social support and depression can be seen as pointing in the direction of direct consideration of intimate relationships and their role in depression. Because the strongest family ties are usually in the marital relationship, it is natural to look to the marital relationship for particularly powerful opportunities to provide social support. Indeed, there is considerable evidence of an association between marital discord and depression. It had been expected by some that the association between marital discord and depression would be greater for women than men; however, it is generally equivalent between sexes. Indeed, the risk of having a major depressive episode is approximately twenty-five times higher for both men and women if they are in a discordant marital relationship than if they are in a harmonious marital relationship. Treatment Methods There are a number of ways to understand depression, and each approach appears to have something to offer. Given the distressing nature of depression, it is not surprising that these differing approaches have led to several effective ways of treating depression. 250
Depression Pharmacological interventions for unipolar depression have sometimes been held to normalize a genetically determined biochemical defect; the evidence, however, does not support this extreme biological characterization of unipolar depression. Yet neurotransmitters may directly mediate many of the behaviors affected in depression (for example, sleep, appetite, and pleasure), and neurotransmitter level and activity are disturbed as a concomitant of many episodes of depression. Hence, the use of antidepressant agents that influence neurotransmitter level or activity should be helpful in reducing or eliminating symptoms of depression even if the disturbance in neurotransmitter level or activity is itself the result of environmental or cognitive changes. In addition, there is considerable direct evidence that antidepressants can be useful in treating depression in many cases. In controlled trials, both more recently developed and older forms of antidepressants provided improvement rates of 66 to 75 percent, in contrast to placebos, which showed improvement rates of 30 to 60 percent. Exactly for whom they will work, however, and exactly how or why they work are still not entirely clear. A second effective approach to the treatment of depression can be found in cognitive therapy. It has become clear that altering cognitions and behavior in a cognitive behavioral format can relieve an ongoing episode of depression and may reduce the likelihood of relapse further than the use of psychopharmacology alone. Thus, cognitive processes are, at a minimum, reasonable targets of intervention in the treatment of many depressed patients. In addition, cognitive therapy appears to work well at decreasing depressive symptomatology even in the context of ongoing marital discord. Thus, for many depressed patients, interventions targeted at altering dysfunctional, negative automatic thoughts are likely to be useful. Finally, interpersonal psychotherapy (IPT) has been developed by Gerald Klerman. This successful approach emphasizes abnormal grief, interpersonal disputes, role transitions, loss, and interpersonal deficits as well as social and familial factors. Results of a large, multicenter collaborative study conducted by the National Institute of Mental Health (NIMH) indicated that IPT can work as well as antidepressant medication for many depressed patients. In addition, earlier research indicated that IPT can improve the social functioning of depressed patients in a manner not typically produced by antidepressant medications alone. Given the interpersonal problems which are often part of a depressive episode, these improvements in social functioning and interpersonal environment appear to be particularly important for depressed persons. In a related development, marital therapy has been tested as a treatment for depressed persons who are maritally discordant, and it appears to be successful. From Melancholy to Prozac The identification of depression as a recognizable state has a very long history. Clinical depression was described as early as the eighth century b.c.e. 251
Psychology Basics in the biblical descriptions of Saul. During the fourth century b.c.e., Hippocrates coined the term “melancholy” to describe one of the three forms of mental illness he recognized. Later, Galen attempted to provide a biochemical explanation of melancholy based on the theory of “humors.” Indeed, repeated descriptions and discussions of depression are present from classical times through the Middle Ages and into modern times. The first comprehensive treatment of depression in English was provided by Timothy Bright’s Treatise of Melancholia (1586). In 1621 Robert Burton provided his own major work on depression, The Anatomy of Melancholy. Most of the credit for developing the modern understanding of affective disorders, however, is given to Emil Kraepelin, a German psychiatrist. It was in Kraepelin’s system that the term “depression” first assumed importance. Since classical times, there has been debate about whether depression is best considered an illness or a response to an unhappy situation. Indeed, it is obvious to the most casual observer that sadness is a normal response to unhappy events. Even now, there is less than complete agreement on when fluctuations in mood should be considered pathological and when they are within normal limits. To help resolve this problem, diagnostic criteria have been developed, and structured interview procedures are often used to determine whether a particular individual should be considered depressed. In the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000), a common diagnostic tool, unipolar depression is divided into the categories Dysthymic Disorder, Major Depressive Disorder-Single Episode, and Major Depressive DisorderRecurrent, while bipolar depression is divided into Bipolar I Disorder, Bipolar II Disorder, Cyclothymic Disorder, and Bipolar Disorder Not Otherwise Specified (NOS). In most articles, the term “depression” refers to unipolar depression only. Because unipolar depression is much more common than bipolar depression, it is likely that it will continue to attract a larger share of research attention in the future. Throughout history, models of depression have become increasingly sophisticated, progressing from Hippocrates’ theory that depression was produced by an excess of black bile to modern biochemical, cognitive, coping, stress, and interpersonal models. In the future, even more sophisticated models of depression may provide guidance for the next great challenge facing clinical psychology: reversing the trend in Western societies toward everincreasing rates of depression. Sources for Further Study Beach, Stephen R. H., E. E. Sandeen, and K. D. O’Leary. Depression in Marriage. New York: Guilford Press,, 1990. Summarizes the literature on basic models of depression. Provides the basis for understanding the important role of marriage in the etiology, maintenance, and treatment of depression. Beck, Aaron T. Cognitive Therapy and the Emotional Disorders. 1976. Reprint. 252
Depression New York: New American Library, 1979. Clearly lays out the basics of the cognitive model of depression. An important start for those who wish to understand the cognitive approach more thoroughly. Burns, David D. Feeling Good: The New Mood Therapy. Rev. ed. New York: Avon Books, 1999. Provides a very entertaining and accessible presentation of the cognitive approach to depression. Presents basic results and the basics of cognitive theory as well as a practical set of suggestions for getting out of a depression. Coyne, James C., ed. Essential Papers on Depression. New York: New York University Press, 1986. Includes representatives of every major theoretical position advanced between 1900 and 1985. Each selection is a classic presentation of an important perspective. This source will acquaint the reader with the opinions of major theorists in their own words. Coyne, James C., and G. Downey. “Social Factors and Psychopathology: Stress, Social Support, and Coping Processes.” Annual Review of Psychology 42 (1991): 401-426. This influential essay ties together stress and coping with interpersonal processes to provide a deeper understanding of the nature of depression. Also provides an account of advances in the way both depression and interpersonal processes related to depression may be studied. Kleinman, Arthur, and Byron Good. Culture and Depression. Berkeley: University of California Press, 1985. This exceptional volume examines the cross-cultural research on depression. Anthropologists, psychiatrists, and psychologists attempt to address the diversity that exists across cultures in the experience and expression of depression. Paykel, Eugene S. Handbook of Affective Disorders. 2d ed. New York: Guilford Press, 1992. Provides comprehensive coverage of depression, mania, and anxiety in relation to depression. Includes detailed descriptions of symptoms, assessment procedures, epidemiology, and treatment procedures. Solomon, Andrew. The Noonday Demon: An Atlas of Depression. New York: Charles Scribner’s Sons, 2000. Solomon, who suffered serious depression, provides an insightful investigation of the subject from perspectives of history, psychology, literature, psychopharmacology, law, and philosophy. Stahl, Stephen M. Essential Psychopharmacology of Depression and Bipolar Disorder. New York: Cambridge University Press, 2000. Coverage of the rapidly expanding options in drug treatments for depression. Stephen R. H. Beach See also: Abnormality: Psychological Models; Bipolar Disorder; Clinical Depression; Cognitive Behavior Therapy; Cognitive Therapy; Death and Dying; Drug Therapies; Emotions; Mood Disorders; Suicide.
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Development Type of psychology: Developmental psychology Fields of study: Adolescence; behavioral and cognitive models; infancy and childhood Developmental theories allow psychologists to manage and understand the enormous body of data on behavioral development from infancy through old age. Theories of development focus on many different issues and derive from many perspectives and periods in history. All, however, are concerned with explaining stability and change in human behavior as individuals progress through their lives. Key concepts • behaviorism • emergent process • heuristic • “organic lamp” theory • psychodynamic theory Developmental theory has changed greatly over time. The theories of societies at various times in history have emphasized different aspects of development. The Puritans of the sixteenth and seventeenth centuries, for example, focused on the moral development of the child; they believed that Original Sin was inherent in children and that children had to be sternly disciplined in order to make them morally acceptable. In contrast to this view was the developmental theory of the eighteenth century French philosopher Jean-Jacques Rousseau, who held that children were born good and were then morally corrupted by society. Sigmund Freud (1856-1939) was interested in psychosexual development and in mental illness; his work therefore focused on these areas. John B. Watson (1878-1958), B. F. Skinner (1904-1990), and Albert Bandura (born 1925) worked during a period when the major impetus in psychology was the study of learning; not surprisingly, this was the focus of their work. As developmental theorists worked intently within given areas, they often arrived at extreme positions, philosophically and scientifically. For example, some theorists focused upon the biology of behavior; impressed by the importance of “nature” (genetic or other inherited sources) in development, they may have neglected “nurture” (learning and other resources received from parents, the world, and society). Others focused upon societal and social learning effects and decided that nurture was the root of behavior; nature has often been relegated to subsidiary theoretical roles in physiological and anatomical development. Similar conflicts have arisen concerning developmental continuity or discontinuity, the relative activity or passivity of children in contributing to their own development, and a host of other issues in the field. 254
Development These extreme positions would at first appear to be damaging to the understanding of development; however, psychologists are now in a position to evaluate the extensive bodies of research conducted by adherents of the various theoretical positions. It has become evident that the truth, in general, lies somewhere in between. Some developmental functions proceed in a relatively stepwise fashion, as Jean Piaget (1896-1980) or Freud would hold; others are much smoother and more continuous. Some development results largely from the child’s rearing and learning; other behaviors appear to be largely biological. Some developmental phenomena are emergent processes (any process of behavior or development that was not necessarily inherent in or predictable from its original constituents) of the way in which the developing individual is organized, resulting from both nature and nurture in intricate, interactive patterns that are only beginning to be understood. These findings, and the therapeutic and educational applications that derive from them, are only comprehensible when viewed against the existing corpus of developmental theory. This corpus, in turn, owes its existence to the gradual construction and modification of developmental theories of the past. Theoretical Questions and Properties Theoretical perspectives on development derive from a wide variety of viewpoints. Although there are numerous important theoretical issues in development, three questions are central for most theories. The first of these is the so-called nature-nurture question, concerning whether most behavioral development derives from genetics or from the environment. The second of these issues is the role of children in their own development: Are children active contributors to their own development, or do they simply and passively react to the stimuli they encounter? Finally, there is the question of whether development is continuous or discontinuous: Does development proceed by a smooth accretion of knowledge and skills, or by stepwise, discrete developmental stages? Current perspectives within developmental psychology represent very different views on these issues. Useful developmental theories must possess three properties. They must be parsimonious, or as simple as possible to fit the available facts. They must be heuristically useful, generating new research and new knowledge. Finally, they must be falsifiable, or testable: A theory that cannot be tested can never be shown to be right or wrong. Developmental theories can be evaluated in terms of these three criteria. Psychodynamic Theories Arguably, the oldest developmental theoretical formulation in use is the psychodynamic model, which gave rise to the work of Erik Erikson (19021994), Carl Jung (1875-1961), and, as its seminal example, the theory of Sigmund Freud. Freud’s theory holds that all human behavior is energized by dynamic forces, many of which are consciously inaccessible to the individ255
Psychology Basics ual. There are three parts to the personality in Freud’s formulation: the id, which emerges first and consists of basic, primal drives; the ego, which finds realistic ways to gratify the desires of the id; and the superego, the individual’s moral conscience, which develops from the ego. A primary energizing force for development is the libido, a psychosexual energy that invests itself in different aspects of life during the course of development. In the first year of life (Freud’s oral stage), the libido is invested in gratification through oral behavior, including chewing and sucking. Between one and three years of age (the anal stage), the libido is invested in the anus, and the primary source of gratification has to do with toilet training. From three to six years, the libido becomes invested in the genitals; it is during this phallic stage that the child begins to achieve sexual identity. At about six years of age, the child enters latency, a period of relative psychosexual quiet, until the age of twelve years, when the genital stage emerges and normal sexual love becomes possible. Freud’s theory is a discontinuous theory, emphasizing stage-by-stage development. The theory also relies mainly on nature, as opposed to nurture; the various stages are held to occur across societies and with little reference to individual experience. The theory holds that children are active in their own development, meeting and resolving the conflicts that occur at each stage. The success of psychodynamic theory has been questionable. Its parsimony is open to question: There are clearly simpler explanations of children’s behavior. The falsifiability of these ideas is also highly questionable because the theories are quite self-contained and difficult to test. Psychodynamic theory, however, has proven enormously heuristic—that is, having the property of generating further research and theory. Hundreds of studies have set out to test these ideas, and these studies have significantly contributed to developmental knowledge. Behaviorist Theories In contrast to psychodynamic theories, the behaviorist theories pioneered by John B. Watson and B. F. Skinner hold that development is a continuous process, without discrete stages, and that the developing child passively acquires and reflects knowledge. For behaviorists, development results from nurture, from experience and learning, rather than from nature. The most important extant behaviorist theory is the social learning theory of Albert Bandura, which holds that children learn by watching others around them and imitating others’ actions. For example, Bandura demonstrated that children were far more inclined to commit violent acts (toward a toy) if someone else, particularly an adult, committed the acts first. The children were especially disposed to imitate if they perceived the acting individual as powerful or as rewarded for his or her violent actions.
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Development Organic Lamp Theories The behaviorist theories are relatively parsimonious and heuristic. They are also testable, and it has been shown that, although many of the findings of the behaviorists have stood the test of time, there are developmental findings that do not fit this framework. To understand these findings, one must turn to the so-called organic lamp theories. This term comes from the fact that within these theories, children are seen as active contributors to their own development, and certain developmental processes are held to be emergent: As fuel combusts to produce heat and light in a lamp, hereditary and environmental factors combine in development to produce new kinds of behavior. This framework was pioneered by Kurt Goldstein and Heinz Werner, but the most significant extant organic lamp theory is the cognitive development theory of Jean Piaget. Piaget’s Contributions Piaget’s theory involves a discontinuous process of development in four major stages. The sensorimotor stage (birth to two years) is followed by the preoperational stage (two to seven years), the concrete operational stage (seven years to adolescence), and the formal operational stage (adolescence to adulthood). During the sensorimotor stage, the child’s behavior is largely reflexive, lacking coherent conscious thought; the child learns that self and world are actually different, and that objects exist even when they are not visible. During the preoperational stage, the child learns to infer the perspectives of other people, learns language, and discovers various concepts for dealing with the physical world. In the concrete operational stage, the ability to reason increases, but children still cannot deal with abstract issues. Finally, in formal operations, abstract reasoning abilities develop. The differences between the stages are qualitative differences, reflecting significant, discrete kinds of behavioral change. Piaget’s theory is not entirely accurate; it does not apply cross-culturally in many instances, and children may, under some experimental circumstances, function at a higher cognitive level than would be predicted by the theory. In addition, some aspects of development have been shown to be more continuous in their nature than Piaget’s ideas would indicate. Yet Piaget’s formulation is relatively parsimonious. The various aspects of the theory are readily testable and falsifiable, and the heuristic utility of these ideas has been enormous. This theory has probably been the most successful of the several extant perspectives, and it has contributed significantly to more recent advances in developmental theory. This progress includes the work of James J. Gibson, which emphasizes the active role of the organism, embedded in its environment, in the development of perceptual processes; the information processing theories, which emphasize cognitive change; and the ethological or evolutionary model, which emphasizes the interplay of developmental processes, changing ecologies, and the course of organic evolution. 257
Psychology Basics Modern-Day Applications Developmental theory has been important in virtually every branch of medicine and education. The psychoanalytic theories of Sigmund Freud were the foundation of psychiatry and still form a central core for much of modern psychiatric practice. These theories are less emphasized in modern clinical psychology, but the work of Freud, Erikson, Jung, and later psychodynamicists is still employed in many areas of psychotherapy. The behavioristic theories have proved useful in the study of children’s learning for educational purposes, and they have considerable relevance for social development. An example is seen in the area of media violence. Bandura’s work and other research stemming from social learning theory has repeatedly demonstrated that children tend to imitate violent acts that they see in real life or depicted on television and in other media, particularly if the individuals who commit these acts are perceived as powerful or as rewarded for their actions. Although this is disputed, especially by the media, most authorities are in agreement that excessive exposure to televised violence leads to real-world violence, largely through the mechanisms described by social learning theorists. Social learning theory has contributed significantly to an understanding of such topics as school violence, gang violence, and violent crime. Interplay of Nature Versus Nurture The organic lamp views have provided developmentalists with useful frameworks against which to understand the vast body of developmental data. Work within the Piagetian framework has shown that both nature and nurture contribute to successful development. One cannot, for example, create “superchildren” by providing preschoolers with college-level material. In general, they are simply not ready as organisms to cope with the abstract thinking required. On the other hand, the work of researchers on various Piagetian problems has shown that even very young children are capable of complex learning. Organic lamp theory has demonstrated the powerful interplay between biological factors and the way in which children are raised. An example is seen in the treatment of Down syndrome, a chromosomal condition that results in mental retardation. The disorder occurs when there are three chromosomes, rather than two, at the twenty-first locus. Clearly, this is a biological condition, and it was believed to be relatively impervious to interventions that come from the environment. It has now been shown, however, that children afflicted with Down syndrome develop much higher intelligence when raised in an intellectually stimulating environment, as opposed to the more sterile, clinical, determined environments typically employed in the past. The child’s intellect is not entirely determined by biology; it is possible to ameliorate the biological effects of the syndrome by means of environmental intervention. This type of complex interplay of hereditary and environmental factors is the hallmark of applied organic lamp theory. 258
Development The most important application of developmental theory generally, however, lies in its contribution to the improved understanding of human nature. Such an understanding has considerable real-world importance. For example, among other factors, an extreme faith in the nature side of the nature-nurture controversy led German dictator Adolf Hitler to the assumption that entire races were, by their nature, inferior and therefore should be exterminated. His actions, based on this belief, led to millions of human deaths during World War II. Thus, one can see that developmental theories, especially if inadequately understood, may have sweeping applications in the real world. Sources for Further Study Gollin, Eugene S., ed. Developmental Plasticity: Behavioral and Biological Aspects of Variations in Development. New York: Academic Press, 1981. Excellent coverage of important theoretical issues in modern developmental psychology. Accessible to college or graduate students with some background in psychology or biology. Lerner, Richard M. On the Nature of Human Plasticity. New York: Cambridge University Press, 1984. Insightful discussion of modern theory in developmental psychology and some historic antecedents. Emphasis on biological issues. Accessible to advanced students, graduate students, or professionals. Miller, Patricia H. Theories of Developmental Psychology. 4th ed. New York: Worth, 2002. Excellent, comprehensive treatment of developmental theory. Describes extant theories in detail and discusses commonalities and dissimilarities. Accessible to the layperson with some background in psychology. Piaget, Jean. Biology and Knowledge. Chicago: University of Chicago Press, 1971. This is a seminal summary of Piagetian theory that contains more general information and information concerning theory construction than do Piaget’s other, more specific works. Readily accessible to the college student or the advanced high school student. Shaffer, David Reed. Developmental Psychology: Childhood and Adolescence. 6th ed. Belmont, Calif.: Wadsworth, 2001. Good general textbook on developmental psychology with an excellent basic treatment of theoretical issues in development. Accessible to the college or high school student. Siegler, Robert S. Emerging Minds: The Process of Change in Children’s Thinking. New York: Oxford University Press, 1996. Proposes a methodology of describing change as children’s cognitive processes evolve. Matthew J. Sharps See also: Adolescence: Cognitive Skills; Aging: Cognitive Changes; Attachment and Bonding in Infancy and Childhood; Behaviorism; Cognitive Development: Jean Piaget; Ego Psychology: Erik Erikson; Gender-Identity Formation; Psychosexual Development. 259
Developmental Disabilities Type of psychology: Developmental psychology Fields of study: Childhood and adolescent disorders; cognitive development; infancy and childhood; organic disorders Developmental disabilities are conditions that result in substantial functional limitations. They manifest themselves in childhood and persist throughout the life span, requiring a continuum of medical, educational, and social services. Key concepts • activities of daily living (ADLs) • individual education plan (IEP) • individual family service plan (IFSP) • medically fragile • mental retardation • pervasive developmental disorder (PDD) The concept of developmental disabilities was first introduced in the Developmental Disabilities Services and Facilities Construction Act of 1970. Subsequently, the Developmental Disabilities Assistance and Bill of Rights Act of 1990 defined developmental disabilities. The term “developmental disability” means a severe, chronic disability of a person five years of age or older that is attributable to a mental or physical impairment or a combination of both. The disability must manifest itself before the person reaches the age of twenty-two and be expected to continue indefinitely. It results in substantial functional limitations in three or more areas of major life activity, including self-care, receptive and expressive language, learning, mobility, selfdirection, capacity for independent living, and economic self-sufficiency. The inclusion of the requirement of substantial functional limitations in three or more major life areas forms the basis for provision of services to individuals with severe impairments. The American Psychiatric Association does not use the term “developmental disabilities.” However, it does identify pervasive developmental disorders (PDD) in its diagnostic manual. The description of these disorders and their manifestations in many ways overlaps the definition of developmental disabilities. The terms “developmental disabilities” and “mental retardation” are often used as if they were synonymous. However, there are important distinctions as well as areas of overlap. The President’s Committee on Mental Retardation uses the definition developed and used by the American Association on Mental Retardation and generally understood by the Arc-USA (a national organization for people with mental retardation and related developmental disabilities and their families). Developmental disabilities include more disabilities than those encompassed under mental retardation. 260
Developmental Disabilities Developmental disabilities comprise severe and chronic disabilities, while mental retardation includes a large number of individuals functioning at the mild level of cognitive impairment who require little or no support in adulthood. However, mental retardation does account for 70 percent of the people who are developmentally disabled. The term “medically fragile” is sometimes used to describe those vulnerable individuals whose complex medical needs can seriously compromise their health status. Possible Causes There are a multitude of etiologies for developmental disabilities. The cause can be prenatal, perinatal, or postnatal. Risk factors for developmental disabilities can be biological, environmental, or a combination of both. Genetics plays a role in conditions such as Tay-Sachs disease and other inborn errors of metabolism, Klinefelter’s syndrome, Fragile X syndrome, and Down syndrome, that typically lead to developmental disability. Genetic causes may be chromosomal abnormalities, single gene defects, or multifactorial disorders. For example, autism appears to have a genetic component that interacts with developmental factors. A number of conditions in the prenatal environment may increase the likelihood that a child will be born with the potential for a developmental disability. Fetal alcohol syndrome, for example, is completely preventable if pregnant women do not drink alcohol. Women who have sufficient amounts of folic acid in their diets reduce the risk of having a child with a neural tube defect that can result in a developmental disability. Smoking during pregnancy, use of certain drugs such as cocaine or heroin, poor maternal nutrition, and extremes of maternal age greatly increase the chances of fetal brain damage or premature delivery and low birth weight. Babies with low birth weights are three times more likely than normalweight babies to have developmental disabilities. Approximately 61 percent of premature infants have a developmental disability of some kind. Children may later be at risk through environmental causes such as lead poisoning, inadequate nutrition, infections, nonstimulating environments, abuse, neglect, and traumatic brain injury. Diagnosing Developmental Disabilities Developmental disabilities are defined in terms of what an individual can or cannot do rather than in terms of a clinical diagnosis. They affect the typical processes in a child’s growth, particularly the maturation of the central nervous system. For this reason, early identification is important. The potential exists for an improved outcome if children are provided with education and habilitation. Prenatal diagnostic techniques may be appropriate for at-risk pregnancies. If a fetus is known to be affected, the physician is better able to plan the delivery and for special care during the newborn period. Newborn screening is another way in which to identify conditions that can result in developmental disabilities if untreated. The Apgar test is ad261
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DSM-IV-TR Criteria for Pervasive Developmental Disorders Asperger’s Disorder (DSM code 299.80) Qualitative impairment in social interaction, manifested by at least two of the following: • marked impairment in use of multiple nonverbal behaviors (eye-to-eye gaze, facial expression, body postures, gestures) • failure to develop peer relationships appropriate to developmental level • lack of spontaneous seeking to share enjoyment, interests, or achievements with others • lack of social or emotional reciprocity Restricted, repetitive, and stereotyped patterns of behavior, interests, and activities, manifested by at least one of the following: • preoccupation with one or more stereotyped and restricted patterns of interest abnormal in either intensity or focus • apparently inflexible adherence to specific, nonfunctional routines or rituals • stereotyped and repetitive motor mannerisms (hand or finger flapping, complex whole-body movements) • persistent preoccupation with parts of objects Symptoms cause clinically significant impairment in social, occupational, or other important areas of functioning No clinically significant general delay in language No clinically significant delay in cognitive development or development of age-appropriate self-help skills, adaptive behavior (other than in social interaction), and curiosity about environment Criteria for another specific pervasive developmental disorder or schizophrenia not met Autistic Disorder (DSM code 299.00) Six or more criteria from three lists 1) Qualitative impairment in social interaction, manifested by at least two of the following: • marked impairment in use of multiple nonverbal behaviors • failure to develop peer relationships appropriate to developmental level • lack of spontaneous seeking to share enjoyment, interests, or achievements with others • lack of social or emotional reciprocity 2) Qualitative impairments in communication, manifested by at least one of the following: • delay in, or total lack of, development of spoken language, not accompanied by attempts to compensate through alternative modes of communication such as gesture or mime
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Developmental Disabilities • in individuals with adequate speech, marked impairment in ability to
initiate or sustain conversation • stereotyped and repetitive use of language or idiosyncratic language • lack of varied, spontaneous make-believe play or social imitative play ap-
propriate to developmental level 3) Restricted, repetitive, and stereotyped patterns of behavior, interests, and activities, manifested by at least one of the following: • preoccupation with one or more stereotyped and restricted patterns of interest abnormal in either intensity or focus • apparently inflexible adherence to specific, nonfunctional routines or rituals • stereotyped and repetitive motor mannerisms • persistent preoccupation with parts of objects Delays or abnormal functioning in at least one of the following areas, with onset prior to age three: • social interaction • language as used in social communication • symbolic or imaginative play Symptoms not better explained by Rett’s Disorder or Childhood Disintegrative Disorder Childhood Disintegrative Disorder (DSM code 299.10) Apparently normal development until at least age two, with age-appropriate verbal and nonverbal communication, social relationships, play, and adaptive behavior Clinically significant loss of previously acquired skills before age ten in at least two of the following areas: • expressive or receptive language • social skills or adaptive behavior • bowel or bladder control • play • motor skills At least two of the following abnormalities of functioning: • qualitative impairment in social interaction (impairment in nonverbal behaviors, failure to develop peer relationships, lack of social or emotional reciprocity) • qualitative impairments in communication (delay or lack of spoken language, inability to initiate or sustain conversation, stereotyped and repetitive use of language, lack of varied make-believe play) • restricted, repetitive, and stereotyped patterns of behavior, interests, and activities, including motor stereotypies and mannerisms Symptoms not better explained by another specific pervasive developmental disorder or schizophrenia (continued) 263
Psychology Basics
DSM-IV-TR Criteria for Pervasive Developmental Disorders—continued Rett’s Disorder (DSM code 299.80) Apparently normal prenatal and perinatal development, apparently normal psychomotor development through first five months after birth, and normal head circumference at birth Onset of all the following after the period of normal development: • deceleration of head growth between five and forty-eight months of age • loss of previously acquired purposeful hand skills between five and thirty months of age, with the subsequent development of stereotyped hand movements • loss of social engagement early in course (although often social interaction develops later) • poorly coordinated gait or trunk movements • severely impaired expressive and receptive language development, with severe psychomotor retardation Pervasive Developmental Disorder Not Otherwise Specified (DSM code 299.80)
ministered by the medical staff in the delivery room at one minute, five minutes, and, if there are complications, at ten and fifteen minutes after birth. It measures the effects of various complications of labor and birth and determines the need for resuscitation. The test assesses physical responsiveness, development, and overall state of health using a scale of five items rated from 0 to 2. A low Apgar score at birth can signal the potential for a developmental disability. Measurement of head circumference is a useful tool for predicting whether an infant is likely to have a neurodevelopmental impairment such as microcephaly. A blood test screening can be done for phenylketonuria (PKU), congenital hypothyroidism, galactosemia, maple syrup urine disease, homocystinuria, and biotinidase deficiency. Early detection of these conditions and appropriate intervention may reduce the severity of the resulting disability. An older child can be referred to a developmental pediatrician for assessment of a developmental disability if the child has not attained expected age-appropriate developmental milestones, exhibits atypical development or behavior, or regresses to a previous level of development. Correcting for prematurity in developmental testing is necessary. An instrument commonly used is the Denver Developmental Screening Test. The more severely affected a child is, the clearer is the diagnosis, as an individual’s failure to meet developmental milestones may represent a short-term problem that 264
Developmental Disabilities resolves over time as the child “catches up.” Even readily identifiable indicators of potential disability do not always result in expected delays. Related issues such as feeding, elimination, and cardiorespiratory problems; pressure sores; and infection control are also considered as part of the diagnosis. Screening for lead poisoning or psychological testing may be recommended. At whatever age the person is referred, a multidisciplinary evaluation attempts to establish a baseline of the present level of performance, including both skills and deficits. Activities of daily living (ADLs) such as bathing, eating, and dressing are widely used in assessing this population. Needing assistance with ADLs becomes an important criterion for determining eligibility for public and private disability benefits. An appraisal is made of those deficits that can be remedied and those that require accommodation. The predictive accuracy of the diagnosis improves with the individual’s age. Language development is another predictor variable. Individuals with developmental disabilities may have little or no apparent intent to communicate and may not understand that they can affect their environment through communication. Though developmental disabilities, by definition, are severe, it is possible that a child not previously identified could be detected by routine public school prekindergarten screening. The Developmentally Disabled Population The Administration on Developmental Disabilities of the United States Department of Health and Human Services estimates that there are four million Americans with developmental disabilities. Data specific to the incidence and prevalence of developmental disabilities are difficult to obtain because of the various etiologies present in this population. Conditions which often fall under the umbrella of developmental disabilities include mental retardation, autism, epilepsy, spinal cord injury, sensory impairment, traumatic brain injury, and cerebral palsy. Though developmental disabilities can be associated with neurological damage, many of the conditions resulting in a developmental disability do not result in lowered intellectual functioning. Persons with developmental disabilities are estimated to comprise 1.7 to 1.8 percent of the population. This percentage has risen markedly since the mid-1970’s for two reasons: increased life span for older individuals with disabilities and a greater number of children and adolescents surviving conditions that previously would have been fatal. The number of students diagnosed with autism has grown dramatically, from approximately 5,500 in the 1991-1992 school year to nearly 55,000 in 1998-1999. Between 200,000 and 500,000 people in the United States over the age of sixty may have some form of developmental disability. Some of these individuals present special problems as they age. Those with epilepsy appear to be at greater risk for osteoporosis, while those with Down syndrome seem to begin the aging process earlier than others. 265
Psychology Basics Treatment Options The person with a developmental disability needs a combination of interdisciplinary services that are individually planned and coordinated and are of lifelong duration or extended duration throughout the life cycle. Because the causes and manifestations of developmental disabilities are so varied, each affected person is unique and requires an individualized approach to treatment and training. Each disability has specific needs that must be addressed and accommodations that must be provided. When a defect has been identified prenatally, fetal treatment may be possible in order to prevent developmental disability. Some inborn errors of metabolism respond to vitamin therapy given to the mother. Bone marrow transplants and fetal surgery have also been performed. Services for children from birth to two years of age provide special education as well as access to specialists in the areas of speech and physical therapy, psychology, medicine, and nursing. Assistive technology, physical adaptations, and case management are also offered. Medical management, monitoring, and consultation may be the responsibility of a developmental pediatrician. Early intervention may be home-based, or the child can be enrolled in a center with a low child-to-teacher ratio. In either case, an Individual Family Service Plan (IFSP) is developed which includes a statement of the child’s present level of development, the family’s concerns, priorities, and resources, major outcomes to be achieved, and the specific early intervention services to be provided; identification of the coordinator responsible for implementing the plan; and procedures for transition to preschool. Among the equipment used in treating the child may be positioning devices, wheelchairs, special car restraints, amplification devices, and ambulation aids. Some children may require gastronomy tubes, tracheostomy tubes, cardiorespiratory monitors, nasogastric tubes, ventilators, bladder catheters, splints, or casting. They may be placed on antiepileptic medication, antispasticity drugs, antireflux medications, antibiotics, respiratory medications, or medications to influence mood and behavior. The Individuals with Disabilities Education Act mandates comprehensive educational services for children from three through twenty-one years of age. Services are offered in a continuum of settings that are individually determined. These settings may include hospitals, residential facilities, separate day schools, homes, and public schools. Children are ideally placed in what the law refers to as the least restrictive environment. An Individual Education Plan (IEP) replaces the IFSP. ADLs are a prime focus of the educational program. The goal is to promote independence in such areas as eating, drinking, dressing, using the toilet, grooming, and tool use, which, in turn, fosters self-esteem. Facilitating language acquisition and communicative intent are critical to any intervention program. Many developmentally disabled individuals will need numerous stimulus presentations before acquiring a rudimentary 266
Developmental Disabilities vocabulary. For those children who continue to be nonverbal, alternative communication systems such as sign language, use of pictures, and communication boards are introduced to enable communicative interaction. Computers with interface devices such as switches or touch-sensitive screens may be introduced to children with cerebral palsy. Children with developmental disabilities exhibit challenging behaviors more often than typically developing children. After previously unrecognized medical conditions are ruled out as causes, positive behavioral supports at home and in school or traditional behavior management programs aim to produce comprehensive change in those challenging behaviors. Drugs that affect central nervous system function can also be helpful in treating disruptive behaviors. Newer treatment approaches include neurodevelopmental therapy and sensory integration therapy. Neurodevelopmental therapy is widely used by physical and occupational therapists. It emphasizes sensorimotor experience to facilitate normal movement and posture in young developmentally disabled children with cerebral palsy or other, related disorders. Sensory integration is a normal process in which the child’s central nervous system organizes sensory feedback from the body and the environment and makes appropriate adaptive responses. Sensory integration therapy uses controlled sensory input to promote those adaptive responses. Adults with developmental disabilities are living longer than ever before. Most have the ability to live happy, productive lives in their communities. One component of treatment is transition planning. The Developmental Disabilities Act of 1984 emphasizes the importance of employment of persons with developmental disabilities and offers guidelines for providing supported employment services. Other transition issues include sexuality, social integration, recreation, and community residential options. Medical and physical care plans are necessary because long-term consequences of therapeutic interventions may occur. Movement disorders can result from the prolonged use of neuroleptic medications, while bone demineralization may be caused by the chronic use of certain anticonvulsants. History of Treatment Services for people now referred to as having a developmental disability began in the United States in 1848 in Boston. The philosophy of early schools was to cure the “deviant.” However, by 1877 a unidisciplinary medical model replaced the educational model and emphasized providing shelter and protection to this population. Later, the interest in Mendelian genetics led to a change in focus to protecting society from those whose disabilities were considered hereditary. By 1926, twenty-three states had laws requiring mandatory sterilization of the developmentally disabled on the books, and between 1925 and 1955 more than fifty thousand involuntary sterilizations were performed in the United States. In the 1950’s, parents began to organize opportunities for individuals with developmental disabilities within public school systems. 267
Psychology Basics Treatment evolved from the medical model to a multidisciplinary approach in which a physician consulted with other experts. Later, an interdisciplinary model emerged in which professionals from each discipline gathered to discuss their individual assessments and decide jointly on a plan of care. More recently, a transdisciplinary approach has been developed in which professionals, along with the individual concerned and his or her family, work together equally to identify needs, plan care, implement interventions, and evaluate progress. Though the term “developmental disabilities” was not used in it, PL 94142, the Education for All Handicapped Children Act of 1975, mandated a free, appropriate, public education for children who could be considered developmentally disabled. The Education of the Handicapped Act Amendments of 1986 extended early intervention services under the auspices of the public schools to identified children three to five years of age and those at risk for developmental disabilities. This legislation was reauthorized as the Individuals with Disabilities Education Act (IDEA) of 1990. Guarantees of equal protection under the law were extended to adults with developmental disabilities by the Americans with Disabilities Act (ADA) of 1990. The years since 1970 have been a period of remarkable growth and achievement in services for individuals with developmental disabilities. Cultural, legal, medical, and technological advances have occurred. Services now include protection and advocacy systems under the auspices of state councils on developmental disabilities; university centers involved in education, research, and direct service; training in self-determination; and family supports. At the heart of this growth has been a transformation from a system of services provided primarily in institutions to one provided primarily in local communities. There has been a movement away from segregation and toward integration following what has been called the principle of normalization. Sources for Further Study Batshaw, Mark L., ed. Children with Disabilities. 5th ed. Baltimore: Paul H. Brooks, 2002. A primer on developmental disabilities for educators, therapists, psychologists, social workers, health care professionals, and child advocates. Families can find useful information on medical and rehabilitation aspects of developmental disabilities. Copeland, Mildred E., and Judy R. Kimmel. Evaluation and Management of Infants and Young Children with Developmental Disabilities. Baltimore: Paul H. Brookes, 1989. The authors present clear and concise descriptions of selected developmental disabilities, illustrated with photographs and sketches. Discussion of assessment and management is geared to teachers and parents. Dowrick, Peter W. “University-Affiliated Programs and Other National Resources.” In Handbook of Developmental Disabilities, edited by Lisa A. Kurtz, Peter W. Dowrick, Susan E. Levy, and Mark L. Batshaw. Gaithersburg, 268
Developmental Disabilities Md.: Aspen, 1996. Provides a listing of referral sources by region and by state. Roth, Shirley P., and Joyce S. Morse, eds. A Life-Span Approach to Nursing Care for Individuals with Developmental Disabilities. Baltimore: Paul H. Brookes, 1994. Though written for nurses, this book gives the general reader a foundation of information regarding developmental disabilities from a quality-of-life perspective. Gabrielle Kowalski See also: Autism; Mental Retardation.
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Diagnosis Type of psychology: All Fields of study: All Diagnosis is a process whereby an assessor evaluates symptoms and signs of illness or abnormality in order to be able to determine the type of problem present. This can be done using interviews, observation, and formal testing instruments or procedures. Key concepts • assessment • associated features • course • criteria • differential diagnosis • interviewing • screening • signs • symptoms The word “diagnosis” is derived from two Greek roots: dia, which means “to distinguish,” and gnosis, which means “knowledge.” It is most often understood to be a noun, but from the perspective of a psychologist or a person assessing an afflicted individual, it is seen as a process whereby one understands the condition of the person affected. It is also important to remember that diagnosis is not a one-time event but is ongoing. For example, diagnoses may shift. Changes can be noted in terms of signs (the observable indications of mental health problems) and symptoms (the problems reported by clients indicating their discomfort, notice of changes, or abnormality in their way of being). In some ways, diagnosis has no discrete end but consists of different observation points in time when the progress of a disorder is evaluated. Screening The goal of diagnosis is to arrive at information that can be communicated and used to aid in the treatment of the person with the mental or physical health problem. In the United States, mental health diagnoses are typically based on the framework presented in the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders (DSM), which is updated periodically. In order to be diagnosed with a particular mental disorder, individuals go through a systematic evaluation to determine whether they satisfy the diagnostic criteria, the conditions necessary to qualify for a disorder, as described in the DSM. Often, this process begins when individuals or their relatives notice symptoms and seek the consultation of a professional. At that time, the professional will begin a series of systematic inquiries, ruling possible conditions in 270
Diagnosis and out of consideration, in order to determine how best to proceed with further diagnostic work. In some cases, a preliminary step called screening may be undertaken. Screening is a relatively brief procedure in which the signs and symptoms that have the highest association with specific mental health conditions are asked about in order to determine whether a more thorough evaluation is necessary. Typically, screening results in a person being placed into one of two categories: possibly having the condition of concern or mostly likely not having the condition. Those individuals in the former category receive more thorough evaluations. Those who are judged as unlikely to have the condition do not receive more thorough evaluations immediately but instead may be invited to continue their own observations of symptoms or to begin another path of diagnostic inquiry. For those performing the screening, the primary goal is to identify those individuals who may have the problem. It is also important, however, not to rule out individuals for further evaluation who might actually have the condition but do not appear to do so during the screening. In technical terms, the first group is known as true positives: individuals who are screened as likely to have the condition and who actually have it. The second group is known as false negatives: individuals who are screened as not having the condition but actually do have it. Screening tests increase in their usefulness if they are not overly sensitive and do not produce too many false positives: people who screen positive but who actually do not have the condition. It is important to minimize false positives because some diagnostic procedures, such as magnetic resonance imaging (MRI), are expensive. Additionally, some diagnostic procedures can be invasive, such as injection dye procedures used to observe different organ systems in action. Minimizing false positives in screening saves money for health care providers and, more important, saves potential pain, suffering, and anxiety for individuals. Finally, screening also increases in usefulness when it can effectively identify true negatives: individuals who are screened as not having the problem and who, in fact, do not. The sooner these individuals are identified, the more quickly they can be considered for other diagnostic possibilities. Assessment In general, screening is important because it is often brief and can be applied to a large number of people with little effort, saving expensive time on evaluation and yet efficiently identifying individuals most likely to have a formal mental health condition. It is much less costly than the next step in a diagnostic workup after being screened as positive: the process of assessment, a lengthier process in which detailed information is gathered in a systematic way about the patient’s probable condition. Assessment procedures may include formal diagnostic interviewing, in which the psychologist or clinician asks a step-by-step series of questions to get a clear picture of what the 271
Psychology Basics symptoms are and how they developed. Interviewing can be used to assess not only the individual affected but also family members or significant others, as sometimes these individuals have valuable information related to the history or development of the symptoms. These informants can also be helpful if the individual is not able or willing to speak about or to describe the condition. Assessment procedures may also include the use of questionnaires, surveys, or checklists about symptoms. They may include observation by the psychologist in interpersonal interactions or under certain other conditions. They may also include formal medical tests, such as blood tests, urine toxicology, and tests of psychomotor performance. Overall, assessment procedures seek to reveal the course of the symptoms present or how they have changed over time. Assessment also seeks to show how the most prominent symptoms relate to one another and to less prominent symptoms. This is particularly important to a process called differential diagnosis, in which disorders that may appear alike in some features are diagnostically separated from one another in order to determine if one or more conditions are present. If, in the process of assessment, it is found that the number, severity, and duration of the individual’s symptoms and signs meet the diagnostic criteria, or standards of required evidence to warrant a diagnosis, then a diagnosis is rendered. If the signs and symptoms are all manifest but fall short of being present in the right number, severity, or duration, then the condition might be thought of as subclinical. This would mean that although the symptoms do not meet the formal criteria necessary to warrant a diagnosis, they are problematic and may still require some clinical observation and attention. Finally, sometimes a client may have one disorder that is clearly present but also has what might be called leftover symptoms that do not seem to fit. In some cases, these symptoms may be what are known as associated features, or symptoms associated with disorders but not part of the disorder in a formal diagnostic way. For example, many people who suffer from agoraphobia also experience symptoms of depression. In some cases, these individuals also qualify for a diagnosis of depression. In other cases, they are experiencing depressed mood as a consequence of having agoraphobia, and the depression is an associated feature. Once these aspects of a diagnosis are understood, the information can be put to use. Importance Diagnoses are important because of the information that they convey. They are important in facilitating effective communication among professionals as well as for effective treatment planning. The diagnostic terminology of the DSM allows professionals to communicate clearly with one another about their clients’ conditions. This communication helps to direct clients to the proper treatment and also ensures continuity of care when clients 272
Diagnosis switch treatment providers. For example, a client who is traveling or is outside his or her regular locale may need assistance and seek out another health care provider. The new provider would be greatly aided in helping the client by communication with the regular provider about the individual and his or her condition. A proper assignment could then be reached to create a useful treatment strategy. On another level, standard diagnoses are useful because they also allow for important communication between clinicians and researchers in psychology. This is most true when new symptoms are emerging and the need arises for developing new treatment strategies. When the mental health community uses the same language about signs and symptoms in the study of specific conditions, medical and psychological knowledge can advance much more efficiently. More practically, diagnostic information is important to treatment because diagnostic information is needed to justify treatment financially. When a client meets formal diagnostic criteria for a disorder, the health care provider can administer services and justify the treatment to insurance agencies and others interested in the financial management of mental health problems. Diagnoses may also help such agencies to discover trends in which treatments work and where disorders tend to be developing (the focus of the field of epidemiology) or to recognize gaps in services, such as when people with certain disorders suddenly disappear from the mental health care system. Even more important, however, standard diagnoses and thorough diagnostic procedures allow for good communication among professionals, their clients, and the families of those affected by mental illness. Communicating diagnostic information effectively to the client and family members or significant others is likely to help with the management of the problem. The better that all involved understand the symptoms and prognosis (expectations for the effects of the condition on future functioning), the more likely everyone is to assist with treatment compliance. Further, it can be very helpful to families to learn that their loved ones have formal diagnoses. Mental health conditions can create chaos and misunderstanding, and improvements in relationships may occur if families and significant others are able to place problematic symptoms in perspective. Rather than attributing symptomatic behavior to personal irresponsibility or problems of character, family members and friends can see the symptoms as reflecting the illness. Although this understanding does not make everything perfect, it may help facilitate a more effective problem-solving strategy for the affected person and his or her significant others. Context Diagnosis is a process most often associated with a visit to a primary care physician. However, professionals of many types gather diagnostic information and render diagnoses. Psychiatrists and psychologists predominate in the 273
Psychology Basics area of mental health diagnoses, but social workers, educational counselors, substance abuse counselors, criminal justice workers, social service professionals, and those who work with the developmentally disabled also gather mental health diagnostic information and use it in their work. Over time, the process of assessment has been separated from the actual diagnostic decision, so that assistants and helpers may be the ones gathering and organizing the symptom-related information in order to present it to the expert diagnostician who has the authority to render the diagnosis. This shift has occurred as a matter of financial necessity in many cases, as it is more expensive to use experts for time-intensive information gathering than it is to use such assistants. Increasing effort has also been focused on developing more accurate diagnostic screening and assessment instruments to the same end. If time can be saved on assessment by using screening, so that only very likely cases receive full symptom assessment, then valuable medical resources will be saved. Further, if paper-and-pencil or other diagnostic procedures can be used to better describe symptoms in a standardized manner, then even the time of diagnostic assistants can be saved. On one hand, such advances may allow more people to be treated in an efficient manner. On the other hand, some complain that people can fall through the cracks and be missed on a screening, and consequently continue to suffer. This situation may be particularly likely for individuals who are not often included in the research upon which the screening instruments are designed, such as women and minorities. Similarly, others suggest that these processes put too much paper between the client and the health care provider, creating barriers and weakening therapeutic relationships. In considering cultural practices and understandings of the doctorpatient relationship, this effect is even more important, as many cultural groups see the social nature of this relationship as a critical piece of the treatment interaction. While efficiency and saving money are important, it must be recognized that those goals are culturally bound and are choices that are being made. They are not the only way for the art and science of diagnosis to proceed. It is also important for diagnosticians to recognize cultural differences in terms of the way in which symptoms are experienced, expressed, and understood. For some, mental health disorders may be seen as expressions of underlying spiritual problems; for others, they may be seen as disharmonies among elements in the universe or environment; and for others, they may be seen as extensions of physical problems. Each of these perspectives is a valid way of understanding such conditions, and it is only good training that includes attention to cultural variation in diagnostic procedures and practice that will allow diagnosticians to function effectively. It should also be noted that culture is not limited to a client’s racial background or ethnicity; it also varies by characteristics such as gender, age, sexual orientation, socioeconomic status, and locale. Increasingly, diagnosticians are being forced to grapple with such diversity so as to improve 274
Diagnosis diagnostic procedures and client care. Such characteristics are important to diagnosis not only because of differences in perspectives on illness but also because of differences in the prevalence of illnesses in various groups. This distinction is particularly important when considering medical conditions that might be associated with psychological disorders. In some cases, medical problems may mimic psychiatric disorders; in other cases, they may mask, or cover up, such disorders. Because some disorders are more common in certain populations—such as among women, people of color, and elders—knowledge of such prevalence is important to the process of differential diagnosis. Culture is also an important consideration in diagnosis because the information gathered is transmitted socially. Knowledge of diagnoses is exchanged among professionals, researchers, clients, and their families. Diagnoses have social meaning and can result in those carrying the diagnosis being stigmatized. As crucial differences exist in the degree of stigmatization in different cultures, the delivery of such important mental health information deserves thoughtful consideration, good planning, and followup to ensure that all parties involved are properly informed. Sources for Further Study American Psychiatric Association. Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR. Rev. 4th ed. Washington, D.C.: Author, 2000. The standard text outlining the major mental health disorders diagnosed in the United States. Beutler, Larry E., and Mary L. Malik. Rethinking the DSM: A Psychological Perspective. Washington, D.C.: American Psychological Association, 2002. Offers some critiques of the DSM, the dominant diagnostic framework used in the United States. Castillo, Richard J. Culture and Mental Illness: A Client-Centered Approach. Pacific Grove, Calif.: Brooks/Cole, 1997. Discusses how cultural issues fit into the diagnostic process and the understanding of mental health and illness. Seligman, Linda. Diagnosis and Treatment Planning in Counseling. 2d ed. New York: Plenum Press, 1996. Connections between diagnosis and treatment planning are highlighted in this text, with case examples for illustration. Shea, Shawn Christopher. Psychiatric Interviewing: The Art of Understanding— A Practical Guide for Psychiatrists, Psychologists, Counselors, Social Workers, and Other Mental Health Professionals. 2d ed. Philadelphia: W. B. Saunders, 1998. The skills of interviewing as a means of establishing a therapeutic relationship and the basis for forming diagnostic impressions are reviewed from a perspective that is useful for a variety of mental health practitioners. Also allows nonprofessionals to see how interviewing is structured and leads to diagnoses. Simeonsson, Rune J., and Susan L. Rosenthal, eds. Psychological and Developmental Assessment: Children with Disabilities and Chronic Conditions. New 275
Psychology Basics York: Guilford Press, 2001. This text focuses on issues important to the diagnosis of mental health and other behavioral disorders in children. Trzepacz, Paula T., and Robert W. Baker. Psychiatric Mental Status Examination. New York: Oxford University Press, 1993. The mental status examination is one of the foundations of any psychiatric diagnosis. This book describes these procedures for assessing the appearance, activity level, mood, speech, and other behavioral characteristics of individuals under evaluation. Nancy A. Piotrowski See also: Madness: Historical Concepts; Psychopathology; Survey Research: Questionnaires and Interviews.
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Domestic Violence Type of psychology: Psychopathology Fields of study: Adulthood; aggression Domestic violence refers to all forms of abuse which occur within families, including child abuse, elder abuse, and spouse abuse. The term came into common usage in the 1970’s to emphasize wife abuse. Domestic violence is explained by several psychologically based theories which in turn propose different solutions. Key concepts • battered woman syndrome • cycle of violence • domestic violence • family systems theory • feminist psychological theory • learning theory • post-traumatic stress disorder • psychoanalytic theory • systems theory • wife abuse Domestic violence is difficult to measure because there are no agreed-upon standards as to what it is. In addition, most domestic violence occurs in private, and victims are reluctant to report it because of shame and fear of reprisal. Its scope is also difficult to determine, and society’s reluctance to acknowledge it results in only estimated numbers of rapes, robberies, and assaults committed by family members and other relatives, such as spouses, former spouses, children, parents, boyfriends, and girlfriends. In the 1970’s, publicity about domestic violence, and more specifically wife abuse, made the public aware that many women did not live in peace and security in their own homes. Through the usage of the terms “abuse,” “woman abuse,” “battering,” “partner abuse,” “spouse abuse,” “intimate violence,” “family violence” and “relationship violence,” feminists made the public aware of the problem. As a result of the publicity, women were identified as the most likely victims of domestic violence. The selection of a name for the behavior will have implications for treatment choices. In addition, the term “domestic violence” removes the issue from a societal perspective, which condones, reinforces, and perpetuates the problem. Domestic violence minimizes the role of gender and places the relationship in the dominant spot. As a result, the choice of a name offers varying perspectives, which differentially view the persons involved, the nature of the problem, and possible solutions. Abused women in a domestic violence situation are confronted with several types of abuse, namely economic abuse, physical abuse, psychological/ 277
Psychology Basics emotional abuse, and sexual abuse. Economic abuse results when the financial resources to which a woman is legally entitled are not accessible to her. Examples of economic abuse include being prevented from seeking employment even if qualified to do so, as well as being denied access to needed education, which would aid the woman in securing better employment. Physical abuse is the major way that abusive men control the behavior of women. Abused women have likened psychological or emotional abuse to brainwashing. Little research has been done on this type of abuse because it is difficult to record. The abused woman is terrorized, isolated, and undermined by her abuser. Psychological or emotional abuse allows men to avoid the legal effects of physical abuse, because they can frighten women without touching them. Five common emotional abuse methods include isolation, humiliation and degradation, “crazy-making” behavior, threats to harm the woman or those she loves, and suicidal and homicidal threats. Sexual violence was reported by 33 percent to 59 percent of the battered women in a study by Angela Browne published in 1987. Since 1992, it has been legal throughout the United States for a woman to charge her husband with rape. Historically, rape was thought of as intercourse forced on someone other than the wife of the accused. As a result, a woman could not legally accuse her husband of rape. Possible Causes Four theories, each of which has a psychological basis, attempt to explain wife abuse. Each of the theories has a unique perspective regarding the causes of wife abuse. The four theories are family systems theory, feminist psychological theory, learning theory, and psychoanalytic theory. The first theory, family systems theory, includes the application of systems theory to all current family therapy approaches. Systems theory stresses mutual influences and reciprocal relationships between the individual members and the whole, as well as vice versa. In family systems theory, abuse is seen as a feature of the relationship between the abused wife and her husband. Underlying the abusive behavior, both the abused wife and her husband have a frail sense of self. When they marry or establish a relationship, a battering routine or system unfolds. Several factors lead the man to have a drive for power and control over the woman. These factors include social conditions, the need for control, intimacy fears, and lack of awareness of his own conflicts regarding dependency. The abused woman, in turn, has a limited range of coping behaviors, dependency conflicts, a history of childhood family violence, and other psychosocial traits which are similar to those of the man. Change is prevented from occurring, and the dysfunctional interpersonal behavior patterns continue as a result of the unwritten expectations that control these behaviors. Change is blocked by the use of violent behavior. The second theory, feminist psychological theory, is based on the work of American feminist psychologist Lenore Walker. She believes that the behav278
Domestic Violence iors of abused women are coping behaviors developed as a result of living in a brutal environment. Walker first theorized the concept of learned helplessness as used in relation to abused women. The abused woman can do nothing to stop the violence. The woman’s chief concern is survival. However, survival comes with consequences. Several of the consequences include passively giving in to her abuser, becoming an observer of her own abuse through the process of disassociation, and waiting for days to seek medical care because she may distort the reality of the abuse. In addition, women’s helplessness is reinforced by society in two ways. First, women learn to respond passively to abuse through gender-role socialization. Second, women’s ability to control their lives is thwarted through the interrelated effects of sexism, discrimination, and poverty. Walker has described a cycle of violence that unfolds in the individual relationship. The woman yields to the batterer’s demands in the first stage in order to keep small episodes from increasing. However, over time these small episodes increase and accumulate. The woman also begins to withdraw from family and friends because she does not want them to know what is going on as the family tension increases. As time passes, the woman withdraws from the batterer as well, because she realizes that her efforts to prevent further development of the violence are futile. The batterer, in turn, becomes more and more angry because he fears that he is losing control of his wife. He then explodes, in the second stage. The third stage quickly follows; The batterer is characterized as being placid, and there is a pause in the abusive behaviors. The man promises the woman that he will change, brings her gifts, and is extremely regretful. He changes back into the man she originally loved and is at his most defenseless state. In order to explain the behaviors of women who have been frequently abused, Walker developed the theory of the battered woman syndrome, which she sees as a variant of post-traumatic stress disorder (PTSD). The key behaviors of anxiety, cognitive distortion, and depression can on one hand help a woman to survive her abuse. On the other hand, they can interfere with her ability to change her life situation by using appropriate methods. The third theory is learning theory, incorporating both social learning theory and cognitive behavioral therapy. Social learning theorists stress the occurrence of modeling and the reinforcements received for abusive behavior. Cognitive behavioral theorists stress the internalization of beliefs that support abusive behavior. Boys may internalize the belief that they should be in charge by learning abusive behaviors from male role models, ranging from their fathers to media stars. Girls internalize the belief that they are helpless and weak by learning passively from their role models. Later adult behaviors are hindered by the earlier learned behaviors and internalized messages. The fourth theory, psychoanalytic theory, focuses on intrapersonal pathology. This theory argues that the early life experiences of abused women 279
Psychology Basics and abusive men shape the particular pathological personality. The battered woman develops beliefs and behaviors that are dysfunctional in adulthood, although they are based in childhood experiences with cruel persons. The women do not resist the abuse. They submit to the abuse because they fear offending the stronger male and also because they think of themselves as deserving abuse. The women choose abusive men and may even touch off the abusive behavior because of their strong feelings of worthlessness. Passive-aggressive, psychopathic, obsessive-compulsive, paranoid, and sadistic are some of the labels given to violent men who have experienced severe and traumatic childhood abuse episodes themselves. Men learn that violence gets them what they want and also allows them to feel good about themselves, in spite of their childhood experiences of abuse both as victims and as observers. Diagnosing Domestic Violence Six factors have been identified as increasing a woman’s chances of being in an abusive relationship: age, alcohol use, childhood experience with violence, race, relationship status, and socioeconomic factors. A person’s risk of being abused or being an abuser increases among adolescents. Research has discovered high levels of abuse among dating couples. However, the rate of violence among dating couples falls below that of couples who are married or cohabitating if controlled for age. Clinical samples in which women are asked to describe their husbands’ drinking patterns have provided the basis for the opinion that men beat their wives when they are drunk. Researchers have found that from 35 percent to 93 percent of abusers are problem drinkers. Better controlled studies have found that in only 25 percent of the cases was either partner drinking at the time of the abuse. Individuals are more likely to be an abused woman or an abusive man if they were abused as a child. It is less clear that a relationship exists between witnessing wife abuse as a child and experiencing it as an adult. Researchers have found that men are more likely to become adult abusers if they observed domestic violence as boys. The data are inconclusive regarding a woman’s chance of being abused if she observes domestic violence as a child. Men who observed domestic violence between their parents are three times more likely to abuse their wives. Sons of the most violent parents have a rate of wife abuse 1,000 percent greater than sons of nonviolent parents. African American and Latino families have above-average rates of wife abuse. Abuse rates for African Americans are four times the rate of white Americans and twice the rate of other minorities. There are twice as many Latina women abused as non-Latina white women. Socioeconomic factors can explain these differences. According to data from a 1980 survey, African Americans earning $6,000 to $11,999 annually (approximately 40 percent of all African American respondents) had higher rates of wife abuse than 280
Domestic Violence comparably earning white Americans, while they had lower rates than white Americans in all other socioeconomic levels. When age, economic deprivation, and urban residence are controlled, then the differences between Latina and non-Latina white Americans vanish. Legally married couples have half the amount of violence as cohabitating couples. It is felt that cohabitating couples may allow conflict to escalate because they are less invested in the relationship, more likely to struggle over autonomy and control issues, and more isolated from their social networks. Domestic violence is more common in families with fewer economic resources, though it is found in all socioeconomic levels. Higher rates of wife abuse have been found in families in which the man works in a blue-collar job or is unemployed or underemployed and the family lives at the poverty level. The Abused Population Male partners severely assault more than 1.5 million married and cohabitating women each year. Of women treated in hospital emergency rooms, 22 percent to 35 percent are there because of symptoms related to abuse. Approximately 20 percent to 25 percent of all women are abused at least once by a male partner. Victims of boyfriends tend to be young (sixteen to twenty-four years old), while victims of current or former spouses are likely to be older (twenty to thirty-four years old). Women in families with incomes over $50,000 are four times less likely to be abused than are women in families with annual incomes of less than $20,000.
Marital counseling is sometimes prescribed to identify dysfunctional patterns. (PhotoDisc) 281
Psychology Basics Treatment Options The four theories of domestic abuse also provide several treatment options for the psychologist. Family systems theory prescribes marital counseling to bring about change in the marital system and to identify dysfunctional patterns. Partners are each responsible for changing the way they relate to each other and for the specific behaviors that contribute to the violence. Walker describes three levels of intervention in terms of feminist psychological theory. Primary prevention changes the social conditions that directly and indirectly contribute to the abuse of women. Examples would include eliminating rigid gender-role socialization and reducing levels of violence in society. Secondary intervention encourages women to take control of their lives and to break the cycle of violence. Examples include crisis hot lines as well as financial and legal assistance. A shelter where the women will slowly regain their ability to make decisions for themselves and where they will be safe is an example of tertiary intervention. At this level, women have been totally victimized and are unable to act on their own. Learning theory stresses that the partners be given opportunities to learn and be rewarded for a new range of actions and underlying beliefs. It is felt that intervention should teach the partners how they have learned and been rewarded for their present behaviors. As a result, the intervention moves beyond a pathological framework. Other approaches, mainly from a cognitivebehavioral perspective, strive to change dysfunctional thoughts, teach new behaviors, and eliminate the abuse. This approach works with couples and with abusive men in a group. Psychoanalytic theory stresses long-term, corrective, individual psychotherapy. The end result of the therapy would be to help the abused woman to break the cycle of violence. She would learn to avoid choosing men who re-create her familiar and unhappy childhood by their violent behavior. History of Treatment Domination of women by men has a long history. Early Roman law gave men absolute power over their wives. However, it is not clear if they had the power to put their wives to death. Physical force was their chief means of control. As the Roman Empire declined, men’s right to control women continued to be supported by church doctrine. The “rule of thumb” was born in English common law, which stated that men had the right to beat their wives as long as the weapon they used was “a rod no bigger than their thumb.” Early U.S. judicial decisions supported the right of men to beat their wives. The government’s hands-off policy and the legal sanction to a husband’s right to control the behavior of his wife were the two major impacts of the court rulings. The first wave of feminists in the nineteenth century briefly exposed the existence of wife abuse and made some efforts to criminalize it. This state of affairs continued until the 1970’s, when the second wave of feminism exposed the public to the abuse that many women experienced in their own homes. The battered women’s 282
Domestic Violence movement identified two key concerns: first, to create a society that no longer accepted domestic violence and second, to provide safe, supportive shelter for all women who were abused. Sources for Further Study Ammerman, Robert T., and Michel Hersen, eds. Assessment of Family Violence: A Clinical and Legal Sourcebook. 2d ed. New York: John Wiley & Sons, 1999. Leading figures in the field of family violence review a decade of research and examine strategies and measures relevant to assessment of the problem. They also comment on treatment planning and legal requirements. Other areas of concern include epidemological models, intervention planning, and standards of practice. Browne, Angela. When Battered Women Kill. New York: Free Press, 1987. A study based on interviews with 250 physically abused women, 42 of whom had killed their batterers, shows how “romantic idealism” drives the early stages of the abusive relationship. Obsessive “love” continues along with the abuser’s need to control the woman physically. Coping and survival strategies of the battered women are presented. Buttell, Frederick P. “Moral Development Among Court-Ordered Batterers: Evaluating the Impact of Treatment.” Research on Social Work Practice 11, no. 1 (2001): 93-107. Court-ordered participants in a cognitive-behavioral group treatment program for batterers were studied regarding changing their levels of moral reasoning. The control group consisted of thirty-two adult men with an average age of thirty-two years, 84 percent of whom African American, who were ordered into a standard group treatment program. The major finding was that the current treatment program was ineffectual in changing batterers’ moral reasoning. Goetting, Ann. Getting Out: Life Stories of Women Who Left Abusive Men. New York: Columbia University Press, 1999. Sixteen women shared their stories with the author, who organized them into seven categories, including women of privileged backgrounds, children, two-timing batterers, family and friends to the rescue, shelter life, positive workings of the system, and the impacts of loss and death. A very readable book. Gondolf, Edward W., and Robert J. White. “Batterer Program Participants Who Repeatedly Reassault: Psychopathic Tendencies and Other Disorders.” Journal of Interpersonal Violence 16, no. 4 (2001): 361-380. Psychopathic tendencies were studied in 580 men from four batterers’ programs. The men had assaulted their partners many times in spite of arrests for domestic violence and being referred to batterer counseling programs. The major conclusion was that men who had abused their partners many times were no more likely to have a psychopathic disorder than other men. Jones, Loring, Margaret Hughes, and Ulrike Unterstaller. “Post-traumatic Stress Disorder (PTSD) in Victims of Domestic Violence: A Review of the Research.” Trauma Violence and Abuse 2, no. 2 (2001): 99-119. An analysis 283
Psychology Basics of data from the literature focusing on the interplay between posttraumatic stress disorder (PTSD) and being a battered woman. The authors identified three major objectives of the study as well as seven major findings, chief of which is that PTSD symptoms are consistent with the symptoms of battered women. Krishman, Satya P., Judith C. Hilbert, and Dawn Van Leeuwen. “Domestic Violence and Help-Seeking Behaviors Among Rural Women: Results from a Shelter-Based Study.” Family and Community Health 24, no. 1 (2001): 28-38. A study conducted on a sample of predominantly Latino women living in rural communities that focused on their help-seeking behaviors, including those at a rural domestic violence shelter. One major finding was that a high percentage of the Latino subjects had thought about or attempted suicide. Pellauer, Mary. “Lutheran Theology Facing Sexual and Domestic Violence.” Journal of Religion and Abuse 2, no. 2 (2000): 3-48. The author argues that Martin Luther was theologically ambivalent on the issues of wife battering and child abuse and seemed to be confused between the ideas of sexuality and sexual violence. She ends her essay with a review of the themes for a Lutheran response to domestic violence, as well as making several recommendations for action based on further analysis of Luther’s writings and teachings. Smith, Darcy M., and Joseph Donnelly. “Adolescent Dating Violence: A Multisystemic Approach of Enhancing Awareness in Educators, Parents, and Society.” Journal of Prevention and Intervention in the Community 21, no. 1 (2001): 53-64. Mental health professionals have hesitated to report that adolescents are the fastest growing at-risk segment of the population. One in eight high school students and one in five college students will be involved in abusive relationships. In 1993, six hundred teenage girls were murdered by their boyfriends. Prevention and treatment strategies are also presented. Walker, Lenore E. The Battered Woman Syndrome. 2d ed. New York: Springer, 1999. A readable volume in which the author reports the results of a research project to identify key psychological and sociological factors that make up the battered woman syndrome. In addition, she tested eight specific theories about battered women and also gathered relevant data about battered women. Carol A. Heintzelman See also: Aggression.
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Dreams Type of psychology: Cognition; consciousness Fields of study: Classic analytic themes and issues; cognitive processes; sleep; thought Dreams are the series of images, thoughts, and feelings that occur in the mind of the sleeping person. Dreams are usually confused with waking reality while they are occurring. Distinctive neurological phenomena are associated with the production of dreams, and diverse psychological experiences are conveyed in dreaming. Key concepts • D-sleep • latent content • manifest content • NREM sleep • REM sleep • S-sleep • sleep mentation Humans spend roughly one-third of their lives sleeping, and laboratory research indicates that at least a third of the sleep period is filled with dreaming. Thus, if a person lives seventy-five years, he or she will spend more than eight of those years dreaming. People throughout the millennia have pondered the meaning of those years of dreaming, and their answers have ranged from useless fictions to psychological insights. Some of the earliest known writings were about dreams. The Epic of Gilgamesh, written around 3500 b.c.e., contains the first recorded dream interpretation. An Egyptian document dating to the Twelfth Dynasty (19911786 b.c.e.) called the Chester Beatty Papyrus (after its discoverer) presented a system for interpreting dreams. The biblical book of Genesis, attributed to Moses, who is claimed to have lived between 1446 and 1406 b.c.e., records a dream of Abimelech (a contemporary of Abraham and Sarah) from a period that appears to antedate the Twelfth Dynasty. Other classics of antiquity, such as the Iliad and Odyssey of Homer (c. 725 b.c.e.), the Republic of Plato (427-347 b.c.e.), and On the Senses and Their Objects, written by Aristotle (384-322 b.c.e.), grappled with discerning the meaning of dreams. Artemidorus Daldianus (c. second century c.e.) provided a comprehensive summary of ancient thinking on dreams in his famous book, Oneirocritica (the interpretation of dreams). To understand dreaming, it must be distinguished from related phenomena. If the person is fully awake and perceives episodes departing from natural reality, the person is said to have experienced a vision. Experiencing an unintended perceptual distortion is more properly called a hallucination. A daydream is a purposeful distortion of reality. In the twilight realm of dreamlike imagery occurring just before falling asleep or just before becom285
Psychology Basics ing fully awake, hypnagogic or hypnopompic reverie, respectively, are said to occur. Dreams occur only in the third state of consciousness—being fully asleep. Another distinction is needed to differentiate between the two types of psychological phenomena that occur when a person is in this third realm of consciousness. Dreams have the attributes of imagery, temporality (time sequence), confusion with reality, and plot (an episode played out). Those subjective experiences that occur during sleep and are lacking in these attributes can be labeled as sleep mentation. Types of Dreams Just as there are different types of dreamlike experiences, there are different kinds of dreams. While there will be shortcomings in any effort toward classifying dreams, some approximate distinctions can be made in regard to sleep stage, affect (feelings and emotions), reality orientation, and dream origin. When people fall asleep, brain activity changes throughout the night in cycles of approximately ninety minutes. Research with the electroencephalograph (which records electrical activity) has demonstrated a sequence of four stages of sleep occurring in these cycles. The first two stages are called D-sleep (desynchronized EEG), which constitutes essential psychological rest—consolidation of memories and processing of thoughts and emotions. The other two stages, which constitute S-sleep (synchronized EEG), are necessary for recuperation from the day’s physical activity—physical rest. Ssleep usually disappears during the second half of a night’s sleep. Dreaming occurs in both S-sleep and D-sleep but is much more likely to occur in Dsleep. A further distinction in the physiology of sleep is pertinent to the type of dreaming activity likely to occur. During stage one sleep there are often accompanying rapid eye movements (REM) that are not found in other stages of sleep. Researchers often distinguish between REM sleep, where these ocular movements occur, and non-REM (NREM) sleep, in which there is an absence of these eye movements. When people are aroused from REM sleep, they report dreams a majority of the time—roughly 80 percent—as opposed to a minority of the time—perhaps 20 percent—with NREM sleep. Furthermore, REM dreams tend to have more emotion, greater vividness, more of a plot, a greater fantastical quality, and episodes that are more likely to be recalled and with greater clarity. The prevalence of affect in dreams is linked with people’s styles of daydreaming. Those whose daydreams are of a positive, uplifting quality tend to experience the greatest amount of pleasant emotionality in their dreams. People whose daydreams reflect a lot of anxiety, guilt, and negative themes experience more unpleasant dreams. While most dreams are generally unemotional in content, when there are affective overtones, negative emotions predominate about two-thirds of the time. Unpleasant dreams can be categorized into three types. Common nightmares occur in REM sleep and are caused by many factors, such as unpleasant circumstances in life, daily 286
Dreams stresses, or traumatic experiences. Common themes are being chased, falling, or reliving an aversive event. Night terrors are most likely to occur in stage four sleep and are characterized by sudden wakening, terror-stricken reactions, and disorientation that can last several minutes. Night terrors are rarely recollected. An extreme life-threatening event can lead to posttraumatic stress disorder (PTSD). Recurring PTSD nightmares, unlike other nightmares and night terrors, are repetitive nightmares in which the sufferer continues to relive the traumatic event. Furthermore, PTSD nightmares can occur in any stage of sleep. Dreams and Reality The reality level of dreams varies in terms of time orientation and level of consciousness. Regarding time orientation, dreams earlier in the night contain more themes dealing with the distant past—such as childhood for an adult—while dreams closer toward waking up tend to be richer in content and have more present themes—such as a current concern. The future is emphasized in oneironmancy, the belief that dreams are prophetic and can warn the dreamer of events to come. The unconscious mind contains material that is rarely accessible or completely inaccessible to awareness. The personal unconscious may resurrect dream images of experiences that a person normally cannot voluntarily recall. For example, a woman may dream about kindergarten classmates about whom she could not remember anything while awake. The psychologist Carl Jung proposed that dreams could sometimes include material from the collective unconscious—a repository of shared human memories. Thus, a dream in which evil is represented by a snake may reflect a universal human inclination to regard snakes as dangerous. When waking reality, rather than unconscious thoughts, intrude upon dreaming, lucid dreams occur. Lucid dreams are characterized by the dreamer’s awareness in the dream that he or she is dreaming. Stephen LaBerge’s research has revealed that lucid dreams occur only in REM sleep and that people can be trained to experience lucidity, whereby they can exercise some degree of control over the content of their dreams. Origins and Significance Theories about the origins of dreams can be divided into two main categories: naturalistic and supernaturalistic. Proponents of naturalistic theories of dreaming believe that dreams result from either physiological activities or psychological processes. Aristotle was one of the first people to offer a physiological explanation for dreams. His basic thesis was that dreams are the afterimages of sensory experiences. A modern physiological approach to dreaming was put forth in the 1970’s by J. Allan Hobson and Robert McCarley. According to their activation-synthesis theory, emotional and visual areas of the brain are activated during REM sleep, and the newly alerted frontal lobe tries to make sense of this information plus any other sensory or 287
Psychology Basics physiological activity that may be occurring at that time. The result is that ongoing activity is synthesized (combined) into a dream plot. For example, a man enters REM sleep and pleasant memories of playing in band during school are evoked. Meanwhile, the steam pipes in his bedroom are banging. The result is a dream in which he is watching a band parade by with the booming of bass drums ringing in his ears. Hobson does not believe that, apart from fostering memories, dreams have any psychological significance. Plato believed that dreams do have psychological significance and can reveal something about the character of people. More recent ideas about the psychological origins of dreams can be divided into symbolic approaches that emphasize the hidden meanings of dreams and cognitive perspectives that stress that dreaming is simply another type of thinking and that no deep, hidden motives are contained in that thinking. The most famous symbolic approach to dreaming was presented by Sigmund Freud in his book The Interpretation of Dreams (1900). For Freud, the actual dream content is meaningless. It hides the true meaning of the dream, which must be interpreted. David Foulkes, in Dreaming: A Cognitive-Psychological Analysis (1985), proposed a contrary perspective. His cognitive approach to dreaming states that dreams are as they are remembered and that it is meaningless to search for deep meanings. Foulkes proposes that randomly activated memories during sleep are organized into a comprehensible dream by a “dreamproduction system.” The final category of dreams represents the most ancient explanation— dreams may have a supernatural origin. Often connected with the supernatural approach is the belief that God or supernatural beings can visit a person in a dream and heal that person of physical illnesses. This belief is called dream incubation and was widely practiced by the ancient Greeks beginning around the sixth century b.c.e. Several hundred temples were dedicated to helping believers practice this art. Spiritual healing, not physical healing, is the theme presented in the numerous references to dreaming in the Bible: more than one hundred verses in nearly twenty chapters. The Bible presents a balanced picture of the origins of dreams. God speaks through dreams to Abimelech in the first book of the Old Testament (Genesis 20:6) and to Joseph in the first book of the New Testament (Matthew 1:20). However, Solomon (Ecclesiastes 5:7) and Jeremiah (23:25-32) warn that many dreams do not have a divine origin. Dream Content Dream content varies depending on stage of sleep and time of night. Research has also revealed that characteristics of the dreamer and environmental factors can influence the nature of dreams. Three human characteristics that influence dreams are age, gender, and personality. It has been found that children are more likely to report dreams (probably because they experience more REM sleep), and their dreams are reported to have more emotional content, particularly nightmarish themes. 288
Dreams Elderly people report more death themes in their dreams. Male dreams have more sexual and aggressive content than female dreams, which have more themes dealing with home and family. Women report that they dream of their mothers and babies more when they are pregnant. Introverts report more dreams and with greater detail than extroverts. Psychotic individuals (those with severe mental disorders), depressed people, and those whose occupations are in the creative arts (musicians, painters, and novelists) report more nightmares. Schizophrenics and severely depressed people provide shorter dream reports than those of better mental health. It is also reported that depressed people dream of the past more than those who are not depressed. Environmental factors occurring before and during sleep can shape the content of dreams. What people experience prior to falling asleep can show up in dreams in blatant, subtle, or symbolic forms. People watching movies that evoke strong emotions tend to have highly emotional dreams. In fact, the greater the emotionality of a daily event, the greater the probability that the event will occur in a dream during the subsequent sleep period. Those who are wrestling mentally with a problem often dream about that problem. Some have even reported that the solutions to their problems occurred during the course of dreaming. The German physiologist Otto Loewi’s Nobel Prize-winning research with a frog’s nerve was inspired by a dream he had. Sometimes events during the day show up in a compensatory form in dreams. Those deprived of food, shelter, friends, or other desirables report an increased likelihood of dreaming about those deprivations at night. Events occurring during sleep can be integrated into the dream plot as well. External stimuli such as temperature changes, light flashes, and various sounds can be detected by the sleeping person’s senses and then become part of the dream. However, research indicates that sensory information is only infrequently assimilated into dreams. Internal stimulation from physiological activities occurring during sleep may have a greater chance of influencing the nature of dreams. Dreams about needing to find a bathroom may be caused in part by a full bladder. Similarly, nighttime activation of the vestibular system (which controls the sense of balance), the premotor cortex (which initiates movements), and the locus coeruleus (which plays a role in inhibiting muscles during sleep so that dreams are not acted out) perhaps can stimulate the production of dreams about falling, chasing, or being unable to move, respectively. Dream Interpretation There is a plethora of books about dream interpretation offering many different, and often contradictory, approaches to the subject. With so many different ideas about what dreams mean, it is difficult to know which approach is more likely to be successful. A few principles increase the probability that a dream interpretation approach will be valid. First, the more dream content recalled, the better the op289
Psychology Basics portunity to understand its meaning. Most people remember only bits and pieces of their dreams, and serious efforts to interpret dreams require serious efforts by people to remember their dreams. Second, the more a theme recurs in a series of dreams, the greater the likelihood that the theme is significant. Dream repetition also helps in interpretation: Content from one dream may be a clue to the meaning of other dreams. Finally, the focus of dream interpretation should be the dreamer, not the dream. In order to understand the dream, one must spend time and effort in knowing the dreamer. There are many scholarly approaches to dream interpretation. Three theories are particularly noteworthy due to their influence on the thinking of other scholars and their utility for clinical application. Each perspective emphasizes a different side of the meaning of dreams. Sigmund Freud proposed that dreams are complementary to waking life. His basic thesis was that many wishes, thoughts, and feelings are censored in waking consciousness due to their unsuitability for public expression and are subsequently pushed down into the unconscious. This unconscious material bypasses censorship in dreaming by a process in which the hidden, “true” meaning of the dream—the latent content—is presented in a disguised form—the manifest content. The manifest content is the actual content of the dream that is recalled. To interpret a dream requires working through the symbolism and various disguises of the manifest content in order to get to the true meaning of the dream residing in the latent content. For example, Jane’s manifest content is a dream in which she blows out candles that surround a gray-headed man. The candles might symbolize knowledge, and the gray-headed man may represent her father. The latent content is that Jane resents her father’s frequent and interfering advice. Thus, blowing out the candles represents Jane’s desire to put an end to her father’s meddling. Carl Jung proposed that dreams could be understood at different levels of analysis and that the essential purpose of dreams was compensatory. By compensatory, Jung meant that dreams balance the mind by compensating for what is lacking in the way a person is living life. For example, the timid Christian who is afraid to speak up for his or her beliefs with atheistic colleagues dreams of being a bold and eloquent evangelist. Jung believed that four levels of analysis could be used to help dreamers gain insight into their dreams. His general rule guiding the use of these levels is that recourse to analysis at deeper levels of consciousness is only warranted if the dream cannot be adequately understood from a more surface level of examination. To illustrate, a man has a dream in which he steps into a pile of manure. At the conscious level of analysis, it may be that he is dreaming about a recent experience—no need to posit symbolic interpretations. Looking into his personal unconscious, an image from his childhood may be evoked. Recourse to the cultural level of consciousness would examine what manure symbolizes in his culture. It could be a good sign for a farmer in an agrarian world but a bad sign for a politician in an industrialized society. In some cases, it may be necessary to look at the dream from the perspective of the collective uncon290
Dreams scious. Manure might be an ancient, universal image that symbolizes fertility. Could the man be questioning whether or not he wants to be a father? Zygmunt Piotrowski developed a theory of dream interpretation based on projective techniques. For Piotrowski, in a dream about another person, that person may actually represent a facet of the dreamer’s own mind. The more the dream figure is like the dreamer and the closer the proximity between the figure and the dreamer in the dream, the greater the likelihood the dreamer is projecting him- or herself (seeing in others what is really in the self) into that dream figure. For instance, a woman may dream she is walking with her closest friend but that friend is ignoring everything she is saying to her. An interpretation according to Piotrowski’s system could be that the dreamer is actually dealing with the fact that she is not a good listener. Dreams may be complementary, compensatory, or projective, useless fictions, avenues of insight, or products of the brain. Many credible answers have been proposed, but it is hard to believe that there is a single explanation for every instance of dreaming. Perhaps the best answer is that dreams reveal many different things about many different dreamers—biologically, psychologically, socially, and spiritually. Sources for Further Study Dement, William C. The Promise of Sleep. New York: Random House, 1999. One of the pioneers in sleep research presents a comprehensive overview of sleep for the general public. Chapters 13 and 14 specifically deal with dreaming, while research pertinent to dreaming is also found in other chapters. Farthing, G. W. The Psychology of Consciousness. Englewood Cliffs, N.J.: Prentice Hall, 1992. In a scholarly book emphasizing research on various aspects of consciousness, Farthing examines dreaming in three chapters and related phenomena in two other chapters. Freud, Sigmund. The Interpretation of Dreams. Translated by Joyce Crick, edited by Ritchie Robertson. New York: Oxford University Press, 1999. This is the classic book that outlined Freud’s theory of the mind and revolutionized thinking about dreams. Hall, James A. Patterns of Dreaming. Boston: Shambhala, 1991. Hall looks at dream interpretation from a Jungian perspective with an emphasis on clinical application. This intellectually sound book contains excellent historical background and well-rounded coverage of different approaches toward dream interpretation, including a brief look at Piotrowski’s system. Kallmyer, J. D. Hearing the Voice of God Through Dreams, Visions, and the Prophetic Word. Harre de Grace, Md.: Moriah Press, 1998. This book is an excellent source for a spiritual examination of dreaming. Paul J. Chara, Jr. See also: Analytical Psychology: Carl Jung; Consciousness: Altered States; Psychoanalytic Psychology and Personality: Sigmund Freud; Sleep. 291
Drives Type of psychology: Motivation Field of study: Motivation theory A drive is a state influenced by an animal’s need; the animal is motivated to reduce tension or to seek a goal. Drive theory is concerned with the nature of the internal forces that compel an animal to behave. Key concepts • drive • drive reduction • law of effect • need • reinforcement One goal of science is to understand, predict, or manipulate natural events. A scientist may start by observing an event of interest and measuring it as precisely as possible to detect any changes. In experimental research, scientists systematically manipulate various other events to see whether the event of interest also varies. In survey research, various events are measured to see whether they vary with the event of interest. Understanding is achieved when the relationship between the event of interest (the dependent variable) and other events (independent variables) is established. One can then predict or manipulate the event of interest. A theory provides a guideline to organize the variables into a system based upon common properties. To a psychologist, the dependent variable is the behavior of all animals and humans. The independent variable (also called a determinant) may be any other variable related to behaviors. Psychological research aims to discover the determinants of certain behavior; some of them are motivational variables. The field of motivation examines why particular behavior occurs, why it is so strong, and why it is so persistent. A drive is a process related to the source of behavioral energy originating from within the body that is created by disturbances in homeostasis (a state of systemic equilibrium). A homeostatic imbalance creates a state of need for certain stimuli from the environment which can restore the balance. For example, abnormal body temperature and hyperosmolality of the body fluid (electrolyte concentration outside cells that is higher than that of the intracellular fluid, resulting in cell dehydration) are disturbances in homeostasis. The homeostatic balance can be restored through two means. Physiological means such as vasodilation, sweating, and panting serve to reduce body temperature; concentration of electrolytes in the urine by the kidneys reduces hyperosmolality. Second, behavioral means such as taking off clothes, turning on an air conditioner, and drinking cold liquid lower body temperature; drinking water would also result in reducing the hyperosmo292
Drives lality. One may examine a case of homeostatic imbalance in detail to illustrate how the two means function to restore the balance. When the body fluid volume is reduced (hypovolemia) because of loss of blood or of body fluid from intense sweating, the body responds immediately by vasoconstriction, reducing urine volume (through vasopressin release), and conserving sodium (through aldosterone release). Those are physiological means that will restore the blood pressure and prevent circulatory failure. Eventually, however, the body must get back the lost fluid from the environment via behavior (seeking water and drinking) to achieve longlasting homeostasis. The physiological means are immediate and effective, but they are only stopgap measures. Behavior is the means with which the animal interacts with its environment to get back the lost resource. Drive, Reinforcement, and Learning The concept of drives is very important to the theories of Clark L. Hull, a neobehaviorist. According to Hull, a drive has at least two distinct functions as far as behavioral activation is concerned. Without drives there could be no reinforcement and thus no learning, because drive reduction is the reinforcement. Without drives there could be no responses, for drives activate behavioral potentials into performance. Drive theory maintains that a state named “drive” (or D) is a necessary condition for behavior to occur; however, D is not the same as the bodily need. D determines how strongly and persistently a behavior will occur; it connects the need and behavior. This distinction between need and drive is necessary because, while the state of need serves as the source of behavior, the intensity of behavior is not always related to the intensity of need. Need can be defined as a state of an organism attributable to deprivation of a biological or psychological requirement, related to a disturbance in the homeostatic state. There are cases in which the need increases but behavior does not, or in which the need remains but behavior is no longer manifested. Prolonged deprivation, for example, may not result in a linear or proportional increase in behavior. A water-deprived animal may stop drinking even before cellular dehydration is restored to the normal state; the behavior is changing independently of homeostatic imbalance. Cessation of behavior is seen as being attributable to drive reduction. Hull uses D to symbolize drive and sHr (H is commonly used to denote this, for convenience) to symbolize a habit which consists of an acquired relationship between stimulus (S) and response (R). It represents a memory of experience in which certain environmental stimuli and responses were followed by a reward. An effective reward establishes an S-R relationship; the effect is termed reinforcement. One example of an H would be an experience of maze stimuli and running that led to food. H is a behavioral potential, not a behavior. Food deprivation induces a need state that can be physiologically defined; then D will energize H into behavior. The need increases monotonically with hours of deprivation, but D increases only up to three 293
Psychology Basics days without food. A simplified version of the Hullian formula for a behavior would be “behavior = HD,” or “performance = behavioral potential energizer.” The formula indicates that learning, via establishing behavioral potential, and D, via energizing the potential, are both necessary for performance to occur. This is a multiplicative relationship; that is, when either H or D is zero, a specific performance cannot occur. Role of Freud’s Id Sigmund Freud proposed, in his psychoanalytical approach to behavioral energy, that psychic energy is the source of human behaviors. The id is the reservoir of instinctual energy presumed to derive directly from the somatic processes. This energy is unorganized, illogical, and timeless, knowing “no values, no good or evil, no morality,” according to Freud in 1933. The id operates according to the pleasure principle, using the primary process to discharge its energy as soon as possible, with no regard for reality. When the discharge is hindered by reality, however, the ego handles the situation according to the reality principle, using a secondary process to pursue realistic gratification. The ego mediates between the id on one hand and reality on the other. Freud thus conceptualized the id to be the energy source and the ego to manage behavior in terms of reality. Learning is manifested in the way the ego manages behavior for gratification under the restriction of the environment and the superego. In this model, the drive is seen as the energizer of behavior. The similarity between the Freudian and Hullian concepts of drive is obvious. Food deprivation would generate homeostatic imbalance, which is the somatic process, and the need, which is similar to the energy of the id. The organism cannot obtain immediate gratification because of environmental constraints to obtain food, so behavior is generated to negotiate with the environment. Drive is much like the ego because it energizes the behavioral potentials into behaviors to seek reality gratification, which is equivalent to drive reduction. The concept of pleasure and behavioral changes commonly appears in various theories that incorporate a subtle influence of Freudian thought. Deprivation and Incentive Motives In one classic experiment, Carl J. Warden studied the persistence of behavior as a function of various sources, including the strength of a drive, using an apparatus called a Columbia obstruction box. He demonstrated that a rat without food would cross an electrified grid to reach a goal box that held food. When the rat was immediately brought back from the goal box to the start box, it would cross the grid again and again. The number of grid crossings was positively related to the number of days without food for up to three days. From the fourth day without food, however, the number of crossings slowly decreased. When baby rats were placed in the goal box, a mother rat would cross the grid repeatedly. When a male or female rat was placed in the 294
Drives goal box, a rat of the opposite sex would cross repeatedly. The number of crossings by the male rat was positively related to the duration it spent without a female companion. These animals were all manifesting the effect of different drives: hunger, maternal instinct, or sex. It was shown that the maternal drive was associated with the greatest number of crossings (twenty-two times in twenty minutes), followed by thirst (twenty times), hunger (seventeen), female sex drive (fourteen), male sex drive (thirteen), and exploration (six). Warden demonstrated that various internal forces, created by deprivation and hormonal state, and external forces, created by different goal objects, together determine the grid-crossing behavior. The level of deprivation induces drive motivation; the reward in the goal box induces incentive motivation. In this example, the focus is on drive motivation. If one were to place a well-trained rat into a maze, it might or might not run to the goal box. Whether it would run, how fast it would run, and how well (in terms of errors) it would run would depend upon whether the subject were food-deprived. With food deprivation, the well-trained rat would run to the goal box with few errors. If it had just been fed, it would not run; it would simply wander, sniff at the corner, and go to sleep. The environmental stimulus (the maze) is the same; the rat’s behavior is different because the internal force—the drive created by food deprivation—is different. A need state produces D, and D then triggers behavior. The behavior that will occur is determined jointly by the past experience of learning, which is termed H, as well as stimuli, S, from the environment. An inexperienced rat, without the H of maze running, will behave differently from a well-trained rat in a maze. D is an intervening variable: It connects need and behavior, so one must consider both the source (need) and the consequence (behavior) to define D. When D is zero, there will be no maze running, no matter how well-trained the rat is. On the other hand, if there is no H (training), the proper maze-running behavior will not occur, no matter how hungry the rat is. An animal must be exposed to a maze when hungry to learn to negotiate the various turns on the way to the goal box containing food. Without food deprivation (and the resultant D), the animal would not perform, even if it could; one cannot tell whether an animal has the knowledge to run the maze until one introduces a D variable. H is a potential of behavior, and D makes the potential into the observable reality of performance. Motivation turns a behavior on. These ideas can be applied to countless real-life examples. If a person is not very good at playing tennis (has a low H), for example, no matter how motivated (high D) he is, he will not be able to beat a friend who is an expert at the game. If a person is very good at tennis (high H) but does not feel like playing (low D), perhaps because of a lack of sleep, she will not perform well. The same situation would apply for taking a test, delivering a speech, or running a marathon. 295
Psychology Basics Puzzle-Box Learning In another experiment involving drive, Edward L. Thorndike put a cat into a puzzle box. The cat attempted to get out via various behaviors (mewing, scratching, and so on). By chance, it stepped on a plate that resulted in the door opening, allowing the cat to escape. The cat was repeatedly returned to the box, and soon it would escape right away by stepping on the plate; other, useless behaviors were no longer manifested. The source of D in this case was the anxiety induced by confinement in the box, which could be measured by various physiological changes, such as heart rate and hormonal levels. Escaping would make the anxiety disappear; D is reduced. D reduction results in an increase in the probability that the behavior immediately preceding it (stepping on the plate) will recur. Thorndike describes this puzzlebox learning as trial and error, implying a blind attempt at various means of escape until one happens to work. He states that a “satisfying effect” will create repetition, calling this the law of effect; the essence of the satisfying effect appears to be drive reduction. A five-stage learning cycle is then com-
Edward L. Thorndike. (Library of Congress) 296
Drives plete: It consists of need, drive, behavior, drive reduction, and behavior repetition. Central Motive State The question of how a habit (H) is formed and how it is stored in the brain is a lively research topic in the psychobiology of learning, memory, and cognition, as well as in neuropsychology, which deals with learning deficit and loss of memory. Drive and reinforcement are important variables that determine whether learning will succeed and whether past learning will be manifested as behaviors. Research on hunger and thirst forms one subfield of psychobiology. If D is the common energizer of various behaviors, then all sources of D— hunger, thirst, sex, mothering, exploration—should have something in common physiologically. The so-called central motive state is hypothesized to be such a state. It is known that arousal is common to the sources of D. Research involves biological delineation of the sources of D; researchers are studying the mechanisms of hunger, for example. There has been insufficient attention paid to the physiological processes by which hunger may motivate various behaviors and by which drive reduction would serve as a reinforcement in learning. Extreme lack of motivation can be seen in some depressed and psychotic patients, which results both in a lack of new learning and in a lack of manifesting what is already known. The neuronal substrates of this “lack of energy” represent one problem under investigation in the area of drive and motivation. Sources for Further Study Amsel, Abram. Mechanisms of Adaptive Behavior: Clark Hull’s Theoretical Papers, with Commentary. New York: Columbia University Press, 1984. An annotated collection of Hull’s theoretical work on drives and behavior. Bolles, Robert C. Theory of Motivation. 2d ed. New York: Harper & Row, 1975. This standard text in motivation reviews the concepts of motivation and drive and present pros and cons of the drive concept. Freud, Sigmund. New Introductory Lectures on Psychoanalysis. Translated and edited by James Strachey. New York: W. W. Norton, 1989. Freud’s 1933 work explains his theory of the workings of the id, ego, and superego. His concept of behavioral energy is described in this book. Hull, Clark Leonard. Principles of Behavior. 1943. Reprint. New York: AppletonCentury-Crofts, 1966. This bible of the Hullian neobehavioristic theory delineates the concepts of D and H and the philosophical bases of behavioral study. The theory has excited many students into studying psychology. Pfaff, Donald W., ed. The Physiological Mechanisms of Motivation. New York: Springer-Verlag, 1982. Various authors describe the physiological substrates of different sources of drive and motivation in terms of the nervous system, hormones, and body fluid parameters. 297
Psychology Basics Stellar, James R., and Eliot Stellar. The Neurobiology of Motivation and Reward. New York: Springer-Verlag, 1985. Eliot Stellar, one of the best-known theorists in biopsychology of motivation, along with his son, describes how biological antecedents of motivation can be found to explain various behavior. Warden, Carl John. Animal Motivation: Experimental Studies on the Albino Rat. New York: Columbia University Press, 1931. This was the first research attempting to compare different sources of drive using various reward substances. Sigmund Hsiao See also: Hunger; Instinct Theory; Motivation; Thirst.
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Drug Therapies Date: The 1950’s forward Type of psychology: Biological bases of behavior; psychopathology; psychotherapy Fields of study: Anxiety disorders; depression; models of abnormality; nervous system; organic disorders; personality disorders; schizophrenias; sexual disorders; stress and illness; substance abuse Psychotropic drugs have revolutionized the treatment of mental illness. Many disorders, including anxiety, depression, and schizophrenia, may be treated effectively with these modern drugs. However, the use of psychotropic drugs has created new problems, both for individuals and for society. Key concepts • antianxiety drugs • antidepressant drugs • antipsychotics • mood stabilizers • neurotransmitters • psychopharmacology • psychostimulants • psychotropic Based on the rapidly increasing body of chemical knowledge developed during the late nineteenth century, interest in drug therapy in the early twentieth century was high. Researchers experimented with insulin, marijuana, antihistamines, and lithium with varying success. The term “psychopharmacology,” the study of drugs for the treatment of mental illness, dates to 1920. Before 1950, no truly effective drug therapies existed for mental illness. Physicians treated mentally ill patients with a combination of physical restraints, blood-letting, sedation, starvation, electric shock, and other minimally effective therapies. They used some drugs for treatment, including alcohol and opium, primarily to calm agitated patients. In 1951 French scientist Paul Charpentier synthesized chlorpromazine (brand name Thorazine) for use in reducing surgical patients’ anxiety and the prevention of shock during surgery. Physicians noted its calming effect and began to use it in psychiatry. Previously agitated patients with schizophrenia not only became calmer, but their thoughts also became less chaotic and they became less irritable. Chlorpromazine was truly the first effective psychotropic drug (that is, a drug exerting an effect on the mind) and is still used today. The discovery of chlorpromazine ushered in a new era in the treatment of psychiatric illness. Pharmaceutical companies have developed and introduced dozens of new psychotropic drugs. Many long-term psychiatric treatment facilities have closed, and psychiatrists have released the vast majority 299
Psychology Basics of their patients into community-based mental health care. Many patients with mental health problems are treated on an outpatient basis, with brief hospitalizations for stabilization in some cases. Treatment goals are no longer simply to sedate patients or to protect themselves and others from harm but to provide them with significant relief from their symptoms and to help them function productively in society. As scientific knowledge about the brain and its function increases, researchers are able to create drugs targeting increasingly specific areas of the brain, leading to fewer adverse side effects. This psychotherapeutic drug revolution has had some negative consequences, however. Drug side effects range from the annoying to the life threatening. Community mental health treatment centers have not grown in number or received funding sufficient to meet the needs of all the patients released from long-term care facilities. Many mentally ill patients have fallen through the cracks of community-based care and live on the streets or in shelters for the homeless. In addition, some physicians and patients have come to expect a “pill for every ill” and fail to use other, equally or more effective treatment methodologies. Researchers estimate that 15 percent of the population of the United States receives a prescription for a psychotropic drug each year, greatly adding to the nation’s health care costs. The majority of these prescriptions are written by generalist physicians rather than by psychiatrists, raising concerns about excessive or inappropriate prescribing. Some people abuse these drugs, either by taking their medications in excess of the amount prescribed for them or by obtaining them illicitly. Studies have shown that prescription drug abuse causes more injuries and deaths than abuse of all illicit drugs combined. Feminist scholars have pointed out that physicians tend to prescribe psychotropic drugs more readily for women than for men. Despite the negative effects, psychotropic drugs are extremely important in the provision of health care, not only for those people traditionally thought of as mentally ill but also for people with chronic pain, serious medical illness, loss and grief, and those who have experienced traumatic events. How Psychotropic Drugs Work To understand how these mind-affecting drugs work, it is necessary to understand a little of how the brain works. The brain is made up primarily of neurons (nerve cells) that form circuits controlling thoughts, emotions, physical activities, and basic life functions. These nerve cells do not actually touch one another but are separated by gaps called synapses. An electrical impulse moves along the neuron. When it reaches the end, it stimulates the release of chemicals called neurotransmitters into the synapse. These chemicals then fit into receptors on the next neuron and affect its electrical impulse. The neurotransmitters act by either causing the release of the electric impulse or inhibiting it so the neuron does not fire. Any neurotransmitter left in the synapse is then reabsorbed into the original neuron. This process is called reuptake. 300
Drug Therapies Problems can arise from either too much or too little neurotransmission. Too much transmission may occur when the neuron fires in the absence of a stimulus or when too many neurotransmitters attach to the receptors on the far side of the synapse (the postsynaptic receptors). Too little transmission can occur when too few neurotransmitters attach to these postsynaptic receptors. The primary neurotransmitters involved in mental illnesses and their treatment are dopamine, serotonin (5-HT), norepinephrine, and gamma-aminobutyric acid (GABA). Antidepressant Drugs Some scientists believe that depression is caused by insufficient norepinephrine, serotonin, or dopamine in the synapse. Others theorize that depression has to do with the number and sensitivity of postsynaptic receptors involved in the neuron’s response. Drugs for the treatment of depression come in four major classes: the monoamine oxidase inhibitors (MAOIs), the tricyclic antidepressants, the selective serotonin reuptake inhibitors (SSRIs), and “other.” None of these drugs is addictive, although patients need to be weaned from them slowly to avoid rebound depression or other adverse effects. MAOIs were the first modern antidepressants. Monoamine oxidase is an enzyme that breaks down serotonin, norepinephrine, and dopamine. Inhibiting the enzyme increases the supply of these neurotransmitters. MAOI drugs available in the United States include phenelzine and tranylcypromine. These drugs are not used as commonly as are the other antidepressants, mostly because of their side effects. However, they are used when other treatments for depression fail. In addition, they may be used to treat narcolepsy, phobias, anxiety, and Parkinson’s disease. Common side effects include drowsiness, fatigue, dry mouth, and dizziness. They may also cause orthostatic hypotension (a drop in blood pressure when arising) and sexual dysfunction. Most important, the MAOIs interact with tyramine-containing foods, such as hard cheese, red wine, and smoked or pickled fish. Consuming these foods along with an MAOI can cause a hypertensive crisis in which the patient’s blood pressure rises to potentially deadly levels. Patients taking MAOIs must also avoid other drugs which stimulate the nervous system to avoid blood pressure emergencies. The tricyclic antidepressants were introduced in 1958. They all inhibit the reuptake of neurotransmitters but differ in which neurotransmitter is involved. Some affect primarily serotonin, some norepinephrine, and some work equally on both. Tricyclics commonly available in the United States include amitriptyline, imipramine, doxepin, desipramine, nortriptyline, amoxapine, protriptyline, and clomipramine. Primarily used for depression, these drugs may also be helpful in the treatment of bed-wetting, agoraphobia (fear of being out in the open) with panic attacks, obsessive-compulsive personality disorder, chronic pain, nerve pain, and migraine headaches. An important treatment issue is that it takes two to three weeks of tricyclic 301
Psychology Basics therapy before the depressed patient feels much improvement in mood and energy. During this time, the side effects, which include dry mouth, blurred vision, constipation, urinary retention, orthostatic hypotension, weight gain, sexual dysfunction, cardiac problems, and jaundice, tend to be the most bothersome, leading patients to abandon the treatment before it becomes effective. Another important treatment issue is that tricyclic antidepressants are highly lethal in overdose. Some of the tricyclics are highly sedating and so may be useful in patients who are having difficulty sleeping. On the other hand, a patient who is already feeling sluggish and sleepy may benefit from a tricyclic that is less sedating. Any antidepressant may precipitate mania or hypomania in a patient with a predisposition to bipolar (manic-depressive) disorder. Elderly patients may be at increased risk for falls or confusion and memory impairment when taking tricyclics and should be started on very low doses if a tricyclic is indicated. The newer selective SSRIs have several advantages over the tricyclics: They are much less lethal in overdose, are far safer for use among the elderly, and do not cause weight gain. They work, as the name implies, by decreasing serotonin reuptake, thereby increasing the amount of neurotransmitter available at the synapse. Like the tricyclics, SSRIs may need to be taken for several weeks before a patient notices significant improvement in mood and energy level. SSRIs available in the United States include fluoxetine (Prozac), sertraline (Zoloft), fluvoxamine (Luvox), paroxetine (Paxil), trazodone (Desyral), nafazodone (Serzone), and venlafaxine (Effexor). In addition to depression, the SSRIs are used for treatment of bulimia nervosa and obsessive-compulsive disorder. Possible side effects include nausea, diarrhea, nervousness, insomnia, anxiety, and sexual dysfunction. Other drugs used in the treatment of depression include mianserin, maprotiline, and bupropion. The mechanisms by which these drugs work are not clear, but they may be useful in patients for whom the other antidepressants do not work or are contraindicated. Mood Stabilizers Some patients who have depression also have episodes of elevated mood and erratic, uncontrolled behavior. These patients are diagnosed with bipolar disorder, formerly known as manic-depression. The underlying cause for this disorder is unknown, but there is a strong genetic predisposition. Evidence suggests the condition is due to overactivity of the neurotransmitters. Treatment for bipolar disorder consists of mood-stabilizing drugs. These drugs control not only the “highs” but also the episodes of depression. Lithium is a naturally occurring mineral that was observed to calm agitated behavior in ancient Egypt. Its usefulness as a mood stabilizer was first scientifically established in the 1940’s and it was approved in 1970 for use in the United States. It is effective not only in stabilizing the mood during a manic episode but also in the prevention of future episodes. A significant problem with the use of lithium is that the dose at which it becomes effective 302
Drug Therapies is quite close to the dose which produces toxicity, characterized by drowsiness, blurred vision, staggering, confusion, irregular heart beat, seizures, and coma. Patients taking lithium must therefore have blood drawn on a regular basis in order to determine drug levels. Patients who have poor kidney function should not take lithium because it is excreted primarily through the urine. Lithium’s side effects include nausea, diarrhea, tremor of the hands, dry mouth, and frequent urination. Drugs usually used for the treatment of seizures may also help stabilize mood in bipolar patients, usually at lower doses than would be used for seizure control. These include carbamazepine, divalproex, gabapentin, lamotrigine, and topiramate. It is believed that these drugs increase the amount of GABA at the synapse. GABA has a calming or inhibitory effect on the neurons. Side effects of these medications include dizziness, nausea, headaches, and visual changes. Psychostimulants Attention-deficit hyperactivity disorder (ADHD) is found in both children and adults. Children with ADHD have difficulties at school because of impulsivity and inattention. The underlying cause of ADHD is extremely complex, and the ways in which drugs used to treat it work are equally complex. The most successful treatments are with drugs that actually stimulate the central nervous system. Drug therapy is most effective when combined with behavioral treatments. The most commonly used psychostimulants are methylphenidate and pemoline, but amphetamines are sometimes used as well. Formerly, depressed patients were treated with amphetamines and similar compounds; occasionally this use is still found. These stimulant drugs do improve school performance; however, they may cause growth retardation in both height and weight. They may also cause insomnia and nervousness. Importantly, these drugs may be abused, leading ultimately to addiction, paranoia, and severe depression during withdrawal. Antianxiety Drugs These drugs are central nervous system depressants. Many of these antianxiety drugs or anxiolytics are, in higher doses, also used as sedativehypnotics, or calming and sleep-inducing drugs. They seem to act by enhancing the effect of GABA in the brain. The earliest of these depressant drugs included chloroform, chloral hydrate, and paraldehyde, and they were used for anesthesia and for sedation. Barbiturates were introduced in Germany in 1862 and were widely used for treatment of anxiety and sleep problems until the 1960’s. Barbiturates are still available today, including pentobarbital, secobarbital, amobarbital, and phenobarbital. Their major adverse effect is respiratory depression, particularly when used in combination with alcohol, another central nervous system depressant. With the advent of the safer benzodiazepines, use of the barbiturates has declined steadily. 303
Psychology Basics Benzodiazepines are used for two major problems: anxiety and insomnia. Anxiety disorders appropriate for this kind of treatment include generalized anxiety disorder, panic disorder, obsessive-compulsive disorder, phobic disorder, and dissociative disorder. The benzodiazepines commonly used for anxiety include alprazolam, chlordiazepoxide, clonazepam, clorazepate, diazepam, lorazepam, and oxazepam. For most of these disorders, however, behavioral, cognitive, group, and social therapy, or one of these therapies plus medication, are more effective than medication alone. Benzodiazepines used for insomnia include estazolam, flurazepam, midazolam, quazepam, temazepam, and triazolam. Benzodiazepines may also be used to prevent the development of delirium tremens during alcohol withdrawal. Patients become tolerant to the effects of these drugs, meaning they have the potential for physical dependency and addiction. In addition, benzodiazepines interact with many other drugs, including alcohol. Their use should be limited to brief periods of time, particularly in the treatment of insomnia. Long-term treatment for anxiety should be monitored carefully by the health care provider. Elderly people are more likely than younger people to suffer adverse effects (such as confusion or falls) from benzodiazepine use. Another drug developed for treatment of anxiety is buspirone. Propranolol and atenolol, usually used to treat high blood pressure, are useful in treating stage fright or performance anxiety, and clonidine, another blood pressure medication, is successfully used in treatment of anxiety. Nonbenzodiazepine sleep agents include zolpidem and zaleplon. Antipsychotic Drugs Formerly known as “major tranquilizers” or “neuroleptics,” the antipsychotic drugs have revolutionized the treatment of schizophrenia and other psychoses. The underlying cause of psychosis is not known, but it is thought to be related to the neurotransmitter dopamine. Most of the antipsychotics block the dopamine receptors in the brain. The older antipsychotic drugs include thorazine, thioridazine, perphenazine, trifluoperazine, fluphenazine, thiothixene, and haloperidol. These older drugs treat the so-called positive symptoms of schizophrenia—hallucinations and delusions—but they have little effect on the “negative” symptoms—withdrawal, poor interpersonal relationships, and slowing of the body’s movement. They also have multiple serious side effects including severe muscle spasm, tremor, rigidity, shuffling gait, stupor, fever, difficulty speaking, blood pressure changes, restlessness, and involuntary movements of the face, trunk, arms, and legs. Some of these are treatable using other drugs, but some are neither treatable nor reversible. In an effort to overcome these problems, newer antipsychotics have been developed. The first of these was clozapine, which was successful in treating about one-third of the patients who did not respond to other antipsychotic drugs. While it had fewer of the serious side effects listed above, a small per304
Drug Therapies centage of patients experience a severe drop in the white blood cells, which puts them at risk for serious infection. For this reason, patients on clozapine must be followed with frequent blood counts. Other newer antipsychotics include risperidone, olanzapine, and quetiapine. In addition to fewer of the serious side effects, the newer antipsychotics seem to have some effect on the negative symptoms. Sources for Further Study Breggin, David, and Peter Cohen. Your Drug May Be Your Problem: How and Why to Stop Taking Psychiatric Drugs. Cambridge, Mass.: Perseus, 2000. A controversial book making an important argument that too many people are taking psychiatric medications and suffering serious side effects from those drugs. The authors give specifics about how to withdraw from drugs safely. Drummond, Edward H. The Complete Guide to Psychiatric Drugs: Straight Talk for Best Results. New York: John Wiley & Sons, 2000. Covers the state of knowledge about psychiatric illness, what medications may be helpful, how to decide whether medication might be useful, managing side effects, and nondrug therapies. Gorman, Jack M. The Essential Guide to Mental Health: The Most Comprehensive Guide to the New Psychiatry for Popular Family Use. New York: St. Martin’s Press, 1998. Covers psychiatric illness, how to search for a psychiatrist, drugs, and over-the-counter remedies. __________. Essential Guide to Psychiatric Drugs. 3d ed. New York: St. Martin’s Press, 1997. Contains detailed descriptions of the psychiatric medications available in the United States, including uses, adverse effects, cost, dosages, and research findings. Written in a straightforward style for the layperson but also useful to clinicians. Healy, David. The Creation of Psychopharmacology. Cambridge, Mass.: Harvard University Press, 2002. Details the discovery and development of psychiatric medications, the extremely profitable partnership between psychiatrists and the large pharmaceutical companies, and the frightening consequences for today’s culture and society. Kramer, Peter D. Listening to Prozac: A Psychiatrist Explores Antidepressant Drugs and the Remaking of the Self. New York: Penguin, 1997. An examination of the growing use of drugs in the treatment of mental illness, with discussion of the implications of this practice, both positive and negative. Olson, James. Pharmacology Made Ridiculously Simple. 2d ed. Miami: MedMaster, 2001. A brief and straightforward explanation of the general principles of pharmacology. Enhanced by excellent diagrams and tables. Rebecca Lovell Scott See also: Cognitive Behavior Therapy; Cognitive Therapy; Psychotherapy: Goals and Techniques. 305
Eating Disorders Type of psychology: Psychopathology Field of study: General constructs and issues Eating disorders include a group of eating and weight disturbances, including anorexia nervosa, bulimia nervosa, and binge-eating disorder, associated with underlying psychological problems. Key concepts • anorexia nervosa • binge-eating disorder • bulimia nervosa • eating disorder • obesity Eating disorders were identified as early as ancient Roman times, when banqueters gorged themselves, then induced vomiting. Some of the early Christian saints were anorexic. However, eating disorders only emerged as an area of social and medical concern in the second half of the twentieth century. Persons with eating disorders have a distorted body image and unrealistic ideas about weight. Although such disorders are found primarily among young, middle- to upper-middle-class, well-educated Caucasian women, eating disorders increasingly affect and may be overlooked in men, older women, and persons of color. No single factor appears to be the cause of eating disorders, with social, cultural, psychological, genetic, biological, and physical factors all playing a part. Treatment may include hospitalization for nutritional monitoring and for stabilization in persons with serious medical complications or who are at risk for suicide. Regardless of the setting, treatment is best carried out by a multidisciplinary team, including a primary care physician or psychiatrist, a psychotherapist, a nutritionist, and, if appropriate, a family therapist. Eating disorders are best thought of as problems involving body weight and distorted body image on a continuum of severity. The most serious is anorexia nervosa, a disorder characterized by weight loss greater than or equal to 15 percent of the body weight normal for the person’s height and age. Bulimia nervosa is usually found in persons of normal weight and is characterized by consumption of large amounts of food followed by self-induced vomiting, purging with diuretics or laxatives, or excessive exercise. Binge-eating disorder, found usually in persons with some degree of overweight, is characterized by the consumption of large amounts of food without associated vomiting or purging. Other, milder, forms of eating disorders are at the least serious end of the continuum. Obesity may or may not be part of this continuum, depending on the presence or absence of underlying psychological problems. About one-third of obese persons have binge-eating disorder. 306
Eating Disorders Population at Risk Women constitute 90 percent of people diagnosed with eating disorders— eight million adolescent and young adult women in the United States alone. The majority of these are Caucasian (95 percent) and from middle- to uppermiddle-class backgrounds. Research in the latter part of the twentieth century indicated that adolescent and young adult women were most likely to be affected; however, these disorders are now found in girls as young as nine and in older women. By the end of the twentieth century, eating disorders were also increasingly identified in women from other ethnic and socioeconomic groups. These disorders are most likely underreported in men and seem to affect gay men disproportionately. Also at risk are men with certain professions or avocations such as jockeys, dancers, body builders, and wrestlers, in which weight and body shape are an issue. Causes of Eating Disorders No single cause has been identified for eating disorders. However, nearly all eating disorders begin with dieting to lose weight. Because these disorders are found almost exclusively in the developed world, where food is plentiful and where thinness in women is idealized, it appears that social and cultural
Anorexia nervosa is a body-image disorder in which fear of being fat results in undereating and other behaviors that lead to emaciation and, if unchecked, death. (Hans & Cassidy, Inc.) 307
Psychology Basics factors are important contributors. Some theorists believe that cultural values of independence and personal autonomy, rather than interdependence and the importance of human relationships, contribute to eating pathology. Still others point to the changing and contradictory societal expectations about the roles of women as a contributing factor. Studies suggest a genetic predisposition to eating disorders, particularly in those persons who engage in binge eating and purging behaviors. Their family histories typically include higher than expected numbers of persons with mood disorders and substance abuse problems. Dysfunctions in the pathways for the substances that transmit messages in the brain, the neurotransmitters, are thought to play a role in the development and maintenance of eating disorders, although these dysfunctions are not sufficient to explain the entire problem by themselves. The psychological theories about the causes of eating disorders postulate that individuals with underlying feelings of powerlessness or personal inadequacy attempt to cope by becoming preoccupied with their body’s shape and size. Finally, the incidence of sexual abuse is higher among persons with eating disorders, particularly bulimia nervosa, than among those in the general population. Eating disorders seem to develop in three stages. Stage 1 involves the period from the time a child is conceived until the onset of a particular behavior that precipitates the eating disorder. During this stage, individual psychological, personal, and physical factors, plus family, social, and cultural factors, place the person at increased risk. Individual risk factors include a personal history of depression, low self-esteem, perfectionism, an eagerness to please others, obesity, and physical or sexual abuse. Family risk factors include a family member with an eating disorder or a mood disorder and excessive familial concern for appearance and weight. Social and cultural issues include emphasis on the cultural ideal of excessive thinness, leading to dissatisfaction with the body and dieting for weight loss. Young women who are dancers, runners, skaters, gymnasts, and the like may be particularly susceptible to this kind of cultural pressure. Stage 2 involves the factors which actually precipitate the eating disorder. Some identified precipitating factors include onset of puberty, leaving home, new relationships, death of a relative, illness, adverse comments about weight and body appearance, fear of maturation, the struggle for autonomy during the midteen years, and identity conflicts. Stage 3 involves the factors which perpetuate the eating disorder. These can be cognitive distortions, interpersonal events, or biological changes related to starvation. Associated Medical Problems Women with anorexia nervosa stop menstruating. Anorexics may also have abdominal pain, constipation, and increased urination. The heart rate may be slow or irregular. Many develop downy, dark body hair (lanugo) over normally hairless areas. They may have bloating after eating and swelling of the 308
Eating Disorders feet and lower legs. Low levels of potassium and sodium and other imbalances in the body’s electrolytes can lead to cardiac arrest, kidney failure, weakness, confusion, poor memory, disordered thinking, and mood swings. The death rate for anorexics is high: About 5 percent will die within eight years of being diagnosed and 20 percent within twenty years. Self-induced vomiting can lead to erosion of tooth enamel, gum abscesses, and swelling of the parotid glands in front of the ear and over the angle of the jaw. About one-third of women with bulimia have abnormal changes in their menstrual cycles. Some bulimics consume so much food in such a short period of time that their stomachs rupture. More than 75 percent of these individuals die. Use of ipecac and laxatives can lead to heart damage. Symptoms include chest pain, skipped heartbeats, and fainting, and these heart problems can lead to death. In addition, bulimics are at increased risk for ulcers of the stomach and small intestine and for inflammation of the pancreas. One commonly overlooked problem is the “female athletic triad,” a combination of disordered eating, loss of menstruation, and osteoporosis. This can lead to fractures and permanent loss of bone minerals. Anorexia Nervosa The diagnosis of anorexia nervosa is made in persons who have lost 15 percent or more of the body weight that is considered normal for their height and age and who have an intense and irrational fear of gaining weight. Even with extreme weight loss, anorexics perceive themselves as overweight. Their attitude toward food and weight control becomes obsessive and they frequently develop bizarre or ritualistic behaviors around food, such as chewing each bite a specific number of times. Anorexics minimize the seriousness of their weight loss and are highly resistant to treatment. The two basic types of anorexia nervosa are the restricting type and the binge-eating/purging type. The restricting type is characterized by an extremely limited diet, often without carbohydrates or fats. This may be accompanied by excessive exercising or hyperactivity. Up to half of anorexics eventually lose control over their severely restricted dieting and begin to engage in binge eating. They then induce vomiting, use diuretics or laxatives, or exercise excessively to control their weight. People who are in the bingeeating/purging group are at greater risk for medical complications. As the weight loss in either type reaches starvation proportions, anorexics become more and more preoccupied with food; they may hoard food or steal. They also experience sleep abnormalities, loss of interest in sex, and poor concentration and attention. In addition, they slowly restrict their social contacts and become more and more socially isolated. In general, anorexics of the binge-eating/purging type are likely to have problems with impulse control and may engage in substance abuse, excessive spending, sexual promiscuity, and other forms of compulsive behavior. This group is 309
Psychology Basics also more likely to attempt suicide or to hurt themselves than others with eating disorders. Bulimia Nervosa Persons who have bulimia nervosa are similar in behavior to the subset of anorexics who binge and purge, but they tend to maintain their weight at or near normal for their age and height. They intermittently have an overwhelming urge to eat, usually associated with a period of anxiety or depression, and can consume as many as 15,000 calories in a relatively short period of time, typically one to two hours. Binge foods are usually high calorie and easy to digest, such as ice cream. The binge eating provides a sense of numbing of the anxiety or relief from the depression. Failing to recognize that they are full, bulimics eventually stop eating because of abdominal pain, nausea, being interrupted, or some other non-hunger-related reason. At that point, psychological stress again increases as they reflect on the amount they have eaten. Most bulimics then induce vomiting, but some use laxatives, diuretics, severe food restriction, fasting, or excessive exercise to avoid gaining weight. Bulimics tend to be secretive, binge eating and purging when alone. These episodes may occur only a few times a week or as often as several times a day. As with binge-eating/purging anorexics, bulimics are likely to abuse alcohol and other drugs, make suicidal gestures, and engage in other kinds of impulsive behavior such as shoplifting. Because of the electrolyte imbalances and other adverse consequences of repeated vomiting or the use of laxatives or diuretics, bulimics are at risk for multiple serious medical complications which, if uncorrected, can lead to death. Binge-Eating Disorder The American Psychiatric Association has developed provisional criteria for binge-eating disorder in order to study this disorder more completely. The criteria include compulsive and excessive eating at least twice a week for six months without self-induced vomiting, purging, or excessive exercise. That is, binge-eating disorder is bulimia nervosa without the compensatory weightloss mechanisms. For this reason, most binge eaters are slightly to significantly overweight. In addition to the eating problems, many binge eaters experience relationship problems and have a history of depression or other psychiatric disorders. Other Eating Disorders Anorexia and bulimia nervosa and binge-eating disorder have strict diagnostic criteria set forth by the American Psychiatric Association. However, these three do not cover the entire spectrum of disordered eating patterns. Those people who induce vomiting after consuming only a small amount of food, for example, or those who chew large amounts of food and spit it out rather than swallow it, do not fit the diagnosis of bulimia. For such persons, a diagnosis of “Eating Disorder, Not Otherwise Specified” is used. 310
Eating Disorders Prevalence of Eating Disorders Anorexia nervosa is the rarest of the eating disorders, affecting fewer than 1 percent of adolescent and young women (that is, women ages thirteen to twenty-five) and a tiny proportion of young men. Bulimia nervosa, on the other hand, affects up to 3 percent of teenage and young adult women and about 0.2 percent of men. Even more of this age group, probably 5 percent, suffer from binge-eating disorder. In obese patients, fully one-third meet the criteria for this disorder. Binge eating is the most common eating disorder in men, although more women actually have this disorder. Eating Disorders, Not Otherwise Specified, are even more common. Treatment Treatment of persons with eating disorders can take place in an inpatient or an outpatient setting. Hospitalization is indicated for patients with severe malnutrition, serious medical complications, an increased risk of suicide, and those who are unable to care for themselves or have failed outpatient treatment. The first step in the treatment of anorexics must be restoring their body weight. This may require hospitalization. A system of carefully structured rewards for weight gain is often successful. For example, the gain of a target amount of weight may be tied to being allowed to go outside or having visits from friends. Once the anorexic is nutritionally stabilized, individual, family, cognitive-behavioral, and other therapies are indicated to address issues specific to the individual. The first step in the treatment of bulimics is a comprehensive medical evaluation. Bulimics are less likely than anorexics to require hospitalization. As with anorexia nervosa, treatment includes individual, family, and cognitivebehavioral therapies. In addition, group therapy may be helpful. Cognitivebehavioral therapies are effective in the treatment of bulimia nervosa. Patients are taught to recognize and analyze cues that trigger the bingepurge cycle. Once analyzed, they are taught to reframe these thoughts, feelings, and beliefs to more adaptive and less destructive ones, thus altering the cycle. Outpatient care should be carefully coordinated among a multidisciplinary team: an experienced health care practitioner to monitor the patient’s medical condition, a therapist to address psychological and emotional issues, a family therapist to deal with control and other issues within the family, and a nutritionist to develop and monitor a sensible meal plan. Medications may be a helpful adjunct in some cases, particularly in those eating-disordered patients who have an additional psychiatric diagnosis such as major depression or obsessive-compulsive disorder. Simply gaining weight usually improves mood in anorexics, but antidepressants (particularly the selective serotonin-reuptake inhibitors or SSRIs) may help not only with depression but also with the obsessive-compulsive aspects of the anorexic’s relationship with food. 311
Psychology Basics Several different antidepressants (including monoamine oxidase inhibitors, the tricyclics amitriptyline and desipramine, and high-dose fluoxetine, an SSRI) are associated with fewer episodes of binge eating and purging in bulimic patients, in addition to their use in treating anxiety and depression. These drugs have not been studied extensively in the treatment of binge-eating disorder, however. Prevention of Eating Disorders Preventive measures should include education about normal body weight for height and techniques used in advertising and the media to promote an unrealistic body image. Parents, teachers, coaches, and health care providers all play a role in prevention. Parents, coaches, and teachers need to be educated about the messages they give to growing children about bodies, body development, and weight. In addition, they need to be aware of early signs of risk. Health care providers need to include screening for eating disorders as a routine part of care. Specific indicators include dieting for weight loss associated with unrealistic weight goals, criticism of the body, social isolation, cessation of menses, and evidence of vomiting or laxative or diuretic use. Sources for Further Study Battegay, Raymond. The Hunger Diseases. Northvale, N.J.: Jason Aronson, 1997. Addresses the emotional hunger that, the author contends, underlies all eating disorders, from anorexia to obesity. Bruch, Hilde. The Golden Cage: The Enigma of Anorexia Nervosa. Reprint. Cambridge, Mass.: Harvard University Press, 2001. A classic work by a pioneer in the field of eating disorders. Portrays the development of anorexia nervosa as an attempt by a young woman to attain a sense of control and identity. Discusses the etiology and treatment of anorexia from a modified psychoanalytic perspective. Brumberg, Joan J. Fasting Girls: The History of Anorexia Nervosa. Rev. ed. New York: Vintage, 2000. Outlines the history of anorexia nervosa. Examines the syndrome from multiple perspectives while leaning toward a cultural and feminist perspective. A well-researched and very readable work. Gordon, Richard. Eating Disorders: Anatomy of a Social Epidemic. 2d rev. ed. New York: Blackwell, 2000. A survey of current clinical practice in dealing with eating disorders as well as thorough coverage of their history and social context. Hirschmann, Jane R., and Carol H. Munter. When Women Stop Hating Their Bodies: Freeing Yourself from Food and Weight Obsessions. New York: Fawcett, 1997. Follow-up to the authors’ Overcoming Overeating (1988) reviews the psychological basis for compulsive eating and provides alternative strategies to persons who have an addictive relationship with food. Presents convincing arguments against dieting and proposes that self-acceptance, 312
Eating Disorders physical activity, and health are more appropriate long-term solutions to the problem of overeating. Sacker, Ira M., and Marc A. Zimmerman. Dying to Be Thin: Understanding and Defeating Anorexia Nervosa and Bulimia. Updated ed. New York: Warner Books, 2001. A practical approach, written by two medical doctors, to understanding the sources and causes of eating disorders and how to overcome them. Includes a guide to resources, treatment clinics, and support groups. Rebecca Lovell Scott See also: Anxiety Disorders; Depression; Hunger; Obsessive-Compulsive Disorder.
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Ego Psychology Erik Erikson Date: The late 1930’s forward Type of psychology: Personality Field of study: Personality theory Ego psychology, pioneered by Erikson, Heinz Hartmann, Erich Fromm, Harry Stack Sullivan, and Karen Horney, provided a significant new reformation to the personality theory of Freudian psychoanalysis. Erikson’s theory of the growth of the ego throughout the life cycle provided an especially important contribution to this movement. Key concepts • ego • id • psychoanalysis • psychosocial • unconscious Ego psychology emerged in the late 1930’s as a reform movement within psychoanalysis. Psychoanalysis, as developed by Sigmund Freud in the previous three decades, was an innovative approach to understanding psychological life. Freud developed the methodology and vocabulary to focus on the meaningfulness of lived experience. For Freud, the true meaning of an experience was largely unconscious. Dreams, slips of the tongue or pen, and symptoms provided examples of such unconscious layers of meaning. In psychoanalytic terminology, beneath the level of the conscious ego, there is an unconscious substructure (the id). Freud used the metaphor of an iceberg to relate these two levels, indicating that the conscious level is analogous to the small, visible tip of an iceberg that shows above the water, whereas the unconscious level is like its large, underwater, invisible mass. The ego, this small surface level of the personality, “manages” one’s relations with the world beyond the psyche. The id, in contrast, is “intrapsychic” in the sense that it is not in a relation with the “outer” world beyond the psyche. Rather, the id draws its energy from the biological energy of the instinctual body (such as instincts for sex and aggression). In this traditional psychoanalytic theory, then, the conscious level of the person is rooted in, and motivated by, an unconscious level, as psychological life is ultimately rooted in biological forces. Freudian psychoanalysis advanced psychology by legitimating the study of the meaningfulness of human actions, but it did so at the price of conceiving of conscious, worldly experience as being only a surface, subtended by unconscious, biological forces, mechanisms cut off from worldly involvement. By the late 1930’s, some psychoanalysts had concluded this was too 314
Ego Psychology: Erik Erikson steep a price to pay. The first to formulate these objections systematically was Heinz Hartmann, whose writings between 1939 and 1950 advanced the argument for the autonomy of the ego as a structure of the personality independent of the domination of the unconscious id. It was Hartmann who gave to this protest movement the name “ego psychology.” In the next generation of analysts, this movement found its most articulate voices: Erich Fromm, Harry Stack Sullivan, Karen Horney, and Erik Erikson. Writing from the 1940’s through the 1980’s, all contributed independently to a perspective that grants to the ego a status much more significant than its role in Freudian psychoanalysis. For them, it is people’s relations with the world (and not their subterranean biological energy) that is the most important aspect of their psychological life. For this reason, these psychologists have also sometimes been known as the “social” or “interpersonal” analysts. While all four have unquestionably earned their enduring international reputations, Erikson became the most well known, on account of his formulation of a powerful and comprehensive developmental theory to account for the growth of the ego throughout life. Freud had asserted that the ego was a weak aspect of the personality, whereas Hartmann posited a strong ego. However, there are wide individual differences in ego strength. Erikson demonstrated how ego strength emerges across stages of a person’s development and showed that its particular growth depends on the quality, at each stage, of a person’s relations with the world and with other people. Erikson’s Shift to the Psychosocial Level Freud had also sketched a developmental theory for psychoanalysis. Built upon his view of the primacy of the intrapsychic id and its bodily source of energy, this theory focused on psychosexual development. For Freud, “sexual” means more than the usual notion of genital sexuality; it is a more general dynamic expression of bodily energy that manifests itself in different forms at different developmental stages. The adult (genital) stage of sexuality, reached at puberty, is the culmination and completion of one’s psychosexual development. Preceding that development, Freud saw four pregenital stages of psychosexual development: the oral stage, the anal stage, the phallic stage, and the latency stage. Hence, for this theory of psychosexual development, each stage is centralized as a stage by a particular expression of sexual or erogenous energy. In each stage there is a particular mode of the bodying forth of this energy as desire, manifested by the unique bodily zone that becomes the erogenous zone of that specific stage. It is seen as erogenous because of that bodily zone’s capacity to be especially susceptible to stimulation or arousal, such that it becomes the prime source of bodily satisfaction and pleasure at that stage. Erikson concluded that this psychosexual level was a valid but incomplete portrait of development. More than other proponents of ego psychology, he sought to work with Freud’s emphasis on the bodily zones while striving to 315
Psychology Basics include that vision within a larger, more encompassing framework. Erikson theorized that each bodily mode correlated with a psychological modality, one that implicated the person’s developing ego relations with the world. In particular, he emphasized one’s relations with other people as the most important “profile” of the world. He saw the psychosexual meaning of the various bodily zones grounded by changes in the person’s social existence at each stage. For that reason, Erikson named his approach a theory of psychosocial development and argued that the growth of the ego could not be reduced to changes in bodily energies. He demonstrated how the psychosexual dimension always implied a key human relation at the heart of each stage, and so the interpersonal could not be reduced to some intrapsychic cause but was itself the basis for the actual development of that stage. The significance of this shift from the psychosexual level of development to the psychosocial one was enormous, but it can best be appreciated in the context of its depiction of each of the particular stages. One other impact was also strikingly noteworthy. Whereas Freud’s theory of psychosexual development saw the process as coming to an end with the person’s arrival at the genital stage (with puberty), Erikson realized that the growth of the ego in psychosocial development does not end there but continues in subsequent stages throughout the person’s life. In that way, he also transformed developmental psychology from its origins as merely a child psychology into a truly life-span psychology, a revision now widely accepted. Stages of Development Erikson specified eight stages of psychosocial development over the course of the life cycle. He saw these unfolding not in a linear sense but epigenetically; that is, in such a way that each stage builds upon those that came before. The first four of these stages are those of childhood, and here Erikson accepts Freud’s delineation but adds a psychosocial dimension to each. The first stage of development (roughly the first year of life) Freud termed the oral stage, naming it (as he did with each stage) after that region of the body seen to be the erogenous zone of that stage. For Freud, the baby’s psychosexuality expresses itself primarily through the erogenous power of the mouth and lips. Certainly babies’ tendency to mouth almost anything they can get hold of indicates a certain erotic appeal of orality at this time. However, for Erikson, this bodily expression is not the foundational one. Rather, orality is a wider theme. The essence of this oral pleasure is the satisfaction of “taking in” the world. Such taking in is not restricted to the mouth. Babies take in with their eyes, their ears, their fingers—in every way possible. Orality, as taking in, is not merely a bodily zone but a psychological modality of relating to the world. This world-relation also implicates another person. For a quite helpless baby to be able to get or take in, there must be another person there giving (typically a parent). This psychological modality, in other words, is already essentially and profoundly interper316
Ego Psychology: Erik Erikson sonal. As a result, it is the quality of this interpersonal relationship with the “mothering ones” that will provide the basis of the baby’s growth at this stage. If the parents (as the face of the world) are dependably there for the baby, the baby will come to be able to count on their omnipresent beneficence. With such experience, the baby develops a sense of “basic trust”— Erikson’s term for the ego growth of this first stage. Basic trust implies a certain relation with the world: specifically, one in which the person can relax and take his or her own ongoingness for granted. Once trust is gained, such a person can face the uncertainties to come with the secure confidence that, whatever may happen, he or she will be fine. In contrast, if the baby does not encounter a trustworthy world at this stage, he or she will be unable to develop this core sense of basic trust. The baby will, instead, be overwhelmed by the experience of “basic mistrust”—the anxiety that accompanies the lurking, ever-present possibility of threat, that edge of anonymous malevolence. Then, full openness to the world is always constricted by the need for the self-preservation of the ego. Freud identified the second psychosexual stage (roughly the period from age one to three) as the anal stage, on account of the pleasure available by the new ability of the child to control eliminative functioning—what is colloquially called toilet training. Here again, Erikson reexamined this bodily mode and discovered, at the heart of it, a psychosocial dynamic. The issue of control in mastering the processes of elimination involves two kinds of action: retention (of feces or urine) until one gets to the toilet, and then elimination (once one is at the toilet). Erikson recognized that this interplay between retention and elimination is more than merely the organ mode of sphincter control. Rather, it manifests a more basic psychological modality: the interplay between holding on and letting go. It is not only with regard to the eliminative functions that this dynamic gets played out in this stage. Most important, it is in the social arena, with one’s parents, that toddlers grow this new capacity to exercise control. Even toilet training itself is an exquisitely interpersonal interaction of the child with the parental “trainers.” It is not only toilet training that distinguishes children’s quest for control at this stage. In many ways the child is now striving for a new encounter with others. Securely grounded now by the sense of basic trust gained in the previous stage, children are ready to move from a relationship of dependence to one of independence. Even being able to stand up on their own two feet evinces this new relationship. From a newfound delight in the power of speaking the word “no!” to the appearance of strong preferences in everything from clothes to food, and most evidently in their emotional reactions to the denial of these preferences, toddlers are asserting a declaration of independence. Though the consequent contest of wills with the parents can be difficult, ultimately the child learns both to have autonomy and to recognize its social limits. This growth of autonomy is the key gain of this second 317
Psychology Basics stage, as the ego grasps its radical independence from the minds or control of others. If the child does not have the opportunity to develop this experience, the consequence would be to develop a crippling sense of shame and self-doubt instead. The third stage of psychosexual development (ages three through six) is Freud’s phallic stage, because the child’s sexual organs become the erogenous zone at this time. Freud did not mean to imply that children experience their sexuality in the sense of adult, genital sexuality; there is no experience of orgasms and no interest in intercourse at this time. Rather, for Freud, the sex organs become erogenous on account of their power to differentiate gender. Hence, the classic psychoanalytic themes of penis envy and castration anxiety are rooted in this stage as well as the Oedipal conflict—children’s imaginal working out of their now gender-based relations with their parents. For Erikson, it is not the genitals as bodily organs that are the source of such anxiety or envy. Rather, they symbolize social roles. As a result, in a sexist culture, it would be no wonder that a girl may envy the greater psychosocial status enjoyed by the boy. Correlatively, the boy would experience the anxiety of losing his newfound gender-based potency. Here again, Erikson finds a profound interpersonal dynamic at work. This new positing of oneself is not done only in the child’s fantasy life. The ego at this stage is growing new capacities to engage the world: the ability to use language, more fine locomotor activity, and the power of the imagination. Through these developing capacities, children can thrust themselves forth with a new sense of purpose. On the secure basis of trust and autonomy, they can now include initiative in their world relations, supported by their parents as encouraging prototypes. On the other hand, the parents can so stigmatize such projects of initiative that children may instead become convinced that they manifest their badness. In such cases, feelings of guilt can overwhelm their sense of initiative, as they become crippled by guilt not only for what they have done but also for who they are as initiating beings. Freud identified the fourth psychosexual stage as the latency stage (ages seven to twelve) because psychosexuality was not manifest at that time. It had become latent, or driven underground, by the conclusion of the Oedipal conflict. For Freud, psychosexual development is arrested at this stage and must await the eruption of puberty to get started again. Erikson sees in this stage a positive growth in the child’s ego. Once more, changes in psychosocial relations lead the way. The child goes off to school, and to a wider world beyond the immediate family circle, to encounter the world beyond the imaginal realm: a place in which actual accomplishments await the application of actual skills. Rather than being satisfied with imagining hitting a home run, the child now strives to actually hit the ball. It is, in other words, a time for the development of skills, techniques, and competencies that will enable one to succeed at real-world events. Sports, games, school, bicycling, camping, collecting things, taking care of pets, art, music, even 318
Ego Psychology: Erik Erikson doing chores now offer children arenas to test their growing capacity to learn the ways of the world. At the heart of this learning process are teachers, not only professionals but learned others of many kinds. The child becomes a student to many experts, from coaches to Cub Scout leaders to the older boy next door who already knows about computers. Even sports heroes or characters in books with whom the child has no personal contact can emerge as profoundly valuable teachers, opening the world and showing the way to mastery of it. This is what Erikson means by a sense of industry, which is for him the key egoic gain of this stage. If children’s efforts are not encouraged and cultivated, however, they can instead find their industrious tendency overwhelmed by a sense of inferiority and inadequacy. Psychosocial Stages of Later Childhood It is when the child arrives at Freud’s fifth stage that the psychosexual and psychosocial theories must part from their previous chronological company. Freud’s fifth stage is the genital stage: the completion of psychosexual development. With puberty, the person attains the same capacities and erogenous orientation as an adult and thus becomes as mature, psychosexually speaking, as any adult. For Erikson’s theory, however, the onset of puberty does not mark the completion of psychosocial development, which continues throughout life, but only its next stage: adolescence (ages twelve to twenty-one). Once more, the changing bodily zone implicates a changing social existence, for puberty is more than a merely chemical or hormonal change. More than the body, it is the whole person who is transformed by this flood of new issues and possibilities. This eruption provokes questions that had been taken for granted before. “Who am I becoming? Who am I to be?” appear, in small and large ways. The new adolescent must confront such new questions when on a date, at a party, or even when deciding what to wear to school each day. In other words, the adolescent ego has now developed a self-reflective loop, in which its own identity is now taken as an issue to be formed, a task that it must resolve for itself. The formation of ego-identity can be an especially acute challenge in modern culture, where the traditional embeddedness in extended families and communities is often no longer available to provide the network of identifications with which to resolve these questions. Instead, adolescent peer groups become the key psychosocial relationship for this stage. These reference groups offer the adolescent the prospect of trying on a new identity by embracing certain subgroup values, norms, and perspectives. This experimental phase is an acting “as if”—as if the person were who they are trying out to be. Optimally, adolescents will have the latitude to assume and discard prospective identities within the fluidity of what Erikson called a psychosocial moratorium—a time out from having to bear the same weight of consequences for their choices that an adult would. For example, pledging a life319
Psychology Basics time commitment to a boyfriend at thirteen does not, in fact, entail the same level of commitment that a marriage would; nor does deciding to major in accounting upon arriving at college actually bind one to follow through with a lifetime career as an accountant. With sufficient opportunity to explore and try out various tentative choices, adolescents will, optimally, conclude this stage by arriving at a more clarified sense of their own values and sense of direction. If this is not achieved, adolescents will either be left with a feeling of identity diffusion or have prematurely foreclosed on a possible identity that does not fit. Psychosocial Stages of Adulthood Beyond adolescence, Erikson also identified three psychosocial stages of adulthood: early adulthood, middle age, and old age. The first, roughly the period of one’s twenties and thirties, begins with the person’s moving out from under the insulating protection of the adolescent psychosocial moratorium. One’s choices (of marriage, career, family) cease to be “as if”; they are now profoundly real commitments with long-term impact. Making such commitments is not only a momentary event (such as saying “I do”) but requires devoting oneself to living an ongoing and open-ended history. This new situation inaugurates the next psychosocial development, which Erikson names the crisis of intimacy versus isolation. Intimacy here has a broader range than its connotation of sexual relations: It encompasses the capacity to relate to another with fullness and mutuality. To be fully open with and to another person entails obvious risks—of being misunderstood or rejected—but with it comes the enormous gain of true love. To experience the closeness, sharing, and valuing of the other without boundaries is the hallmark of an infinite relationship (infinite, that is, not necessarily in duration but in depth). The relationship with a loved other is the evident psychosocial context of this growth. If it does not occur, then the early adult will come to experience instead a deep sense of isolation and loneliness. This consequence can accrue either through the failure to enter into a relationship or through the failure, within a relationship, to achieve intimacy. Some of the most terrible afflictions of isolation at this stage are within those marriages so lacking in intimacy that the couple are essentially isolated even though living together. Beginning around age forty, a further stage of adult psychosocial development begins: middle age. The situation has once again changed. People are no longer merely starting out on their adulthood but have by now achieved a place in the adult world. Typically, if they are going to have a family, they have got it by now; if a career, they are well launched by now. Indeed, middle age, the period from forty to sixty-five, marks the attainment of the height of a person’s worldly powers and responsibilities. Whatever worldly mountain one is going to climb in this lifetime, it is during middle age that one gets as high up it as one will go. The arrival at this new position opens the door to the next stage of development. Now the psychosocial growth will 320
Ego Psychology: Erik Erikson involve one’s social relations with the next generation, centered on the issue of generativity versus stagnation. The long plateau of middle age offers the opportunity to become helpful to those who follow along that upward climb. These are, most immediately, one’s own children but also include the next generation in the community, on the job, in the profession, in the whole human family. The middle-aged adult is in the position of being the teacher, the mentor, the instituter, the creator, the producer—the generator. Having arrived at the peak of one’s own mountain, one no longer need be so concerned about placating someone else and so is able now fully to be oneself. To be an original, the middle-aged adult can also originate in the truest sense: to give of oneself to those who, following along behind, need that help. In this way, the person grows the specific ego-strength of care: an extending of oneself to others in an asymmetric way, giving without expectation of an equal return, precisely because one can. The failure to grow in this way results in stagnation—the disillusioned boredom of a life going nowhere. Some middle-aged adults, trying futilely to ward off this gnawing feeling of stagnation, hide behind desperate efforts of self-absorption, what Erikson called “treating oneself as one’s one and only child.” By the late sixties, a variety of changes mark the onset of the final stage of psychosocial development: old age. Retirement, becoming a grandparent, declining health, and even the increasingly frequent death of one’s own agemates precipitate a new issue into the forefront: one’s own mortality. While people at every age know they are mortal, this knowledge has no particular impact on one’s life when one is younger because it is then so easily overlooked. In contrast, by old age, this knowledge of one’s mortality is now woven into the very fabric of one’s everyday life in a way that it can no longer be evaded by imagining it postponed until some distant, abstract future. American society tends to avoid really confronting one’s being-towardsdeath. Some psychologists have gone so far as to say that death has replaced sex as the primary cultural taboo, hidden in hospital rooms and code words (“passed on,” “put to sleep,” “expired”). Fearing death, people find it very hard to grow old. If one is not available to the growth opportunities of this stage, one is likely to sink instead into despair—a feeling of regret over a life not lived. Often even one’s despair cannot be faced and is then hidden beneath feelings of disgust and bitterness: a self-contempt turned outward against the world. Erikson points out that this final stage of life offers the opportunity for the ultimate growth of the ego. To embrace one’s mortality fully allows one to stand open-eyed at the edge of one’s life, a perspective from which it becomes possible to really see one’s life as a whole. One can then see, and own, one’s life as one’s own responsibility, admitting of no substitutes. It is this holistic vision of one’s life that Erikson calls integrity: the full integration of the personality. It is in this vision that people can actually realize that their own lives are also integrated with life as a whole, in a seamless web of interconnections. Thus, the ego finally finds its ultimate, transpersonal home within 321
Psychology Basics the whole of being. It is this perspective that opens the door to wisdom, the final growth. Sources for Further Study Coles, Robert. Erik H. Erikson: The Growth of His Work. Boston: Little, Brown, 1970. A fine blend of Erikson’s biography with his major ideas. __________, ed. The Erik Erikson Reader. New York: W. W. Norton, 2000. A collection of Erikson’s most influential and accessible writings. Erikson, Erik H. Childhood and Society. 1950. Reprint. New York: Norton, 1993. A wide-ranging compilation of Erikson’s studies of development, clinical practice, cross-cultural analyses, and psychohistory. His most accessible and popular book. __________. Gandhi’s Truth: On the Origins of Militant Nonviolence. 1970. Reprint. New York: Norton, 1993. Erikson’s application of his developmental theory to the life of Mahatma Gandhi. This book won the Pulitzer Prize. __________. Identity and the Life Cycle. 1959. Reprint. New York: Norton, 1980. Erikson’s view of human development, with particular emphasis on ego identity and its formation in adolescence. __________. The Life Cycle Completed. Extended version. New York: W. W. Norton, 1997. Erikson’s final book, examining the life cycle from the viewpoint of the final stage. Friedman, Lawrence. Identity’s Architect: A Biography of Erik H. Erikson. New York: Simon & Schuster, 1999. A thorough and balanced biography of Erikson, written by an author who interviewed his subject extensively in the last years of his life. Hartmann, Heinz. Essays on Ego Psychology. New York: International Universities Press, 1964. A collection of Hartmann’s foundational essays on the autonomy of the ego. Yankelovich, Daniel, and William Barrett. Ego and Instinct. New York: Vintage, 1971. An original contribution to the dialogue of Freudian psychoanalysis and ego psychology on the question of human nature. Christopher M. Aanstoos See also: Personality Theory; Psychoanalytic Psychology; Psychoanalytic Psychology and Personality: Sigmund Freud.
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Emotions Type of psychology: Emotion Field of study: Motivation theory Emotion is a basic aspect of human functioning. Emotions are personal experiences that arise from a complex interplay among physiological, cognitive, and situational variables. Theories and measurement of emotion allow psychologists to understand diverse expressions of behavior, and they form the cornerstone of many approaches to the treatment of psychological problems. Key concepts • cognitive appraisal • emotional intensity • primary emotions • psychosomatic disorders • secondary emotions • state emotion • trait emotion • visceral responses An emotion is a valenced experience that is felt with some degree of intensity, involves a person’s interpretation of the immediate situation, and is accompanied by learned and unlearned physical responses. Emotions are transitory states, and they have five characteristics. First, emotions are experiences, not specific behaviors or thoughts. Although thoughts can sometimes lead to emotions, and behaviors can sometimes be caused by emotions, an emotion is a personal experience. Second, an emotional experience has “valence,” meaning that the emotion has a positive or negative quality. Because emotions have valence, they often motivate people toward action. People tend to seek activities, situations, and people that enhance their experience of positive emotional states, and they tend to avoid situations that are connected with the experience of negative emotions. Third, emotions involve cognitive appraisals. That is, one’s interpretation of the immediate situation influences which emotion is experienced. For example, a child may experience either joy or fear when being chased, depending on whether the child interprets the chase as playful or dangerous. Fourth, emotions involve physical responses. Physical responses may be internal, such as changes in heart rate, blood pressure, or respiration (called visceral responses); physical responses can also be external, such as facial expressions. In addition, the bodily responses that characterize emotions are partly reflexive (unlearned) and partly learned. An increase in heart rate is a reflexive response that accompanies intense fear. That which a person fears, however, and his or her accompanying bodily response may be the product of learning; crying when afraid is an emotional expression that 323
Psychology Basics is subject to learning experiences. Fifth, emotions can vary in intensity: Anger can become rage, amusement can become joy, and fear can be heightened to a state of terror. Psychologist Robert Plutchik contends that there are eight innate, primary emotions: joy, anticipation, anger, disgust, sadness, surprise, fear, and acceptance. Like the colors of a color wheel, primary emotions can combine to produce secondary emotions: surprise plus sadness can produce disappointment; anger plus disgust can produce contempt; and fear plus surprise can produce awe. Because each primary emotion can vary in intensity, and each level of intensity for one emotion can combine with some other level of intensity of another emotion, the total number of possible emotions runs to the hundreds. Although many psychologists agree that there exist primary emotions, there is no way that a person could distinguish such a large number of personal emotional experiences. Moreover, psychologists have not even attempted to measure such an unwieldy array of secondary emotions. State and Trait Emotions Nevertheless, psychologists have developed numerous assessment instruments to study common emotions. (An assessment instrument is a method used to measure some psychological quality.) Because there are so many different emotions, the study of emotion requires the development of specific methods that can accurately measure each of the common emotions. The most popular method of measuring an emotion is a self-report questionnaire in which a person answers questions relevant to a particular emotion. When measuring emotions, researchers make a distinction between “state” and “trait” emotion. An emotional state refers to what a person is experiencing at the moment. If one is interested in assessing how anxious someone currently is, one might use a questionnaire that asks the person to respond to several anxiety-related statements, using a scale from 1 (“not at all”) to 5 (“very much”). Some examples of relevant statements are “I feel tense,” “I feel nervous and shaky inside,” “My heart is beating rapidly,” and “I feel a sense of foreboding.” The higher the total score on the questionnaire, the more anxiety the person is experiencing at the moment. Trait emotion refers to how often an emotion is experienced. An “anxious person” is someone who frequently experiences the state of anxiety. Moreover, one would call someone a “hostile person” if one determined that he or she frequently exhibits states of anger. Examples of statements that assess trait anxiety are “I frequently become tense,” “I often feel afraid for no apparent reason,” “I am bothered by dizzy spells,” and “I tend to worry a lot.” Assessment Measures Psychologists have developed numerous questionnaires to assess emotions. There are self-report measures to assess anxiety, anger, guilt, happiness, and 324
Emotions hopelessness, to name a few. In addition to measures of specific emotions, researchers have developed methods for assessing emotional intensity. Emotional intensity refers to the strength with which a person experiences both positive and negative emotions. It has been found that people who are emotionally intense report a feeling of well-being as “exuberance, animated joyfulness, and zestful enthusiasm.” On the other hand, people who score low on a measure of emotional intensity experience a state of well-being as “serenity, contentment, tranquil calmness, and easygoing composure.” In addition to the use of self-report measures of emotion, psychologists often use physiological measures. Using sophisticated biological measuring instruments, psychologists are able to assess emotional arousal by measuring, for example, heart rate, skin sweating, respiration, blood pressure, and muscle tension. By examining the amount these measures change in response to a stimulus, researchers are able to infer emotional arousal. For example, it has been found that people who have the type of personality that puts them at risk for heart attacks show greater increases in blood pressure when trapped in a traffic jam, in comparison to those people who have personality characteristics that do not predispose them to heart attacks. In this instance, the psychologist uses the measure of blood pressure to infer a negative emotion, such as anger or frustration. One question that arises when using physiological measures to assess emotions is whether each emotion has a specific pattern of physiological responses. For example, blood pressure appears to be particularly responsive to anger-inducing situations. People’s heart rates, however, increase during emotional states of excitement, anxiety, anger, and sexual arousal. For this reason, researchers may use multiple measures of emotion, assessing selfreports of emotion while physiological responses are being recorded. Another way of assessing emotions is by direct observation of overt behavior. Approach behavior can indicate acceptance, and avoidance behavior can reflect fear or disgust. In addition, facial expressions have been used to assess various emotional states. Polygraphs When researchers developed means for measuring visceral responses and discovered that these responses are associated with emotions, it was not long before the possibility of detecting lies was raised. The use of a polygraph to detect lying is based on the assumption that people will feel anxious or guilty when asked a question that has personal, emotional significance to past deeds. The polygraph tester measures and compares physiological responses to both control questions and relevant questions to infer lying. For example, if a person is suspected of murdering John Smith on May 16, the tester may ask the control question: “Have you ever hurt someone?” Because everyone has hurt someone at one time or another, and probably feels guilty about it, some level of emotional response will be registered in changes in heart rate and respiration. The relevant question is “Did you kill John Smith on May 325
Psychology Basics 16?” Supposedly, the innocent person will show a greater emotional response to the control question than the relevant question. The perpetrator of the crime should show a greater emotional response to the relevant question because of its extreme emotional significance. The use of polygraph testing is surrounded by controversy. Although some liars can be detected, if a perpetrator does not feel guilty about the crime—or does not believe that the polygraph can measure lying—he or she will not show the expected response to the critical questions about the crime. In addition, research has shown that some innocent people will become so anxious when asked “relevant” questions that they are mistakenly viewed as guilty. The American Psychological Association has expressed grave concern over the validity of polygraph testing. The U.S. Congress has outlawed the use of preemployment testing to predict who might, for example, steal inventory. Despite the reservations of the American Psychological Association, however, security agencies and defense industries are allowed to use polygraph testing. Clinical Applications and Theory The development of theories of emotion and of methods for measuring emotions has wide application in the field of clinical psychology. Many psychological disorders are defined by emotional problems. People with phobias exhibit excessive anxiety in situations that offer little or no possibility of harm. Strong fears of water, heights, insects, closed spaces, flying, and social situations are common examples of phobias. Theories of emotion provide a framework within which clinicians can understand the development of phobias. Measures of anxiety can be used to help diagnose those people who suffer from phobias. Depression is another example of a psychological disorder that has a strong emotional component. Twenty percent of women and 10 percent of men will experience a major depression at some time in their lives. This complex disorder is manifested by distorted thinking (such as self-critical thinking), physical difficulties (such as fatigue), and an array of emotions. Some of the emotional symptoms of depression include sadness, anxiety, and guilt. Thus, when psychologists assess the emotional aspects of depression, they use questionnaires that include items that address several different emotions. Not only does the study of emotion help psychologists to understand psychological disorders, but methods of treatment have also been developed based on the understanding of emotion. For example, psychological research has shown that emotional responses, such as anxiety, can be learned. Consequently, treatment strategies have been developed to help people unlearn their anxiety reactions. As a result, many people who suffer from simple phobias can be treated effectively in a short period of time. Theories of emotion that examine the relation between thinking and emotion have led to therapies to alleviate depression. Aaron Beck has shown that the sadness, 326
Emotions anxiety, and guilt that accompany depression can be treated by helping people change their styles of thinking. Another area within clinical psychology that has benefited by the increasing understanding of emotion is psychosomatic disorders. A psychosomatic disorder (also called a psychophysiological disorder) is an abnormal physical condition brought about by chronic negative emotions. Ulcers, hypertension, headaches, and arthritis are examples of conditions that can be brought about or worsened by negative emotions. The emotions that are most often implicated in the development of psychosomatic disorders are anger and anxiety. For example, researchers have discovered that prolonged anxiety induced by internal conflict can cause ulcers in susceptible people. In addition, researchers now have evidence that chronic hostility is a risk factor for the development of heart disease. Social psychologists study the influence of social factors on behavior. Theories of emotion have been a focus of social psychologists because one’s experience of emotion is in part determined by the immediate situation, and the immediate situation often includes the behavior of others. Indeed, Stanley Schachter, a social psychologist, is responsible for the development of a theory of emotion that underscores the importance of one’s cognitive appraisal of the social context in determining the emotion that one experiences. For example, when people experience physiological arousal, their own emotional experience will most likely be consistent with their interpretation of the social context. If they are with a happy person, they will experience happiness; if they are in the presence of an angry person, they will experience anger. Theories of emotion have also increased understanding of many social phenomena, such as aggression and interpersonal attraction. Emotion Research For centuries, philosophers and psychologists have recognized the importance of understanding personality differences based on the type and degree of emotional expression. In the fifth century b.c.e., the Greek physician Hippocrates classified people on the basis of emotional temperament. The view that people differ in temperament remains today. Arnold Buss and Robert Plomin have hypothesized that newborns differ in their susceptibility to distress, fear, and anger. Everyday descriptions of people as “happy-golucky,” “stoic,” and “volatile” represent the tendency to group people according to characteristic styles of emotional expression. Clinical psychologists speak of the “hysterical personality” as exhibiting excessive emotional lability and the “schizoid personality” as showing emotional indifference toward others. Theologians have traditionally approached emotion as representing the dark side of human nature. What elevates humans above other animals has been thought to be the capacity to overcome passion with reason. Even this seemingly archaic view of emotion has its counterpart in modern psychology. Psychoanalysts help people gain control of their feelings through un327
Psychology Basics derstanding the unconscious roots of their emotions. Cognitive therapists attempt to alleviate emotional dysfunctions by teaching clients to “think more rationally.” The modern era of research on emotion can be traced to Charles Darwin’s 1872 book The Expression of the Emotions in Man and Animals. Darwin believed that emotional displays evolved as a means of communication and had adaptive significance for the survival of the species. Indeed, there is some scientific support for the assertion that emotional expressions are basic biological responses: Newborn infants show expressions of emotion that closely match the expressions of adults; all infants, including those born deaf and blind, exhibit similar facial expressions in similar situations; very young babies can tell the difference between different emotional expressions; and there is considerable similarity in the expression of emotions across diverse cultures. In the second half of the twentieth century, psychologists made important advances in formulating theories of emotions and devising assessment instruments to measure emotions. Scientists have arrived at the point where they recognize many of the fundamental aspects of emotion: the nervous system, thought, behavior, and the immediate situation. The challenge for the future is to map the intricate interplay among these variables and achieve a thorough understanding of this basic facet of human functioning. Sources for Further Study Barlow, David H. Anxiety and Its Disorders. 2d ed. New York: Guilford Press, 2001. In the early part of the book, the author reviews basic aspects of emotion. The remainder is devoted to the emotion of anxiety and how anxiety forms the basis of many clinical disorders. Some of the disorders addressed are panic disorder, obsessive-compulsive disorder, phobias, and post-traumatic stress disorder. A very comprehensive treatment of anxiety disorders. Barlow takes a strong research orientation and presents the material at a college level. Bernstein, Douglas A., Stewart Alison Clarke, and Louis A. Penner. Psychology. 5th ed. New York: Houghton Mifflin, 1999. Presents an introduction to the topic of emotion. Covers a wide range of areas: definition of emotion, physiology of emotion, major theories, social aspects of emotion, and facial expressions. The authors do not assume that the reader has any background in psychology, and they write in a clear, concise manner, providing interesting examples and graphics. Corcoran, Kevin J., and Joel Fischer. Adults. Vol. 2 in Measures for Clinical Practice: A Sourcebook. 3d ed. New York: Free Press, 2000. Reprints more than one hundred self-report assessment instruments. An excellent source for learning how researchers measure emotions, and can be used should one want to conduct a study. This book, however, does not include some of the most commonly used questionnaires for measuring emotions. 328
Emotions Ekman, Paul, and Richard J. Davidson, eds. The Nature of Emotion: Fundamental Questions. New York: Oxford University Press, 1997. The editors asked twenty-four leading theorists in the field of the psychology of emotions to answer the same twelve questions on their subject. Areas of agreement and disagreement are highlighted, along with a summary chapter at the end. Laurence Grimm See also: Clinical Depression; Personality: Psychophysiological Measures; Phobias.
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Endocrine System Type of psychology: Biological bases of behavior Field of study: Endocrine system Behavior, by definition, includes physiological events which are responses to internal and external stimuli; the endocrine system, through the action of hormones and in cooperation with the nervous system, plays a necessary role in bringing about these reactions in animals and humans. Key concepts • adrenal glands • biopsychology • endocrine system • ethology • hormone • hypothalamus • pituitary gland Curiosity about behavior, both animal and human, is of long standing. The suspicion that substances in the body contribute to behavior also has a long history. During the fifth century b.c.e., Hippocrates suggested, in his humoral theory, that personality was determined by four body fluids: phlegm, black bile, yellow bile, and blood. The dominance of one or another of the fluids was associated with a behavior pattern. A proportionate distribution of the fluids resulted in a balanced personality. This theory has contributed terms such as phlegmatic, sanguine, bilious, and good- or bad-humored to describe personality types and states of mind. Aristotle (384-322 b.c.e.) is reported to have performed castration experiments on both fowl and men in order to alter behavior. He believed that something produced by the testes caused typically male behavior. Several nineteenth century researchers continued the study of the connection between the testes and male reproductive behavior. In 1849, Arnold Adolphe Berthold initiated a series of experiments on cockerels. He removed the testes from six birds and noted their loss of “male” behavior. Testes were transplanted into the abdomens of half the castrated birds. Successful transplantation restored the typical male crowing and combativeness. During the late nineteenth and early twentieth centuries, the sciences became more organized. Interest in behavior and its causes continued. The science of ethology, which focuses on animal behavior, came into existence. In the early 1900’s, John B. Watson founded a branch of psychology that became known as behavior science. This area of psychology concentrated on human behavioral studies. Eventually, ethology and behavior science contributed to biopsychology, a new branch of psychology which incorporates and applies data from neuroscience, genetics, endocrinology, and physiology in the quest for biological explanations of behavior. Biopsychology em330
Endocrine System braces several subdivisions. Physiological psychology focuses on nervous system and endocrine system research. Psychopharmacology specializes in the effects of drugs on the nervous system and, ultimately, on behavior. The development of therapeutic drugs is a goal of this discipline. The neuropsychologist studies the effects of brain damage on behavior. Psychophysiology differs from physiological psychology in that the psychophysiologist uses only human subjects, while the physiological psychologist experiments on laboratory animals, especially rats. Early research in physiological psychology focused on the nervous system, but it soon became evident that the endocrine system also influenced behavior and that the effects of the two systems were interrelated contributors to behavior. The endocrine system essentially consists of ductless glands that produce chemical substances called hormones. The hormones elicit physiological reactions, either locally or at some distant target site. When acting at a distance, the hormones travel to the site by way of the circulatory system. Hans Selye, a Canadian scientist, proposed a direct connection between the endocrine system and behavior. In 1946, he described physiological events that were triggered by stress. This set of bodily changes became known as the general adaptation syndrome. The syndrome involved the mobilization of the autonomic nervous system, the adrenal glands, and the anterior lobe of the pituitary. As research continued, data on the role of the endocrine system in determining behavior began to accumulate. Researchers continue to look to the endocrine system to provide clues about the causes of psychiatric diseases and the efficacy of hormone therapy in treating the diseases, as well as in altering behavior patterns. Invertebrates Among most invertebrates (animals without backbones), endocrine glands are not in evidence. Specialized cells known as neurosecretory cells serve as endocrine tissue. The cells, which resemble neurons (the functional cells of the nervous system) are hormone producers. In invertebrate animals such as the hydra and planaria, the secretions (hormones) of the neurosecretory cells seem to influence growth and may be the underlying cause of the tremendous powers of regeneration possessed by the animals. There are indications that the development of sexuality, the laying of eggs, and the release of sperm may be under hormonal control in these animals. Attempts to establish the link between hormones and invertebrate behavior when the hormones are produced by neurosecretory cells have inherent problems. A common method of studying hormone influence involves removal of the secreting organ, which causes a hormone deficit. Changes in physiology or behavior are observed. A hormone is then provided to the animal to see if the original condition can be restored. Use of this method is complicated by the difficulty in removing all the functioning neurosecretory cells. In addition, 331
Psychology Basics the cells regenerate rapidly. This prevents an accurate assessment of the effects of hormone deficit. Hormone effects are observable and measurable in the more developed invertebrates such as the Arthropoda. Studies carried out on insects and crustaceans indicate the presence of both neurosecretory cells and endocrine glands. Among the behaviors and activities controlled by the hormones released from either the cells or the glands are molting, sexual differentiation, sexual behavior, water balance, and diapause. Because arthropods are encased in an outer skeletal structure, it is necessary for the animals to shed their outer structure in order to grow. During the growth years, the animals go through cycles of shedding the outer skeleton—or molting—growing, and reforming an outer coat. There is evidence that insects are under hormonal control when they enter a state of diapause, or arrested behavior in adverse times. Vertebrates All vertebrates (animals with backbones) have a well-developed and highly organized endocrine system. The system consists of the following glands: the pituitary, the pineal, the thyroid, the thymus, the pancreas, a pair of adrenals (each adrenal actually acts as two glands—the adrenal cortex produces unique hormones and functions independently of the adrenal medulla), a pair of parathyroids, and a pair of ovaries or testes. Endocrine tissue in the gastrointestinal tract readies the system for the digestive process. During a pregnancy, the placental tissue assumes an endocrine function. Although the kidneys do not produce a hormone directly, they release an enzyme which converts a blood protein into a hormone that stimulates red blood cell production. All vertebrates have a pituitary. The pituitary is a small, round organ found at the base of the brain. This major endocrine gland interacts with the hypothalamus of the nervous system. Together, they control behavior. The hypothalamus receives information about physiological events in the body by monitoring the composition of the blood. In turn, the hypothalamus signals the pituitary by either a nerve impulse or a chemical messenger. The pituitary responds by releasing or ceasing to release hormones that will have a direct effect on physiology or will stimulate other endocrines to release their hormones in order to alter the physiological event and influence behavior. The endocrine system exerts its effects on a biochemical level. The human endocrine system is typical of vertebrate endocrine systems and their effect on behavior, although certain hormones may have a more pronounced and obvious effect in other vertebrates. For example, melanocytestimulating hormone, which is generated by the anterior lobe of the pituitary, greatly increases skin pigmentation in amphibians. This creates a protective coloration. In humans, the darkening effect is not achieved unless excessive hormone is administered. The protective function is not apparent. There are enough similarities among human and animal endocrine functions and 332
Endocrine System
Glands of the Endocrine System
(Hans & Cassidy, Inc.)
effects, however, to warrant the use of data from both ethology and human behavioral studies in determining the biological bases for behavior. Influence on Reproductive Behavior The influence of the endocrine system on behavior has been studied on many levels. Much of the work has been done on animals; laboratory rats 333
Psychology Basics have been the most frequently used subjects. There is, however, a growing body of information on hormonal effects on a variety of human behaviors, including reproductive and developmental behavior, reaction to stress, learning, and memory. Studies carried out in reproductive and developmental biology on both animal and human subjects have substantiated the belief that hormones influence mating behavior, developmental events including sexual differentiation, and female and male sexuality. Castration experiments have linked the testes with a male mating behavior pattern in animals. The sexually active male animal aggressively seeks and attempts to mount the female, whether she is receptive or not. The castrated male retains the ability to mount a female but loses the aggressiveness and does not persistently pursue females. The male may assume the more submissive female behavior and even engage in homosexual encounters. Normally, the release of reproductive hormones in the male is noncyclic, whereas in the female it is cyclic. Castrated animals begin to exhibit the female, cyclic pattern of hormone release. The hormonal influence is confirmed by administering androgens (male hormones) to the castrated animals. Male mating behavior and the noncyclic release of hormones returns. The presence of male hormones has an effect on the female cycle and sexual receptivity. Pheromones are substances secreted on the body of one individual which influence the behavior of another. These chemical messengers function during mate attraction, territoriality, and episodes of fear. Their existence and functions are well documented throughout the animal kingdom, especially among insects and mammals. In experiments using rats, it was shown that the pheromones act in conjunction with male hormones in bringing the female to a state of receptivity. The urine of noncastrated male rats contains androgens. When a male rat is introduced into a cage of sexually inactive females, the male sends off chemical signals by way of pheromones and the androgen-containing urine. The result is the accelerated onset of estrus, or sexual receptivity, on the part of the females. Castrated males produce pheromones but do not have androgens in the urine. When castrated males are introduced into a cage of inactive females, the estrous cycle is not affected. All female mammals, with the exception of monkeys, apes, and humans, experience estrus. Under hormonal control, the female is receptive to the male once or twice a year, when her eggs are available for fertilization. This period of receptivity is known as the estrous phase, or heat. Research shows that the particular female hormone which induces estrus is progesterone. Hormonal Influences The work done by researchers in developing contraceptives clarified the role of hormones in the functioning of the human female reproductive system. The system operates in a monthly cycle during which ovarian and uterine changes occur under hormonal control. These hormones do not affect a woman’s receptivity, which is not limited to fertile periods. 334
Endocrine System Testosterone derivatives known as anabolic steroids are illegally used by some athletes in an attempt to increase muscularity, strength, and performance. While both sexes do experience the desired effects, long-term, highdosage usage has undesirable consequences. This is particularly true in women, who begin to exhibit a deepening of the voice, a male body shape, and increased body and facial hair. Both men and women can become sterile. Psychotic behaviors and states such as depression and anger have been recorded. Developmental biologists indicate that hormones exert their influence as early as six or seven weeks into embryonic development. At this point, undifferentiated tissue with the potential of developing into either a female or a male reproductive system will develop into a male system in the presence of testosterone and into a female system in its absence. There is some evidence that the embryonic hormones have an effect on the developing brain, producing either a male or female brain. Functionally, this may account for the cyclic activity of female reproductive hormones and the noncyclic activity of the male. A few anatomical differences between male and female brains have been observed in both rats and humans. In the hypothalamus of the brain, there are cell bodies called nuclei. In rats and in humans, these nuclei are larger in males than in females. Learning and memory can be experimentally affected by hormones. Experiments reveal that chemicals which resemble adrenocorticotropic hormone (ACTH) can extend the memory time of rats. Rats, stimulated by electric shock and provided with an avoidance possibility such as moving into another chamber of a cage or climbing a pole in the center of the cage, were administered ACTH-like molecules. The treated rats were able to remember the appropriate reaction to the stimulus for a longer period of time than the untreated rats. In other experiments, rats in a maze were administered vasopressin, a posterior pituitary hormone, which increased their frequency in selecting the correct pathway through the maze. The effect of vasopressin on human memory is not as clearly defined. There have been positive results with schizophrenic patients and patients with alcohol-induced amnesia. In these cases, memory has been enhanced to a limited degree. There is no solid evidence that learning and memory in humans will be greatly improved by the administration of vasopressin. Areas such as eating disorders, psychotic behavior, hormone therapy, behavior modification, and biological clocks and rhythms challenge the physiological psychologist to further research to test hormonal influences. Sources for Further Study Bioscience 33 (October, 1983). The entire issue is devoted to the effects of hormones on behavior. Includes an article on invertebrates in general, followed by articles on fish through primates. Written in nonesoteric language. Brennan, James F. History and Systems of Psychology. 5th ed. Englewood Cliffs, 335
Psychology Basics N.J.: Prentice-Hall, 1997. Readable presentation of the history and development of psychology. Covers the highlights of the discipline from the time of ancient Greece. Good background material for those not well grounded in psychology and interesting reading for those with a historical leaning. Donovan, Bernard T. Hormones and Human Behaviour. New York: Cambridge University Press, 1985. An excellent compilation of the information available on hormones and behavior up to 1985. Uses technical language, but one who reads on a high-school level and has had some exposure to science will find the book informative and interesting. Focuses on the pituitary, the gonads, and the adrenals, and their effect on human behavior. Drickamer, Lee C., Stephen H. Vessey, and Elizabeth Jakob. Animal Behavior. 5th ed. New York: McGraw-Hill, 2001. Intended for undergraduate students who are interested in animal behavior. Of particular interest is chapter 10, which deals with hormones and behavior. Presents a clear explanation of the endocrine system and the mechanism of hormone action. Avoids highly technical language. The effect of hormones on behavior of invertebrates and vertebrates is well illustrated with many interesting examples from the animal world. Highnam, Kenneth Charles, and Leonard Hill. The Comparative Endocrinology of the Invertebrates. 2d ed. Baltimore: University Park Press, 1977. Various types of invertebrate endocrine systems are described in this book. Although the book was published in 1977, it is a valuable source of information, especially on the insect and crustacean hormones. Technical language is used but is clearly explained in laypersons’ terms. Drawings and charts contribute to the understanding of the material. Pinel, John P. J. Biopsychology. 4th ed. Boston: Allyn & Bacon, 1999. A textbook intended for use by undergraduate college students. There are two chapters of particular interest. Chapter 1 defines the position of biopsychology within the larger field of psychology, delineates the subdivisions of biopsychology, and describes the type of research carried out in each area. An account of research involving the human reproductive hormones and their effects is found in chapter 10. Both chapters are interesting and well written. The author makes use of good examples, drawings, and charts. Rosemary Scheirer See also: Emotions; Hormones and Behavior; Memory: Animal Research; Stress: Physiological Responses.
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Experimentation Independent, Dependent, and Control Variables Type of psychology: Psychological methodologies Fields of study: Experimental methodologies; methodological issues The scientific method involves the testing of hypotheses through the objective collection of data. The experiment is an important method of data collection in which the researcher systematically controls multiple factors in order to determine the extent to which changes in one variable cause changes in another variable. Only the experimental method can reveal cause-effect relationships between the variables of interest. Key concepts • control group • control variables • dependent variable • ecological validity • experiment • field experiment • hypothesis • independent variable • random assignment Psychology is typically defined as the science of behavior and cognition and is considered a research-oriented discipline, not unlike biology, chemistry, and physics. To appreciate the role of experimentation in psychology, it is useful to view it in the context of the general scientific method employed by psychologists in conducting their research. This scientific method may be described as a four-step sequence starting with identifying a problem and forming a hypothesis. The problem must be one suitable for scientific inquiry. Questions concerning values, such as whether rural life is “better” than city life, are more appropriate for philosophical debate than scientific investigation. Questions better suited to the scientific method are those that can be answered through the objective collection of facts—for example, “Are children who are neglected by their parents more likely to do poorly in school than children who are well treated?” The hypothesis is the tentative guess, or the prediction regarding the question’s answer, and is based upon other relevant research and existing theory. The second step, and the one with which this article is primarily concerned, is the collection of data (facts) in order to test the accuracy of the hypothesis. Any one of a number of methods might be employed, including simple observation, survey, or experimentation. The third step is to make sense of the facts that have been accumulated by subjecting them to careful analysis; the fourth step is to share any significant findings with the scientific community. 337
Psychology Basics Research Approaches In considering step two, the collection of data, it seems that people often mistakenly use the words “research” and “experiment” interchangeably. A student might ask whether an experiment has been done on a particular topic when, in fact, the student really wants to know if any kind of research has been conducted in that area. All experiments are examples of research, but not all research is experimental. Research that is nonexperimental in nature might be either descriptive or correlational. Descriptive research is nearly self-explanatory; it occurs when the researcher wants merely to characterize the behaviors of an individual or, more likely, a group. For example, one might want to survey the students of a high school to ascertain the level of alcohol use (alcohol use might be described in terms of average ounces consumed per student per week). One might also spend considerable time observing individuals suffering from, for example, infantile autism. A thorough description of their typical behaviors could be useful for someone investigating the cause of this disorder. Descriptive research can be extremely valuable, but it is not useful when researchers want to investigate the relationship between two or more variables (things that vary, or quantities that may have different values). In a correlational study, the researcher measures how strongly the variables are related, or the degree to which one variable predicts another variable. A researcher who is interested in the relationship between exposure to violence on television (variable one) and aggressive behavior (variable two) in a group of elementary school children could administer a survey asking the children how much violent television they view and then rank the subjects from high to low levels of this variable. The researcher could similarly interview the school staff and rank the children according to their aggressive behavior. A statistic called a correlation coefficient might then be computed, revealing how the two variables are related and the strength of that relationship. Cause and Effect Correlational studies are not uncommon in psychological research. Often, however, a researcher wants even more specific information about the relationships among variables—in particular, about whether one variable causes a change in another variable. In such a situation, experimental research is warranted. This drawback of the correlational approach—its inability to establish causal relationships—is worth considering for a moment. In the hypothetical study described above, the researcher may find that viewing considerable television violence predicts high levels of aggressive behavior, yet she cannot conclude that these viewing habits cause the aggressiveness. After all, it is entirely possible that aggressiveness, caused by some unknown factor, prompts a preference for violent television. That is, the causal direction is unknown; viewing television violence may cause aggressiveness, but 338
Experimentation: Independent, Dependent, and Control Variables the inverse (that aggressiveness causes the watching of violent television programs) is also feasible. As this is a crucial point, one final illustration is warranted. What if, at a certain Rocky Mountain university, a correlational study has established that high levels of snowfall predict low examination scores? One should not conclude that something about the chemical composition of snow impairs the learning process. The correlation may be real and highly predictive, but the causal culprit may be some other factor. Perhaps, as snowfall increases, so does the incidence of illness, and it is this variable that is causally related to exam scores. Maybe, as snowfall increases, the likelihood of students using their study time for skiing also increases. Experimentation is a powerful research method because it alone can reveal cause-effect relationships. In an experiment, the researcher does not merely measure the naturally occurring relationships between variables for the purpose of predicting one from the other; rather, he or she systematically manipulates the values of one variable and measures the effect, if any, that is produced in a second variable. The variable that is manipulated is known as the independent variable; the other variable, the behavior in question, is called the dependent variable (any change in it depends upon the manipulation of the independent variable). Experimental research is characterized by a desire for control on the part of the researcher. Control of the independent variable and control over extraneous variables are both wanted. That is, there is a desire to eliminate or hold constant the factors (control variables) other than the independent variable that might influence the dependent variable. If adequate control is achieved, the researcher may be confident that it was, in fact, the manipulation of the independent variable that produced the change in the dependent variable. Control Groups Returning to the relationship between television viewing habits and aggressive behavior in children, suppose that correlational evidence indicates that high levels of the former variable predict high levels of the latter. Now the researcher wants to test the hypothesis that there is a cause-effect relationship between the two variables. She decides to manipulate exposure to television violence (the independent variable) to see what effect might be produced in the aggressiveness of her subjects (the dependent variable). She might choose two levels of the independent variable and have twenty children watch fifteen minutes of a violent detective show, while another twenty children are subjected to thirty minutes of the same show. If an objective rating of playground aggressiveness later reveals more hostility in the thirty-minute group than in the fifteen-minute group, she still cannot be confident that higher levels of television violence cause higher levels of aggressive behavior. More information is needed, especially with regard to issues of control. To begin with, how does the researcher know that it is the violent content of the program that is promoting aggressiveness? Per339
Psychology Basics haps it is the case that the more time they spend watching television, regardless of subject matter, the more aggressive children become. This study needs a control group: a group of subjects identical to the experimental subjects with the exception that they do not experience the independent variable. In fact, two control groups might be employed, one that watches fifteen minutes and another that watches thirty minutes of nonviolent programming. The control groups serve as a basis against which the behavior of the experimental groups can be compared. If it is found that the two control groups aggress to the same extent, and to a lesser extent than the experimental groups, the researcher can be more confident that violent programming promotes relatively higher levels of aggressiveness. The experimenter also needs to be sure that the children in the thirtyminute experimental group were not naturally more aggressive to begin with. One need not be too concerned with this possibility if one randomly assigns subjects to the experimental and control groups. There are certainly individual differences among subjects in factors, such as personality and intelligence, but with random assignment (a technique for creating groups of subjects across which individual differences will be evenly dispersed) one can be reasonably sure that those individual differences are evenly dispersed among the experimental and control groups. Subject Variables The experimenter might want to control or hold constant other variables. Perhaps she suspects that age, social class, ethnicity, and gender could also influence the children’s aggressiveness. She might want to make sure that these subject variables are eliminated by either choosing subjects who are alike in these ways or by making sure that the groups are balanced for these factors (for example, equal numbers of boys and girls in each group). There are numerous other extraneous variables that might concern the researcher, including the time of day when the children participate, the length of time between television viewing and the assessment of aggressiveness, the children’s diets, the children’s family structures (single versus dual parent, siblings versus only child), and the disciplinary styles used in the homes. Resource limitations prevent every extraneous variable from being controlled, yet the more control, the more confident the experimenter can be of the cause-effect relationship between the independent and dependent variables. Influence of Rewards One more example of experimental research, this one nonhypothetical, will further illustrate the application of this methodology. In 1973, Mark Lepper, David Greene, and Richard Nisbett tested the hypothesis that when people are offered external rewards for performing activities that are naturally enjoyable, their interest in these activities declines. The participants in the study were nursery school children who had already demonstrated a fond340
Experimentation: Independent, Dependent, and Control Variables ness for coloring with marking pens; this was their preferred activity when given an opportunity for free play. The children were randomly assigned to one of three groups. The first group was told previously that they would receive a “good player award” if they would play with the pens when later given the opportunity. Group two received the same reward but without advance notice; they were surprised by the reward. The last group of children was the control group; they were neither rewarded nor told to expect a reward. The researchers reasoned that the first group of children, having played with the pens in order to receive a reward, would now perceive their natural interest in this activity as lower than before the study. Indeed, when all groups were later allowed a free play opportunity, it was observed that the “expected reward” group spent significantly less time than the other groups in this previously enjoyable activity. Lepper and his colleagues, then, experimentally supported their hypothesis and reported evidence that reward causes interest in a previously pleasurable behavior to decline. This research has implications for instructors; they should carefully consider the kinds of behavior they reward (with gold stars, lavish praise, high grades, and so on) as they may, ironically, be producing less of the desired behavior. An academic activity that is enjoyable play for a child may become tedious work when a reward system is attached to it. Criticisms While most would agree that the birth of psychology as a science took place in Leipzig, Germany, in 1879, when Wilhelm Wundt established the first laboratory for studying psychological phenomena, there is no clear record of the first use of experimentation. Regardless, there is no disputing the attraction that this method of research has had for many psychologists in the twentieth century. Psychologists clearly recognize the usefulness of the experiment in investigating potential causal relationships between variables. Hence, experimentation is employed widely across the subfields of psychology, including developmental, cognitive, physiological, clinical, industrial, and social psychology. This is not to say that all psychologists are completely satisfied with experimental research. It has been argued that an insidious catch-22 exists in some experimental research that limits its usefulness. The argument goes like this: Experimenters are motivated to control rigorously the conditions of their studies and the relevant extraneous variables. To gain such control, they often conduct experiments in a laboratory setting. Therefore, subjects are often observed in an artificial environment, engaged in behaviors that are so controlled as to be unnatural, and they clearly know they are being observed—which may further alter their behavior. Such research is said to be lacking in ecological validity or applicability to “real-life” behavior. It may show how subjects behave in a unique laboratory procedure, but it tells little about psychological phenomena as displayed in everyday life. The catch-22, 341
Psychology Basics then, is that experimenters desire control in order to establish that the independent variable is producing a change in the dependent variable, and the more such control, the better; however, the more control, the more risk that the research may be ecologically invalid. Field Experiments Most psychologists are sensitive to issues of ecological validity and take pains to make their laboratory procedures as naturalistic as possible. Additionally, much research is conducted outside the laboratory in what are known as field experiments. In such studies, the subjects are unobtrusively observed (perhaps by a confederate of the researcher who would not attract their notice) in natural settings such as classroom, playground, or workplace. Field experiments, then, represent a compromise in that there is bound to be less control than is obtainable in a laboratory, yet the behaviors observed are likely to be natural. Such naturalistic experimentation is likely to continue to increase in the future. Although experimentation is only one of many methods available to psychologists, it fills a particular need, and that need is not likely to decline in the foreseeable future. In trying to understand the complex relationships among the many variables that affect the way people think and act, experimentation makes a valuable contribution: It is the one methodology available that can reveal unambiguous cause-effect relationships. Sources for Further Study Barber, Theodore Xenophon. Pitfalls in Human Research. New York: Pergamon Press, 1976. It is useful to learn from the mistakes of others, and Barber provides an opportunity by describing ten categories of likely errors in designing and conducting research. This is not a long book (117 pages), and it is enjoyable reading, especially the specific accounts of flawed research. Carlson, Neil R. Psychology: The Science of Behavior. 5th ed. Upper Saddle River, N.J.: Prentice Hall, 1999. The second chapter of this introductory psychology text may be the most reader-friendly reference in this bibliography. Titled “The Ways and Means of Psychology,” it provides a brief introductory overview of the scientific method, experimental and correlational research, and basic statistics; it is well suited for the novice. Colorful graphics, a concluding summary, and a list of key terms are all helpful. Hearst, Eliot, ed. The First Century of Experimental Psychology. Hillsdale, N.J.: Lawrence Erlbaum, 1979. Primarily for the student interested in the history of experimental psychology. This is a 693-page book; while most of the fourteen chapters are devoted to specific topics in psychology such as emotion, development, and psychopathology, the final chapter by William Estes provides an excellent overview of experimental psychology and considers some broad, profound issues. 342
Experimentation: Independent, Dependent, and Control Variables Shaughnessy, John J., and Eugene B. Zechmeister. Research Methods in Psychology. 6th ed. New York: McGraw-Hill, 2002. This is one of a number of textbooks that discuss psychological research in the light of the scientific method. It is fairly accessible, has a thorough and competent description of experimentation, and considers some ethical issues. Glossary, index, and references are all provided. Stern, Paul C., and Linda Kalof. Evaluating Social Science Research. 2d ed. New York: Oxford University Press, 1996. A clearly written, nonthreatening book for the early to middle-level college student. The focus of the author is on encouraging the critical analysis of research; to this end, caseresearch examples are presented for examination. End-of-chapter exercises are included to aid the student in integrating information. Mark B. Alcorn See also: Animal Experimentation.
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Field Theory Kurt Lewin Type of psychology: Personality Fields of study: Motivation theory; personality theory; social perception and cognition Lewin’s field theory maintains that behavior is a function of the life space, or psychological reality, of the individual. Individuals are motivated to reduce tensions that arise in this life space. Lewin’s theory can be used to understand a wide range of everyday behavior and to suggest strategies for addressing social problems, such as the reduction of prejudice and the resolution of social conflicts. Key concepts • life space • locomotion • quasi-stationary equilibrium • region of life space • tension Kurt Lewin was a theorist of everyday life. His field theory attempts to explain people’s everyday behavior, such as how a waiter remembers an order, what determines the morale and productivity of a work group, what causes intergroup prejudice, how a child encounters a new environment, or why people eat the foods that they do. For Lewin, what determines everyday behavior is the “life space” of the individual. The life space represents the psychological reality of the individual; it is the totality of all psychological facts and social forces that influence an individual at a given time and place. For example, the life space of a child entering a novel domain is, for the most part, undifferentiated, and thus results in exploration on the part of the child. On the other hand, the life space of an employee at work may be well differentiated and populated with demands from the employer to produce more goods, from coworkers to follow a production norm, and from home for more income. There might, additionally, be physical needs to slow down. Evolution of Lewin’s Theory Field theory was born on the battlefields of World War I. Lewin served as a soldier in the German army. His first published article was titled “The War Landscape,” and it described the battlefield in terms of life space. The soldier’s needs determined how the landscape was to be perceived. When the soldier was miles from the front, the peaceful landscape seemed to stretch endlessly on all sides without direction. As the war front approached, the landscape took on direction, and peaceful objects such as rocks and trees became elements of battle, such as weapons and places to hide. After the war, Lewin took an academic appointment at the Psychological 344
Field Theory: Kurt Lewin Institute of Berlin, where he served on the faculty with Gestalt psychologists Wolfgang Köhler and Max Wertheimer. While at the institute, Lewin further developed his field theory and conducted the first program of experimental social psychological research exploring topics such as memory for interrupted tasks, level of aspiration, and anger. His work derived as much from field theory as it did from his curiosity about the social world. For example, research on memory for interrupted tasks began when he and his students wondered why a waiter could remember their rather lengthy order but would forget it immediately after the food was served. In field theory terms, noncompleted tasks (such as the waiter’s recall before delivering the order) were recalled better because they maintained a tension for completion compared to completed tasks, for which this tension is resolved. As the Nazi Party rose to power in Germany, Lewin correctly perceived that his own Jewish life space and that of his family were becoming progressively more threatened and intolerable. Like many Jewish intellectuals of the time, Lewin emigrated to the United States; he obtained a number of visiting appointments until he established the Center for Group Dynamics at the Massachusetts Institute of Technology in 1944. Lewin’s American research was much more applied than his work in Europe, and it concentrated particularly on social problems such as prejudice and intergroup conflict— perhaps as a result of his own experience of prejudice as a Jew in Germany. Before his death in 1947, Lewin helped train the first generation of American students interested in experimental social psychology, including such notables as Leon Festinger, Harold Kelley, Stanley Schachter, and Morton Deutsch. As a result, Lewin’s intellectual legacy pervades the field of experimental social psychology. Today, first-, second-, third-, and even fourthgeneration Lewinian social psychologists continue to carry on his research legacy by investigating topics of long-standing interest to Lewin, such as prejudice, achievement, organizational behavior, social cognition, and the reduction of cognitive tensions or dissonance and by attempting to explain how individuals construe their environments and how those environments affect behavior. Life Space Regions The concept of life space is usually divided into two parts: person and environment. These two parts can be differentiated further into regions. A region is any major part of the life space that can be distinguished from other parts and is separated by more or less permeable boundaries. For example, regions differentiated within the person might consist of needs, goals, hopes, and aspirations of the individual, whereas the differentiation of the environment might consist of profession, family, friendships, social norms, and taboos. Locomotion, or behavior and change in the life space, is determined by the differentiation of regions in the life space and by the forces for change emanating from each region. Often, in any given life space, there are opposing or conflicting forces. For example, a boss may want to increase produc345
Psychology Basics tivity as much as possible, whereas coworkers may seek to limit production to levels obtainable by all workers. According to Lewin, these tensions, or opposing social forces, provide the motivation for behavior and change in the life space. Tension can be resolved by any number of activities, including reconfiguring the life space either physically (for example, getting a new job) or mentally (for example, devaluing either the boss’s or coworkers’ opinions); performing a substitute task that symbolically reduces tension (for example, performing different tasks of value to the boss); or finding the “quasi-stationary equilibrium,” or position where all opposing forces are equal in strength (for example, performing at a level between boss’s and coworkers’ recommendations). Comparison with Behaviorism and Psychoanalysis It is useful to compare Lewin’s field theory with the two other major theories of the time: behaviorism and psychoanalysis. Lewin’s field theory can be summarized by the equation B = f(P,E), or, “Behavior is a function of person and environment.” In other words, behavior is function of the life space of a total environment as perceived by the individual. In psychoanalytic thought, behavior is a function of the history of the individual. For example, past childhood experience is supposed to have a direct impact on current psychological processes. In contrast, Lewin’s theory is ahistorical. Although the individual’s past may influence that person’s approach and construal of the psychological field, its influence is only indirect, as behavior is a function of the current and immediate life space. Lewin’s field theory differs from behaviorism on at least two key dimensions. First, Lewin emphasized the subjectivity of the psychological field. To predict and understand behavior successfully, a therapist needs to describe the situation from the viewpoint of the individual whose behavior is under consideration, not from the viewpoint of an observer. Second, Lewin’s theory emphasizes that behavior must be understood as a function of the life space or situation as a whole. In other words, behavior is motivated by the multitude of often interdependent forces affecting an individual, as opposed to one or two salient rewards or reinforcers that may be present. Role in Social Change Lewin’s field theory has had many applications, particularly in the area of social change. Lewin’s approach to solving social problems was first to specify, in as much detail as possible, the life space of the individual involved. Next, he would identify the social forces affecting the individual. Finally, Lewin would experiment with changing these social forces or adding new ones to enact social change. Two applications of field theory performed by Lewin and his associates serve as good examples. One deals with changing food preferences and the other with the reduction of intergroup conflicts and prejudice. During World War II, there was a shortage of meat, an important protein source, in the United States. As part of the war effort, Lewin was assigned the 346
Field Theory: Kurt Lewin task of convincing Americans to eat sweetbreads—certain organ meats, which many Americans find unappetizing—to maintain protein levels. Lewin began by first describing the consumption channel, or how food reaches a family’s table. At the time, housewives obtained food from either a garden or a grocery store and then moved it to the table by purchasing it, transporting it home, storing it in an icebox or pantry, and then preparing it. At each step, Lewin identified forces that kept the gatekeeper—in this case, the housewife—from serving sweetbreads. Such forces might have included the belief that family members would not eat sweetbreads, inexperience with the selection and preparation of sweetbreads, or inherently distasteful aspects of the food. In attempting to remove and redirect these forces, Lewin experimented with two approaches, one successful and the other not. In the unsuccessful case, Lewin presented housewives with a lecture detailing the problems of nutrition during the war and stating ways of overcoming obstacles in serving sweetbreads; he discussed ways to prepare sweetbreads, provided recipes, and indicated that other women had successfully served sweetbreads for their families with little complaint. Only 3 percent of the housewives hearing this lecture served sweetbreads. From Lewin’s perspective, such a lecture was ineffective because it did not involve the audience and arouse the level of tension needed to produce change. Lewin’s second method was a group discussion. The housewives were asked to discuss how they could persuade “housewives like themselves” to serve sweetbreads. This led to a discussion of the obstacles that the housewife might encounter, along with ways of overcoming these obstacles (just as in the lecture). Such a discussion was effective because it created tension for the housewife: “I just told everyone why they should and how they could eat sweetbreads, and I am not currently serving them myself.” After this group discussion, 32 percent (an almost elevenfold increase) of the housewives involved served sweetbreads. Conflict and Prejudice Lewin approached the problem of intergroup conflict and racial prejudice by describing the life spaces of the members of the conflicting parties. For example, Lewin saw the life space of many minority group members (such as religious and racial minorities) as full of obstacles and barriers which restrict movement in the life space. The life space of the majority member often consigned the minority member to a small and rigidly bounded region (for example, a ghetto). By isolating minority group members, majority group members can develop unrealistic perceptions or stereotypes of the out-group. Such life spaces are very likely to result in intergroup conflict. The field theory analysis of racial prejudice suggests that one way to reduce intergroup conflict is to remove obstacles and increase the permeability of intergroup barriers. In the later part of his career, Lewin established the Commission on Community Interrelations as a vehicle for discovering ways of removing intergroup barriers. Lewin and his colleagues discovered 347
Psychology Basics some of the following successful techniques for promoting intergroup harmony: enacting laws that immediately removed barriers, such as racial quotas limiting the number of Jews who could attend certain universities; immediate hiring of blacks as sales personnel, thereby increasing the permeability of intergroup boundaries by making contact between group members more likely; responding directly to racial slurs with a calm appeal based on American traditions and democracy to provide a countervailing force to the slur; promoting meetings of warring groups in a friendly atmosphere as a means of breaking down group boundaries; and immediately integrating housing as a successful way of promoting racial harmony. Sources for Further Study Bar-Gal, David, Martin Gold, and Miriam Lewin, eds. The Heritage of Kurt Lewin: Theory, Research, and Practice. New York: Plenum Press, 1992. Published with the Society for the Psychological Study of Social Issues. Includes a bibliography. De Rivera, Joseph, comp. Field Theory as Human-Science: Contributions of Lewin’s Berlin Group. New York: Gardner Press, 1976. An English translation of research conducted by Lewin and his students when Lewin was at the University of Berlin. Lewin, Kurt. A Dynamic Theory of Personality. New York: McGraw-Hill, 1959. Lewin’s first major English work, consisting of a translation of many of his first papers published in Germany. __________. “Group Decision and Social Change.” In Readings in Social Psychology, edited by Theodore M. Newcomb and Eugene L. Hartley. New York: Holt, 1958. Describes how Lewin changed food preferences during World War II, providing an excellent example of how to apply field theory to practical problems. __________. Resolving Social Conflicts; and, Field Theory in Social Science. Washington, D.C.: American Psychological Association, 1997. A reprint of two of Lewin’s most influential works, collecting his major papers discussing practical problems of modern society such as prejudice and group conflict. Provides excellent examples of how to apply field theory to social problems. Marrow, Alfred Jay. The Practical Theorist: The Life and Work of Kurt Lewin. New York: Teachers College Press, 1977. This definitive biography of Lewin, written by one of his students, describes the life of Lewin and provides a glimpse of the personality behind field theory. Wheelan, Susan A., Emmy A. Pepitone, and Vicki Abt, eds. Advances in Field Theory. Thousand Oaks, Calif.: Sage, 1990. A collection of essays addressing issues in field theory such as managing social conflict, self-help groups, field theory and the construction of social problems, and academic sex discrimination. Anthony R. Pratkanis and Marlene E. Turner See also: Groups; Motivation. 348
Gender-Identity Formation Type of psychology: Developmental psychology Fields of study: Cognitive development; infancy and childhood Gender-identity formation refers to the complex processes through which children come to incorporate their gender into their behavior, attitudes, and self-understanding. This includes the development of an inner sense of one’s femaleness or maleness; the acquisition of knowledge about cultural expectations for females and males; and the development of attitudes, interests, and behavior that reflect these expectations. Key concepts • gender constancy • gender identity • gender schema • sex role • sex-role socialization • sex typing The first question that is usually asked about a newborn baby is whether it is a boy or a girl. The single fact of the child’s gender has enormous implications for the course of his or her entire life. Gender-identity formation refers to the complex processes through which children incorporate the biological and social fact of their gender into their behavior, attitudes, and selfunderstanding. This area includes ideas about two major, interrelated processes: genderidentity development and sex typing. The term “gender-identity development,” used in its narrower sense, refers to the process through which children come to label themselves cognitively as boys or girls and to have an inner sense of themselves as male or female. “Sex typing,” also called genderrole acquisition, refers to the processes through which children learn what is expected of members of their gender and come to exhibit primarily those personality traits, behaviors, interests, and attitudes. Cultural Contexts Social-learning theorists such as Walter Mischel have described mechanisms of learning through which children come to exhibit sex-typed behavior. Boys and girls often behave differently because they are rewarded and punished for different behaviors. In other words, they receive different conditioning. In addition, children’s behavior becomes sex typed because children observe other males and females regularly behaving differently according to their gender, and they imitate or model this behavior. Parents are especially important in the process of learning one’s gender role, both as models for gender-appropriate behavior and as sources of rewards or reinforcement. Because parents become associated with positive experiences (such as being fed and comforted) early in life, children learn 349
Psychology Basics to look to them and other adults for rewards. Parents and other adults such as teachers often react differentially to gender-typed behaviors, rewarding gender-appropriate behavior (for example, giving praise or attention) and punishing gender-inappropriate behavior (for example, frowning, ignoring, or reprimanding). As children become more involved with their peers (children their own age), they begin to influence one another’s behavior, often strongly reinforcing traditional gender roles. The fact that children are usually given different toys and different areas in which to play based on their gender is also important. Girls are given opportunities to learn different behaviors from those of boys (for example, girls learn nurturing behavior through playing with dolls) because they are exposed to different experiences. Using what is called a cognitive developmental perspective, Lawrence Kohlberg described developmental changes in children’s understanding of gender concepts. These changes parallel the broad developmental changes in the way children’s thinking is organized, first described by Jean Piaget and Barbel Inhelder. Children mature naturally through stages of increasingly complex cognitive organization. In the area of understanding gender, the first stage is the acquisition of a rudimentary gender identity, the ability to categorize oneself correctly as a boy or a girl. Children are able to apply correct gender labels to themselves by about age three. At this stage, young children base gender labeling on differences in easily observable characteristics such as hairstyle and clothing, and they do not grasp the importance of genital differences in determining gender. As children’s thinking about the physical world becomes more complex, so does their understanding of gender. Gradually, by about age seven, children enter a second stage and acquire the concept known as gender constancy. Gender Constancy Gender constancy refers to the understanding that gender is a stable characteristic that cannot change over time and that is not altered by superficial physical transformations such as wearing a dress or cutting one’s hair. As children come to see gender as a stable, important characteristic of themselves and other people, they begin to use the concept consistently to organize social information. They learn societal expectations for members of each gender by watching the actions of the people around them. Kohlberg proposed that children use their developing knowledge of cultural gender expectations to teach themselves to adopt culturally defined gender roles (self-socialization). He argued that children acquire a strong motive to conform to gender roles because of their need for self-consistency and self-esteem. A young boy says to himself, “I am a boy, not a girl; I want to do boy things, play with boy toys, and wear boy clothes.” Children hold more rigid gender stereotypes before they acquire gender constancy (ages two through seven); once gender constancy is achieved, they become more flexible in their adherence to gender roles. As children 350
Gender-Identity Formation enter adolescence, their thinking about the world again enters a new stage of development, becoming even more complex and less rigid. As a result, they may be able to achieve what Joseph Pleck has called “sex-role transcendence” and to choose their interests and behaviors somewhat independent of cultural gender-role expectations. Gender Schema Gender-schema theory is a way of explaining gender-identity formation, which is closely related to the cognitive developmental approach. The concept of a schema or a general knowledge framework comes from the field of cognitive psychology. Sandra Bem proposed that each person develops a set of gender-linked associations, or a gender schema, as part of a personal knowledge structure. This gender schema filters and interprets new information, and as a result, people have a basic predisposition to process information on the basis of gender. People tend to dichotomize objects and attributes on the basis of gender, even including qualitites such as color, which has no relevance to biological sex. Bem proposed that sex typing develops as children learn the content of society’s gender schema and as they begin to link that schema to their selfconcept or view of themselves. Individuals vary in the degree to which the gender schema is central to their self-concept; it is most central to the selfconcept of highly sex-typed individuals (traditionally masculine males or traditionally feminine females). Gender Identity Disorder Ideas about gender-identity formation have important implications for child rearing and education. Most parents want to help their child identify with and feel positive about his or her gender. Those few children who fail to develop a clear inner sense of themselves as male or female consistent with their biological sex may have significant social adjustment difficulties; they are sometimes given psychological treatment for a condition called genderidentity disorder. According to the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000), genderidentity disorder is defined by a strong and persistent cross-gender identification. In a child, it is manifested by such features as repeated statements of the desire to be, or insistence that he or she is, the other gender; preference for or insistence on wearing stereotypical clothing of the opposite sex; strong and persistent preference for cross-sex roles in make-believe play or fantasies of being the other gender; an intense desire to participate in the stereotypical games of the opposite sex; and a strong preference for playmates of the other sex. A boy with this disorder may assert that his penis is disgusting or will disappear, or that it would be better not to have one. He may show an aversion toward rough-and-tumble play and reject male stereotypical toys, games, and activities. A girl with this disorder may reject urinat351
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Gender-role acquisition refers to the processes through which children learn what is expected of members of their gender and come to exhibit primarily those personality traits and interests. (CLEO Photography)
ing in a sitting position, assert that she has or will grow a penis, claim that she does not want to grow breasts or to menstruate, or show a marked aversion toward feminine clothing. Adults who continue to have a gender identity that is inconsistent with their biological sex may desire surgery and hormonal treatments to change their sex. This rare condition, called transsexualism, is more common among biological males than females. Although many people have interests, personality characteristics, or sexual preferences commonly associated with the other gender, they are not transsexuals; their inner sense of their gender is consistent with their biological sex. Gender Equality Often parents and educators want to help children avoid becoming strongly sex typed. They do not want children’s options for activities, interests, and aspirations to be limited to those traditionally associated with their gender. Adopting strongly sex-typed interests may be especially problematic for girls because the traditional female role and the qualities associated with it (that is, emotionality, nurturance, and dependence) tend to be devalued in American culture. Traditionally masculine interests and behaviors are usually tolerated in girls before puberty; it is all right to be a “tomboy.” Traditionally feminine interests and behaviors, however, tend to be vigorously discouraged in boys; it is not acceptable to be a “sissy.” 352
Gender-Identity Formation Considerable research has focused on whether and how socializing agents, including parents, teachers, peers, and media such as children’s books and television, reinforce gender stereotypes and teach children to exhibit sextyped behaviors. Researchers have been concerned both with how gender roles are modeled for children and with how sex-typed behavior is rewarded. A study by Lisa Serbin and her colleagues carried out in the 1970’s is an example. These researchers observed teachers’ interactions with children in a preschool setting and recorded their observations in a standardized way. They found that teachers gave more attention to girls when they were physically close to them than when they were farther away; however, teachers’ attention to boys did not vary with the child’s proximity. This finding suggests that teachers reinforce girls more than boys for “dependent” behavior without necessarily meaning to do so. Parents often report that they try to treat their children the same regardless of their gender. Many of the most powerful influences parents exert result from behaviors of which they are probably unaware. Research studies have shown that parents consistently interact differently with male and female children in areas such as engaging in gross motor play (for example, running, jumping, throwing), encouraging children’s sex-typed play (particularly discouraging doll play among boys), demanding effort and giving help with problem-solving tasks, and allowing children to have independence and freedom from supervision. Children’s peers have been shown to play an important role in sex-role socialization. Particularly in early childhood, when children’s gender concepts tend to be far more rigid than those of adults, peers may be the source of misinformation (for example, “girls can’t be doctors; girls have to be nurses”) and of strong sanctions against behavior that is inconsistent with one’s gender role. Laboratory studies have shown that exposure to gender stereotypes in books and on television tends to have a measurable effect on children’s sextyped behavior. For example, children are more likely to play with a “genderinappropriate” toy after reading a story in which a child of their gender played with that toy. In addition, these media may be important in the development of a child’s gender schema because they provide a rich network of information and associations related to gender. Extensive studies of the gender-related content of children’s books and children’s television were conducted in the 1970’s, and this led to reform efforts by some textbook publishers and television producers. One influential study by a group called Women on Words and Images published in 1975 analyzed the contents of 134 grade-school readers and found gender-stereotypic portrayals of male and female characters, genderstereotypic themes, and male dominance to be the rule. Boys outnumbered girls as major characters by five to two; in 2,760 stories examined, only three mothers were shown working outside the home. Systematic studies of children’s television have produced similar results. 353
Psychology Basics Freudian Theory Psychologists have been interested in gender-identity formation since the work of Sigmund Freud and other early psychoanalytic theorists in the beginning of the twentieth century. Since the early 1970’s, however, there has been a major shift in thinking about this topic, largely as a result of the women’s movement. Early work in this area considered sex typing to be a healthy and desirable goal for children. Since the 1970’s, much research has been based on the assumption that rigid adherence to traditional gender roles is restrictive and undesirable. Freud’s theory of psychosexual development was the first to attempt to explain gender-identity formation. Freud believed that sex-typed behavior results primarily from girls identifying with (wanting to be like) their mothers and boys identifying with their fathers. However, he believed that during infancy both boys and girls form strong sexual feelings for their mothers and identify with them. Thus, Freud tried to explain how boys come to identify with their fathers and how girls transfer their sexual feelings to their fathers. Freud believed that the discovery that girls and women do not have penises leads the three- to five-year-old boy to develop great fear that he will lose his own penis (castration anxiety). As a result, the boy begins to identify with his father out of fear that the father will take away his penis. He gives up his identification with his mother and suppresses his sexual feelings toward her. For a little girl, the same discovery leads to penis envy and to blaming her mother for her lack of this desired organ. Because of her disappointment, she transfers her sexual feelings from her mother to her father, and she fantasizes that her father will give her a penis substitute—a baby. Freud’s theory was an important inspiration for much of the work done on gender identity prior to the late 1960’s. Since that time, however, developmental psychologists have not often used Freud’s theory because most of its concepts rely on the idea of unconscious forces that cannot be evaluated scientifically. Freud’s idea that “anatomy is destiny”—that profound psychological differences between the sexes are inevitable—met with strong criticism with the rise of the women’s movement. The issue of the relative importance of biological, genetic factors (or “nature”) compared with experiential, social factors (or “nurture”) in gender-identity formation has been a major source of controversy in psychology. Most psychologists acknowledge a role for both nature and nurture in forming differences in the behavior of boys and girls. Psychologists are interested in understanding the ways in which inborn capacities (such as cognitive organization) interact with environmental experiences in forming a person’s identity as a male or a female. The twentieth century experienced a great upheaval in thinking about gender roles, and this has been mirrored by changes in psychological research and theory about gender. The growing scientific understanding of gender identity may help to form future societal attitudes as well as being formed by them. 354
Gender-Identity Formation Sources for Further Study Abbott, Tina. Social and Personality Development. New York: Routledge, 2002. An introductory psychology textbook. Part 2 covers gender and gender identity development. Bem, Sandra Lipsitz. The Lenses of Gender: Transforming the Debate on Sexual Inequality. New Haven, Conn.: Yale University Press, 1993. Discusses theories about gender relations through the lenses of androcentrism (taking male experience for the norm), gender polarization (placing male and female experience at opposite ends of a cultural spectrum, with nothing in between), and biologic essentialism (using biological differences to account for cultural realities). Butler, Judith. Gender Trouble. Reprint. New York: Routledge, 1999. The tenth anniversary reprint of this classic work on gender formation and transgression in American society. Fast, Irene. Gender Identity: A Differentiation Model. Hillsdale, N.J.: Lawrence Erlbaum, 1984. Reviews theories in the light of Freudian psychoanalytic theory. Kimmel, Michael. The Gendered Society. New York: Oxford University Press, 2001. Examines gender from the positions of difference (placing “male” and “female” on a spectrum rather than opposite ends of a pole) and dominance (arguing that gender inequality causes the perception of gender difference, which in turn is used to justify inequality). Unger, Rhoda K., ed. Handbook of the Psychology of Women and Gender. New York: John Wiley & Sons, 2001. A clinical and research handbook covering major theories, trends, and advances in the psychology of women and gender. Emphasizes multicultural issues and the impact of gender on physical and mental health. Lesley A. Slavin See also: Development; Hormones and Behavior; Personality Theory; Psychoanalytic Psychology and Personality: Sigmund Freud; Women’s Psychology: Karen Horney; Women’s Psychology: Sigmund Freud.
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Giftedness Type of psychology: Developmental psychology; intelligence and intelligence testing Fields of study: Ability tests; cognitive development; general issues in intelligence; intelligence assessment Giftedness refers to a capability for high performance in one or more areas of accomplishment. The focus on giftedness as a human capability has led to efforts to identify giftedness early in life, to develop special programs of instruction for gifted children and adolescents, and to design counseling interventions to help gifted learners realize their potentials. Key concepts • asynchronous development • child prodigies • gifted education program • intelligence test scores • Marland definition • precociousness • prodigious savants • standardized test scores • talent Modern studies of giftedness have their origin in the work of Lewis Terman at Stanford University, who in the 1920’s used intelligence test scores to identify intellectually gifted children. His minimal standard for giftedness was an intelligence quotient (IQ) of 140 on the Stanford-Binet Intelligence Test, a number at or above which only 1 percent of children are expected to score. (The average IQ score is 100.) Terman and his associates identified more than fifteen hundred children in California as gifted, and follow-up studies on “the Terman gifted group” were conducted throughout these children’s later lives. Although individuals in the gifted group tended to achieve highly in school and in their careers, they were not greatly different from average scorers in other ways. Terman’s research dispelled the myths that high scorers on IQ tests were, as a group, socially maladjusted or “burned out” in adulthood. They were high achievers and yet normal in the sense that their social relationships were similar to those of the general population. By the time the Terman gifted group reached retirement age, it was clear that the study had not realized the hope of identifying eminence. None of the children selected had, as adults, won a Nobel Prize, although two children who were rejected for the study later did so (physicist Luis Alvarez and engineer William Shockley). High IQ scores did not seem to be characteristic of artistic ability. Apparently, an IQ score of 140 or above as a criterion for 356
Giftedness giftedness in children was not able to predict creative accomplishments in later life. Studies conducted in the 1950’s under the direction of Donald MacKinnon at the University of California at Berkeley tended to confirm this conclusion. Panels of experts submitted the names of whomever they believed to be the most creative architects, mathematicians, and research scientists in the United States. Then these individuals were invited to take part in assessments, including measurement of their intelligence through the Wechsler Adult Intelligence Scale. The IQ scores of these highly creative individuals ranged from 114 to 145, averaging around 130, significantly below Terman’s criterion for giftedness. No one knows how these adults would have scored on the Stanford-Binet test as children, or how creative adults in other domains would have scored, but the results confirmed that a score of 140 on an intelligence test is not a prerequisite for outstanding creative accomplishment. More recent studies have cast light on the importance of nurture in the development of a broader range of talent. A team of researchers at the University of Chicago headed by Benjamin Bloom investigated the lives of 120 talented adults in six fields: piano, sculpture, swimming, tennis, mathematics, and research neurology. They found that in most cases, accomplishments on a national or international level by the time an individual has reached the age of forty had their origin not in a prodigious gift but in childcentered homes. The child’s early experiences of the field were playful, rewarding, and supported by parents. Rapid progress was due to a work ethic instilled by parents (“always do your best”) and by increasingly expert and selective teachers, whom parents sought out. Bloom’s findings did not exactly contradict those of Terman (no testing was done), but they suggested that nurture and motivation play the lead and supporting roles in the development of a wide range of talent. Just what general ability IQ tests measure remains uncertain, but increasingly, psychologists and educators have conceptualized giftedness as a function of specialized capabilities and potential for performance in specific fields such as mathematics, biology, dance, or visual arts. A definition of giftedness first offered in a 1971 report to the Congress of the United States by Sidney Marland, then commissioner of education, indicates a much broader concept of giftedness than high IQ scores have been found to measure. “Gifted and talented children are those identified by professionally qualified persons who, by virtue of outstanding abilities, are capable of high performance.” He continued, Children capable of high performance include those with demonstrated achievement or potential ability in any of the following areas, singly or in combination: 1. general intellectual ability 2. specific academic aptitude 357
Psychology Basics 3. creative or productive thinking 4. leadership ability 5. visual or performing arts 6. psychomotor ability.
This definition of giftedness, known after its author as the Marland definition, does not distinguish giftedness from talent and includes performance capabilities that are sometimes related only distantly to performance on an IQ test. Nevertheless, the legacy of the Terman study of giftedness is that high IQ test scores remain one among several ways for psychologists and educators to identify intellectual giftedness among children in the general population. Giftedness in academic, creative, leadership, artistic, and psychomotor domains, however, is generally identified in other ways. Identification of Giftedness Different percentages of the general population have been identified as gifted, depending on the definition of giftedness. Terman’s use of IQ scores of 140 or above identified 1 percent of scorers as gifted. The current common indicator of intellectual giftedness is a score of 130 or above on a standardized, individually administered intelligence test, which is achieved by the top 2.5 percent of scorers. By the broader Marland definition, some form of which has been enacted through legislation by most states that have mandated gifted education programs, a minimum of 3 to 5 percent of school children are estimated to be gifted. Other definitions would identify as many as 10 to 15 percent of schoolchildren as gifted, or as many as 15 to 25 percent in a talent pool. Gifted and talented students receiving services in schools in the United States constitute about 6 percent of all children who are enrolled. By almost any definition, giftedness is very difficult to identify during infancy. Most researchers would agree that giftedness has a biological foundation, but whether this foundation exists as a general or a specific capability is unknown. One of the earliest indicators of many forms of giftedness is precociousness, or unusually early development or maturity. During preschool years, precociousness can generalize across several domains, such as the use of logic with an extensive vocabulary, or it can be more specialized, such as drawing realistic pictures of animals or objects, or picking out a tune by ear on a musical instrument. Development does not seem to proceed in all areas at the same pace, however, so a young child may develop early in one or two areas but still behave in many ways like other children of the same age. Because of such asynchronous development, parents should not assume that a child who can master the moves of checkers at four years of age, for example, will accept losing a game any better than the average four-year-old. A surprising number of gifted children are their parents’ only children or first-borns, but this fact only reveals that their precocious development is due, at least in part, to learning from the models in their early environment 358
Giftedness who are adults rather than age-mates. As Bloom’s study suggested, parents or other adult caretakers provide opportunities, resources, and encouragement to learn. Whatever reading ability a child may have, for example, can be nurtured by adults who read both to her and around her, who provide appropriate materials to read, and who show interest in the child’s spontaneous efforts to read. A child who is developing a talent early often will tend to rehearse it spontaneously, or call for repeated performance or for explanation by the parent (or other model) to review or understand what the child wants to learn. An eight-year-old, for example, might draw a whimsical but easily recognizable portrait of a parent’s face while watching cartoons. A nine-year-old might play a competent if not yet masterful game of chess with the school principal, who then asks the child to explain certain moves, and so on. The products and performances of gifted children in elementary school are often similar to the products and performances of skilled but less gifted adolescents. For this reason, gifted children are often bored when instruction is designed for their age level rather than for an advanced level and rapid pace of learning. By the school years, children’s giftedness can be assessed reliably in ways other than observation of precociousness. Assessment usually begins with nomination by a teacher, parent, group of peers, or possibly the child himself or herself to identify who is gifted. Some psychologists have argued that nominations by those who know children well can be sufficient for placement in a gifted education program or a set of services beyond those normally provided by the regular school program, in order to help gifted children realize their potentials. Teacher nominations cannot be the sole indicator of who is gifted, however, because studies have shown them to miss about half of all gifted children. Nominations by teachers and others are often supported by academic marks during the previous year, and these evidences of achievement are often supplemented by standardized test scores. These scores can result from individual or group assessments of intelligence, school ability, cognitive abilities, academic aptitudes or achievements, and creative or productive thinking abilities. Because tests themselves have been found to identify only half of all gifted children, test scores are sometimes supplemented by scores from other types of instruments (such as checklists), ratings of portfolios or performances, or interviews to complete the assessment process. No single assessment technique or instrument has been found to identify satisfactorily all types of giftedness in the Marland definition. Underrepresentation of African American, Latino, and American Indian children in gifted education programs in the United States remains largely a problem of identification. Instruction of Gifted Children and Adolescents Eligibility for a gifted education program may be decided as a result of the process of identification, but the design of a program of instruction for each 359
Psychology Basics child is often a separate set of decisions, sometimes requiring further assessments. It must be decided whether a child who is nearing the end of first grade but who has performed at the seventh-grade level on a standardized achievement test should be promoted to a much higher grade next year. An adolescent who is writing commercial music, and who is successfully performing it on weekends, might be allowed to leave school during the day to make a recording. The programming decisions to be made are as diverse as the talents of the children themselves. It is not surprising, then, that no single strategy for teaching gifted children has been found to be the best. Rather, broad strategies of intervention can be classified as modifications in curriculum content or skills and modifications in school environment. Either of these strategies might be formalized by means of a written plan or contract, which is an agreement between individuals, such as the learner, the teacher, and (when relevant) others, including the gifted education teacher or the parent(s). Parents have the right to refuse special services for their children, but few do.
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Children who display advanced cognitive skills at an early age may need additional educational opportunities to maximize their potential. (CLEO Photography) 360
Giftedness Modifications in curriculum content for gifted students might include content acceleration (such as early admission, grade skipping or “telescoping” two years into one); content enrichment (materials to elaborate on basic concepts in standard program); content sophistication (more abstract or fundamental considerations of basic concepts); and content novelty (such as units on highly specialized topics). Modifications in skills include training in component skills of problem solving; various forms of problem solving (such as creative, cooperative, or competitive); and development of creativity. A program for the first-grader who is performing on achievement tests at the seventh-grade level, for example, might call for placement in a higher grade level (grade skipping), although which grade level to place the child in would have to be determined using teacher observations, interview results, and diagnostic tests. Possible modifications in the school environment include provisions for enrichment in the regular classroom (such as access to special equipment); a consultant teacher (who helps the classroom teacher develop lessons); a resource room (or “pullout” program); mentoring (often by a professional in the community); independent study (often a special project); specialinterest classes (such as creative writing); special classes (such as advanced placement biology); and special schools (such as a statewide math and science school). A program for the musically creative adolescent might incorporate mentoring by a music professional, who would report to the school on a regular basis about work completed by the adolescent at a recording studio or while otherwise away from school during school hours. Of all of these modifications, teachers and parents seem to be most concerned about content acceleration, particularly if it involves grade skipping. As long as children are not socially and emotionally “hurried” by adults to achieve early, research suggests that the impact of content acceleration is positive. Most children who spend all or part of the school day with older children have ample opportunities to socialize with age-mates (if they wish) after school, on weekends, and in their neighborhoods. Being gifted can imply a preference for working alone or with older children, but it does not imply being lonely, particularly for those who are moderately gifted. Individualized education programs (IEPs) are especially important for highly gifted children, such as child prodigies, who have either an extremely high IQ (180 or above) or expertise in a domain-specific skill by age ten; prodigious savants, formerly known as idiots savants, who have an IQ below 70 but expertise in a domain-specific skill (such as calendar calculating); and gifted children with disabilities. Children with disabilities (some of them multiple disabilities) may represent several percent of those who are gifted. In the United States, an IEP for these children is mandated by law. The importance of an individual program is evidenced by the case of Helen Keller, whose home tutoring not only resulted in the development of her intellectual abilities but also enabled her later accomplishments as an advocate for the blind throughout the world. 361
Psychology Basics Counseling Gifted Learners Beginning in the 1920’s, Leta Hollingworth at Columbia University investigated characteristics of children who scored over 180 on the Stanford-Binet test. Her study of twelve children (eight boys and four girls) suggested that despite their overall adjustment, children who were highly intellectually gifted tended to encounter three challenges not encountered by most other children. The first was a failure to develop work habits at school because of a curriculum paced for much less capable learners. The second was difficulty in finding satisfying companionship because of their advanced interests and abilities in relation to their age-mates. The third was vulnerability to frustration and depression because of a capacity to understand information on an adult level without sufficient experience to know how to respond to it. Hollingworth suggested that the problem of work habits could be addressed by a combination of acceleration and enrichment. The problem of loneliness could be solved by training gifted children in social games—such as checkers or chess—that could be played by people of any age, and the problems of frustration and depression by careful adult supervision and patience. Research has tended to confirm that the problems Hollingworth identified often need to be addressed, not only in cases of extreme precociousness but, to a lesser extent, in the lives of many people identified as gifted. If underachievement by a gifted child has its source in an unchallenging or otherwise inappropriate educational program, the recommended action is to assess strengths and weaknesses (a learning disability may be the problem), then design a more appropriate program or place the child in one that already exists. If the source of underachievement is low self-esteem, the home environment may be unlike that found by Bloom to nurture talent. In this case, family counseling can often reverse underachievement. To help a gifted child with peer relations, group counseling with other gifted children can be particularly beneficial. Not only can group members share their experiences of being gifted, but they can establish and maintain friendships with those who have similar (or sometimes quite different) exceptionalities. Group sessions can be both therapeutic and developmental. At least some of the emotional challenges facing gifted children develop from their emotional sensitivity and excitability. Because parents and siblings often share these characteristics, the stage is set for conflict. What is surprising is that conflict does not create unhappiness more often. In the main, gifted people report satisfaction with their home lives. If tensions in the home arise more often than average, the parents of gifted children and the children themselves may need to develop more effective conflict resolution strategies and higher levels of self-understanding. Developmental counseling can assist parents and children in making these changes. 362
Giftedness Sources for Further Study Bloom, Benjamin S., ed. Developing Talent in Young People. New York: Ballantine, 1985. A landmark study of the environmental influences which shape talent. Colangelo, Nicholas, and Gary A. Davis, eds. Handbook of Gifted Education. 2d ed. Boston: Allyn & Bacon, 1997. A valuable collection of chapters for those with some background knowledge of gifted education. Gallagher, James, and Shelagh Gallagher. Teaching the Gifted Child. 4th ed. Boston: Allyn & Bacon, 1994. A general overview of strategies for teaching gifted learners. MacKinnon, Donald W. In Search of Human Effectiveness. Buffalo, N.Y.: Creative Education Foundation, 1978. A technical but readable account of an intensive effort to assess adult creativity. Marland, Sidney P. Education of the Gifted and Talented. Washington, D.C.: Government Printing Office, 1972. Many current definitions of giftedness have their origin in this report, which is accessible in the Educational Resource Information Center (ERIC) collection as document Nos. ED056243 (Volume 1, Report to the Congress of the United States) and ED056244 (Volume 2, Background Papers). Shurkin, Joel N. Terman’s Kids: The Groundbreaking Study of How the Gifted Grow Up. Boston: Little, Brown, 1992. A highly readable summary of Terman’s findings, set in a modern perspective by a journalist. Silverman, Linda K. Counseling the Gifted and Talented. Denver, Colo.: Love, 1993. Describes the personal and emotional characteristics of gifted children, their home lives, and the challenges of raising them. Recommended reading for parents as well as professionals. Winner, Ellen. Gifted Children: Myths and Realities. New York: Basic Books, 1996. Responds to nine myths about gifted children with a balance of case studies and research evidence. Recommended especially for those interested in the nature and nurture of unusually gifted children. John F. Wakefield See also: Creativity and Intelligence; Intelligence; Intelligence Tests; Learning.
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Groups Type of psychology: Social psychology Field of study: Group processes The structure and function of groups have stimulated a large quantity of research over the years. What groups are, how groups form, and the positive and negative effects of groups on individuals are the primary areas of research that have provided insights into social behavior. Key concepts • deindividuation • density • group formation • identity • self-attention • social support In any newspaper, one is likely to find several captivating stories that highlight the powerful negative influence that groups can exert on individuals. For example, one may recall the tragic violence exhibited by British sports fans at the international soccer matches in Belgium in the spring of 1985. One may also consider the one-man crime wave of Fred Postlewaite. For twenty years, Postlewaite engaged in a cross-country vandalism spree against the Sigma Alpha Epsilon college fraternity, which had rejected him in his youth. There are equally dramatic instances of the powerful positive influences of groups. When the Spy Run Creek in Fort Wayne, Indiana, began to flood its banks in 1982, a group of the community’s youths voluntarily participated in efforts to hold back its rising waters. There was also the rescue of four-year-old Michelle de Jesus, who had fallen from a subway platform into the path of an onrushing train. Everett Sanderson, a bystander, leapt down onto the tracks and flung the child into the crowd above. After he failed in his attempt to jump back to the platform, he was pulled up to safety at the last instant by bystanders. These real-life events are noteworthy because they illustrate the universality of groups and the various ways that groups influence individual behavior. Although everyone can attest the prevalence of groups and the power that they can wield over individuals, several characteristics of groups are not as well defined. Several questions remain as to what groups are, how groups form, what groups look like, and the disadvantages and advantages of group membership. In spite of these questions, psychologists have come to understand many aspects of groups and the ways in which they influence individual behavior. 364
Groups Definition and Formation of Groups The members of Congress who compose the House of Representatives of the United States are a group. The urban committee deciding how to allocate budgetary resources for unwed mothers in a particular city is a group. The members of a car pool sharing a ride to the train station every day are a group. The family seated around the dinner table at home in the evening is a group. The acting troupe performing Hamlet is a group. There are other examples of groups, however, that may be a little less obvious. All the unwed mothers in an urban area might be considered a group. A line of people waiting to buy tickets to a Broadway show might be thought of as a group. People eating dinner at the same time in a diner might even be considered a group. The people in the audience who are watching an acting troupe perform could behave as a group. There are several ways in which people come to join the groups to which they belong. People are born into some groups. Several types of groupings are influenced in large part by birth: family, socioeconomic status, class, race, and religion. Other groups are formed largely by happenstance: for example, a line of the same people waiting for the 8:05 ferry every day. Some groups, however, are determined more clearly by intentional, goal-oriented factors. For example, a group of people at work who share a concern for well-being, health, and fitness may decide to form an exercise and nutrition group. Students interested in putting on a concert might decide to form a committee to organize bake sales, car washes, and fund drives in order to raise the money needed to achieve this goal. Finally, group memberships are sometimes created or changed as an effort toward self-definition or selfvalidation. For example, one can try to change one’s religion, political orientation, professional associations, friendships, or family in an effort to enhance how one feels about oneself—or how others feel about one. An individual searching for a positive self-definition may join a country club, for example, to benefit from the social status acquired from such group membership. Stages of Group Development Although there are countless underlying reasons for someone’s membership in a given group, the work of Bruce Tuckman suggests that groups progress through a relatively consistent series of stages or phases in their development. Forming refers to a phase of coming together and orientation. Group members become acquainted with one another and define the requirements of group membership as well as the tasks to be performed. Storming refers to a phase of polarization and conflict. During this phase, group members deal with disagreements, compete for attractive positions within the group, and may become dissatisfied with other group members or the group as a whole. Norming refers to a phase when conflicts are solved and group members arrive at agreements regarding definitions of tasks and the requirements of group membership. Performing refers to the phase 365
Psychology Basics when group members concentrate on achieving their major task and strive toward shared goals. Finally, for some groups, adjourning refers to the disbanding or dissolution of the group after task completion. For example, consider a special task force created to search for a missing child. During the forming stage, the members of this group will volunteer for, or be appointed to, the group. Although the general goals and definition of the group may have been established with the decision to implement such a task force, a storming phase would occur that would lead the group members into the sometimes difficult task of defining specific procedures of operation, responsibilities of particular task force members, a functional hierarchy, and so on. The norming phase would represent the resolution of the polarizations that emerged during the storming phase, as the committee proceeded to establish an agenda, a decision structure, and a means of implementing decisions. During the performing phase, the task force would actually perform the tasks agreed upon during the norming phase. Having finished its task, the group would then be adjourned. Group Topography The topography of a group refers to its physical features. This includes such elements as the size of the group, the composition of the group, and the relationships between the various members of the groups. These topographical features of groups have been the focus of countless studies. One obvious physical feature that could vary from one group to another is size. Some scholars have categorized group types in terms of size. For example, some researchers have found it useful to distinguish between small primary groups (from two to twenty group members), small nonprimary groups (from three to a hundred members), large groups (one thousand to ten thousand members), and largest groups (ten thousand-plus members). While such classifications may be interesting, the realities of everyday groups are typically more modest than such grand schemes would suggest. In a large number of settings, naturally occurring, free-forming groups typically range in size from two to seven persons, with a mean of about three. There are certainly exceptions to this rule of thumb; for example, most audiences watching theater troupes are considerably larger than three people. Nevertheless, most of the groups in which people interact on a day-to-day basis are relatively small. The size of a group tends to set the stage for many other topographical features of group life. Variations in Group Composition The number of relationships possible in a group, according to James H. S. Bosard, is a direct consequence of the size of the group: the larger the group, the larger the number of possible relationships the individual might find within the group. It is possible to express the precise mathematical function relating the number of possible relationships between individuals in a group and group size (N): This function is represented by the formula 366
Groups (N2−N)/ 2. For example, if the group is made of Tom and Dick, there is only one possible relationship between members of the group (Tom-Dick). If the group is made up of the three people Tom, Dick, and Harry, there are three possible relationships (Tom-Dick, Tom-Harry, and Dick-Harry). If the group is made up of seven people, there are twenty-one possible relationships between individuals; if there are ten people in the group, there are forty-five possible relationships between individuals. Thus, groups have the potential to become increasingly complex as the number of people in the group increases. There are many possible consequences of this increasing complexity. For one thing, it becomes increasingly harder to pay an equal amount of attention to everyone in the group as it increases in size. Brian Mullen and colleagues state that the person in the group who talks the most is paid the most attention, and in turn is most likely to emerge as the leader of the group; this effect (sometimes referred to as the “blabbermouth” theory of leadership) increases as the size of the group increases. It also becomes increasingly difficult to get to know everyone in the group and to spend equal amounts of time with everyone in the group as the group increases in size. Simplifying Group Complexity People in groups may tend toward a convenient simplification of this inevitable complexity. Scholars have long recognized the tendency for group members to divide other group members into groups of “us” and “them” rather than to perceive each person as a distinct entity. Groups can often be divided into perceptually distinct, smaller groups. For example, a committee might be composed predominantly of elderly members, with only one or a few young members. The general tendency is for people to focus their attention on the smaller group. The reason for this is that the smaller group seems to “stand out” as a perceptual figure against the background of the larger group. Thus, the youthful member of an otherwise elderly committee is likely to attract a disproportionate amount of attention from the committee members. Not only will the members of the larger group pay more attention to the smaller group, but the members of the smaller group will do so as well. Thus, the members of the smaller group will become more self-attentive, more aware of themselves and their behavior. On the other hand, the members of the larger group become less self-attentive, or, as Ed Diener contends, more deindividuated—less aware of themselves and their behavior. For example, the single woman in a group of mechanical engineers that are otherwise men will quickly stand out. The male mechanical engineers may tend to think of that one distinct individual in terms of her status as a woman. Moreover, the lone woman may become more sensitive than usual about her behavioral transgressions of the norms guiding sexual roles in an all-male working environment. 367
Psychology Basics Implications for Social Behavior Thus, group composition has been demonstrated to predict the extent to which people pay attention to and are aware of, themselves and specific facets of themselves, and to predict a variety of social behaviors including participation in religious groups, bystander intervention in emergencies, worker productivity, stuttering in front of an audience, and conformity. For example, an analysis of the participation of congregation members in their religious groups documented the powerful effect of group composition on behavior of group members. As the size of the congregation increased relative to the number of ministers, the congregation members were less likely to participate in the group (in terms of activities such as attending worship services, becoming lay ministers, or “inquiring for Christ”). In this instance, becoming “lost in the crowd” impaired the normal selfregulation behaviors necessary for participation. Alternatively, analysis of the behavior of stutterers in front of an audience also documented the powerful effects of group composition on the behavior of group members. As the size of the audience increased relative to the number of stutterers speaking, the verbal disfluencies (stuttering and stammering) of the speakers increased. In this instance, becoming the center of attention exaggerated the normal self-regulation behaviors necessary for speech, to the point of interfering with those behaviors. Group composition’s effects of making the individual lost in the crowd or the center of attention are not inherently good or bad; positive or negative effects depend on the context.
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Studying group dynamics, such as the reactions of an audience, can yield important psychological information. (CLEO Photography) 368
Groups Group Density Another facet of the topography of the group that is related to group size is density. Density refers to the amount of space per person in the group (the less space per person, the higher the density). Doubling the number of people in the group meeting in a room of a given size will decrease by one-half the amount of space available for each member of the group. Alternatively, halving the number of people in the group will double the amount of space available per person. Thus, in a room of a given size, density is directly linked to the size of the group. This particular approach to density is called social density, because it involves a change in density by manipulation of the social dimension (group size). One could also manipulate the physical dimension (room size), rendering a change in what is called spatial density. Thus, halving the size of the room will halve the amount of space available to each group member. Density has been demonstrated to influence a variety of social behaviors. People have been found to report feeling more anxious, more aggressive, more unpleasant, and, understandably, more crowded as a function of density. An analysis of the effects of “tripling” in college dormitories illustrates these types of effects. As a cost-cutting measure, colleges and universities will often house three students in a dormitory room that was initially constructed for two (hence, tripling). Tripling has been demonstrated to lead to an increase in arguments among the roommates, increased visits to the student health center, decreased grades, and increased overall dissatisfaction. Role in Behavior and Identity Groups exert sometimes dramatic, sometimes subtle influences on behavior. These influences are sometimes beneficial and sometimes detrimental. An understanding of the effect of groups on the individual sets the stage for a deeper understanding of many facets of social life. One of the reasons for the formation or joining of groups is the definition of the self. On a commonly used questionnaire that requires a person to respond twenty times to the question “Who am I?,” people tend to respond with references to some sort of group membership, be it family, occupation, hobby, school, ethnic, religious, or neighborhood. Groups help establish one’s identity, both for one’s own benefit and for the benefit of others with whom one interacts. Costs of Group Membership Belonging to groups has its price, however; as discussed at length by Christian Buys, one’s very membership in a group may carry with it hidden costs, risks, or sacrifices. A more complete understanding of groups requires a consideration of this aspect of membership in a group. Attaining certain types of rewards may be incompatible with belonging to a group. For example, the goal of completing a difficult and complicated task may be facilitated by belonging to a group of coworkers who bring the varied skills and knowledge required for successful task completion. Yet one group mem369
Psychology Basics ber’s goal of always being the center of attention, or of needing to feel special and unique, may have to be subverted if the group is to perform the task for which it formed. What the individual wants or needs may sometimes be displaced by what the group needs. Moreover, the deindividuation (an individual’s loss of self-awareness, resulting in a breakdown in the capacity to self-regulate) fostered by groups breaks down the individual’s ability to self-regulate. Research has demonstrated the state of deindividuation to increase the (simulated) electric shocks people will deliver to other people in experiments, to increase the use of profanity, and to increase stealing among Halloween trick-or-treaters. The paradigmatic illustration of the negative effects of deindividuation is the lynch mob. An analysis of newspaper accounts, conducted by Brian Mullen, of lynch mob atrocities committed in the United States over a sixtyyear period showed that the savagery and atrocity of the mob toward its victim(s) increased as the size of the mob increased relative to the number of its victims. Group Membership Benefits As discussed by Lynn Anderson, just as there are costs involved in belonging to a group, there are also benefits that accrue from group membership. Although the negative aspects of group membership may capture one’s attention more forcefully, the positive aspects are no less common or important. A complete understanding of the purpose of groups requires a consideration of the positive side of belonging to a group. A considerable amount of evidence has documented the physiological, attitudinal, and health effects of social support systems. For example, people who belong to a varied and tight social support network have been found to be in better physical health and to be better able to resist stress than those lacking such support. As examples, one might consider the effects of such popular support groups as Alcoholics Anonymous and Mothers Against Drunk Driving as well as lesser known support groups that deal with specific issues such as loss and bereavement. These groups provide the imperative psychological function of allowing their members a new avenue for coping with their problems. Perhaps the most notable effects of the group on self-definition and identity are observed when these taken-for-granted benefits are taken away. The woman who has defined herself in terms of her marital status can find her identity cast adrift after a divorce. Similarly, foreign-exchange students often report dislocation or disorientation of identity immediately upon their return home. After months or years of trying to establish a new identity based on new friends, new social contexts, or new groups, that new identity is now inappropriate and out of place in their old social context. Sources for Further Study Brown, Rupert, ed. Group Processes: Dynamics Within and Between Groups. 2d rev. ed. New York: Basil Blackwell, 2000. This is a readable treatment of 370
Groups theories and research on group processes, with a particular emphasis on British and European contributions. A variety of compelling and relevant social issues are covered, such as social conformity, crowd behavior, group productivity, and ethnic prejudice. Canetti, Elias. Crowds and Power. Translated by Carol Stewart. 1962. Reprint. New York: Noonday Press, 1998. This is a classic historical discussion of the effects of crowds on individuals and societies. Such avenues of group behavior are described as open and closed crowds, invisible crowds, baiting crowds, and feast crowds. Forsyth, Donelson R. Group Dynamics. 3d ed. Belmont, Calif.: Wadsworth, 2000. This thorough volume provides access to a wide-ranging review of evidence regarding all aspects of group processes. Mullen, Brian, and George R. Goethals, eds. Theories of Group Behavior. New York: Springer-Verlag, 1987. This comprehensive edited volume considers several theories of group behavior in order to expand fully on the phenomenon. Classic as well as modern and controversial theories are described by several of the social psychologists who originally formulated the accounts. Turner, John C., et al. Rediscovering the Social Group: A Self-Categorization Theory. Oxford, England: Basil Blackwell, 1987. A sophisticated in-depth treatment of a new theory of behavior in groups. This theoretical approach integrates a vast amount of data and sets the stage for further research in group behavior. Tara Anthony and Brian Mullen See also: Affiliation and Friendship; Support Groups.
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Habituation and Sensitization Type of psychology: Learning Field of study: Biological influences on learning Habituation, a form of behavior modification, is a decrease in behavioral response that results from repeated presentation of a stimulus. Sensitization is a heightened behavioral response that results from a stronger stimulus. Key concepts • adaptation • innate • learning • neuron • neurotransmitter • opponent process theory • stimulus • synapse Habituation and sensitization are the two most fundamental and widespread forms of learning in the animal kingdom. According to ethologists, learning is any modification in behavior that results from previous experience, in some way involves the nervous system, and is not caused by development, fatigue, or injury. More advanced forms of learning include association, perceptual or programmed learning, and insight. The two simplest (nonassociative) forms of learning are habituation and sensitization. These two processes can be characterized as behavioral modifications that result from repeated presentation of simple environmental stimuli. Habituation is a decrease in response to repeated presentation of a stimulus—an environmental cue that can potentially modify an animal’s behavior via its nervous system. One of the most widely cited examples of this kind of learning involves the startle response exhibited by nestling birds in response to potential predators such as hawks. A young duck, for example, will exhibit an innate startle response whenever a hawk-shaped model or silhouette is passed overhead. With repeated presentation of the model, however, the intensity of the bird’s response will decline as the animal becomes habituated, or learns that the stimulus bears no immediate significance. Common throughout the animal kingdom and even among some groups of protozoans, habituation is important for preventing repeated responses to irrelevant environmental stimuli that could otherwise overwhelm an organism’s senses and interfere with other critical tasks. In the case of a nestling bird, there is a clear advantage to an alarm response in the presence of a potential predator; however, a continued fixed response would result in an unnecessary expenditure of energy and distraction from other important activities such as feeding. In identifying a habituation response, it is necessary to distinguish be372
Habituation and Sensitization tween true habituation and sensory adaptation and fatigue. These latter two phenomena involve a waning in responsiveness that is caused by temporary insensitivity of sense organs or by muscle fatigue and thus are not considered forms of learning. In contrast, habituation results in a drop in responsiveness even though the nervous system is fully capable of detecting a signal and eliciting a muscle response. In contrast to habituation, sensitization is the heightened sensitivity (or hypersensitivity) that results from initial or repeated exposure to a strong stimulus. Examples of sensitization include the increased sensitivity of humans to soft sounds following exposure to a loud, startling noise such as a gunshot, or the increased responsiveness and sensitivity of a laboratory animal to mild (usually irrelevant) tactile stimulation after an electric shock. Sensitization increases an organism’s awareness and responsiveness to a variety of environmental stimuli, thereby preparing it for potentially dangerous situations. Comparison of Responses At first glance, habituation and sensitization seem to be opposite behavioral responses—one a decrease in responsiveness and the other an increase— but, in fact, they are physiologically different processes, each with its own set of unique characteristics. At the physiological level, the two responses are determined by contrasting neurological processes that take place in different parts of the nervous system. Habituation is thought to take place primarily in the reflex arc (or SR) system, which consists of short neuronal circuits between sense organs and muscles. In contrast, sensitization is assumed to occur in the state system, or that part of the nervous system that regulates an organism’s state of responsiveness. The SR system controls specific responses, whereas the state system determines an organism’s general level of readiness to respond. The interaction between habituation and sensitization and these systems determines the exact outcome of a response. At the cellular level, habituated sensory neurons produce fewer neurotransmitters on the postsynaptic membrane, while sensitized neurons are stimulated by other neurons to increase neurotransmitter production and hence responsiveness of the nerves. Thus, while their ultimate neurological effects are somewhat opposite, the mechanisms by which such effects are achieved are quite different. Other important differences between habituation and sensitization include contrasting recovery times, opposite patterns of stimulus specificity, and differences in responsiveness to stimulus intensity. Sensitization is generally characterized by a short-term or spontaneous recovery, as are some cases of habituation. In certain situations, however, recovery from habituation may take several days, and even then it may result in incomplete or less intense responses. In comparison to sensitization, habituation is usually elicited by very specific sign stimuli such as certain colors, shapes, or sounds. Thus, even after 373
Psychology Basics complete habituation to one stimulus, the organism will still respond fully to a second stimulus. Sensitization, on the other hand, can be characterized as a more generalized response, one in which a single stimulus will result in complete sensitization to a variety of stimuli. Such fundamental differences between these two learning processes reflect differences in their function and survival value. It is a clear advantage to an organism to increase its general awareness to a variety of stimuli (such as occurs in sensitization) once it is alarmed. A similar generalized pattern of habituation, however, would shut down the organism’s sensitivity to many important stimuli and possibly put the organism in danger. A final important difference between habituation and sensitization is the manner in which the two processes are affected by stimulus strength. Habituation is more likely to occur if the repeated stimulus is weak, and sensitization will occur when the stimulus is strong. These various characteristics have important survival implications, especially for species that rely on stereotypic responses to avoid predation and other life-threatening situations. They ensure that the response is elicited in a timely fashion, that the animal is returned to a normal state in a relatively short period of time, and that the animal is not overwhelmed with sensory input. Aplysia Research Habituation and sensitization have been studied in a variety of contexts and in a number of organisms, from simple protozoans (such as Stentor) to human subjects. Such studies have focused on the adaptive significance of these simple learning processes, their neurological control, and the range of behavioral responses that result from interaction between these two forms of learning. One particular organism in which the neurological basis of habituation and sensitization has been extensively studied is the marine slug Aplysia. Eric Kandel and his associates at Columbia University showed that when the mantle of this organism is prodded, the slug quickly withdraws its gills into a central cavity. After repeated prodding, it learns to ignore the stimulus; that is, it becomes habituated. Conversely, when the slug is stimulated with an electric shock, its sensitivity to prodding increases greatly, and it withdraws its gills in response to even the slightest tactile stimulation (that is, it becomes sensitized). Because Aplysia possesses only a few, large neurons, it is an excellent organism in which to study the physiological basis of learning. Capitalizing on this unique system, Kandel and his colleagues have been able to establish the neurological changes that accompany simple forms of learning. In the case of habituation, they have shown that repeated stimulation interferes with calcium ion channels in the nerve which, under normal circumstances, causes synaptic vesicles to release neurotransmitters, which in turn relay a nervous impulse between two neurons. Thus, habituation results in a block374
Habituation and Sensitization ing of the chemical signals between nerves and thereby prevents gill withdrawal. When Aplysia is stimulated (or sensitized) by an electric shock, an interneuron (a closed nerve circuit contained within one part of the nervous system) stimulates the sensory neuron by opening calcium ion channels, increasing neurotransmitter production, and promoting gill withdrawal. Thus, the proximate neurological changes that take place during sensitization and habituation are nearly opposite, but they are achieved by very different neurological circuits. Studies of the Sucking Reflex A second area in which habituation and sensitization responses have been the subject of extensive investigation is the sucking reflex exhibited by human infants. When the cheeks or lips of a young child are touched with a nipple or finger, the infant will automatically begin sucking. In a study designed to explore how various stimuli affect this reflex, it was shown that babies respond much more vigorously to a bottle nipple than to the end of a piece of rubber tubing. In addition, repeated presentation of a bottle nipple causes an increase in sucking response, whereas repeated stimulation with rubber tubing causes a decrease in sucking. The sensitized or elevated response to a rubber nipple is a result of activation of the state system, which increases the baby’s awareness and readiness to respond. Sensitization, however, does not occur when the baby is stimulated with rubber tubing, and instead the child habituates to this stimulus. Role in Emotional Reactions In addition to influencing simple innate behaviors such as sucking reflexes and withdrawal responses, habituation is believed to be responsible for a number of more complex emotional reactions in humans. Explanations for the effects of habituation on emotions are derived primarily from the opponent process theory of motivation. The opponent process theory holds that each emotional stimulation (or primary process) initiated by an environmental stimulus is opposed by an internal process in the organism. The emotional changes that actually occur in the organism are predicted to result from the net effect of these two processes. The opponent process detracts from the primary process, and summation of the two yields a particular emotional response. It is hypothesized that when the organism is repeatedly stimulated, the primary process is unaffected, but the opponent process is strengthened, which results in a net reduction in the overall emotional response. In other words, repeated presentation of an emotion-arousing stimulus results in habituation in the emotional response, primarily as a result of the elevated opponent response. An increase in drug tolerance which results from repeated usage of a drug is best explained by this kind of habituation. Habitual users of alcohol, caffeine, nicotine, or various opiate derivatives must consume greater quan375
Psychology Basics tities of such drugs each time they are ingested in order to achieve the same emotional stimulation. Thus, with repeated usage, there is a decline in the overall emotional response. This decline in the euphoric effects of a drug is primarily the result of an increase in the opponent process, which can be characterized as the negative effects of the drug. This is presumably why habitual users experience severe physiological problems (for example, headaches or delirium tremens) upon termination of a drug. Similar patterns of habituation have also been suggested to explain the human emotional responses associated with love and attachment and the extreme feelings of euphoria derived from various thrill-seeking activities such as skydiving. Thus, while habituation and sensitization are simple forms of learning, they may be involved in a variety of more complex behaviors and emotions as well. Interaction of Learning and Instinct Studies of habituation and sensitization have been especially helpful in clarifying the physiological and genetic mechanisms that control various forms of learning. Such investigations have also shown that habituation and sensitization are widespread phenomena with tremendous adaptive significance throughout the animal kingdom. Ethologists, in marked contrast with psychologists (especially behaviorist psychologists), historically have emphasized the importance of underlying physiological mechanisms in the regulation of various behavioral phenomena. Traditionally, they argued that many forms of behavior are not only genetically determined, or innate, but further constrained by the physiological hardware of the organism. They held that psychologists completely ignored these factors by focusing on only the input and output of experiments. Psychologists, on the other hand, have maintained that nearly all forms of behavior are influenced in some way by learning. These contrasting views, which developed largely as a result of different experimental approaches, eventually gave way to a more modern and unified picture of behavior. One area of research that greatly facilitated this unification was the study of habituation and sensitization. By discovering the chemical and neurological changes that take place during these simple forms of learning, neurobiologists succeeded in demonstrating how the physiological environment is modified during the learning process and that such modifications are remarkably similar throughout the animal kingdom. Thus, it became quite clear that an understanding of proximate physiological mechanisms was central to the study of behavior and learning. In addition, other studies on sensitization and habituation helped establish the generality of these processes among various groups of animals. They showed that simple forms of learning can occur in nearly all major animal phyla, and that these learning processes often result in modification of simple innate behaviors as well as a variety of more complex responses. From 376
Habituation and Sensitization these and other studies, it was soon evident that learning and instinct are not mutually exclusive events but two processes that work together to provide animals with maximum adaptability to their environment. The kind of learning that occurs during habituation and sensitization allows animals to modify simple, fixed behaviors in response to repeated exposure to environmental stimuli. Habituation allows an organism to filter irrelevant background stimuli and prevent sensory overload and interference of normal activities critical to its survival. Sensitization helps increase an organism’s awareness of stimuli in the face of potentially dangerous situations. These two forms of learning represent important behavioral adaptations with tremendous generality in the animal kingdom. Even in humans, a variety of seemingly complex behaviors can be attributed to interactions between sensitization and habituation and the simple neurological changes that accompany them. Sources for Further Study Domjan, Michael. Principles of Learning and Behavior. 5th ed. Belmont, Calif.: Thomson/Wadsworth, 2003. Provides a complete treatment of the psychological basis and mechanisms of learning. Chapter 3 is devoted entirely to habituation and sensitization, and it provides several specific examples of these processes in both human and animal subjects. Includes many original data tables and graphs and a thorough review of the literature. Grier, James W. Biology of Animal Behavior. 2d ed. New York: McGraw-Hill, 1992. This college-level text provides comprehensive treatment of the study of animal behavior. Clearly written and well illustrated; should provide a good introduction for the layperson. Six chapters are devoted to the physiological control of behavior, and one chapter deals entirely with learning and memory. McFarland, David, ed. The Oxford Companion to Animal Behavior. Rev. and enlarged ed. New York: Oxford University Press, 1987. Intended as a reference guide, this comprehensive survey of behavior was written by a team of internationally known biologists, psychologists, and neurobiologists. It contains more than two hundred entries covering a variety of topics. Provides a detailed summary of various forms of learning, including habituation and sensitization. The index provides cross-references organized by both subject and species lists. Manning, Aubrey, and Marian Stamp Dawkins. An Introduction to Animal Behavior. 5th ed. New York: Cambridge University Press, 1998. A concise handbook offering a light introduction to many general aspects of animal behavior and learning. Provides a discussion on stimulus filtering, an entire chapter on the physiological basis of behavior and motivation, and a complete summary of various forms of learning. Well researched, clearly written, and effectively illustrated. Raven, Peter H., and George B. Johnson. Biology. 6th ed. Boston: McGraw377
Psychology Basics Hill, 2002. Chapter 56 of this general text on the science of biology offers an excellent first introduction to the general concepts of ethology and animal behavior. Includes a brief summary of learning and detailed coverage of habituation, sensitization, and conditioning in Aplysia. A concise summary, suggestions for additional reading, and review questions appear at the end of each chapter. Shepherd, Gordon Murray. Neurobiology. 3d ed. New York: Oxford University Press, 1997. This somewhat advanced college-level volume on neurobiology offers an in-depth account of the physiological basis of learning and memory. A portion of chapter 30 is devoted to the neurological changes associated with habituation and sensitization. Detailed diagrams, data summaries, and complete literature reviews are provided. Michael A. Steele See also: Conditioning; Learning; Motivation; Pavlovian Conditioning; Reflexes.
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Helping Type of psychology: Developmental psychology; motivation; personality; social psychology Field of study: Prosocial behavior Theories of helping behavior have attempted to explain why people offer physical and psychological assistance to others in both emergency and nonemergency situations. These theories have considered the roles of physiological arousal, judgments of costs and rewards, mood states, and attributions of responsibility in influencing helping behavior. Key concepts • arousal cost-reward model • attributions about responsibility • mood and helping • norm of reciprocity • prosocial behavior • self-help groups • spirituality Helping involves assisting, in some way, another person or animal in need. Helping behaviors can take a variety of forms. Some, such as carrying a book for a friend, require little effort. Others, such as jumping into a frozen lake to rescue a drowning stranger, are life-threatening. To explain helping behavior, researchers have studied many variables and have developed theories to organize them and account for their interrelationships. Arousal Cost-Reward Model In 1981, Jane Allyn Piliavin, John Dovidio, Samuel Gaertner, and Russell Clark introduced the “arousal cost-reward” model. This model assumes that witnessing the need or distress of another person is physiologically arousing. When one attributes the source of one’s arousal to another person’s distress, the arousal is sometimes experienced as emotionally unpleasant, and one becomes motivated to reduce it. According to the arousal cost-reward model, a person will choose to engage in the arousal-decreasing response associated with the fewest net costs. Net costs are based on two types of rewards and costs associated with the helping situation: costs for not helping and rewards and costs for helping. Costs for not helping occur when no assistance is given and may include experiences such as feeling troubled because someone in need is continuing to suffer, or receiving criticism from others for being callous. Costs for helping are direct negative outcomes that the potential helper might experience after offering help, such as loss of time, embarrassment, or injury. Helping, however, can also be associated with positive outcomes such as praise, gratitude, and feelings of self-worth. 379
Psychology Basics Piliavin and her colleagues suggest that both types of costs influence the decision to help. When net costs are low, as the costs for not helping increase, helping in the form of direct intervention becomes more likely. If net costs for helping are high, however, direct intervention is unlikely regardless of potential costs for not helping. In this latter situation, a person may give indirect assistance (for example, by calling someone else to help). Alternatively, the person may deny responsibility for helping, reinterpret the situation as one in which help is not needed, or try to leave the scene altogether. Attributions of Responsibility Philip Brickman and his colleagues argue that when one sees a person in need, one makes attributions about how responsible that person is for the problem he or she faces and also about how much responsibility that person should take for its solution. These attributions, in turn, influence one’s judgment about who one thinks is best suited to deliver help, and, if one decides to offer help oneself, they influence its form. One may be most likely to offer direct assistance if one attributes little responsibility to that person for solving the problem—as when a child is lost in a shopping mall. In contrast, if one judges a person to be responsible for solving his or her problem, as when a friend has a nasty boss, one may offer encouragement and moral support but not directly intervene. Thus, who one thinks should provide the remedy—oneself, experts, or the person who needs the help—depends on attributions that one makes about responsibility. Mood One’s mood may also influence one’s decision to help someone who is in need. In general, people experiencing a positive mood, such as happiness, are more likely to offer help than are those in neutral moods. Using quantitative procedures for summarizing the results of thirty-four experimental studies, Michael Carlson, Ventura Charlin, and Norman Miller concluded that the best general explanation for why positive moods increase helpfulness is that they heighten sensitivity to positive reinforcement or good outcomes. This sensitivity includes both thinking more about good outcomes for oneself and increased thought about the goodness of behaving prosocially. This general summary incorporates many explanations that have been proposed for the relation between positive moods and helping, among them the mood maintenance and social outlook explanations. Mood maintenance argues that one behaves more helpfully when happy because doing so prolongs one’s good mood. The social outlook explanation points instead to the fact that positive moods are often the consequences of another person’s behavior (for example, being given a compliment). Such actions by others trigger thoughts about human kindness, cooperativeness, and goodness. These thoughts, if still present when someone asks for help, make a person more likely to respond positively. 380
Helping The effects of bad moods on helpfulness are more complex. Carlson and Miller also quantitatively summarized the effects found in forty-four studies concerned with the impact of various mood-lowering events on helpfulness. These studies included such diverse procedures for inducing negative moods as having subjects repeat depressing phrases, view unpleasant slides, imagine sad experiences, and fail at a task. Two factors can apparently account for most of the findings on negative moods and helping. The first is whether the target of the mood-lowering event is the self or someone else; the second is whether the self or an outside force is responsible for the mood-lowering event. When one is responsible for imposing a mood-lowering event on another person and therefore feels guilty, helping is very likely. When one is responsible for an event that lowers one’s own mood (as when one engages in self-harm) or when one witnesses another person impose a mood-lowering event on someone else (that is, when one experiences empathy), a positive response to a subsequent request for help is more likely but not as much so as in the first case. In contrast, when someone else is responsible for one’s own negative mood—when one has been victimized—one’s helpfulness tends to be inhibited. Theoretical Explanations These explanations can be applied to a wide range of helping situations— reactions to both physical and psychological distress, situations in which helping appears to be determined by a rational consideration of costs and rewards, and situations in which the help offered seemingly is irrational and very costly. One study on which the arousal cost-reward model was based suggests how consideration of costs and rewards might affect the decision to offer direct physical assistance. In this study, a man feigned collapse on the floor of a New York subway a few minutes after boarding the train and remained there until help was given. In some cases, the man smelled of alcohol and carried an alcohol bottle wrapped in a paper bag, giving the impression that drunkenness had caused his fall. In other instances, the man carried a cane, suggesting that he had fallen because of a physical impairment. Although many people offered assistance in both conditions, more people helped the man with the cane than the man who appeared to be drunk. The different amounts of assistance in the two conditions may result from differences in perceived net costs. Potential helpers may have expected greater costs when the man looked drunk than when he appeared to be disabled. Helping a drunk may require more effort and be more unpleasant than helping someone with a physical impairment. It may also be less intrinsically and extrinsically rewarding than helping someone with a physical impairment. Finally, costs for not helping may be lower in the case of the drunk than for the man with the cane. The drunk may be perceived as “only drunk” and therefore not really needy. Thus, the finding that more people helped the man with the cane is consistent with the hypothesis that 381
Psychology Basics helping increases as the net costs associated with the helping response decrease. Although considerations of costs and rewards are important, it would be unrealistic to think that helping only occurs when net costs are low. People may engage in very costly helping behaviors when physiological arousal is especially high, such as in clear, unambiguous emergencies. The actions of an unknown passenger aboard an airplane that crashed into a frozen river illustrate this point. As a helicopter attempted to pull people out of the water to safety, this passenger repeatedly handed the lowered life ring to other, more seriously injured passengers, even though these acts of heroism eventually cost him his life. Much research on helpfulness has asked, When do people help? It is also important, however, to look at what type of help is given and how the person in need is expected to react to offers of assistance. The Brickman model, involving attributions of responsibility for the problem and its solution, does this. It also looks at more everyday forms of helping. According to Brickman, if one attributes responsibility for both the problem and its solution to the person in need, one is applying the moral model of helping. With this orientation, one may have the tendency to view the person in need as lazy and undeserving of help. In the subway example, people may not have helped the fallen drunk because they made such attributions. Although people who apply the moral model may not give direct assistance, they may sometimes support and encourage the person’s own effort to overcome the problem. If one sees people as responsible for their problem but not for its solution, then one is applying the enlightenment model. Criminals are held responsible for violating the law but are jailed because they are judged incapable of reforming themselves, and jail is believed to be rehabilitating as well as punishing. Discipline from those in authority is seen as the appropriate helping response, and submission to it is expected from the person receiving the “assistance.” The medical model applies when the person is seen as responsible for neither the problem nor its solution. This orientation is often taken toward the ill. Such situations call for an expert whose recommendations are to be accepted and fulfilled. In the final combination of attributions of responsibility for a problem and its solution, the compensatory model, the person is not held responsible for having caused the problem. The problem may be judged to be caused by factors beyond the person’s control, such as when an earthquake occurs. In this model, however, the person is held responsible for solving the problem. Helpers may provide useful resources but are not expected to take the initiative for a solution. In the case of an earthquake, the government may offer low-interest loans for rebuilding, but victims must decide whether to apply for one and rebuild their homes. 382
Helping Historical Background Concern with helping behavior has its roots in early philosophy. Thinkers such as Aristotle, Socrates, Niccolò Machiavelli, and Thomas Hobbes debated whether humans are by nature good or bad, selfish or selfless. Most empirical psychological research on the topic, however, was not initiated until after the 1950’s. This was probably not coincidental. Many people were concerned with the atrocities of World War II and, in the United States, with rising crime rates. In response, psychologists not only began to investigate human cruelty but also gave increased attention to what could be done to offset it. Similarly, the emergence of the Civil Rights movement, with its emphasis on cooperation and harmony, probably further propelled the study of prosocial behavior. The term “prosocial behavior,” or behavior intended to benefit other people, is sometimes used synonymously with “helping” and is sometimes meant to be a larger category that includes helping. Early studies of helping behavior examined situational variables that influence the decision to help someone who is in physical distress. The arousal cost-reward model and the subway experiment characterize this type of work. Also important during this period were Alvin Gouldner’s theorizing on the norm of reciprocity and subsequent empirical investigation of the norms governing helping behavior, such as Leonard Berkowitz’s work in the 1960’s. As social psychologists explored situational variables that influence helping, developmental psychologists examined the emergence of positive social behavior in children. Some, such as Jean Piaget and Lawrence Kohlberg, postulated distinct stages of moral development. Others focused on how people who model helping behavior influence children’s subsequent behavior. Extensions of the Earlier Research While research continues in all these areas, other questions also attract interest. Studies of people’s responses to others’ physical distress have been extended by research on how people respond to someone in psychological distress. Similarly, researchers have extended their interests in the potential helper to examine how the person in need of help is affected by seeking and receiving it. Also important in understanding helping behavior has been the study of personality and how individuals differ in their tendency to help. Some of this work is related to research on norms, in that it looks at whether people develop a personal set of rules or standards which govern their helping behavior. Another approach, adopted by Margaret Clark and Judson Mills, has looked at how the relationship between the help requester and the help giver influences helpfulness. Research on helping now incorporates many different influences on the helping process, from individual to social to developmental factors. In the process, the applicability of the research findings has grown and has given rise to a broader understanding of the types of helping behavior that may occur, when they may occur, who might engage in them, and why. 383
Psychology Basics Sources for Further Study Batson, Charles Daniel. The Altruism Question: Toward a Social-Psychological Answer. Hillsdale, N.J.: Lawrence Erlbaum, 1991. Discusses altruism and empathy from a social psychological perspective and addresses the debate about whether or not altruism is merely self-serving egoism. Also discusses altruistic motivation and personality. Batson is highly regarded for his many experimental studies of helping behavior. Blumenthal, David R. The Banality of Good and Evil: Moral Lessons from the Shoah and Jewish Tradition. Washington, D.C.: Georgetown University Press, 1999. The author is a theologian who reviews social, psychological, child developmental, and personality research in the presentation of his ideas regarding the ordinariness of good and evil. The book is a study of the behavior, character, and motivation of people who rescued or protected Jews in Nazi Europe. The commentary on what it means to be a moral human is often moving. This book is especially important in light of the Christian bias in much of the helping and prosocial research literature. Very highly recommended. Clark, Margaret S., ed. Prosocial Behavior. Newbury Park, Calif.: Sage Publications, 1991. Focuses on the broad area of positive social behaviors and therefore includes discussions of altruism as well as chapters on helping. Two chapters deal with the development of prosocial behavior. Also noteworthy is a chapter that covers aspects of help-seeking behavior. A chapter on moods and one on the arousal cost-reward model are included as well. Derlega, Valerian J., and Janusz Grzelak, eds. Cooperation and Helping Behavior: Theories and Research. New York: Academic Press, 1982. The first chapter provides a nontechnical discussion of the similarities and differences between the related issues of helping and cooperation, while also serving as an introduction to later chapters. Chapters on helping discuss the arousal cost-reward model and extend the model to show how help seekers may be influenced by cost/reward considerations. Oliner, Pearl M., and Samuel P. Oliner. Toward a Caring Society: Ideas into Action. Westport, Conn.: Praeger, 1995. The Oliners are social scientists affiliated with the Altruistic Personality and Prosocial Behavior Institute. They offer guidelines for promoting caring behavior in families, in schools, at work, and in religious organizations based on careful consideration of a variety of sources, including the literature on altruism, helping, and prosocial behavior. They present caring, or the assumption of responsibility for the welfare of others, as a way to redress an overly individualistic and materialistic culture. Many poignant and inspiring narrative excerpts are included. Rushton, J. Philippe, and Richard M. Sorrentino, eds. Altruism and Helping Behavior: Social, Personality, and Developmental Perspectives. Hillsdale, N.J.: Lawrence Erlbaum, 1981. Covers, as the title implies, three main areas. Under developmental issues, varied topics such as the influence of televi384
Helping sion and the role of genetics (sociobiology) are covered. Also includes a discussion of moods and a model of how norms may influence helping. Schroeder, David A., Louis A. Penner, John F. Dovidio, and Jane A. Piliavin. The Psychology of Helping and Altruism: Problems and Puzzles. New York: McGraw-Hill, 1995. Good review of the research literature. Includes discussions of the relationships among biology, personality, and social learning as they relate to prosocial behavior. The reciprocity involved in seeking and giving help is also discussed. The book is intended for upper-level undergraduate and graduate students. Staub, Ervin, Daniel Bar-Tal, Jerzy Karylowski, and Janusz Reykowski, eds. Development and Maintenance of Prosocial Behavior: International Perspectives on Positive Morality. New York: Plenum Press, 1984. This set of twenty-four chapters from various researchers focuses not only on helping but also on other positive behaviors such as cooperation, generosity, and kindness. Covers a range of topics, from developmental aspects of prosocial behavior to the effects of help seeking and help receiving to applications of knowledge about helping behavior. A unique aspect of this book is its consideration of research done in many different countries. Tiffany A. Ito and Norman Miller; updated by Tanja Bekhuis See also: Aggression; Crowd Behavior; Moral Development.
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Homosexuality Type of psychology: Motivation Fields of study: Attitudes and behavior; interpersonal relations; physical motives Sexuality is one of the most complex and individual attributes of the human psyche. There are four types of theories with regard to the development of sexual orientation, but none seems sufficient to explain the huge diversity to be found in sexual expression across ages and cultures. Key concepts • androgyny • gay • homophobia • homosexual • lesbian • pedophile • transsexual • transvestite Theories on the origin and development of homosexual orientation can be categorized into four groups: psychoanalytic, biological, social learning, and sociobiological theories. Psychoanalytic theories are based on the Freudian model of psychosexual stages of development, developed by Austrian psychiatrist Sigmund Freud. According to this model, every child goes through several stages, including the “phallic stage,” during which he or she learns to identify with his or her same-sex parent. For boys, this is supposed to be particularly difficult, as it requires redefining the strong bond that they have had with their mother since birth. According to Freudian theorists, homosexuality is an outcome of the failure to resolve this developmental crisis: If a boy’s father is absent or “weak” and his mother is domineering or overprotective, the boy may never come to identify with his father; for a girl, having a “cold” or rejecting mother could prevent her from identifying with the female role. Theoretical Models Research has found that homosexuals are, in fact, more likely to feel an inability to relate to their same-sex parent than are heterosexuals and to report that the same-sex parent was “cold” or “distant” during their childhood. Some studies have suggested, however, that this psychological distance between parent and offspring is found mostly in families with children who show cross-gender behaviors when very young and that the distancing is more likely to be a result of preexisting differences in the child than a cause of later differences. 386
Homosexuality Biological theories have suggested that homosexuality is genetic, a result of hormone levels different from those found in heterosexuals, or is a result of prenatal maternal effects on the developing fetus. Although there may be genes that predispose a person to become homosexual under certain circumstances, no specific genes for homosexuality have been identified. Similarly, there are no consistent differences between levels of hormones in homosexual and heterosexual adults. The possibility remains that subtle fluctuations of hormones during critical periods of fetal development may influence brain structures which regulate sexual arousal and attraction. Social-learning models suggest that homosexual orientation develops as a response to pleasurable homosexual experiences during childhood and adolescence, perhaps coupled with unpleasant heterosexual experiences. Many boys have homosexual experiences as part of their normal sexual experimentation while growing up. According to the model, some boys will find these experiences more pleasurable or successful than their experiments with heterosexuality and will continue to seek homosexual interactions. Why only certain boys find their homosexual experiences more pleasurable than their heterosexual experiences could be related to a variety of factors, including the child’s age, family dynamics, social skills, and personality. Young girls are less likely to have early homosexual experiences but may be “turned off” from heterosexuality by experiences such as rape, abuse, or assault. Sociobiological models are all based on the assumption that common behaviors must have evolved because they were somehow beneficial, or related to something beneficial, which helped the individuals who performed them to pass their genes to the next generation. From this perspective, homosexuality seems incongruous, but because it is so common, researchers have tried to find out how homosexual behavior might, in fact, increase a person’s ability to pass on genes to subsequent generations. Theorists have come up with three possible explanations—the parental manipulation model, the kin selection model, and the by-product model. The parental manipulation model suggests that homosexuals do not directly pass on more of their genes than heterosexuals but that their parents do. According to this model, parents subconsciously manipulate their child’s development to make him or her less likely to start a family; in this way, the adult child is able to contribute time, energy, and income to brothers, sisters, nieces, and nephews. In the end, the parents have “sacrificed” one child’s reproduction in exchange for more grandchildren—or, at least, for more indulged, more evolutionarily competitive grandchildren. The kin selection model is similar, but in it, the homosexual individual is not manipulated but sacrifices his or her own reproduction willingly (although subconsciously) in exchange for more nieces and nephews (that is, more relatives’ genes in subsequent generations). According to this model, individuals who are willing to make this sacrifice (no matter how subconscious) are either those who are not likely to be very successful in heterosex387
Psychology Basics ual interactions (and are thus not actually making much of a sacrifice) or those who have a particular attribute that makes them especially good at helping their families. As an analogy, theorists point out how, through much of human history, reproductive sacrifice in the form of joining a religious order often provided income, protection, or status for other family members. The by-product model suggests that homosexuality is an inevitable outcome of evolved sex differences. According to this model, the facts that, overall, men have a higher sex drive than women and that, historically, many societies have allowed polygyny (where one man has more than one wife) will result in many unmated males who still have an urge to satisfy their high sex drive. Thus, men will become (or will at least act) homosexual when male partners are easier to find than female partners. This model is the one most likely to explain “facultative homosexuality,” that is, homosexual behavior by people who consider themselves basically heterosexual. Social Contexts Prior to the gay liberation movement of the 1970’s, homosexuality was classified as a mental disorder. In the 1970’s, however, when psychiatrists were revising the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders (DSM), they removed homosexuality from the list of illnesses. The third edition of the manual (DSM-III), published in 1980, reflected this change. Homosexuality is not associated with disordered thinking or impaired abilities in any way. Therefore, counseling or therapy for the purpose of changing sexual orientation is not recommended. Even when sought, such therapy is rarely successful. On the other hand, many gays, especially adolescents, find benefit from counseling in order to find information, support, and ways to cope with their sexuality. For men, sexual orientation seems to be fixed at an early age; most gay men feel that they were always homosexual, just as most heterosexual men feel they were always heterosexual. In women, however, sexual orientation is less likely to be fixed early; some women change from a heterosexual to homosexual orientation (or vice versa) in adulthood. In such cases, sexual orientation is better seen as a choice than as an acting out of something preexisting in the psyche, and often such changes are made after a woman has left an unhealthy or abusive relationship or has experienced some other sort of emotional or psychological awakening that changes her outlook on life. In these cases, counseling for the sake of changing sexual orientation per se is not recommended, but it may be appropriate for the woman to seek help dealing with the other changes or events in her life. Most women in this circumstance find that a same-sex, even lesbian, therapist is most helpful, because she will be likely to empathize with her client. Many women who change sexual orientation in midlife already have children, and many who are lesbian from adolescence choose to have children by artificial insemination or by having intercourse with a male friend. Often, such women have found a lack of support for their parenting and sometimes 388
Homosexuality experience legal problems retaining custody rights of their children. Gay men, too, have had difficulty retaining parental rights or becoming foster or adoptive parents. Psychological research shows, however, that homosexuals are as good at parenting as heterosexuals and that they are as effective at providing role models. Homosexuals are more likely than heterosexuals to model androgyny—the expression of both traditionally masculine and traditionally feminine attributes—for their children. Some research has shown that an androgynous approach is healthier and more successful in American society than sticking to traditionally defined roles. For example, sometimes women need to be assertive on the job or in relationships, whereas traditionally, men were assertive and women were passive. Similarly, men are less likely to experience stress-related mental and physical health problems if they learn to express their emotions, something only women were traditionally supposed to do. Neither modeling androgyny nor modeling homosexuality is likely to cause a child to become homosexual, and children raised by homosexual parents are no more likely to become homosexual than children raised by heterosexual parents. Similarly, modeling of androgyny or homosexuality by teachers does not influence the development of homosexuality in children and adolescents. Having an openly homosexual teacher may be a stimulus for a gay child to discover and explore his or her sexuality, but it does not create that sexuality. Other variations in adult sexual expression, sometimes associated with or confused with homosexuality, are transvestism and transsexuality. Transvestism occurs when a person enjoys or is sexually excited by dressing as a member of the opposite sex. Some gay men enjoy cross-dressing, and others enjoy acting feminine. The majority of homosexuals, however, do not do either; most transvestites are heterosexual. Transsexuality is different from both homosexuality and transvestism; it is categorized by a feeling that one is trapped in a body of the wrong sex. Transsexuality, unlike homosexuality or transvestism, is considered a mental disorder; it is officially a form of gender dysphoria—gender confusion. Transsexuals may feel as though they are engaging in homosexual activity if they have sexual relations with a member of the opposite sex. Some transsexuals decide to cross-dress and live as a member of the opposite sex. They may have hormone treatments or surgery to change legally into a member of the opposite sex. Transsexuality, unlike homosexuality or transvestism, is very rare. The Homosexual Spectrum The word “homosexual” is usually used in everyday language as a noun, referring to someone who is sexually attracted to, and has sexual relations with, members of the same sex. As a noun, however, the word is misleading, because few people who call themselves homosexual have never engaged in heterosexual activity. Similarly, many people who call themselves heterosex389
Psychology Basics ual have at some time engaged in some sort of homosexual activity. Therefore, many sex researchers (sexologists) use a seven-point scale first devised for the Alfred Kinsey surveys in the 1940’s, ranging from 0 (exclusively heterosexual) to 6 (exclusively homosexual). Others prefer to use the words “heterosexual” and “homosexual” as adjectives describing behaviors rather than as nouns. Homosexual behavior has been documented in every society that sexologists have studied; in many societies it has been institutionalized. For example, the ancient Greeks believed that women were spiritually beneath men and that male-male love was the highest form of the emotion. In Melanesian societies, homosexual activity was thought to be necessary in order for young boys to mature into virile, heterosexual adults. Homosexuality as an overall preference or orientation is harder to study, but it is thought that between 5 percent and 10 percent of adult males, and between 2 percent and 4 percent of females, have a predominantly homosexual orientation. Negative Cultural Stereotypes In Western, Judeo-Christian culture, homosexual behavior has long been considered taboo or sinful. Thus, in the United States and other predominantly Christian cultures, homosexuality has been frowned upon, and homosexuals have been ostracized, being seen as perverted, unnatural, or sick. In 1974, however, the American Psychiatric Association determined that homosexuality was not indicative of mental illness. In contrast to early twentieth century studies of homosexuals who were either psychiatric patients or prison inmates, later studies of a representative cross-section of people showed that individuals with a homosexual orientation are no more likely to suffer from mental illness than those with a heterosexual orientation. In spite of these scientific data, many heterosexuals (especially men) still harbor negative feelings about homosexuality. This phenomenon is called homophobia. Some of this fear, disgust, and hatred is attributable to the incorrect belief that many homosexuals are child molesters. In fact, more than 90 percent of pedophiles are heterosexual. Another source of homophobia is the fear of acquired immunodeficiency syndrome (AIDS). This deadly, sexually transmitted disease is more easily transmitted through anal intercourse than through vaginal intercourse and thus has spread more rapidly among homosexuals than heterosexuals. Education about safe sex practices, however, has dramatically reduced transmission rates in homosexual communities. Sexologists have not been able to avoid the political controversies surrounding their field, making the study of a difficult subject even harder. Research will continue, but no one should expect fast and simple explanations. Sexuality, perhaps more than any other attribute of the human psyche, is personal and individual. Questions about sexual orientation, sexual development, and sexual behavior are all complex; it will take a long time to unravel the answers. 390
Homosexuality Sources for Further Study Baird, Vanessa. The No-Nonsense Guide to Sexual Diversity. New York: Verso, 2001. A wide-ranging survey of cultural attitudes toward homosexuality throughout the world and over time. Provides a country-by-country survey of laws concerning homosexuality and addresses the rise in opposition to sexual nonconformism among religious fundamentalists of all stripes. Bell, Alan P., and Martin Weinberg. Homosexualities: A Study of Diversity Among Men and Women. New York: Simon & Schuster, 1978. This official Kinsey Institute publication presents the methods and results of the most extensive sex survey to focus specifically on homosexual behavior. Presents descriptions of homosexual feelings, partnerships, and lifestyles, based on intensive interviews with more than fifteen hundred men and women. Brookey, Robert Alan. Reinventing the Male Homosexual: The Rhetoric and Power of the Gay Gene. Bloomington: Indiana University Press, 2002. Discusses recent attempts to identify a genetic component to sexual orientation and the cultural effect of such research on gay identity. Dean, Tim, and Christopher Lane, eds. Homosexuality and Psychoanalysis. Chicago: University of Chicago Press, 2001. Reviews the often conflicted relationship between psychoanalytic theory and homosexuality. Covers the attitudes toward homosexuality found in the writings of Sigmund Freud, Melanie Klein, Wilhelm Reich, Jacques Lacan, and Michel Foucault, among others. Garnets, Linda, and Douglas C. Kimmel, eds. Psychological Perspectives on Lesbian and Gay Male Experiences. New York: Columbia University Press, 1993. A collection of essays focusing on gay identity development, gender differences, ethnic and racial variation, long-term relationships, adult development, and aging. Koertge, Noretta, ed. Nature and Causes of Homosexuality: A Philosophic and Scientific Inquiry. New York: Haworth Press, 1982. This volume is the third in an ongoing monograph series titled Research on Homosexuality, each volume of which was originally published as an issue of the Journal of Homosexuality. All volumes are valuable, although somewhat technical. This one is a good place to start; others cover law, psychotherapy, literature, alcoholism, anthropology, historical perspectives, social sex roles, bisexuality, and homophobia. Tripp, C. A. The Homosexual Matrix. 2d ed. New York: McGraw-Hill, 1987. For those who want to read for pleasure as well as for information. Tripp covers fact, culture, and mythology, both historical and modern. A good representative of the “gay liberation” era books on homosexuality, most of the text is as valid as when it was written (though it clearly does not cover post-AIDS changes in homosexual culture and behavior). Whitham, Frederick L. “Culturally Invariable Properties of Male Homosexuality: Tentative Conclusions from Cross-Cultural Research.” Archives of 391
Psychology Basics Sexual Behavior 12 (1983): 40. Unlike much of the cross-cultural literature on homosexuality, this article focuses specifically on cross-cultural prevalence and attributes of those with a homosexual orientation, rather than on the institutionalized and ritual forms of homosexual behavior found in many non-Western cultures. Linda Mealey See also: Adolescence: Sexuality; Attraction Theories; Gender-Identity Formation; Sexual Variants and Paraphilias.
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Hormones and Behavior Type of psychology: Biological bases of behavior Fields of study: Auditory, chemical, cutaneous, and body senses; endocrine system Hormones are chemical messengers, usually of protein or steroid content, that are produced in certain body tissues and that target specific genes in the cells of other body tissues, thereby affecting the development and function of these tissues and the entire organism. By exerting their influences on various parts of the body, hormones can affect behavior. Key concepts • endocrine gland • hormone • human growth hormone (HGH) • hypothalamus • melatonin • oxytocin • pheromone • pituitary • steroid • vasopressin Cell-to-cell communication among the trillions of cells that make up multicellular animals relies primarily upon the specialized tissues of the nervous and endocrine systems. These two systems are intricately connected, with the former having evolved from the latter during the past five hundred million years of animal life. The endocrine system consists of specialized ductless glands located throughout the animal body that produce and secrete hormones directly into the bloodstream. Hormones are chemical messengers that usually are composed of protein or steroid subunits. The bloodstream transports the hormones to various target body tissues, where the hormones contact cell membranes and trigger a sequence of enzyme reactions which ultimately result in the activation or inactivation of genes located on chromosomes in the cell nucleus. A gene is a segment of a chromosome that is composed of deoxyribonucleic acid (DNA). The DNA nucleotide sequence of the gene encodes a molecule of messenger ribonucleic acid (mRNA) which, in turn, encodes a specific protein for the given gene. If the control sequence of a gene is activated, then ribonucleic acid (RNA) and protein will be produced. If the control sequence of a gene is inactivated, then RNA and protein will not be produced. Hormones target the genes in specific cells to start or stop the manufacture of certain proteins. Within cells and the entire organism, proteins perform important functions. Therefore, hormones control the pro393
Psychology Basics duction of proteins by genes and, as a result, control many activities of the entire animal. The nervous system, which in vertebrate animals has evolved to become more elaborate than the endocrine system, consists of billions of neurons (nerve cells) that conduct electrical impulses throughout the body. Neurons transmit information, contract and relax muscles, and detect pressures, temperature, and pain. Neuron networks are most dense in the brain (where there are one hundred billion neurons) and spinal cord, where much of the electrical information is centralized, relayed, and analyzed. Neurons must communicate electrical information across the gaps, or synapses, which separate them. To accomplish this goal, the transmitting neuron releases hormones called neurotransmitters, which diffuse across the synapse to the receiving neuron, thereby instructing the receiving neuron to continue or stop the conduction of the electrical message. There are many different types of neurotransmitters, just as there are many different types of regular hormones. Nervous System-Endocrine System Interactions The link between the nervous and endocrine systems lies in two glands located between the cerebrum and the brain stem, the hypothalamus and the hypophysis (the pituitary gland). Electrical impulses from neurons in the cerebral cortex may activate the hypothalamus to release hormones that activate the hypophysis to release its hormones, which in turn activate or inactivate other endocrine glands throughout the body. These glands include the thyroid, parathyroids, thymus, pancreas, adrenals, and reproductive organs. This entire system operates by negative feedback homeostasis so that, once information is transferred and specific bodily functions are achieved, nervous or hormonal signals travel back to the hypothalamus to terminate any further action. Animal behavior occurs as a result of the actions of the nervous and endocrine systems. There is a complex interplay among these two body systems, the environment, and an individual’s genetic makeup in terms of the causeand-effect, stimulus-response events that constitute behavior. An animal receives external information via its special senses (eyes, ears, nose, mouth) and somatic sense organs (touch, pain, temperature, pressure). This external information travels along sensory neurons toward the brain and spinal cord, where the information is analyzed and a motor response to the external stimulus is initiated. Some of these motor responses will be directed toward the sense organs, locomotory muscles, and organs such as the heart and intestines. Other impulses will be directed toward the hypothalamus, which controls body cycles such as all endocrine system hormones, heart rate, sleep-wake cycles, and hunger. When the hypothalamus releases the hormone corticoliberin, the pituitary gland (the hypophysis) releases the hormones thyrotropin (which activates the thyroid gland), prolactin (which stimulates milk production in the 394
Hormones and Behavior female breast), and growth hormone (which triggers growth in children and metabolic changes in adults). When the thyroid gland is activated, hormones such as thyroxine and triiodothyronine are released to accelerate cellular metabolism, an event which may occur in certain situations such as stress or fight-or-flight encounters. If the pituitary gland releases adrenocorticotropic hormone (ACTH), the adrenal glands will be activated to release their hormones. The adrenal cortex produces and secretes a variety of hormones, such as aldosterone, which regulates the blood-salt balance directly and blood pressure indirectly; cortisol, which accelerates body metabolism; and androgens, or sex hormones. All of these are steroid hormones, which are involved in rapidly preparing the body for strenuous performance. Even more pronounced are the effects of the adrenal medulla, which produces and secretes the hormone neurotransmitters epinephrine and norepinephrine; these two hormones accelerate heart, muscle, and nerve action as well as stimulate the release of fat and sugar into the bloodstream for quick energy, all of which are extremely important for spontaneous activity such as fighting with or fleeing from enemies. The control of sugar storage and release from the liver by the pancreatic hormones insulin and glucagon also are important in this process. The Effects of Hormones on Behavior The study of hormones and their effects upon individual and group behaviors is of immense interest to psychologists. Hormones represent the biochemical control signals for much of animal and human behaviors. Understanding precisely how hormones affect individuals, both psychologically and physiologically, could be of great value in comprehending many different human behaviors, in treating abnormal behaviors, and in helping individuals to cope psychologically with disease and stress. The hormonal control of behavior in humans and in many other animal species has been extensively studied, although much research remains to be performed. Hormones have been clearly linked to reproductive behavior, sex-specific behavioral characteristics, territoriality and mating behaviors, physiological responses to certain external stimuli, and stress. The pineal gland, located in the posterior cerebrum, releases the hormone melatonin, which regulates the body’s circadian rhythms and possibly its sexual cycles as well. Melatonin is normally synthesized and secreted beginning shortly after dusk throughout the night and ending around dawn. It thus corresponds with the individual’s normal sleep-wake cycle. Melatonin may play an important role in humans adapting to shift work. It is promoted as a nutritional supplement to help people get a good night’s sleep. Hormones and Reproduction The most extensive research involving hormonal effects on behavior has been conducted on reproductive behavior. Among the most powerful behavior395
Psychology Basics
Hormones control a variety of behaviors in humans and animals, such as maternal imprinting. (Digital Stock)
influencing hormones are the pituitary gonadotropins luteinizing hormone (LH) and follicle-stimulating hormone (FSH). These two hormones target the reproductive organs of both males and females and stimulate these organs to initiate sexual development and the production of sexual steroid hormones—estrogen and progesterone in females, testosterone in males. These sex hormones are responsible not only for the maturation of the reproductive organs but also for secondary sexual characteristics such as male aggression and female nesting behavior. Reproductive patterns vary from species to species in occurrence, repetition of occurrence, and behaviors associated with courtship, mating, and caring for young. The achievement of reproductive maturity and reproductive readiness in a given species is subject to that species’ circadian rhythm, a phenomenon regulated by hormones released from the hypothalamus, hypophysis, and pineal gland. These three endocrine glands are influenced primarily by the earth’s twenty-four-hour rotation period and the twentyeight-day lunar cycle. Furthermore, genetically programmed hormonal changes at specific times during one’s life cycle also play a major role in the occurrence of reproductive behaviors. In female vertebratesm, LH, FSH, and estrogen are responsible for the maturation of the ovaries, the completion of meiosis (chromosome halving) and the release of eggs for fertilization, and secondary sexual characteristics. The secondary sexual characteristics involve physiological and closely related behavioral changes. In bird species, these changes include the con396
Hormones and Behavior struction of a nest and receptivity to dominant males during courtship rituals. In mammals, these same hormones are involved in female receptivity to dominant males during courtship. Physiological changes in mammals include the deposition of fat in various body regions, such as the breasts and buttocks, and increased vascularization (more blood vessel growth) in the skin. Females of most mammal and bird species go into heat, or estrus, one or several times per year, based on hormonally regulated changes in reproductive organs. Human females follow a lunar menstrual cycle in which LH, FSH, estrogen, and progesterone oscillate in production rates. These hormonal variations influence female body temperature and behavior accordingly. Male sexual behavior is controlled predominantly by testosterone produced in the testicles and male androgens produced in the adrenal cortex. These steroid hormones cause muscle buildup, increased hair, and aggressive behavior. As a consequence, such steroids are often used (illegally) by athletes to improve their performance. In a number of mammal and bird species, elevation of sex steroids causes increased coloration, which serves both as an attractant for females and as an antagonistic signal to competitor males. The aggressive behavior that is stimulated by the male sex steroid hormones thus plays a dual role in courtship and mating rituals and in territorial behavior, phenomena which are tightly linked in determining the biological success of the individual. Pheromones are hormones released from the reproductive organs and skin glands. These hormones target the sense organs of other individuals and affect the behavior of these individuals. Sex pheromones, for example, attract males to females and vice versa. Other pheromones enable a male to mark his territory and to detect the intrusion of competitor males into his territory. Others enable an infant to imprint upon its mother. Such hormones number in the hundreds, but only a few dozen have been studied in detail. Pheromones released by males serve as territorial markers, as is evidenced by most mammalian males spraying urine on objects in their own territory. Exchanges of pheromones between males and females are important stimulants for courtship and mating. In some species, the release of pheromones—or even the sight of a potential mate—will trigger hormonally controlled ovulation in the female. Furthermore, in several species, such as elephant seals and lions, the takeover of a harem by a new dominant male, a process that usually involves the killer of the previous male’s offspring, stimulates the harem females to ovulate. The diversity of reproductive behaviors that is regulated by hormones seems to be almost as great as the number of species. Hormones and Stress The fight-or-flight response is a hormonally controlled situation in which the body must pool all of its available resources within a relatively short time span. The detection of danger by any of the special senses (sight, smell, 397
Psychology Basics hearing) triggers the hypothalamus to activate the pituitary gland to release adrenocorticotropic hormone, which causes the adrenal gland to release its highly motivating hormones and neurotransmitters. Many body systems are subsequently affected, especially the heart and circulatory system, the central nervous system, the digestive system, and even the immune system. One reason the fight-or-flight response is of major interest to psychologists is its link to stress. Stress is overexcitation of the nervous and endocrine systems. It is caused by the body’s repeated exposure to danger, excessive physical exertion, or environmental pressures that affect the individual psychologically. Stress is a major problem for humans in a fast-paced technological society. The physiological and behavioral manifestations of stress are very evident. There is considerable evidence that stress is associated with heart disease, cancer, weakened immune systems, asthma, allergies, accelerated aging, susceptibility to infections, learning disorders, behavioral abnormalities, insanity, and violent crime. The demands that are placed upon individuals in fast-paced, overpopulated societies are so great that many people exhibit a near-continuous fightor-flight response. This response, in which the body prepares for maximum physical exertion in a short time span, is the physiological basis of stress. It is not intended to be maintained for long periods of time; if it is not relieved, irreparable effects begin to accumulate throughout the body, particularly within the nervous system. Medical psychologists seek to understand the hormonal basis of physiological stress in order to treat stress-prone individuals. Hormones and Aging Another hormone that greatly influences human behavior and development is human growth hormone (HGH). This hormone is produced by the anterior pituitary (adenohypophysis) gland under the control of the hypothalamus. HGH production peaks during adolescence, corresponding to the growth spurt. While it is produced throughout life, it declines with age in all species studied to date. In humans, HGH production tends to drop quickly beginning in the thirties so that by age sixty, HGH production is only about 25 percent of what it was earlier in life, and it continues to decline until death. The decrease in HGH production with age has been tied to thinning of skin and wrinkle formation, muscle wasting, sleep problems, cognitive and mood changes, decreased cardiac and kidney function, lessening of sexual performance, and weakening of bones, contributing to osteoporosis. Nutritional supplements including the amino acids arginine, lysine, and glutamine are being investigated as growth hormone releasers, thought to decrease signs of aging. Their use remains controversial. Hormone Treatment of Health Problems The ultimate goals of hormone studies are to arrive at an understanding of the physiological basis of behavior and to develop treatments for behavioral 398
Hormones and Behavior abnormalities. Synthetic hormones can be manufactured in the laboratory. Their mass production could provide solutions to many psychological problems such as stress, deviant behavior, and sexual dysfunction. Synthetic hormones already are being used as birth control mechanisms aimed at fooling the female body’s reproductive hormonal systems. Ongoing research focuses on the importance of many hormones, especially on understanding their functions and how they might be used in the treatment of common disorders. Two hormones produced by the hypothalamus and released by the posterior pituitary (neurohypophysis) gland are vasopressin (antidiuretic hormone) and oxytocin. Vasopressin keeps the kidneys from losing too much water and helps maintain the body’s fluid balance. Variants of vasopressin which decrease blood pressure, identified by Maurice Manning, may lead to a new class of drugs to control high blood pressure. Oxytocin induces labor by causing uterine contractions and also promotes the production of milk for breastfeeding. Manning and Walter Chan are working to develop oxytocin receptor antagonists that may be used to prevent premature births. The Past, Present, and Future of Hormones The activities of all living organisms are functionally dependent upon the biochemical reactions that make up life itself. Since the evolution of the first eukaryotic cells more than one billion years ago, hormones have been utilized in cell-to-cell communication. In vertebrate animals (fish, amphibians, reptiles, birds, and mammals), endocrine systems have evolved into highly complicated nervous systems. These nervous systems are even evident in the invertebrate arthropods (crustaceans, spiders, and so on), especially among the social insects, such as ants. The endocrine and nervous systems are intricately interconnected in the control of animal physiology and behavior. Psychologists are interested in the chemical basis of human behavior and therefore are interested in human and mammalian hormones. Such hormones control a variety of behaviors, such as maternal imprinting (in which an infant and mother bond to each other), courtship and mating, territoriality, and physiological responses to stress and danger. Animal behaviorists and psychologists study the connection between hormones and behavior in humans, primates, and other closely related mammalian species. They identify similarities in behaviors and hormones among a variety of species. They also recognize the occurrence of abnormal behaviors, such as antisocial behavior and sexual deviance, and possible hormonal imbalances that contribute to these behavioral anomalies. While the biochemistry of hormones and their effects upon various behaviors have been established in considerable detail, numerous behaviors that are probably under hormonal influence have yet to be critically analyzed. Among them are many subtle pheromones that affect a person’s interactions with other people, imprinting pheromones that trigger attraction and bonding between individuals, and hormones that link together a variety 399
Psychology Basics of bodily functions. These hormones may number in the hundreds, and they represent a challenging avenue for further research. Unraveling the relationships between hormones and behavior can enable researchers to gain a greater understanding of the human mind and its link to the rest of the body and to other individuals. These studies offer potential treatments for behavioral abnormalities and for mental disturbances created by the physiologically disruptive effects of drug use, a major problem in American society. They also offer great promise in the alleviation of stress, another major social and medical problem. Sources for Further Study Campbell, Neil A., Jane B. Reece, and Laurence G. Mitchell. Biology. 6th ed. San Francisco: Benjamin Cummings, 2002. This introductory biology text presents an exhaustive overview of biology. Unit 7, dealing with animal form and function, gives an overview of the endocrine system, along with a discussion of its effects on reproduction, development, and behavior. James, Vivian, ed. “Hormones and Sport Symposium.” Journal of Endocrinology 170 (2001). This special issue is devoted to the effects of hormones on sporting activity. The coverage within the issue focuses on the role of hormones in sports as well as the problems in attempting to eliminate potentially problematic drug abuse by athletes. Manning, Aubrey. An Introduction to Animal Behavior. 4th ed. Reading, Mass.: Addison-Wesley, 1992. This concise, thorough survey of animal behavior theory and research employs hundreds of experimental studies to describe major aspects of the subject. Chapter 2, “The Development of Behavior,” discusses the roles of hormones in animal development and social behavior. Chapter 4, “Motivation,” is an extensive study of animal drives and motivations as influenced by hormones, pheromones, and environmental stimuli. Martini, Frederic H., E. F. Bartholomew, and K. Welch. The Human Body in Health and Disease. Upper Saddle River, N.J.: Prentice Hall, 2000. This college-level text outlines the structure and function of the endocrine system and demonstrates its interrelationship with the nervous system and its effects on behavior. Well-written and illustrated. Nelson, Randy J. An Introduction to Behavioral Endocrinology. 2d ed. Sunderland, Mass.: Sinauer Associates, 2000. This text covers hormones and behavior in historical perspective, knowledge in cell and molecular biology and behavior, present and future research in the field. Raven, Peter H., and George B. Johnson. Biology. 6th ed. Boston: McGrawHill, 2002. An introductory survey of biology for the beginning student. It contains beautiful illustrations and photographs. Describes the endocrine systems of human and mammals, the major hormones produced by each endocrine gland, and the effects of these hormones upon the body. 400
Hormones and Behavior Sherwood, Lauralee. Human Physiology: From Cells to Systems. 5th ed. Belmont, Calif.: Thomson/Brooks/Cole, 2004. This college physiology text outlines the functioning of the endocrine glands and the hormones that they produce. Two chapters focus on endocrinology, highlighting the effects of hormones on behavior. Wallace, Robert A., Gerald P. Sanders, and Robert J. Ferl. Biology: The Science of Life. 4th ed. New York: HarperCollins, 1999. This introduction to biology for the beginning student exhausts the subject, but it does so by providing a wealth of information, constructive diagrams, and beautiful photographs dealing with human hormones and their effects upon the body. David Wason Hollar, Jr.; updated by Robin Kamienny Montvilo See also: Emotions; Endocrine System; Nervous System; Stress.
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Humanistic Trait Models Gordon Allport Type of psychology: Personality Fields of study: Humanistic-phenomenological models; personality theory Allport’s humanistic trait model explains how a person’s unique personal characteristics provide a pattern and direction to personality. It reveals the limitations of psychological theories that focus only on general rules of human behavior and provides insight into how to conduct in-depth study of individual dispositions. Key concepts • cardinal disposition • central dispositions • common traits • functional autonomy • idiographic or morphogenic study • nomothetic study • personal dispositions • proprium • secondary dispositions The humanistic trait model of Gordon Allport (1897-1967) was based on his profound belief in the uniqueness of every personality, as well as his conviction that individuality is displayed through dominant personal characteristics that provide continuity and direction in a person’s life. He saw personality as dynamic, growing, changing, and based on one’s perception of the world. Like other humanists, Allport believed that people are essentially proactive, or forward moving; they are motivated by the future and seek tension and change rather than sameness. In addition, each individual possesses a set of personal dispositions that define the person and provide a pattern to behavior. Allport’s approach is different from those of other trait theorists who have typically sought to categorize personalities according to a basic set of universal, essential characteristics. Allport referred to such characteristics as common traits. Instead of focusing on common traits that allow for comparisons among many people, Allport believed that each person is defined by a different set of characteristics. Based on his research, he estimated that there are four thousand to five thousand traits and eighteen thousand trait names. Functional Autonomy and Personal Dispositions Most personality theorists view adulthood as an extension of the basic motives present in childhood. Consistent with his belief that personality is 402
Humanistic Trait Models: Gordon Allport always evolving, Allport believed that the motivations of adulthood are often independent of the motivations of childhood, and he referred to this concept as functional autonomy. For example, a person who plays a musical instrument during childhood years because of parental pressure may play the same instrument for relaxation or enjoyment as an adult. Although not all motives are functionally autonomous, many adult activities represent a break from childhood and are based on varied and self-sustaining motives. According to this perspective, personality is based on concrete human motives that are represented by personal traits or dispositions. Human traits are seen as guiding human behavior, but they must also account for wide variability within a person’s conduct from situation to situation. As a result, Allport distinguished between different types and levels of traits or dispositions. Common traits represent those elements of personality that are useful for comparing most people within a specific culture, but they cannot provide a complete profile of any individual person. In contrast, personal dispositions represent the true personality, are unique to the person, and represent subtle differences among persons. Three kinds of personal dispositions exist: cardinal dispositions, central dispositions, and secondary dispositions. When a person’s life is dominated by a single, fundamental, outstanding characteristic, the quality is referred to as a cardinal disposition. For example, Adolf Hitler’s cruelty and Mahatma Ghandhi’s pacifism are examples of cardinal dispositions. Central dispositions represent the five to ten important qualities of a person that would typically be discussed and described in a thorough letter of recommendation. Finally, secondary dispositions are characteristics that are more numerous, less consistently displayed, and less important than central dispositions. Three Aspects of the Proprium Allport referred to the unifying core of personality, or those aspects of the self that a person considers central to self-identity, as the proprium. During the first three to four years of life, three aspects of the proprium emerge. The sense of a bodily self involves awareness of body sensations. Self-identity represents the child’s knowledge of an inner sameness or continuity over time, and self-esteem reflects personal efforts to maintain pride and avoid embarrassment. Self-extension emerges between the fourth and sixth year of life; this refers to the child’s concept of that which is “mine,” and it forms the foundation for later self-extensions such as career and love of country. The self-image, which also emerges between ages four and six, represents an awareness of personal goals and abilities as well as the “good” and “bad” parts of the self. The ability to see the self as a rational, coping being emerges between ages six and twelve and represents the ability to place one’s inner needs within the context of outer reality. Propriate striving often begins in adolescence and focuses on the person’s ability to form long-term 403
Psychology Basics goals and purposes. Finally, the self as knower represents the subjective self and one’s ability to reflect on aspects of the proprium. Idiographic Research From this humanistic trait framework, human personality can only be fully understood through the examination of personal characteristics within a single individual. The emphasis on individuality has significant implications for the measurement of personality and for research methods in psychology. Most psychological research deals with standardized measurements and large numbers of people, and it attempts to make generalizations about characteristics that people hold in common. Allport referred to this approach as nomothetic. He contrasted the study of groups and general laws with idiographic research, or approaches for studying the single person. Idiographic research, which is sometimes referred to as morphogenic research, includes methods such as autobiographies, interviews, dreams, and verbatim recordings. One of Allport’s famous studies of the individual appears in Letters from Jenny (1965), a description of an older woman’s personality that is based on the analysis of approximately three hundred letters that she wrote to her son and his wife. Through the use of personal structure analysis, statistical analysis, and the reactions of various trained judges, Allport and his colleagues identified eight clusters of characteristics, including the following: artistic, self-centered, aggressive, and sentimental. Through revealing the central dispositions of a single individual, this study provided increased insight about all people. It also demonstrated that objective, scientific practices can be applied to the study of one person at a time. Personal Orientations Allport preferred personality measures designed to examine the pattern of characteristics that are important to a person and that allow for comparison of the strengths of specific characteristics within the person rather than with other persons. The Study of Values (3d ed., 1960), which was developed by Allport, Philip Vernon, and Gardner Lindzey, measures a person’s preference for the six value systems of theoretical, economic, social, political, aesthetic, and religious orientations. After rank ordering forty-five items, the individual receives feedback about the relative importance of the six orientations within himself or herself. Consistent with the emphasis on uniqueness, the scale does not facilitate comparisons between people. Although the language of this scale is somewhat outdated, it is still used for value clarification and the exploration of career and lifestyle goals. Allport’s research also focused on attitudes that are influenced by group participation, such as religious values and prejudice. Through the study of churchgoers’ attitudes, he distinguished between extrinsic religion, or a conventional, self-serving approach, and intrinsic religion, which is based on internalized beliefs and efforts to act upon religious beliefs. Allport and 404
Humanistic Trait Models: Gordon Allport his colleagues found that extrinsic churchgoers were more prejudiced than intrinsic religious churchgoers; however, churchgoers who strongly endorsed both extrinsic and intrinsic religion were even more prejudiced than either extrinsic or intrinsic religious church attenders. Allport also examined cultural, family, historical, and situational factors that influence prejudice. Amalgamation of Approaches Allport provided theoretical and research alternatives at a time when a variety of competing approaches, including humanistic, psychoanalytic, and behavioral perspectives, were seeking preeminence in psychology. Allport found many existing theories to be limiting, overly narrow, and inadequate for describing the wide variations in human personality. As a result, he proposed an eclectic approach to theory that combined the strengths of various other perspectives. Instead of emphasizing a single approach, Allport thought that personality can be both growth-oriented and proactive, as well as reactive and based on instinctual processes. Through an eclectic approach, he hoped that the understanding of personality would become more complete. Allport was also concerned that many of the existing theories of his time, especially psychoanalytic theories, virtually ignored the healthy personality. In contrast to Sigmund Freud, Allport strongly emphasized conscious aspects of personality and believed that healthy adults are generally aware of their motivations. Unlike Freud’s notion that people are motivated to reduce the tension of instinctual drives, he believed that people seek the kind of tension that allows them to grow, develop goals, and act in innovative ways. Trait Approaches Like humanistic theorists Carl Rogers and Abraham Maslow, Allport identified vital characteristics of mature persons. His list of the characteristics of mature persons overlaps substantially with Maslow’s enumeration of the qualities of self-actualizing persons and Rogers’s definition of the “person of tomorrow.” Allport’s list includes extension of the sense of self (identifying with events and persons outside oneself), emotional security, realistic perception, insight and humor, and a unifying philosophy of life. Allport developed his theory at a time when other trait approaches that were based on nomothetic study were gaining prominence. Whereas Allport emphasized individual uniqueness, Raymond Cattell identified twentythree source traits, or building blocks of personality, and Hans Eysenck identified three primary dimensions of extroversion, neuroticism, and psychoticism. Within the nomothetic tradition, more recent researchers have reexamined earlier nomothetic trait theories and have identified five primary common dimensions of personality: surgency (active/dominant persons versus passive/submissive persons), agreeableness (one’s warmth 405
Psychology Basics or coldness), conscientiousness (one’s level of responsibility or undependability), emotional stability (unpredictability versus stability), and culture (one’s intellectual understanding of the world). Allport would have found these efforts to identify basic dimensions of personality to have limited usefulness for defining and understanding individual personality styles. Recent criticisms of trait approaches that emphasize universal characteristics of people indicate that these approaches underestimate the role of situations and human variability and change across different contexts. Furthermore, those approaches that focus on general traits provide summaries and demonstrate trends about behavior but do not provide explanations for behavior. The awareness that general trait approaches are inadequate for predicting behavior across situations has led to a resurgence of interest in the types of idiographic research methods proposed by Allport. Approaches to personality have increasingly acknowledged the complexity of human beings and the reality that individuals are influenced by a wide array of features that are often contradictory and inconsistent. Allport’s emphasis on the scientific study of unique aspects of personality provided both the inspiration and a general method for examining the singular, diverse variables that define human beings. Sources for Further Study Allport, Gordon W. “An Autobiography.” In A History of Psychology in Autobiography, edited by Edwin Garrigues Boring and Gardner Lindzey. Vol. 5. New York: Appleton-Century-Crofts, 1967. Allport provides an interesting account of his life, including an encounter with Sigmund Freud. __________. Becoming: Basic Considerations for a Psychology of Personality. Reprint. New Haven, Conn.: Yale University Press, 1967. A short, straightforward, clear statement of Allport’s basic assumptions about personality. The author attempts to provide the basic foundation for a complete personality theory and emphasizes the importance of both open-mindedness and eclecticism in the study of personality. __________. Pattern and Growth in Personality. New York: Holt, Rinehart and Winston, 1967. This textbook is the most complete account of Allport’s personality theory. It includes extensive descriptions of Allport’s approach to personality and individuality, personality development, the structure of the personality, the characteristics of the mature personality, and methods of personality assessment. Allport, Gordon W., Philip E. Vernon, and Gardner Lindzey. Study of Values. 3d ed. Boston: Houghton Mifflin, 1960. A scale that measures a person’s preference for six value orientations: religious, theoretical, economic, aesthetic, social, or political values. The personal ordering of these values provides a framework for reflecting upon and understanding the values that make up one’s philosophy of life. The language is outdated and gender-biased, but the book represents one application of Allport’s work. 406
Humanistic Trait Models: Gordon Allport Evans, Richard I. Gordon Allport: The Man and His Ideas. New York: Praeger, 1981. This book is based on a series of dialogues with Allport that focus on his unique contributions and his vision of the future of personality psychology. Also includes a discussion and evaluation of Allport’s ideas by three distinguished psychologists who studied under his direction. Maddi, Salvatore R., and Paul T. Costa. Humanism in Personology: Allport, Maslow, and Murray. Chicago: Aldine-Atherton, 1972. This volume compares the work of Allport with the contributions of two other humanistic personality theorists. Although the theories of these three differ substantially, they share an emphasis on human uniqueness, a faith in human capabilities, and a view of people as proactive, complex, and oriented toward the future. Masterson, Jenny (Gove) [pseud.]. Letters from Jenny. Edited and interpreted by Gordon W. Allport. New York: Harcourt, Brace & World, 1965. An example of idiographic or morphogenic study of the personality. After studying 301 letters from an older woman to her son and his wife, Allport grouped her characteristics into eight clusters that correspond to the number of central dispositions that he proposed make important elements of personality. Peterson, Christopher. Personality. 2d ed. San Diego, Calif.: International Thomson, 1992. This text on personality contains three chapters that summarize, compare, and evaluate various trait approaches along the following dimensions: theory, research, and applications. Describes major criticisms of trait approaches and discusses the practical implications of trait theories. Carolyn Zerbe Enns See also: Psychoanalytic Psychology and Personality: Sigmund Freud.
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Hunger Type of psychology: Motivation Field of study: Physical motives The psychological bases of hunger play an important role in the external and internal mediating forces that can affect and modify the physiological aspects of hunger. Key concepts • appetite • bingeing • deprivation • eating disorders • external cues • homeostasis • hypothalamus • primary motives • satiety • set point Primary motives are generated by innate biological needs that must be met for survival. These motives include hunger, thirst, and sleep. Hunger has been studied extensively, yet there is still uncertainty as to exactly how this drive works. A large body of research about the physiological analysis of hunger has led to the identification of important differences between physical hunger and psychological hunger. Physical hunger theories assume that the body’s physiological mechanisms and systems produce hunger as a need and that when this need is satisfied, the hunger drive is, for the time being, reduced. Psychologists have developed models and theories of hunger by analyzing its boundaries and restraint or regulation. The early findings on hunger regulation mechanisms emphasized the biological state of the individual and the control of an individual over the hunger drive. If a person experiences hunger, consumption of food will continue until it is terminated by internal cues. This is referred to as regulation. The individual learns to avoid hunger by reacting to the internal cues of satiety or fullness. The satiety boundary is characterized by feelings of fullness ranging from satisfaction to uncomfortable bloating. The normal eater learns to avoid transgression far or often into this latter zone. Beyond the reaction to internal cues is a zone of indifference, in which the body is not subject to biological cues. Instead, hunger is influenced by social, cognitive, and psychological cues. These cues may be external or internalized but do not rely on satiety cues for restraint. Eating past the point of satiety is referred to as counterregulation or, more commonly, as binge eating or compulsive eating. Because the inhibitors of hunger restraint are not physiological in this zone, the restraint and 408
Hunger dietary boundaries are cognitively determined. The physical hunger mechanisms may send signals, but quite ordinary ideas such as “being hungry” and “not being hungry” must be interpreted or received by the individual. The person must learn to distinguish between bodily sensations that indicate the need for food and the feelings that accompany this need, such as anxiety, boredom, loneliness, or depression. Thus, there are both internal cues and external cues that define hunger and lead an individual to know when to eat and how much to eat. External cues as a motive for eating have been studied extensively, particularly in research on obesity and eating disorders such as binge behavior and compulsive overeating. External cues include enticing smells, locations such as restaurants or other kinds of social settings, and the social environment—what other people are doing. When external cues prevail, a person does not have to be hungry in order to feel hungry. Children’s Hunger The awareness of hunger begins very early in life. Those infants who are fed on demand, whose cries of hunger determine the times at which they are fed, are taught soon after they can feed themselves that their eating must conform to family rules about when, what, and how much to eat in order to satisfy their hunger. Infants fed on a schedule learn even earlier to conform to external constraints and regulations regarding hunger. Throughout life, responding to hunger by feeding oneself is nourishing both physiologically and psychologically. Beginning in infancy, the sequences of getting hungry and being fed establish the foundations of the relationship between the physiological need or drive and the psychological components of feelings such as affiliation, interaction, calm, and security when hunger is satisfied. In preschool and early school years, when children are integrating themselves into their social world, food acceptance and cultural practices are learned. Prior to the peer group and school environment, the family and media are usually the main vehicles of cultural socialization of the hunger drive. According to social learning theory, these agents will play an important role in the child’s learning to interpret his or her level of hunger and in subsequent eating patterns, both directly and indirectly. The modeling behavior of children is also related to hunger learning. Experiences of hunger and satiety play a central role in a person’s relationship to hunger awareness, eating, and food. Some dispositions that influence hunger and eating behavior are long-term (fairly stable and enduring), while other habits and attitudes may fluctuate. There are numerous theories about the relation between the hunger drive and other factors such as genetic inheritance and activity level. Hunger and the Brain A strictly physiological analysis claims that an individual’s responses to hunger are caused by the brain’s regulation of body weight. If the body goes be409
Psychology Basics low its predetermined “set point,” internal hunger cues are initiated to signal the need for food consumption. External restraints, such as attempts to live up to ideal cultural thinness standards, also affect behavior and may result in restrained eating in order to maintain a body weight below the body’s defined set point. The idea of a body set point is rooted in the work of physiologist Claude Bernard (1813-1878), a pioneer in research based on the concept of homeostasis, or system balance in the body. Homeostasis has played a fundamental role in many subsequent investigations regarding the physiology of hunger and the regulatory systems involved in hunger satisfaction. Inherent in the set-point theory is the concept of motivation, meaning that an organism is driven physiologically and behaviorally toward maintenance of homeostasis and the body’s set point and will adapt to accommodate the systems involved in maintenance. In addition, there appear to be two anatomically and behaviorally distinct centers located in the hypothalamus, one regulating hunger and the other regulating satiety. The area of the hypothalamus responsible for stimulating eating behavior is the lateral hypothalamus. The ventromedial hypothalamus is the area responsible for signaling the organism to stop eating. The
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Hunger is a physiological response, but eating is a learned behavior. (CLEO Photography) 410
Hunger lateral hypothalamus is responsible for establishing a set point for body weight. In comparing hunger and satiety sensation differences, increased hunger and disturbed satiety appear to be two different and quite separate mechanisms. Imbalance or dysfunction of either the hunger mechanism or the satiety sensation can lead to obesity, overeating, binge eating, and other eating disorders. It appears that the way hunger is experienced accounts, in part, for its recognition. Whether hunger is experienced in context with other drives or becomes a compulsive force that dominates all other drives in life is a complex issue. The prevalence of eating disorders and the multitude of variables associated with hunger drives and regulation have provided psychologists with an opportunity to examine the ways in which hunger might take on different meanings. To a person who is anorexic, for example, hunger may be a positive feeling—a state of being “high” and thus a goal to seek. To others, hunger may produce feelings of anxiety, insecurity, or anger. In this case, a person might eat before feeling hunger to prevent the feelings from arising. People’s ability to experience hunger in different ways provides psychologists with two types of hunger, which are commonly referred to as hunger and appetite. Hunger and appetite are not the same. Actual physical need is the basis of true hunger, while appetite can be triggered by thought, feeling, or sensation. Physical need can be separate from psychological need, although they may feel the same to the person who is not conscious of the difference. Compulsive eaters are often unable to recognize the difference between “real” hunger and psychological hunger, or appetite. While psychological hunger can be equally as motivating a need as stomach hunger, appetite (or mouth hunger) is emotionally, cognitively, and psychologically based thus cannot be fed in the same way. Stomach hunger can be satisfied by eating, whereas “feeding” mouth hunger must involve other activities and behaviors, as food does not ultimately seem to satisfy the mouth type of hunger. The Cultural Context of Hunger One approach to increasing understanding of hunger and its psychological components is to examine hunger in its cultural context. In American culture, the experience of hunger is inextricably tied to weight, eating, body image, self-concept, social definitions of fatness and thinness, and other factors which take the issue of hunger far beyond the physiological facts. Historian Hillel Schwartz has traced the American cultural preoccupation with hunger, eating, and diet by examining the cultural fit between shared fictions about the body and their psychological, social, and cultural consequences. Hunger becomes a broader social issue when viewed in the context of the culture’s history of obsession with dieting, weight control, and body image. The personal experience of hunger is affected by the social and historical context. 411
Psychology Basics Eating disorders such as anorexia, bulimia, and compulsive overeating provide evidence of the complex relationship between the physiological and psychological components of hunger. Obesity has also been examined using medical and psychological models. The etiology of hunger’s relationship to eating disorders has provided insight, if not consensus, by investigating the roles of hereditary factors, social learning, family systems, and multigenerational transmission in hunger as well as the socially learned eating patterns, food preferences, and cultural ideals that can mediate the hunger drive. Body image, eating restraint, and eating attitudes have been assessed by various methods. The focus of much of the research on hunger beyond the early animal experiments has been eating disorders. The findings confirm that hunger is more than a physiological need and is affected by a multitude of variables. Hunger Regulation The desire to regulate hunger has resulted in a wide variety of approaches and techniques, including professional diet centers, programs, and clinics; self-help books and magazines; diet clubs and support groups; self-help classes; and “diet doctors.” Many people have benefited from psychotherapy in an effort to understand and control their hunger regulation mechanisms. Group therapy is one of the most successful forms of psychotherapy for food abusers. Types of group therapy vary greatly and include leaderless support groups, nonprofessional self-help groups such as Overeaters Anonymous, and groups led by professional therapists. Advantages of group support for hunger regulation include the realization that one is not alone. An often-heard expression in group therapy is “I always thought I was the only person who ever felt this way.” Other advantages include group support for risk taking, feedback from different perspectives, and a group laboratory for experimenting with new social behaviors. Witnessing others struggling to resolve life issues can provide powerful motivation to change. Self-help and therapy groups also offer friendship and acceptance. Creative arts therapies are other forms of psychotherapy used by persons seeking to understand and control their hunger regulation mechanisms. Creative therapy may involve art, music, dance, poetry, dreams, and other creative processes. These are experiential activities, and the process is sometimes nonverbal. A more common experience for those who have faced the issue of hunger regulation is dieting. Despite the high failure rate of diets and weightloss programs, the “diet mentality” is often associated with hunger regulation. Robert Schwartz studied the elements of the diet mentality, which is based on the assumption that being fat is bad and being thin is good. Dieting often sets up a vicious cycle of failure, which deflates self-esteem, thus contributing to shame and guilt, and leads to another diet. The diet mentality is self-defeating. Another key element to the diet mentality is the mechanism of self-deprivation that comes from not being allowed to in412
Hunger dulge in certain foods and the accompanying social restrictions and isolation that dieting creates. Dieting treats the symptom rather than the cause of overeating. Numerous approaches to hunger regulation share a condemnation of the diet mentality. Overcoming overeating; understanding, controlling, and recovering from addictive eating; and being “thin-within” are approaches based on addressing hunger regulation from a psychological perspective rather than a physiological one. These approaches share an emphasis on the emotional and feeling components of hunger regulation. They encourage the development of skills to differentiate between stomach hunger and mind hunger—that is, between hunger and appetite—and thereby to learn to recognize satiety as well as the reasons for hunger. Behavior modification consists of a variety of techniques that attempt to apply the findings and methods of experimental psychology to human behavior. Interest in applying behavioral modification to hunger regulation developed as a result of the research on external cues and environmental factors that control the food intake of individuals. By emphasizing specific training in “stimulus control,” behavior modification helps the individual to manage the environmental determinants of eating. The first step in most behavior modification programs is to help the patient identify and monitor activities that are contributing to the specific behavior. In the case of an individual who overeats, this could involve identifying such behaviors as frequent eating of sweets, late evening snacking, eating huge meals, or eating in response to social demands. Because most people have more than one stimulus for eating behavior, the individual then observes situational stimuli: those that arise from the environment in which eating usually takes place. Once the stimuli are identified, new behaviors can be substituted—in effect, behavior can be modified. Models of Hunger Early scientific interest in hunger research was dominated by medical models, which identified the physiological mechanisms and systems involved. One of the earliest attempts to understand the sensation of hunger was an experiment conducted in 1912, in which a subject swallowed a balloon and then inflated it in his stomach. His stomach contractions and subjective reports of hunger feelings could then be simultaneously recorded. When the recordings were compared to the voluntary key presses that the subject made each time he experienced the feeling of hunger, the researchers concluded that it was the stomach movements that caused the sensation of hunger. It was later found, however, that an empty stomach is relatively inactive and that the stomach contractions experienced by the subject were an experimental artifact caused by the mere presence of the balloon in the stomach. Further evidence for the lack of connection between stomach stimuli and feelings of hunger was provided in animal experiments which resulted in differentiating two areas of the hypothalamus responsible for stimulating 413
Psychology Basics eating behavior and signaling satiety—the “start eating” and “stop eating” centers. Psychologist Stanley Schachter and his colleagues began to explore the psychological issues involved in hunger by emphasizing the external, nonphysiological factors involved. In a series of experiments in which normalweight and overweight individuals were provided with a variety of external eating cues, Schachter found that overweight subjects were more attentive to the passage of time in determining when to eat and were more excited by the taste and sight of food than were normal-weight persons. More recently, the growth of the field of social psychology has provided yet a different perspective on hunger, one that accounts for the situational and environment factors which influence the physiological and psychological states. For example, psychologists have examined extreme hunger and deprivation in case studies from historical episodes such as war, concentration camps, and famine in the light of the more recent interest in the identification and treatment of eating disorders. There does not appear to be a consistent or ongoing effort to develop an interdisciplinary approach to the study of hunger. Because hunger is such a complex drive, isolating the factors associated with it poses a challenge to the standard research methodologies of psychology such as the case study, experiment, observation, and survey. Each methodology has its shortcomings, but together the methodologies have produced findings which clearly demonstrate that hunger is a physiological drive embedded in a psychological, social, and cultural context. Viewing hunger as a multidimensional behavior has led to an awareness of hunger and its implications in a broader context. Changing dysfunctional attitudes, feelings, thoughts, and behaviors concerning hunger has not always been seen as a choice. Through continued psychological research into the topic of hunger—and increasing individual and group participation in efforts to understand, control, and change behaviors associated with hunger—new insights continue to emerge that will no doubt cast new light on this important and not yet completely understood topic. Sources for Further Study Arenson, Gloria. A Substance Called Food. 2d ed. Boston: McGraw-Hill, 1989. Presents a variety of perspectives on eating: the psychological, the physiological, and the transpersonal. Particularly useful in providing self-help advice and treatment modalities. Examines the compulsiveness of food addiction and sees behavior modification as a means of addressing the addictive behavior. Battegay, Raymond. The Hunger Diseases. Northvale, N.J.: Jason Aronson, 1997. Addresses the emotional hunger that, the author contends, underlies all eating disorders, from anorexia to obesity. Hirschmann, Jane R., and Carol H. Munter. When Women Stop Hating Their Bodies: Freeing Yourself from Food and Weight Obsessions. New York: Fawcett, 414
Hunger 1997. A follow-up to the authors’ Overcoming Overeating (1988). Reviews the psychological bases for compulsive eating and provides alternative strategies to persons who have an addictive relationship with food. Presents arguments against dieting and proposes that self-acceptance, physical activity, and health are more appropriate long-term solutions to the problem of overeating. Nisbett, Richard E. “Hunger, Obesity, and the Ventromedial Hypothalamus.” Psychological Review 79, no. 6 (1972): 433-453. Based on research which differentiated the two areas of the hypothalamus that involve hunger: the “start eating” and “stop eating” mechanisms. Explains the idea of “set point,” or the body mechanism which regulates homeostasis. This article is a classic in the field of hunger because it explains the physiological location of hunger and the important role of the hypothalamus. Schachter, Stanley, and Larry P. Gross. “Manipulated Time and Eating Behavior.” Journal of Personality and Social Psychology 10, no. 2 (1968): 98-106. Schachter’s experiments provide the basis for attention to, and recognition of the importance of, external, nonphysiological factors affecting hunger. This article was one of the first to address the psychological components of hunger by examining the external triggers to eating. Schwartz, Hillel. Never Satisfied: A Cultural History of Diets, Fantasies, and Fat. New York: Free Press, 1986. Schwartz, a historian, looks at diets and eating from the perspective of American social and cultural history. Examines how “shared fictions” about the body fit with various reducing methods and fads in different eras. Schwartz, Robert. Diets Don’t Work. 3d ed. Oakland, Calif.: Breakthru, 1996. Practical “how-to” guide to dismantling the diet mentality. This book is a good, basic, and sensible guide for taking stock of the self-defeating weight-loss attitudes and behaviors prevalent in temporary diets versus long-term attitudinal and behavior strategies for permanent weight control. Tribole, Evelyn, and Elyse Resch. Intuitive Eating: A Recovery Book for the Chronic Dieter. 5th ed. New York: St. Martin’s Press, 1996. Advocates listening to authentic hunger cues and avoiding emotion-based overeating. Robin Franck See also: Drives; Eating Disorders; Thirst.
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Identity Crises Type of psychology: Developmental psychology Fields of study: Adolescence; adulthood Identity crises are the internal and external conflicts faced by the adolescent/young adult when choosing an occupation and coming to terms with a basic ideology. Development of a personal identity is a central component of psychosocial maturity. Key concepts • identity • identity confusion/diffusion • identity status • negative identity • psychosocial maturity • psychosocial moratorium Identity crises are an integral phase in human development. According to ego psychologist Erik Erikson (1902-1994), successful resolution of the identity crisis is contingent on the earlier resolution of the crises associated with infancy and childhood, such as trust, autonomy, initiative, and industry. Further, the extent to which the conflict surrounding identity is resolved will influence how the individual will cope with the crises of adulthood. According to Erikson’s model of the human life cycle, an identity crisis is one of the psychosocial conflicts faced by the adolescent. In Erikson’s model, which was published in the 1960’s, each age period is defined by a certain type of psychosocial crisis. Adolescence is the life stage during which acquiring an identity presents a major conflict. Failure to resolve the conflict results in identity confusion/diffusion—that is, an inadequate sense of self. Identity implies an existential position, according to James Marcia, who construes identity as a self-structure composed of one’s personal history, belief system, and competencies. One’s perception of uniqueness is directly related to the development of this self-structure. A somewhat similar position has been taken by Jane Kroger, who views the identity crisis as a problem of self-definition. The resulting identity is a balance between self and others. Erikson defines identity as the belief that one’s past experiences and identity will be confirmed in the future—as exemplified in the choice of a career. Identity is a composite of one’s sexuality, physical makeup, vocation, and belief system. Identity is the pulling together of who one is and who one can become, which involves compositing one’s past, present, and future. It is a synthesis of earlier identifications. Successfully resolving the identity crisis is contingent on the interactions that the adolescent/young adult has with others. Erikson contends that interacting with others provides the needed feedback about who one is and who one ought to be. These interactions with others enable the adolescent/young adult to gain a perspective of self 416
Identity Crises that includes an evaluation of his or her physical and social self. Identity acquisition is cognitive as well as social. Conditions for Identity Crisis From Erikson’s perspective, as discussed in a 1987 article by James Cote and Charles Levine, four conditions are necessary for an identity crisis: Puberty has been reached; the requisite cognitive development is present; physical growth is nearing adult stature; and societal influences are guiding the person toward an integration and resynthesis of identity. The dialectics of society and personality, implicit in the last condition, are given the most attention by Erikson, according to Cote and Levine, because the other three conditions are part of normative development. Developmental levels of the individual and societal pressures combine to elicit an identity crisis, but Cote and Levine note that timing of this crisis is contingent on factors such as ethnicity, gender, socioeconomic status, and subculture, as well as personality factors (for example, authoritarianism or neuroticism) and socialization practices. The severity of the identity crisis is determined by the extent to which one’s identity portrayal is interfered with by the uncertainty inherent in moving toward self-definition and unexpected events. Psychological Moratorium An integral part of the identity crisis is the psychological moratorium, a time during which society permits the individual to work on crisis resolution. During this moratorium, the adolescent/young adult has the opportunity to examine societal roles, career possibilities, and values, free from the expectation of commitments and long-term responsibilities. Although some individuals choose to remain in a moratorium indefinitely, Erikson contends that there is an absolute end to the recognizable moratorium. At its completion, the adolescent/young adult should have attained the necessary restructuring of self and identifications so that he or she can find a place in society which fits this identity. Based on Erikson’s writings, Cote and Levine identify two types of institutionalized moratoria: the technological moratorium, which is highly structured, and the humanistic moratorium, which is less highly structured. The technological moratorium is the product of the educational system, which is charged by society with socializing youth to fit in adult society. Individuals in this moratorium option experience less difficulty in resolving the identity crisis because they move into occupations and societal roles for which they have been prepared with significantly less intrapsychic trauma in accepting an ideology. The school takes an active role in easing this transition by providing vocational and academic counseling for students, facilitating scheduling so that students can gain work experience while enrolled in school, and encouraging early decision making as to a future career. The identity crisis for individuals in the humanistic moratorium is more stressful and painful and of longer duration than for those in the technolog417
Psychology Basics ical moratorium. The focal concern of the adolescent/young adult in the humanistic moratorium is humanistic values, which are largely missing from the technological moratorium. There is more variability in this concern for humanistic values, which is reflected in the moratorium that is chosen and the commitments that are made. These conditions elicit an alternation between progressive and regressive states, with the individual making commitments at one time and disengaging at another. The character Holden Caulfield in J. D. Salinger’s classic novel The Catcher in the Rye (1951) is an example of this type of identity problem. More extreme identity confusion is found among individuals in this moratorium. According to Cote and Levine, social support is often lacking, which hinders formation of a stable identity. Family and community support is especially important for these individuals. Yet these are the adolescents/young adults who, because their lifestyle departs from the societal mold, are often ostracized and denied support. Individuals may promote a cause of some type. Those who choose a humanistic moratorium are more likely to be intellectual, artistic, antiestablishment, and ideologically nonconforming. After a time, some of these individuals accept technological values and roles. Individuals whose identity seeking is not influenced by technological or humanistic moratoria face a rather different situation. Some remain in a constant state of flux, in which choices are avoided and commitments are lacking. Others take on a negative identity by accepting a deviant lifestyle and value system (for example, delinquency or gang membership). In this instance, the negative elements of an identity outweigh the positive elements. This type of identity crisis resolution occurs in an environment which precludes normative identity development (for example, excessively demanding parents, absence of an adequate role model). Identity Status Paradigm Erikson’s writings on identity crises have been responsible for an extensive literature consisting of conceptual as well as empirical articles. Perhaps the most widely used application is Marcia’s identity status paradigm, in which he conceptualized and operationalized Erikson’s theory of identity development in terms of several statuses which result from exploration and commitment. By 1988, more than one hundred empirical studies had been generated from this paradigm, according to a review by Cote and Levine. The identity status paradigm provides a methodological procedure for determining identity statuses based on resolution of an identity crisis and the presence of commitments to an occupation and an ideology. According to the Marcia paradigm, an ego identity can be one of several statuses consisting of achievement, foreclosure, moratorium, or diffusion. An achievement status indicates resolution of the identity crisis and firm commitments to an occupation and an ideology. In a foreclosure status, one has formed commitments but has not experienced a crisis. The moratorium status denotes that an identity crisis is being experienced, and no commit418
Identity Crises ments have been made. The diffusion status implies the absence of a crisis and no commitments. Much of the research has focused on identifying the personality characteristics associated with each of these statuses. Other studies have examined the interactional patterns as well as information-processing and problem-solving strategies. Achievement and moratorium statuses seek out, process, and evaluate information in their decision making. Foreclosures have more rigid belief systems and conform to normative standards held by significant others, while those in the diffusion status delay decision making. Significant differences have been found among the statuses in terms of their capacity for intimacy, with diffusions scoring lowest, followed by foreclosures. Achievement and moratorium statuses have a greater capacity for intimacy. Parental Socialization and Female Identity One area of research that continues to attract attention is parental socialization patterns associated with crisis resolution. The findings to date reveal distinctive parental patterns associated with each status. Positive but somewhat ambivalent relationships between parents and the adolescent/young adult are reported for achievement status. Moratorium-status adolescents/ young adults also seem to have ambivalent relationships with their parents, but they are less conforming. Males in this status tend to experience difficulty in separating from their mothers. Foreclosures view their parents as highly accepting and encouraging. Parental pressure for conformity to family values is very evident. Diffusion-status adolescents report much parental rejection and detachment from parents, especially from the father. In general, the data from family studies show that the same-sex parent is an important figure in identity resolution. An interest in female identity has arisen because different criteria have been used to identify identity status based on the Marcia paradigm. Attitudes toward premarital sexual relations are a major content area in status determination. The research in general shows that achievement and foreclosure statuses are very similar in females, as are the moratorium and diffusion statuses. This pattern is not found for males. It has been argued by some that the focal concerns of females, in addition to concerns with occupation and ideology, involve interpersonal relationships more than do the concerns of males. Therefore, in forming a self-structure, females may examine the outside world for self-evaluation and acceptance in addition to the internal examination of self which typically occurs in males. The effect of an external focus on identity resolution in females is unknown, but this type of focus is likely to prolong the identity crisis. Further, it is still necessary to determine the areas in which choices and commitments are made for females. Negative Identity The concept of negative identity has been used frequently in clinical settings to explain antisocial acts and delinquency in youth as well as gang-related 419
Psychology Basics behavior. A 1988 study by Randall Jones and Barbara Hartman found that the use of substances (for example, cigarettes, alcohol, and other drugs) was higher and more likely in youths of identity-diffusion status. Erikson and others have argued that troubled youths find that elements of a negative identity provide them with a sense of some mastery over a situation for which a positive approach has been continually denied them. In the examples cited, deviant behavior provided both this sense of mastery and an identity. Role in Understanding Adolescents The identity crisis is the major conflict faced by the adolescent. Erikson’s theories about the identity crisis made a major contribution to the adolescent literature. Marcia’s reconceptualization of ego identity facilitated identity research and clinical assessment by providing a methodological approach to identity development and the psychological concomitants of identity. As a result, the study of identity and awareness of the psychological impact on the individual become major research areas and provided a basis for clinical intervention. The concept of identity crises originated with Erikson, based on the clinical experiences which he used to develop a theory of ego identity development. Explication of this theory appeared in his writings during the 1950’s and 1960’s. Erikson’s theory of the human life cycle places identity resolution as the major crisis faced by the adolescent. The success of this resolution is determined by the satisfactory resolution of crises in the stages preceding adolescence. Identity formation is a major topic in most textbooks on adolescence, and it is a focal concern of practitioners who treat adolescents with psychological adjustment problems. Until the appearance of Erikson’s writings, the field of adolescence was mostly a discussion of physical and sexual development. His focus on psychosocial development, especially the emergence of a self-structure, increased immeasurably the understanding of adolescent development and the problems faced by the adolescent growing up in Western society. As Cote and Levine noted, identity is a multidimensional construct consisting of sociological perspectives, specifically the social environment in which the individual interacts, as well as psychological processes. Thus, a supportive social environment is critical to crisis resolution. The absence of this supportive environment has frequently been cited as an explanation for identity problems and the acquisition of a negative identity. Temporal Considerations It is important to realize that identity has a temporal element as well as a lifelong duration. That is, identity as a personality characteristic undergoes transformations throughout the life cycle. While crisis resolution may be achieved during adolescence/young adulthood, this self-structure is not permanent. Crises can reemerge during the life span. The midlife crises of 420
Identity Crises middle adulthood, written about frequently in the popular press, are often viewed as a manifestation of the earlier identity crisis experienced during adolescence/young adulthood. The outlook for identity crises is difficult to forecast. The psychological moratorium will continue to be an important process. Given the constant change in American society, the moratorium options available for youth may be more restricted, or more ambiguous and less stable. This scenario is more probable for humanistic moratoria as society moves toward more institutional structure in the form of schools taking on increased responsibility for the socialization of children and youth. The provision of child care before and after school is one example of the school’s increased role. The erosion which has occurred in family structure presents another problem for identity crisis resolution. Sources for Further Study Cote, James E., and Charles Levine. “A Critical Examination of the Ego Identity Status Paradigm.” Developmental Review 8 (June, 1988): 147-184. Critiques the Marcia identity-status paradigm and notes several areas of divergence from Erikson’s conceptualization theory of identity. Advances the argument for an interdisciplinary approach to understanding identity and identifies several questions about identity crises that need to be considered. __________. “A Formulation of Erikson’s Theory of Ego Identity Formation.” Developmental Review 7 (December, 1987): 209-218. A comprehensive review of Erikson’s theory of ego identity and the role of psychological moratoria in the resolution of identity crises. Discusses Erikson’s concepts of value orientation stages and the ego-superego conflict over personality control. Offers criticisms of Erikson’s work and suggests cautions for the researcher. Erikson, Erik Homburger. Childhood and Society. Reprint. New York: W. W. Norton, 1993. The thirty-fifth anniversary edition. A presentation of case histories based on Erikson’s clinical experiences as well as a discussion of Erikson’s life-cycle model of human development. One section of the book is devoted to an examination of youth and identity. Clinical studies are used to illustrate the problems youth face in identity resolution. __________. Identity, Youth, and Crisis. Reprint. New York: W. W. Norton, 1994. A theoretical discussion of ego identity formation and identity confusion, with special attention given to issues such as womanhood or race and identity. Erikson relies heavily on his vast clinical experiences to illustrate the concepts that he discusses. The life cycle as it applies to identity is examined from an epigenetic perspective. Kroger, Jane. Identity in Adolescence. 2d ed. New York: Routledge, 1996. A presentation of identity development as conceptualized by Erikson and others. Each approach is criticized, and the empirical findings generated by the approach are summarized. The first chapter of the book is devoted to 421
Psychology Basics an overview of identity from a developmental and sociocultural perspective. The final chapter presents an integration of what is known about identity. Marcia, James E. “Identity in Adolescence.” In Handbooks of Adolescent Psychology, edited by Joseph Adelson. New York: John Wiley & Sons, 1980. A discussion of the identity statuses developed by Marcia, based on a paradigm derived from Erikson’s conceptualization of ego identity. Reviews the research literature on personality characteristics, patterns of interaction, developmental studies, identity in women, and other directions in identity research. Ends with a discussion of a general ego-developmental approach to identity. Joseph C. LaVoie See also: Adolescence: Cognitive Skills; Development; Ego Psychology: Erik Erikson; Gender-Identity Formation; Psychoanalytic Psychology; Self.
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Imprinting Type of psychology: Learning Fields of study: Biological influences on learning; endocrine system Imprinting is an endogenous, or inborn, animal behavior by which young mammals and birds learn specific, visible physical patterns to associate with important concepts such as the identification of one’s mother, navigation routes, and danger. The phenomenon, which relies primarily upon visual cues and hormonal scents, is of high survival value for the species possessing it. Key concepts • conditioning • critical period • endogenous behavior • ethology • exogenous behavior • imprinting • pheromone • plasticity • visual cues • vocal cues Imprinting is an important type of behavior by which an animal learns specific concepts and identifies certain objects or individuals that are essential for survival. Imprinting events almost always occur very early in the life of an animal, during critical periods or time frames when the animal is most sensitive to environmental cues and influences. The phenomenon occurs in a variety of species, but it is most pronounced in the homeothermic (warmblooded) and socially oriented higher vertebrate species, especially mammals and birds. Imprinting is learned behavior. Most learned behavior falls within the domain of exogenous behavior, or behavior that an animal obtains by its experiences with fellow conspecifics (members of the same species) and the environment. Imprinting, however, is predominantly, if not exclusively, an endogenous behavior, which is a behavior that is genetically encoded within the individual. An individual is born with the capacity to imprint. The animal’s cellular biochemistry and physiology will determine when in its development it will imprint. The only environmental influence of any consequence in imprinting is the object of the imprint during the critical period. Ethologists, scientists who study animal behavior, debate the extent of endogenous and exogenous influences upon animal behavior. Most behaviors involve a combination of both, although one type may be more pronounced than the other. The capacity for an animal to imprint is genetically determined and, therefore, is inherited. This type of behavior is to the animal’s advantage for 423
Psychology Basics critical situations that must be correctly handled the first time they occur. Such behaviors include the identification of one’s parents (especially one’s mother), the ability to navigate, the ability to identify danger, and even the tendency to perform the language of one’s own species. Imprinting behaviors generally are of high survival value and hence must be programmed into the individual via the genes. Biological research has failed to identify many of the genes that are responsible for imprinting behaviors, although the hormonal basis of imprinting is well understood. Most imprinting studies have focused upon the environmental signals and developmental state of the individual during the occurrence of imprinting. Maternal Imprinting These studies have involved mammals and birds, warm-blooded species that have high social bonding, which seems to be a prerequisite for imprinting. The most famous imprinting studies were performed by the animal behaviorists and Nobel laureates Konrad Lorenz (1903-1989) and Nikolaas Tinbergen (1907-1988). They and their many colleagues detailed analyses of imprinting in a variety of species, in particular waterfowl such as geese and ducks. The maternal imprinting behavior of the newborn gosling or duckling upon the first moving object that it sees is the most striking example of imprinting behavior. The maternal imprint is the means by which a newborn identifies its mother and the mother identifies its young. In birds, the newborn chick follows the first moving object that it sees, an object that should be its mother. The critical imprinting period is within a few hours after hatching. The chick visually will lock on its moving mother and follow it wherever it goes until the chick reaches adulthood. The act of imprinting not only allows for the identification of one’s parents but also serves as a trigger for all subsequent social interactions with members of one’s own species. As has been established in numerous experiments, a newborn gosling that first sees a female duck will imprint on the duck and follow it endlessly. Upon reaching adulthood, the grown goose, which has been raised in the social environment of ducks, will attempt to behave as a duck, even to the point of mating. Newborn goslings, ducklings, and chicks can easily imprint on humans. In mammals, imprinting relies not only visual cues (specific visible physical objects or patterns that an animal learns to associate with certain concepts) but also on physical contact and smell. Newborn infants imprint upon their mothers, and vice versa, by direct contact, sight, and smell during the critical period, which usually occurs within twenty hours following birth. The newborn and its mother must come into direct contact with each other’s skin and become familiarized with each other’s smell. The latter phenomenon involves the release of special hormones called pheromones from each individual’s body. Pheromones trigger a biochemical response in the body of the recipient individual, in this case leading to a locked identification pattern for the other involved individual. If direct contact between 424
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Konrad Lorenz. (The Nobel Foundation)
mother and infant is not maintained during the critical imprinting period, then the mother may reject the infant because she is unfamiliar with its scent. In such a case, the infant’s life would be in jeopardy unless it were claimed by a substitute mother. Even in this situation, the failure to imprint would trigger subsequent psychological trauma in the infant, possibly leading to aberrant social behavior in later life. Bird Migration and Danger Recognition Although maternal imprinting in mammal and bird species represents the best-documented studies of imprinting behavior, imprinting may be involved in other types of learned behavior. In migratory bird species, ethologists have attempted to explain how bird populations navigate from their summer nesting sites to their wintering sites and back every year without error. Different species manage to navigate in different fashions. The indigo bunting, however, navigates via the patterns of stars in the sky at night. Indigo bunting chicks imprint upon the celestial star patterns for their sum425
Psychology Basics mer nesting site during a specific critical period, a fact that was determined by the rearrangement of planetarium stars for chicks by research scientists. Further research studies on birds also implicate imprinting in danger recognition and identification of one’s species-specific call or song. Young birds of many species identify predatory birds (for example, hawks, falcons, and owls) by the outline of the predator’s body during flight or attack and by special markings on the predator’s body. Experiments also have demonstrated that unhatched birds can hear their mother’s call or song; birds may imprint on their own species’ call or song before they hatch. These studies reiterate the fact that imprinting is associated with a critical period during early development in which survival-related behaviors must become firmly established. Human Imprinting Imprinting is of considerable interest to psychologists because of its role in the learning process for humans. Humans imprint in much the same fashion as other mammals. The extended lifetime, long childhood, and great capacity for learning and intelligence make imprinting in humans an important area of study. Active research on imprinting is continually being conducted with humans, primates, marine mammals (such as dolphins, whales, and seals), and many other mammals as well as with a large variety of bird species. Comparisons among the behaviors of these many species yield considerable similarities in the mechanisms of imprinting. These similarities underscore the importance of imprinting events in the life, survival, and socialization of the individual. With humans, maternal imprinting occurs much as with other mammals. The infant and its mother must be in direct contact during the hours following birth. During this critical period, there is an exchange of pheromones between mother and infant, an exchange that, to a large extent, will bond the two. Such bonding immediately following birth can occur between infant and father in the same manner. Many psychologists stress the importance of both parents being present at the time of a child’s delivery and making contact with the child during the critical hours of the first day following birth. Familiarization is important not only for the child but for the parents as well because all three are imprinting upon one another. Failure of maternal or paternal imprinting during the critical period following birth can have drastic consequences in humans. The necessary, and poorly understood, biochemical changes that occur in the bodies of a child and parent during the critical period will not occur if there is no direct contact and, therefore, no transfer of imprinting pheromones. Consequently, familiarization and acceptance between the involved individuals may not occur, even if intense contact is maintained after the end of the critical period. The psychological impact upon the child and upon the parents may be profound, perhaps not immediately, but in later years. Studies on this problem are extremely limited because of the difficulty of tracing cause-and-effect re426
Imprinting lationships over many years when many behaviors are involved. There is some evidence, however, which indicates that failure to imprint may be associated with such things as learning disabilities, child-parent conflicts, and abnormal adolescent behavior. Nevertheless, other cases of imprinting failure seem to have no effect, as can be seen in tens of thousands of adopted children. The success or failure of maternal imprinting in humans is a subject of considerable importance in terms of how maternal imprinting affects human behavior and social interactions in later life. Different human cultures maintain distinct methods of child rearing. In some cultures, children are raised by family servants or relatives from birth onward, not by the actual mother. Some cultures wrap infants very tightly so that they can barely move; other cultures are more permissive. Child and adolescent psychology focuses attention upon early life experiences that could have great influence upon later social behavior. The success or failure of imprinting, along with other early childhood experiences, may be a factor in later social behaviors such as competitiveness, interaction with individuals of the opposite sex, mating, and maintenance of a stable family structure. Even criminal behavior and psychological abnormalities may be traceable to such early childhood events. Experiments Imprinting studies conducted with mammal and bird species are much easier because the researcher has the freedom to conduct controlled experiments that test many different variables, thereby identifying the factors that influence an individual animal’s ability to imprint. For bird species, a famous experiment is the moving ball experiment. A newly hatched chick is isolated in a chamber within which a suspended ball revolves around the center of the chamber. The researcher can test not only movement as an imprinting trigger but also other variables, such as critical imprinting time after hatching, color as an imprinting factor, and variations in the shape of the ball as imprinting factors. Other experiments involve switching eggs between different species (for example, placing a duck egg among geese eggs). For mammals, imprinting has been observed in many species, such as humans, chimpanzees, gorillas, dolphins, elephant seals, wolves, and cattle. In most of these species, the failure of a mother to come into contact with its newborn almost always results in rejection of the child. In species such as elephant seals, smell is the primary means by which a mother identifies its pups. Maternal imprinting is of critical importance in a mammalian child’s subsequent social development. Replacement of a newborn monkey’s natural mother with a “doll” substitute leads to irreparable damage; the infant is socially and sexually repressed in its later life encounters with other monkeys. These and other studies establish imprinting as a required learning behavior for the successful survival and socialization of all birds and nonhuman mammals. 427
Psychology Basics Biology and Behavior Animal behaviorists and psychologists attempt to identify the key factors that are responsible for imprinting in mammalian and avian species. Numerous factors, including vocal cues (specific sounds, frequency, and language that an animal learns to associate with certain concepts) and visual cues probably are involved, although the strongest two factors appear to be direct skin contact and the exchange of pheromones that are detectable by smell. The maternal imprinting behavior is the most intensively studied imprinting phenomenon, though imprinting appears to occur in diverse behaviors such as mating, migratory navigation, and certain forms of communication. Imprinting attracts the interest of psychologists because it occurs at critical periods in an individual’s life; because subsequent developmental, social, and behavioral events hinge upon what happens during the imprinting event; and because imprinting occurs at the genetic or biochemical level. Biochemically, imprinting relies upon the production and release of pheromones, molecules that have a specific structure and that can be manufactured in a laboratory. The identification and mass production of these pheromones could possibly produce treatments for some behavioral abnormalities. As an endogenous (instinctive) form of learning, imprinting relies upon the highly complex nervous and endocrine systems of birds and mammals. It also appears limited to social behavior, a major characteristic of these species. The complex nervous systems involve a highly developed brain, vocal communication, well-developed eyes, and a keen sense of smell. The endocrine systems of these species produce a variety of hormones, including the pheromones that are involved in imprinting, mating, and territoriality. Understanding the nervous and endocrine regulation of behavior at all levels is of major interest to biological and psychological researchers. Such studies may prove to be fruitful in the discovery of the origin and nature of animal consciousness. Imprinting may be contrasted with exogenous forms of learning. These other learning types include conditioning, in which individuals learn by repeated exposure to a stimulus, by association of the concept stimulus with apparently unrelated phenomena and objects, or by a system of reward and punishment administered by parents. Other exogenous learning forms include habituation (getting used to something) and trial and error. All learned behaviors are a combination of endogenous and exogenous factors. Sources for Further Study Beck, William S., Karel F. Liem, and George Gaylord Simpson. Life: An Introduction to Biology. 3d ed. New York: HarperCollins, 1991. Introduction to biology for the beginning student. Contains a clear text, many strong diagrams and illustrations, and beautiful photographs. Contains a thorough discussion of animal behavior, famous experiments, and various types of 428
Imprinting animal learning, including imprinting, and describes the studies of Konrad Lorenz and others. Klopfer, Peter H., and Jack P. Hailman. An Introduction to Animal Behavior: Ethology’s First Century. 2d ed. Englewood Cliffs, N.J.: Prentice-Hall, 1974. An excellent and well-organized introduction to the history of animal behavior research. Presents major themes and models and cites many important studies. Two chapters discuss instinctive and learned aspects of behavioral development. Manning, Aubrey, and Marian Stamp Dawking. An Introduction to Animal Behavior. 5th ed. New York: Cambridge University Press, 1998. Concise, detailed, and thorough presentation of animal behavior research. Encompasses all major behavioral theories and supporting experiments. Includes a good discussion of imprinting studies, particularly with reference to maternal imprinting, and describes the biological bases behind imprinting and other behaviors. Raven, Peter H., and George B. Johnson. Biology. 6th ed. Boston: McGrawHill, 2002. A strong presentation of all aspects of biology for the beginning student. Includes excellent diagrams and illustrations. Summarizes the major theories and classic experiments of animal behavior research, including imprinting studies. Wallace, Robert A., Gerald P. Sanders, and Robert J. Ferl. Biology: The Science of Life. 3d ed. New York: HarperCollins, 1991. An outstanding book for beginning students that describes all major concepts in biology with great clarity, using numerous examples, good illustrations, and beautiful photographs. Discusses behavioral research, including studies of maternal imprinting. Wilson, Edward Osborne. Sociobiology: The New Synthesis. Cambridge, Mass.: The Belknap Press of Harvard University Press, 2000. A comprehensive study of sociobiology, a perspective which maintains that animal behavior is a driving force in animal species evolution. The author, a prominent entomologist, is a leading proponent of this controversial theory, which he defends with hundreds of case studies. Describes the biological basis of behavior during all stages of animal development. David Wason Hollar, Jr. See also: Hormones and Behavior; Instinct Theory; Learning; Reflexes.
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Individual Psychology Alfred Adler Type of psychology: Personality Fields of study: Personality theory; psychodynamic and neoanalytic models Individual psychology is the personality theory that was developed by Adler after he broke from Freudian psychoanalytical ideas. Adler emphasized the importance of childhood inferiority feelings and stressed psychosocial rather than psychosexual development. Key concepts • compensation • inferiority • masculine protest • private logic • social interest • style of life Individual psychology is the name of the school of personality theory and psychotherapy developed by Alfred Adler (1870-1937), a Viennese generalpractice physician turned psychiatrist. The term “individual” has a dual implication: It implies uniqueness (each personality exists in a person whose distinctiveness must be appreciated); also, the personality is an indivisible unit that cannot be broken down into separate traits, drives, or habits which could be analyzed as if they had an existence apart from the whole. The essence of a person’s uniqueness is his or her style of life, a unified system which provides the principles that guide everyday behavior and gives the individual a perspective with which to perceive the self and the world. The style of life is fairly stable after about age six, and it represents the individual’s attempt to explain and cope with the great problem of human existence: the feeling of inferiority. Role of Inferiority According to Adler, all people develop a feeling of inferiority. First of all, they are born children in an adult world and realize that they have smaller and weaker bodies, less knowledge, and virtually no privileges. Then people start to compare themselves and realize that there are other people their own age who are better athletes, better scholars, more popular, more artistically talented, wealthier, more socially privileged, more physically attractive, or simply luckier. If one allows the perception of one’s own self-worth to be influenced by such subjective comparisons, then one’s self-esteem will be lowered by an inferiority complex. 430
Individual Psychology: Alfred Adler Adler believed that because one’s style of life is largely determined early in life, certain childhood conditions make individuals more vulnerable to feelings of inferiority. For example, children born into poverty or into ethnic groups subjected to prejudice may develop a heightened sense of inferiority. Those children with real disabilities (learning or physical disabilities, for example) would also be more susceptible to devaluing their own worth, especially when others are excessively critical or mocking. Role of Early Family Life Adler looked inside the family for the most powerful influences on a child’s developing style of life. Parents who treat a child harshly (through physical, verbal, or sexual abuse) would certainly foster feelings of inferiority in that child. Similarly, parents who neglect or abandon their children contribute to the problem. (Adler believed that such children, instead of directing their rage outward against such parents, turn it inward and say, “There must be something wrong with me, or they would not treat me this way.”) Surprisingly, Adler also believed that those parents who pamper their children frustrate the development of positive self-esteem, for such youngsters conclude that they must be very weak and ineffectual in order to require such constant protection and service. When such pampered children go out into the larger world and are not the recipients of constant attention and favors, their previous training has not prepared them for this; they rapidly develop inferior feelings. The impact of the family on the formulation of one’s style of life also includes the influence of siblings. Adler was the first to note that a child’s birth order contributes to personality. Oldest children tend to be more serious and success-oriented, because they spend more time with their parents and identify more closely with them. When the younger children come along, the oldest child naturally falls into a leadership role. Youngest children are more likely to have greater social skills and be creative and rebellious. Regardless of birth order, intense sibling rivalries and comparisons can easily damage the esteem of children. Individual Interpretation of Choice Adler was not fatalistic in discussing the possible impact on style of life of these congenital and environmental forces; he held that it is neither heredity nor environment which determines personality but rather the way that individuals interpret heredity and environment. These two things furnish only the building blocks out of which the individual fashions a work of art: the style of life. People have (and make) choices, and this determines their own development; some people, however, have been trained by life to make better choices than others. All individuals have the capacity to compensate for feelings of inferiority. Many great athletes were frail children and worked hard to develop their physical strength and skills. Some great painters overcame weak eyesight; 431
Psychology Basics great musicians have overcome poor hearing. Given proper encouragement, people are capable of great accomplishments. Development of Social Interest The healthy, normal course of development is for individuals to overcome their feelings of inferiority and develop social interest. This involves a feeling of community, or humanistic identification, and a concern with the wellbeing of others, not only one’s own private feelings. Social interest is reflected in and reinforced by cooperative and constructive interactions with others. It starts in childhood, when the youngster has nurturing and encouraging contacts with parents, teachers, and peers. Later, the three main pillars of social interest are friends, family, and career. Having friends can help overcome inferiority, because it allows one to be important in the eyes of someone else. Friends share their problems, so one does not feel like the only person who has self-doubt and frustration. Starting one’s own family reduces inferiority feeling in much the same way. One feels loved by spouse and children, and one is very important to them. Having an occupation allows one to develop a sense of mastery and accomplishment and provides some service to others or to society at large. Therefore, those people who have difficulty establishing and maintaining friendships, succeeding as a spouse or parent, or finding a fulfilling career will have less opportunity to develop a healthy social interest and will have a greater susceptibility to lingering feelings of inferiority. Private Logic The alternatives to developing social interest as a way of escaping from feelings of inferiority are either to wallow in them or to explain them away with private logic. Private logic is an individual’s techniques for coping with the feeling of inferiority by unconsciously redefining himself or herself in a way not compatible with social interest. Such individuals retreat from meaningful interpersonal relationships and challenging work because it might threaten their precariously balanced self-esteem. Private logic convinces these individuals to seek a sham sense of superiority or notoriety in some way that lacks social interest. One such approach in private logic is what Adler termed masculine protest (because Western patriarchal culture has encouraged such behavior in males and discouraged it in females). The formula is to be rebellious, defiant, even violent. Underlying all sadism, for example, is an attempt to deny weakness. The gangster wants more than money, the rapist more than sex: They need a feeling of power in order to cover up an unresolved inferiority feeling. Use in Child Development Studies Adler’s theory, like Sigmund Freud’s psychoanalysis and B. F. Skinner’s radical behaviorism, is a flexible and powerful tool for understanding and guid432
Individual Psychology: Alfred Adler ing human behavior. The first and foremost applications of individual psychology have been in the areas of child rearing, education, and guidance. Because the first six years of life are formative, the contact that children have during this time with parents, teachers, siblings, and peers will influence that child’s later decisions in the direction of social interest or private logic. Adlerians recommend that parents and teachers be firm, fair, and, above all, encouraging. One should tell children that they can overcome their disabilities and praise every progress toward accomplishment and social interest. One should avoid excessive punishments, for this will only convince children that others are against them and that they must withdraw into private logic. After World War I, the new Social Democratic government of Austria gave Adler the task of developing a system of youth guidance clinics throughout the nation. Each child age six to fourteen was screened, then counseled, if necessary. In the 1920’s, the rates of crime and mental disorders among young people declined dramatically. Use in Elder Studies A second example of the applicability of Adler’s theory occurs at the other end of the life cycle: old age. Late life is a period in which the incidence of mental disorders, especially depression, increases. This can be understood in terms of diminished opportunity to sustain social interest and increased sources of inferiority feeling. Recall that social interest has three pillars: career, friends, and family. Traditionally, one retires from one’s career at about age sixty-five. Elders who do not develop satisfying new activities (especially activities which involve a sense of accomplishment and contribution to others) adjust poorly to retirement and tend to become depressed. Old friends die or move into retirement communities. Sometimes it is harder to see and talk with old friends because of the difficulty of driving or using public transportation as one ages, or because one or one’s friends become hard of hearing or experience a stroke that impairs speech. By far the greatest interpersonal loss in later life is the loss of a spouse. When adult children move away in pursuit of their own lives, this may also give an elder the perception of being abandoned. Conditions that can rekindle old feelings of inferiority abound in later life. Real physical inferiorities arise. The average elder reports at least two of the following chronic conditions: impaired vision, impaired hearing, a heart condition, stroke, or arthritis. The United States is a youth- and bodyoriented culture that worships physical attractiveness, not wrinkles and fat. Some elders, especially those who have had the burdens of long-term illness, feel inferior because of their reduced financial resources. Use in Studying Prejudice A third area of application is social psychology, especially the study of prejudice. Gordon Allport suggested that those who exhibit racial or religious 433
Psychology Basics prejudice are typically people who feel inferior themselves: They are trying to feel better about themselves by feeling superior to someone else. Typically, prejudice against African Americans has been greatest among whites of low socioeconomic status. Prejudice against new immigrants has been greatest among the more poorly skilled domestic workers. Another example of prejudice would be social class distinctions. The middle class feels inferior (in terms of wealth and privilege) to the upper class. Therefore, the middle class responds by using its private logic to demean the justification of wealth: “The rich are rich because their ancestors were robber barons or because they themselves were junk bond traders in the 1980’s.” The middle class feels superior to the lower class, however, and again uses private logic to justify and legitimize that class distinction: “The poor are poor because they are lazy and irresponsible.” In order to solidify its own identity as hardworking and responsible, the middle class develops a perception of the poor that is more derogatory than an objective analysis would permit. The most telling application of the theory of individual psychology to prejudice occurred in the first part of the twentieth century in Germany. The rise of Nazi anti-Semitism can be associated with the humiliating German defeat in World War I and with the deplorable conditions brought about by hyperinflation and depression. Adolf Hitler first blamed the Jews for the “November treason” which brought about the defeat of the German army. (This private logic allowed the German people to believe that their defeated army would have achieved an all-out victory at the front had it not been for the Jewish traitors back in Berlin.) All the problems of capitalism and social inequality were laid at the feet of Jewish financiers, and every fear of rabble-rousing Communists was associated with Jewish radicals. Because everything bad, weak, cowardly, or exploitive was labeled “Jewish,” nonJewish Germans could believe that they themselves were everything good. The result of the institutionalization of this private logic in the Third Reich led to one of the most blatant examples of masculine protest that humankind has witnessed: World War II and the Holocaust. Use in Interpersonal Relations A fourth application is associated with business management and sales. Management applies interpersonal relations to subordinates; sales applies interpersonal relations to prospective customers. Adler’s formula for effective interpersonal relations is simple: Do not make the other person feel inferior. Treat workers with respect. Act as if they are intelligent, competent, wise, and motivated. Give subordinates the opportunity and the encouragement to do a good job, so that they can nurture their own social interest by having a feeling of accomplishment and contribution. Mary Kay Ash, the cosmetics magnate, said that she treated each of her employees and distributors as if each were wearing a sign saying “make me feel important.” A similar strategy should apply to customers. 434
Individual Psychology: Alfred Adler Freud’s Influence The idea of the inferiority complex bears some similarity to the writings of many previous thinkers. Nineteenth century French psychologist Pierre Janet came closest by developing a theory of perceived insufficiency as a root of all neurosis. American psychologist William James spoke of an innate craving to be appreciated. Adler’s emphasis on the individual’s capacity for compensation (a defense mechanism for overcoming feelings of inferiority by trying harder to excel) and on masculine protest has parallels in the writings of philosopher Friedrich Nietzsche. The optimistic, simplified, psychosocial approach of Alfred Adler can only be understood as a reaction to the pessimistic, esoteric, psychosexual approach of Sigmund Freud. Adler was a respected general practitioner in Vienna. He heard his first lecture on psychoanalysis in 1899 and was fascinated, although he never regarded himself as a student or disciple of Freud. He was invited to join the Vienna Psychoanalytic Society, and did so in 1902, but he was never psychoanalyzed himself. By the end of the decade, he had become president of the society and editor of its journal. As Adler’s own theories developed, and as he voiced them within the psychoanalytic association, Freud became increasingly defensive. Adler came to criticize several underpinnings of psychoanalytic theory. For example, he suggested that the Oedipus complex was merely the reaction of a pampered child, not a universal complex. Adler saw dysfunctional sexual attitudes and practices as a symptom of the underlying neurosis, not as its underlying cause. When Adler would not recant his heresy, the Vienna Psychoanalytic Society was split into a Freudian majority and an Adlerian minority. For a brief period, the Adlerians retained the term “psychoanalysis,” only later defining their school as individual psychology. Freud’s influence on Adler can be seen in the emphasis on the importance of early childhood and on the ideas that the motives that underlie neurosis are outside conscious awareness (private logic) and that it is only through insight into these motives that cure can be attained. It is largely in Adler’s reaction against Freud, however, that Adler truly defined himself. He saw Freud as offering a mechanistic system in which individuals merely react according to instincts and their early childhood environment; Adler believed that individuals have choices about their futures. He saw Freud as emphasizing universal themes that are rigidly repeated in each patient; Adler believed that people fashion their unique styles of life. Adler saw Freud as being focused on the intrapsychic; Adler himself emphasized the interpersonal, social field. While Freud’s personality theory has been the best remembered, Adler’s has been the most rediscovered. In the 1940’s, holistic theorists such as Kurt Lewin and Kurt Goldstein reiterated Adler’s emphasis on the individual’s subjective and comprehensive approach to perceptions. In the 1960’s, humanistic theorists such as Abraham Maslow and Carl Rogers rediscovered Adler’s emphasis on individuals overcoming the conditions of their child435
Psychology Basics hood and striving toward a self-actualization and potential to love. In the 1980’s, cognitive theorists such as Albert Ellis, Aaron Beck, and Martin E. P. Seligman emphasized how individuals perceive and understand their situation as the central element underlying psychopathology. Strengths and Weaknesses An evaluation of individual psychology must necessarily include some enumeration of its weaknesses as well as its strengths. The positives are obvious: The theory is easy to comprehend, optimistic about human nature, and applicable to the understanding of a wide variety of issues. The weaknesses would be the other side of those very strengths. If a theory is so easy to comprehend, is it not then simplistic or merely a reformulation of common sense? This may explain why so many other theorists “rediscovered” Adler’s ideas throughout the twentieth century. If a theory is so optimistic about human potential, can it present a balanced view of human nature? If a theory is flexible and broad enough as to be able to explain so much, can it be precise enough to explain anything with any depth? Although everything in individual psychology fits together as a unified whole, it is not always clear what the lines of reasoning are. Does excessive inferiority feeling preclude the formulation of social interest, or does social interest assuage inferiority feeling? Does inferiority feeling engender private logic, or does private logic sustain inferiority feeling? At different times, Adler and Adlerians seem to argue both sides of these questions. The Achilles heel of individual psychology (and of psychoanalysis) is prediction. If a given child is in a situation that heightens feelings of inferiority, will that child overcompensate effectively and develop social interest as an adult, or will private logic take over? If it does, will it be in the form of self-brooding or masculine protest? Although the fuzziness of Adlerian concepts will preclude individual psychology from being a major force in academic psychology, it is safe to predict that future theorists will again rediscover many of Alfred Adler’s concepts. Sources for Further Study Adler, Alfred. The Practice and Theory of Individual Psychology. New York: Routledge, 1999. One in Routledge’s International Library of Psychology series, reprinting classic, milestone works on psychology. Adler’s own introduction to his work. Bottome, Phyllis. Alfred Adler: A Biography. New York: G. P. Putnam’s Sons, 1939. This classic biography was written only two years after Adler’s death. It gives much insight into the man and his theory, but the book is a bit too laudatory. Dreikurs, Rudolf. Fundamentals of Adlerian Psychology. 1950. Reprint. Chicago: Alfred Adler Institute, 1989. The author was an Adlerian disciple who became the leader of the Adlerian movement in the United States after World War II. His simple style and straightforward advice are in keep436
Individual Psychology: Alfred Adler ing with the style of Adler himself. Dreikurs’s expertise was in the area of child development. Ganz, Madelaine. The Psychology of Alfred Adler and the Development of the Child. New York: Routledge, 1999. Another in Routledge’s International Library of Psychology series. A well-organized introduction to Adler’s theories. Mozak, Harold, and Michael Maniacci. A Primer of Adlerian Psychology: The Analytic-Behavioral-Cognitive-Psychology of Alfred Adler. New York: Brunner/ Mazel, 1999. An introduction aimed at students, with summary and review questions at the end of each chapter. Sweeney, Thomas. Adlerian Counseling: A Practitioner’s Approach. 4th ed. Philadelphia: Taylor & Francis, 1998. Provides a practical overview of Adler’s individual psychology. Written for practicing mental health professionals. T. L. Brink See also: Cognitive Psychology; Ego Psychology: Erik Erikson; Psychoanalytic Psychology; Psychoanalytic Psychology and Personality: Sigmund Freud.
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Industrial/Organizational Psychology Type of psychology: Social psychology Fields of study: Group processes; motivation theory; social perception and cognition Industrial/organizational psychology applies psychological research methods and theories to issues of importance in work organizations. From its beginnings as psychology applied to a few personnel topics, it has expanded to deal with almost all aspects of work, changing as they have. Key concepts • experimentation • fairness in work settings • field research • industrial psychology • organizational psychology • scientific method Industrial/organizational psychology (often shortened to I/O psychology) is a somewhat deceptive title for the field. Even when industrial psychology alone was used to label it, practitioners were involved with issues and activities far beyond solving industrial problems—for example, designing procedures for selecting salespeople, advertising methods, and reducing accidents on public transportation. “Organizational” suggests the application of knowledge to organizations, but the intended meaning is closer to “the study of forces that influence how people and their activities at work are organized.” In colleges and universities, I/O psychology is a long-recognized discipline. Graduate programs leading to the M.A. and, more commonly, Ph.D. degrees in this field are most typically offered within psychology departments, sometimes in collaboration with departments of business; occasionally they are offered by business departments alone. In most cases, students working toward graduate degrees in I/O psychology first study a wide range of psychological topics, then study in even greater detail those that make up the I/O specialty. The study of research methods, statistical tools for evaluating findings, motivation, personality, and so on forms a base from which psychological testing, interviewing, job analysis, and performance evaluation are studied in depth. Evolution of Study Psychologists were certainly not the first to study work settings and suggest changes, or even the first to apply the scientific method to the enterprise. For example, Frederick Winslow Taylor and Frank Gilbreth were industrial 438
Industrial/Organizational Psychology engineers who considered workers not too different from cogs in the machines also involved in industry. Their “time and motion” studies sought to discover how workers could most efficiently carry out their parts of the enterprise. Although their conclusions are often now cited as examples of inhumane manipulation of workers for companies’ benefits, Taylor and Gilbreth envisioned that both workers and employers were to gain from increases in efficiency. Not surprisingly, most of what industrial engineering studied was appropriated by industrial psychology and remains part of I/O psychology—usually under the designations “job design” and “human factors engineering” in the United States, or the designation “ergonomics” elsewhere. Early psychologists had an advantage over the others studying and offering advice about work. They were popularly identified as people experts, and for the many problems thought to be based on human characteristics or limitations, their expertise was acknowledged, even while it was very modest. The advantage of being expected to make valuable contributions was put to good use, and within the first two decades of the twentieth century, industrial psychology became a recognized discipline with the ability to deliver most of what was expected of it. Ironically, wars materially aided the early development of industrial and organizational psychology. World War I provided psychologists unprecedented opportunities to try intelligence testing on a very large scale and to develop and implement a very large personnel program. Robert Yerkes directed the intelligence testing of more than one million men between 1917 and 1919, and Walter Dill Scott and Walter Van Dyke Bingham interviewed and classified more than three million men before the war ended. Testing, interviewing, and classification were also part of industrial psychologists’ efforts during World War II, and many other lines of research and application were also pursued. Human factors engineering, which emphasized machine design tailored to the people who would use the device, was greatly advanced by the necessity that people be able to control aircraft and other sophisticated weapons. Following each war, some of the psychologists who had successfully worked together chose to continue to do so. Major consulting firms grew out of their associations and remain a source of employment for many I/O psychologists. Methods of Research Industrial/organizational psychology borrowed much from many other areas of psychology during its growth and has retained the strong research orientation common to them, along with many of the research methods each has developed and many of the findings that each has generated. Bringing psychological methods to work settings where experts from many other disciplines are studying some of the same problems results in conflicts, but it also produces a richness of information beyond the scope of any one of the disciplines. 439
Psychology Basics In most cases, the most feasible approach to data collection for I/O psychologists is field research, an approach in which evidence is gathered in a “natural” setting, such as the workplace. (By contrast, laboratory research involves an artificial, contrived setting.) Systematic observation of ongoing work can often give a psychologist needed information without greatly disturbing the workers involved. Generally, they will be told that data are being gathered, but when the known presence of an observer likely would change what is being studied, unobtrusive methods might be used. Information from hidden cameras, or observations from researchers pretending to be workers and actually engaging in whatever must be done, can be used when justified. Again studying within the actual work setting, I/O psychologists may sometimes take advantage of natural experiments, situations in which a change not deliberately introduced may be studied for its effect on some important outcome. If, for example, very extreme, unseasonable temperatures resulted in uncontrollably high, or low, temperatures in an office setting, a psychologist could assess the effects on employee discomfort, absenteeism, or productivity. Still studying within the actual work setting, an I/O psychologist may arrange a quasi-experiment, a situation in which the researcher changes some factor to assess its effect while having only partial control over other factors that might influence that change. For example, the psychologist might study the effects of different work schedules by assigning one schedule to one department of a company, a second schedule to a second department, and a third schedule to a third department. The departments, the people, and the differences in the work itself would prevent the strategy from being a true experiment, but it still could produce some useful data. An experiment, as psychology and other sciences define it, is difficult to arrange within work settings, but it may be worth the effort to evaluate information gathered by other methods. In the simplest form of experiment, the researcher randomly assigns the people studied into two groups and, while holding constant all other factors that might influence the experiment’s outcome, presents some condition (known as an independent variable) to one group of subjects (the experimental group) and withholds it from another (the control group). Finally, the researcher measures the outcome (the dependent variable) for both groups. Carrying out a true experiment almost always requires taking the people involved away from their typical activities into a setting obviously designed for study (usually called the laboratory, even though it may bear little resemblance to a laboratory of, say, a chemist). The need to establish a new, artificial setting and the need to pull workers away from their work to gather information are both troublesome, as is the risk that what is learned in the laboratory setting may not hold true back in the natural work setting. Correlational methods, borrowed from psychometrics, complement the observational and experimental techniques just described. Correlation is a 440
Industrial/Organizational Psychology mathematical technique for comparing the similarity of two sets of data (literally, to determine their co-relation). An important example of the I/O psychologist’s seeking information on relationships is found in the process of hiring-test validation, answering the question of the extent to which test scores and eventual work performance are correlated. To establish validity, a researcher must demonstrate a substantial relationship between scores and performance, evidence that the test is measuring what is intended. Applications in the Workplace Industrial/organizational psychology, as the term implies, focuses on two broad areas; Linda Jewell and Marc Siegall, in their Contemporary Industrial/ Organizational Psychology (3d ed., 1998), demonstrate this by their arrangement of topics. Industrial topics include testing; job analysis and evaluation; recruitment, selection, and placement of applicants; employee training and socialization; evaluation of employee job performance; job design; working conditions; health and safety; and motivation. Organizational topics include a company’s social system and communication, groups within organizations, leadership, and organizational change and development. Topics of overlap of the two areas include absenteeism, turnover, job commitment, job satisfaction, employee development, and quality of work life. Testing in I/O psychology most often is done to assess peoples’ aptitudes or abilities as a basis for making selection, placement, or promotion decisions about them. It may also be used for other purposes—for example, to judge the quality of training programs. The tests used range from ones of general aptitude (IQ, or intelligence quotient, tests) through tests of specific aptitudes, interests, and personality, although use of IQ and personality tests remains controversial. Aptitude for success in academically related activity (as might be related to one’s IQ) is often of only modest importance in work settings, but the folk wisdom “the best person is the most intelligent person” can lead to giving IQ tests routinely to applicants. Personality is a troublesome concept within psychology. Tests of it can be useful to clinicians working with mental health issues but are rarely useful as bases for employment-related decisions. When outcomes from personality testing are specific enough to be useful—for example, when they reveal serious personality problems—the same information is usually obtainable from reviews of work history or from interviews. Along with other procedures related to making decisions about people in work settings, testing is often targeted as being unfair to some groups—for example, African Americans or women. If the use of a particular test results in decision making that even suggests unfair discrimination, companies must have available solid evidence that this is not the case, if they choose to continue using the test. Job analysis determines what tasks must be carried out in a job. It serves as the major basis for deciding what skills successful job applicants must have or what training to provide newly hired workers. The evaluation of job per441
Psychology Basics formances of individual employees must be based on what they should be doing, revealed by job analysis. Dismissal, retention, promotion, and wage increases may all be related to job analysis information. It is also a basis for job evaluation, the determining of what is appropriate pay for the job, although evaluation often must also be based on the availability of applicants, average wages in a geographic area, and other factors. Recruiting, selecting, and placing refer to sequential steps in filling positions. Although some companies can let prospective employees come to them, many prefer actively to seek applicants. Recruiting may involve little more than announcing that a position is open or as much as sending trained representatives to find promising people and encourage them to apply for work. At least two considerations make vigorous recruiting attractive. First, it is often possible for companies to reduce training costs greatly by finding applicants who are already proficient. Second, when minority-group employees are needed to achieve fair balance in an organization, recruiting can often focus on members of ethnic minorities or women. Although training may be unnecessary if a company is able to hire already-skilled people, training is generally advantageous after hiring and periodically over a worker’s tenure. Promotion may be based on success in training, or training may follow promotion based on other considerations. Although “training” suggests the development or enhancement of job skills, it often also includes socialization, the bringing of new employees into the “family” of the company and the teaching of values, goals, and expectations that extend beyond carrying out a specific work assignment. Job design, working conditions, health and safety, and motivation are usually given separate chapters in texts, but often in work settings they must be considered as a set. For example, if a job, as designed, forces or even encourages workers to put their health or safety at risk, their working conditions are unsatisfactory, and when they recognize the nature of the situation, their motivation is likely to be impaired. Legal and Ethical Requirements When industrial psychologists of the early twentieth century recommended hiring or promotion, designed training, or carried out any other of their responsibilities, they had only to satisfy their employers’ demands. Since the late 1960’s, I/O psychologists have also had to satisfy legal and ethical requirements pertaining to a host of problem areas such as racism, sexism, age discrimination, and discrimination against the handicapped. More than good intentions are necessary here. The psychologists must work to balance the societal demands for fairness in work settings (the basing of decisions about workers’ hiring, salary, promotion, and so on entirely on work-relevant considerations and not on race, sex, age, or other personal characteristics) and the practical interests of employers, sometimes having to endure criticism for even the most ingenious of solutions. For example, if an employer finds the company must increase its number 442
Industrial/Organizational Psychology of Latino workers, vigorous recruiting is an excellent first step, yet it may prove expensive enough to aggravate the employer. If recruiting is not successful because would-be applicants doubt the employer’s sincerity, both they and the employer will be unhappy. If recruiting is successful in generating interest, but many interested individuals are unqualified, providing them special training could be a reasonable solution. Applicants might feel it degrading, however, to be required to undergo more training than others before them, or the employer might balk at the extra cost involved. The first industrial psychologists needed little more than solid training in their discipline to achieve success. Their successors need, beyond training in a discipline that has enlarged enormously, the talents of diplomats. Sources for Further Study Anderson, Neil, Deniz S. Ones, and Handan Kepir Sinangil, eds. Handbook of Industrial, Work, and Organization Psychology. 2 vols. Thousand Oaks, Calif.: Sage, 2002. Volume 1 focuses on industrial psychology theories, techniques, and methods. Volume 2 offers specific case studies in topics such as motivation, leadership, organizational justice, and organizational development and change. Hilgard, Ernest Ropiequet. Psychology in America: A Historical Survey. San Diego, Calif.: Harcourt Brace Jovanovich, 1987. Chapter 19, “Industrial and Organizational Psychology,” is a definitive review of about eighty years of the field’s advancement from a promising application of the new “scientific psychology” to a major subdiscipline of modern psychology. The subject is also covered in some of Hilgard’s other chapters (for example, those on intelligence, on motivation, and on social psychology). Jewell, Linda N., and Marc Siegall. Contemporary Industrial/Organizational Psychology. 3d ed. Belmont, Calif.: Wadsworth, 1998. A text for an introductory college course offering excellent coverage of the discipline’s topics. Written for students majoring in business as much as for those majoring in psychology. A book that almost anyone can understand. Rogelberg, Steven, ed. Blackwell Handbook of Research Methods in Industrial and Organizational Psychology. New York: Blackwell, 2002. A comprehensive overview of the field, useful to beginners and experts alike. Addresses both practical and theoretical issues of industrial psychology. Rosenzweig, Mark R., and Lyman W. Porter, eds. Annual Review of Psychology. Stanford, Calif.: Annual Reviews. Most volumes of this highly respected series contain a chapter or two on I/O psychology, indexed under “Personnel-Organizational Psychology.” Each volume also contains a chapter title index for at least the previous decade, making location of particular topics reasonably easy. Harry A. Tiemann, Jr. See also: Motivation. 443
Instinct Theory Type of psychology: Motivation Fields of study: Biological influences on learning; motivation theory Until behaviorism, which rejected instincts, became the dominant theoretical model for psychology during the early decades of the twentieth century, instinct theory was often used to explain both animal and human motivation. As behaviorism faded, aspects of instinct theory returned to psychology—modernized, but still recognizable as parts of the oldest theory of motivation. Key concepts • behaviorism • instinct • motivation • reflex • scientific method • tropism When instinct theory was incorporated into the new scientific psychology of the late nineteenth century, it was already centuries old. In its earliest form, instinct theory specified that a creature’s essential nature was already established at birth and that its actions would largely be directed by that nature. A modern restatement of this notion would be that, at birth, creatures are already programmed and that they must operate according to their programs. Charles Darwin’s theory of evolution through natural selection, first published in 1859, led to great controversy in the late nineteenth and early twentieth centuries. It also fostered speculation that, if humans were evolved from earlier forms and were therefore more closely related to other animals than had once been believed, humans might have instincts—inherited behaviors—as other animals were observed to have. William McDougall was one of the main early instinct theorists; he suggested a list of human instincts in 1908 that included such varied behaviors as repulsion, curiosity, self-abasement, and gregariousness. Many researchers came up with their own lists of human instincts; by the 1920’s, more than two thousand had been suggested. A computer program can be printed out and studied, but an instinct in the original sense cannot so easily be made explicit. At best, it can be inferred from the behavior of an animal or person after other explanations for that behavior have been discounted. At worst, it is simply assumed from observing behavior. That a person has, for example, an instinct of argumentativeness could be assumed from the person’s arguing; arguing is then “explained” by declaring that it comes from an instinct of argumentativeness. Such circular reasoning is unacceptable in scientific analyses, but it is very common in some early scientific (and many modern, popular) discussions of instinct. 444
Instinct Theory Variations in Theory As is often the case with ideas that have long been believed by both scientists and the public, instinct theory has separated into several theories. The earliest form was accepted by Aristotle, the ancient Greek philosopher and scientist. He wrote in his Politics that “a social instinct is implanted in all men by nature” and stated that “a man would be thought a coward if he had no more courage than a courageous woman, and a woman would be thought loquacious if she imposed no more restraint on her conversation than the good man.” The first comment declares an inherent quality of people; the second, inherent qualities of men and women. Very likely, Aristotle’s beliefs were based on observation of people around him—a good beginning but not a sufficient basis for making factual comments about people in general. Aristotle’s views were those of a scientist of his day. Centuries later, a scientist would not hold such views, but a layperson very well might. Over the many centuries since Aristotle expressed his views on instinct theory, “popular” versions of it have been more influential than the cautious versions offered by later scientists. Historic Misinterpretations Modern science reaches conclusions based, to the greatest extent possible, on evidence gathered and interpreted along lines suggested by theories. Traditional instinct theory is especially weak in suggesting such lines; usually it put early psychologists in the position of trying to support the idea that instinct had caused a behavior by demonstrating that nothing else had caused it. Rather than supporting one possibility, they were attempting to deny dozens of others. Even worse, they were forcing thought into an “either-or” pattern rather than allowing for the possibility that a behavior may be based on inherited influences interacting with learned ones. For example, to try to evaluate the possibility that people are instinctively afraid of snakes, one could begin by finding a number of people afraid of snakes, followed by an attempt to discount all the ways in which those individuals might have learned their fear—that they had never been harmed by a snake, never been startled, never been told that snakes are dangerous, and so on. The task is all but impossible, almost guaranteeing that a researcher will conclude that there are several ways that the fear could have been learned, so there is no need for an instinct explanation. The fact that people who fear snakes can learn not to fear them can be offered as further evidence that they had learned their original fear—not a particularly compelling argument. When behaviorism became the predominant theoretical stance of psychology in the 1920’s, the problems with instinct as an explanation of motivation were “resolved” simply by sidestepping them. Instincts were discarded as unscientific, and other concepts—such as needs, drives, and motives—were substituted for them. Psychology’s dropping of the term “instinct” from its jargon did not eliminate, either for lower animals or for peo445
Psychology Basics ple, the behaviors it had originally labeled. Dropping the term did, however, separate even further the popular views of instinct from the scientific ones. Reemergence of “Human Nature” Research Instinct theory’s purpose in psychology’s infancy was the same as it had once been in the distant past: to explain motivation of a variety of species, from the simplest creatures up through humans. Unfortunately, it had also served other purposes in the past, purposes which often proved unwelcome to early behavioral scientists. To declare people superior to other animals, or men superior to women, or almost any target group better or worse than another was not a goal of psychology. Worse than the heritage of centuries of misuse of the concept of instinct, however, was the accumulation of evidence that instincts (as originally defined, as completely unlearned behavior) were limited to simple creatures and were virtually nonexistent in people. Psychology and related sciences virtually eliminated instinct as a motivational concept for decades, yet they could not avoid bringing back similar notions. The term “instinct” was gone, but what it tried to explain was not. For example, social psychologists, working in the 1940’s to find alternatives to the belief that aggression is instinctive in humans, proposed that frustration (goal blocking) is a major cause. When pressed to explain why frustration led to aggression, many indicated that this is simply part of human nature. Some years later, it was demonstrated that the presence of some sort of weapon during a frustrating experience enhanced the likelihood of aggression, apparently through a “triggering effect.” Instinct as a concept was not invoked, but these ideas came very close. Even closer was the work of another group of scientists, ethologists, in their explanations of some animal behaviors. Evaluating what might be thought a good example of instinct in its earliest definition, a duckling following its mother, they demonstrated that experience with a moving object is necessary. In other words, learning (but learning limited to a very brief period in the duckling’s development) led to the behavior. Many other seemingly strong examples of instinct were demonstrated to be a consequence of some inner predisposition interacting with environmental circumstances. A new, useful rethinking of the ancient instinct concept had begun. Instinctive Influences A 1961 article by Keller and Marian Breland suggested that instinct should still be a part of psychology, despite its period of disgrace. In training performing animals, the scientists witnessed a phenomenon they termed “instinctive drift.” (It is interesting to note that although other terms, such as “species-specific behavior,” were at that time preferred to “instinct,” the Brelands stated their preference for the original label.) Instinctive drift refers to the tendency of a creature’s trained behavior to move in the direction of inherited predispositions. 446
Instinct Theory The Brelands tried to teach pigs to place coins in a piggy bank; they found that although the pigs could easily be taught to pick up coins and run toward the bank, they could not be stopped from repeatedly dropping and rooting at them. Raccoons could be taught to drop coins in a container but could not be stopped from “dipping” the coins in and rubbing them together, a drift toward the instinctive washing of food. Several other species presented similar problems to their would-be trainers, all related to what the Brelands willingly called instinct. Preparedness is another example of an instinct/learning relationship. Through conditioning, any creature can be taught to associate some previously neutral stimuli with a behavior. Dogs in Ivan Pavlov’s laboratory at the beginning of the twentieth century readily learned to salivate at the sound of a bell, a signal that food would appear immediately. While some stimuli can easily serve as signals for a particular species, others cannot. It seems clear that animals are prepared by nature for some sorts of learning but not others. Rats can readily be trained to press a lever (a bar in a Skinner box) to obtain food, and pigeons can readily be trained to peck at something to do so, but there are some behaviors that they simply cannot learn to serve that purpose. Conditioned taste aversion is yet another example of an instinctive influence that has been well documented by modern psychology. In people and other animals, nausea following the taste of food very consistently leads to that taste becoming aversive. The taste/nausea combination is specific; electric shock following a taste does not cause the taste to become aversive, nor does a visual stimulus followed by nausea cause the sight to become aversive. Researchers theorize that the ability to learn to detect and avoid tainted food has survival value, so it has become instinctive. Limitations and Misuse of Theory In popular use, belief in instincts has confused and hurt people more than it has enlightened or helped them. Instinct theory often imposes a rigid either-or form on people’s thinking about human motivation. That is, people are encouraged by the notion of instinct to wonder if some behavior— aggression, for example—is either inherent in people or learned from experience. Once one’s thoughts are cast into such a mold, one is less likely to consider the strong likelihood that a behavior has multiple bases, which may be different from one person to the next. Instead of looking for the many possible reasons for human aggression—some related to inherent qualities and some related to learned qualities—one looks for a single cause. Often, intently focusing on one possibility to the exclusion of all others blinds people to the very fact that they are doing so. Searching for “the” answer, they fail to recognize that their very method of searching has locked their thinking onto a counterproductive track. Instinct theory has been invoked to grant humans special status above 447
Psychology Basics that of other animals. Generally, this argument states that humans can reason and rationally control their actions, while lower animals are guided solely by instincts. At best, this argument has been used to claim that humans are especially loved by their god. At worst, the idea that lower animals are supposedly guided only by instinct was used by philosopher René Descartes to claim that animals are essentially automatons, incapable of actually feeling pain, and that therefore they could be vivisected without anesthesia. Instinct theory has also been used to support the claim that some people are more worthy than other people. Those with fewer “base instincts,” or even those who by their rationality have overcome them, are supposedly superior. Acceptance of such ideas has led to very real errors of judgment and considerable human suffering. For example, over many centuries, across much of the world, it was believed that women, simply by virtue of being female, were not capable of sufficiently clear thinking to justify providing them with a formal education, allowing them to own property, or letting them hold elected office or vote. Anthropologist Margaret Mead, in her 1942 book And Keep Your Powder Dry: An Anthropologist Looks at America, reports reversal of the claim that women inherently lack some important quality. Young women in her classes, when told the then-prevailing view that people had no instincts and therefore that they had no maternal instinct became very upset, according to Mead, believing that they lacked something essential. Many minority racial or ethnic groups have suffered in similar fashion from claims that, by their unalterable nature, they are incapable of behaving at levels comparable to those in the majority. Instinct theory has been used to suggest the absolute inevitability of many undesirable behaviors, sometimes as a way of excusing them. The ideas that philandering is part of a man’s nature or that gossiping is part of a woman’s are patently foolish uses of the concept of instinct. Sources for Further Study Birney, Robert Charles, and Richard C. Teevan. Instinct: An Enduring Problem in Psychology. Princeton, N.J.: Van Nostrand, 1961. A collection of readings intended for college students. Contains fourteen articles, ranging from William James’s 1887 discussion of instinct to Frank Beach’s 1955 “The Descent of Instinct,” in which Beach traces the idea of instinct from the time of the ancient Greeks up to the 1950’s and concludes that “the instinct concept has survived in almost complete absence of empirical validation.” Breland, Keller, and Marian Breland. “The Misbehavior of Organisms.” American Psychologist 16 (November, 1961): 681-684. In the process of training performing animals, the Brelands were forced to contend with inherited behaviors of their pupils. This article alerted a generation of psychologists to the possibility that instinct had been inappropriately eliminated from their thinking. The writing is clear and amusing, and the 448
Instinct Theory article should be fairly easy to locate; most college and university libraries will have the journal. Cofer, Charles Norval, and M. H. Appley. Motivation: Theory and Research. New York: John Wiley & Sons, 1964. Long regarded as a classic on the topic of motivation, this book includes (in chapter 2, “Motivation in Historical Perspective”) thirty-two pages of material that traces instinct through the centuries. Chapter 3, “The Concept of Instinct: Ethological Position,” discusses ways the once discredited concept was returning to psychology in the early 1960’s. Hilgard, Ernest Ropiequet. Psychology in America: A Historical Survey. San Diego, Calif.: Harcourt Brace Jovanovich, 1987. The material Hilgard covers is often complex, but his clear organization and writing make it accessible to most readers. Material related to instinct in several chapters (for example, those on motivation, comparative psychology, and social psychology) can help a reader gain further background on instinct’s place in psychology. Mead, Margaret. And Keep Your Powder Dry: An Anthropologist Looks at America. 1942. Reprint. New York: Berghahn Books, 2000. The classic by Mead on Western contemporary cultures. Watson, John Broadus. Behaviorism. 1924. Reprint. New Brunswick, N.J.: Transaction, 1998. The fifth chapter of Watson’s popular presentation of the new psychology he was sponsoring (“Are There Any Human Instincts?”) nicely illustrates how behaviorism handled instinct. This chapter contains Watson’s famous declaration, “Give me a dozen healthy infants, well-formed, and my own specified world to bring them up in and I’ll guarantee to take any one at random and train him to become any type of specialist I might select. . . . ” Watson’s writing is still charming, but his position is today mainly a curiosity. Weiten, Wayne. Psychology: Themes and Variations. 6th ed. Belmont, Calif.: Thomson/Wadsworth, 2004. Introductory psychology texts all have some coverage of instinct’s return to psychology and, more important, describe how several other concepts have been introduced to deal with topics with which instinct was once inappropriately linked. Weiten’s text is one of the best: easy and interesting to read, yet strong in its coverage of scientific psychology. Harry A. Tiemann, Jr. See also: Aggression; Behaviorism; Conditioning; Drives; Imprinting; Learning; Motivation; Reflexes.
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Intelligence Type of psychology: Intelligence and intelligence testing Fields of study: General issues in intelligence; intelligence assessment Intelligence is a hypothetical concept, rather than a tangible entity, that is used by psychologists and other scientists to explain differences in the quality and adaptive value of the behavior of humans and, to some extent, animals. Its meaning and the theoretical models used to explore it are as varied as the field of psychology itself. Key concepts • cognitive psychology • correlation • factor • factor analysis • heritability The idea that human beings differ in their capacity to adapt to their environments, to learn from experience, to exercise various skills, and to succeed at various endeavors has existed since ancient times. Intelligence is the attribute most often singled out as responsible for successful adaptations. Up to the end of the nineteenth century, notions about what constitutes intelligence and how differences in intelligence arise were mostly speculative. In the late nineteenth century, several trends converged to bring about an event that would change the way in which intelligence was seen and dramatically influence the way it would be studied. That event, which occurred in 1905, was the publication of the first useful instrument for measuring intelligence, the Binet-Simon scale, which was developed in France by Alfred Binet and Théodore Simon. Although the development of intelligence tests was a great technological accomplishment, it occurred, in a sense, somewhat prematurely, before much scientific attention had been paid to the concept of intelligence. This circumstance tied the issue of defining intelligence and a large part of the research into its nature and origins to the limitations of the tests that had been devised. In fact, the working definition of intelligence that many psychologists have used either explicitly or implicitly in their scientific and applied pursuits is the one expressed by Edwin Boring in 1923, which holds that intelligence is whatever intelligence tests measure. Most psychologists realize that this definition is redundant and inadequate in that it erroneously implies that the tests are perfectly accurate and able to capture all that is meant by the concept. Nevertheless, psychologists and others have proceeded to use the tests as if the definition were true, mainly because of a scarcity of viable alternatives. The general public has also been led astray by the existence of “intelligence” tests and the frequent misuse of their results. Many people have come to think of the intelligence quotient, or IQ, not as a simple score 450
Intelligence achieved on a particular test, which it is, but as a complete and stable measure of intellectual capacity, which it most definitely is not. Such misconceptions have led to an understandable resistance toward and resentment of intelligence tests. Changing Definitions Boring’s semifacetious definition of intelligence may be the best known and most criticized one, but it is only one among many that have been offered. Most experts in the field have defined the concept at least once in their careers. Two of the most frequently cited and influential definitions are the ones provided by Alfred Binet himself and by David Wechsler, author of a series of “second-generation” individual intelligence tests that overtook the Binet scales in terms of the frequency with which they are used. Binet believed that the essential activities of intelligence are to judge well, to comprehend well, and to reason well. He stated that intelligent thought is characterized by direction, knowing what to do and how to do it; by adaptation, the capacity to monitor one’s strategies for attaining a desired end; and by criticism, the power to evaluate and control one’s behavior. In 1975, almost sixtyfive years after Binet’s death, Wechsler defined intelligence, not dissimilarly, as the global capacity of the individual to act purposefully, to think rationally, and to deal effectively with the environment. In addition to the testing experts (psychometricians), developmental, learning, and cognitive psychologists, among others, are also vitally interested in the concept of intelligence. Specialists in each of these subfields emphasize different aspects of it in their definitions and research. Representative definitions were sampled in 1921, when the Journal of Educational Psychology published the views of fourteen leading investigators, and again in 1986, when Robert Sternberg and Douglas Detterman collected the opinions of twenty-four experts in a book titled What Is Intelligence? Contemporary Viewpoints on Its Nature and Definition. Most of the experts sampled in 1921 offered definitions that equated intelligence with one or more specific abilities. For example, Lewis Terman equated it with abstract thinking, which is the ability to elaborate concepts and to use language and other symbols. Others proposed definitions that emphasized the ability to adapt or learn. Some definitions centered on knowledge and cognitive components only, whereas others included nonintellectual qualities, such as perseverance. In comparison, Sternberg’s and Detterman’s 1986 survey of definitions, which is even more wide ranging, is accompanied by an organizational framework consisting of fifty-five categories or combinations of categories under which the twenty-four definitions can be classified. Some theorists view intelligence from a biological perspective and emphasize differences across species or the role of the central nervous system. Some stress cognitive aspects of mental functioning, while others focus on the role of motivation and goals. Still others, such as Anne Anastasi, choose to look upon intelligence as a quality that is inherent in behavior rather than in the individual. 451
Psychology Basics Another major perspective highlights the role of the environment, in terms of demands and values, in defining what constitutes intelligent behavior. Throughout the 1986 survey, one can find definitions that straddle two or more categories. A review of the 1921 and 1986 surveys shows that the definitions proposed have become considerably more sophisticated and suggests that, as the field of psychology has expanded, the views of experts on intelligence may have grown farther apart. The reader of the 1986 work is left with the clear impression that intelligence is such a multifaceted concept that no single quality can define it and no single task or series of tasks can capture it completely. Moreover, it is clear that in order to unravel the qualities that produce intelligent behavior, one must look not only at individuals and their skills but also at the requirements of the systems in which people find themselves. In other words, intelligence cannot be defined in a vacuum. New intelligence research focuses on different ways to measure intelligence and on paradigms for improving or training intellectual abilities and skills. Measurement paradigms allow researchers to understand ongoing processing abilities. Some intelligence researchers include measures of intellectual style and motivation in their models. Factor Analysis The lack of a universally accepted definition has not deterred continuous theorizing and research on the concept of intelligence. The central issue that has dominated theoretical models of intelligence is the question of whether it is a single, global ability or a collection of specialized abilities. This debate, started in England by Charles Spearman, is based on research that uses the correlations among various measures of abilities and, in particular, the method of factor analysis, which was also pioneered by Spearman. As early as 1904, Spearman, having examined the patterns of correlation coefficients among tests of sensory discrimination and estimates of intelligence, proposed that all mental functions are the result of a single general factor, which he later designated g. Spearman equated g with the ability to grasp and apply relations. He also allowed for the fact that most tasks require unique abilities, and he named those s, or specific, factors. According to Spearman, to the extent that performance on tasks was positively correlated, the correlation was attributable to the presence of g, whereas the presence of specific factors tended to lower the correlation between measures of performance on different tasks. By 1927, Spearman had modified his theory to allow for the existence of an intermediate class of factors, known as group factors, which were neither as universal as g nor as narrow as the s factors. Group factors were seen as accounting for the fact that certain types of activities, such as tasks involving the use of numbers or the element of speed, correlate more highly with one another than they do with tasks that do not have such elements in common. Factor-analytic research has undergone explosive growth and extensive 452
Intelligence variations and refinements in both England and the United States since the 1920’s. In the United States, work in this field was influenced greatly by Truman Kelley, whose 1928 book Crossroads in the Mind of Man presented a method for isolating group factors, and L. L. Thurstone, who by further elaboration of factor-analytic procedures identified a set of about twelve factors that he designated as the “primary mental abilities.” Seven of these were repeatedly found in a number of investigations, using samples of people at different age levels, that were carried out by both Thurstone and others. These group factors or primary mental abilities are verbal comprehension, word fluency, speed and accuracy of arithmetic computation, spatial visualization, associative memory, perceptual speed, and general reasoning. Organizational Models As the search for distinct intellectual factors progressed, their number multiplied, and so did the number of models devised to organize them. One type of scheme, used by Cyril Burt, Philip Vernon, and others, is a hierarchical arrangement of factors. In these models, Spearman’s g factor is placed at the top of a pyramid, and the specific factors are placed at the bottom. In between, there are one or more levels of group factors selected in terms of their breadth and arranged according to their interrelationships with the more general factors above them and the more specific factors below them. In Vernon’s scheme, for example, the ability to change a tire might be classified as a specific factor at the base of the pyramid, located underneath an intermediate group factor labeled mechanical information, which in turn would be under one of the two major group factors identified by Vernon as the main subdivisions under g —namely, the practical-mechanical factor. The hierarchical scheme for organizing mental abilities is a useful device that is endorsed by many psychologists on both sides of the Atlantic Ocean. It recognizes that very few tasks are so simple as to require a single skill for successful performance, that many intellectual functions have some common elements, and that some abilities play a more pivotal role than others in the performance of culturally valued activities. Another well-known scheme for organizing intellectual traits is the structure-of-intellect (SOI) model developed by J. P. Guilford. Although the SOI is grounded in extensive factor-analytic research conducted by Guilford throughout the 1940’s and 1950’s, the model goes beyond factor analysis and is perhaps the most ambitious attempt to classify systematically all the possible functions of the human intellect. The SOI classifies intellectual traits along three dimensions—namely, five types of operations, four types of contents, and six types of productions, for a total of 120 categories (5 × 4 × 6). Intellectual operations consist of what a person actually does (for example, evaluating or remembering something), the contents are the types of materials or information on which the operations are performed (for example, symbols, such as letters or numbers), and the products are the form in which the contents are processed (for example, units or relations). 453
Psychology Basics Not all the 120 categories in Guilford’s complex model have been used, but enough factors have been identified to account for about 100 of them, and some have proved very useful in labeling and understanding the skills that tests measure. Furthermore, Guilford’s model has served to call attention to some dimensions of intellectual activity, such as creativity and interpersonal skills, that had been neglected previously. Competence and Self-Management Modern theorists in the area of intelligence have tried to avoid the reliance on factor analysis and existing tests that have limited traditional research and have tried different approaches to the subject. For example, Howard Gardner, in his 1983 book Frames of Mind: The Theory of Multiple Intelligences, starts with the premises that the essence of intelligence is competence and that there are several distinct areas in which human beings can demonstrate competence. Based on a wide-ranging review of evidence from many scientific fields and sources, Gardner designated seven areas of competence as separate and relatively independent “intelligences.” In his 1993 work Multiple Intelligences, Gardner revised his theory to include an eighth type of intelligence. This set of attributes is comprised of verbal, mathematical, spatial, bodily/kinesthetic, musical, interpersonal, intrapersonal, and naturalist skills. Another theory is the one proposed by Robert Sternberg in his 1985 book Beyond IQ: A Triarchic Theory of Human Intelligence. Sternberg defines intelligence, broadly, as mental self-management and stresses the “real-world,” in addition to the academic, aspects of the concept. He believes that intelligent behavior consists of purposively adapting to, selecting, and shaping one’s environment and that both culture and personality play significant roles in such behavior. Sternberg posits that differences in IQ scores reflect differences in individuals’ stages of developing the expertise measured by the particular IQ test, rather than attributing these scores to differences in intelligence, ability, or aptitude. Sternberg’s model has five key elements: metacognitive skills, learning skills, thinking skills, knowledge, and motivation. The elements all influence one another. In this work, Sternberg claims that measurements derived from ability and achievement tests are not different in kind; only in the point at which the measurements are being make. Intelligence and Environment Theories of intelligence are still grappling with the issues of defining its nature and composition. Generally, newer theories do not represent radical departures from the past. They do, however, emphasize examining intelligence in relation to the variety of environments in which people actually live rather than to only academic or laboratory environments. Moreover, many investigators, especially those in cognitive psychology, are more interested in breaking down and replicating the steps involved in information processing and problem solving than they are in enumerating factors or settling on 454
Intelligence a single definition of intelligence. These trends hold the promise of moving the work in the field in the direction of devising new ways to teach people to understand, evaluate, and deal with their environments more intelligently instead of simply measuring how well they do on intelligence tests. In their 1998 article “Teaching Triarchically Improves School Achievement,” Sternberg and his colleagues note that teaching or training interventions can be linked directly to components of intelligence. Motivation also plays a role. In their 2000 article “Intrinsic and Extrinsic Motivation,” Richard Ryan and Edward Deci provide a review of modern thinking about intrinsic and extrinsic motivation. The authors suggest that the use of motivational strategies should promote student self-determination. The most heated of all the debates about intelligence is the one regarding its determinants, often described as the “nature-nurture” controversy. The “nature” side of the debate was spearheaded by Francis Galton, a nineteenth century English scientist who had become convinced that intelligence was a hereditary trait. Galton’s followers tried to show, through studies comparing identical and nonidentical twins raised together and raised apart and by comparisons of people related to each other in varying degrees, that genetic endowment plays a far larger role than the environment in determining intelligence. Attempts to quantify an index of heritability for intelligence through such studies abound, and the estimates derived from them vary widely. On the “nurture” side of the debate, massive quantities of data have been gathered in an effort to show that the environment, including factors such as prenatal care, social-class membership, exposure to certain facilitative experiences, and educational opportunities of all sorts, has the more crucial role in determining a person’s level of intellectual functioning. Many critics, such as Anastasi (in a widely cited 1958 article entitled “Heredity, Environment, and the Question ‘How?’”) have pointed out the futility of debating how much each factor contributes to intelligence. Anastasi and others argue that behavior is a function of the interaction between heredity and the total experiential history of individuals and that, from the moment of conception, the two are inextricably tied. Moreover, they point out that, even if intelligence were shown to be primarily determined by heredity, environmental influences could still modify its expression at any point. Most psychologists now accept this “interactionist” position and have moved on to explore how intelligence develops and how specific genetic and environmental factors affect it. Sources for Further Study Fancher, Raymond E. The Intelligence Men: Makers of the IQ Controversy. New York: W. W. Norton, 1985. Presents the history of the various debates on intelligence in a highly readable fashion. The lives and ideas of the pioneers in the field, such as Alfred Binet and Francis Galton, are described in some detail. 455
Psychology Basics Gardner, Howard. Frames of Mind: The Theory of Multiple Intelligences. 2d ed. New York: Basic Books, 1993. Gardner’s description of the talents he designates as “intelligences” and explanation of the reasons for his selections provide a fascinating introduction to many of the most intriguing aspects of the field, including the extremes of prodigies and prodigious savants. __________. Multiple Intelligences: Theory into Practice. New York: Basic Books, 1993. Gardner’s update of his original theory of multiple intelligences adds an eighth intelligence to the set. Guilford, Joy Paul. The Nature of Human Intelligence. New York: McGraw-Hill, 1967. Guilford describes the foundation of his theory of the structure of the intellect and in the process reviews the history of research into and theorizing about intelligence. This volume is an important contribution to the field. Ryan, R. M., and E. L. Deci. “Intrinsic and Extrinsic Motivation.” Contemporary Educational Psychology 25 (2000): 54-67. Reviews contemporary thinking on the subject. Sternberg, Robert J. Successful Intelligence. New York: Plume, 1997. A book aimed at the layperson, describing Sternberg’s theory of triarchic intelligence and its practical applications. __________. The Triarchic Mind: A New Theory of Human Intelligence. New York: Penguin Books, 1989. Sternberg reviews and criticizes the limitations of traditional views of intelligence and presents his own variations on that theme. The book is addressed to a general audience and contains intellectual exercises aimed at enhancing the reader’s performance on cognitive tests. Sternberg, Robert J., Torff, B., and E. L. Grigorenko. “Teaching Triarchically Improves School Achievement.” Journal of Educational Psychology 90 (1998): 374-384. A review of practical application of Sternberg’s theory of triarchic intelligence. Vernon, Philip Ewart. Intelligence: Heredity and Environment. San Francisco: W. H. Freeman, 1979. Presents a thorough and thoughtful review of research on both sides of the “nature-nurture” debate on the development of intelligence. The issue of racial differences in intelligence is also discussed at length. Susana P. Urbina; updated by Ronna F. Dillon See also: Cognitive Psychology; Creativity and Intelligence; Giftedness; Intelligence Tests; Logic and Reasoning; Mental Retardation; Race and Intelligence.
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Intelligence Tests Type of psychology: Intelligence and intelligence testing Fields of study: Ability tests; intelligence assessment Individual intelligence tests are used by psychologists to evaluate a person’s current cognitive ability and prior knowledge. The intelligence testing movement has a long history, including the development of numerous group and individual tests to measure one aspect of a person’s overall intelligence, which frequently changes over time. Key concepts • age norm • cognition • intelligence • intelligence quotient (IQ) • mentally gifted • mentally handicapped • percentile • performance tests • sensorimotor tests • verbal tests Although means for measuring mental ability date as far back as 2000 b.c.e., when the ancient Chinese administered oral tests to determine a candidate’s fitness for carrying out the tasks of civil administration, the modern intelligence test has its origins in the nineteenth century, when JeanÉtienne-Dominique Esquirol drew a clear distinction between mentally deranged people (“lunatics”) and mentally retarded people (“idiots”). Esquirol believed that it was necessary to devise a means of gauging “normal” intelligence so that deviations from an agreed-upon norm could be ascertained, and he pointed out that intellectual ability exists on a continuum extending from idiocy to genius. His work coincided with studies in Europe and the United States that were designed to develop a concept of “intelligence” and to fashion a means of testing this capacity. Work done by Sir Francis Galton in the United Kingdom on hereditary genius, by James McKeen Cattell in the United States on individual differences in behavior, and by Hermann Ebbinghaus in Germany on tests of memory, computation, and sentence completion culminated in the 1905 Binet-Simon scale, created by Alfred Binet and Théodore Simon. It was the first practical index of intelligence measurement as a function of individual differences. This test was based on the idea that simple sensory functions, which had formed the core of earlier tests, are not true indicators of intelligence and that higher mental processes had to be included. 457
Psychology Basics The Binet Tests Binet, a psychologist and educator, founded the first French psychological laboratory. He was a pioneer in the study of individual differences in abilities and introduced intelligence tests that were quickly accepted and widely used in Europe and the United States. His work stemmed from a commission from the minister of education in Paris, who gave him the task of devising a way to distinguish between idiocy and lunacy, as Esquirol had defined them, and normal intelligence, so that handicapped students could be given special instruction. Binet and Simon used many items that had been developed by earlier examiners; the key advances they made were to rank items in order of difficulty and to register results in terms of age-based cognitive development. Their scale reflected the idea that intelligence was a combination of faculties—judgment, practical sense, and initiative—and contained measures related to memory, reasoning ability, numerical facility, and object comparison. Binet and Simon’s work demonstrated the feasibility of mental measurement, assessing intelligence for the first time in general terms rather than measuring its component parts. Binet revised the test in 1908, and another revision was published in 1911, the year of his death. Advances in his basic design led to the development of tests that could be used for all children (not only those considered mentally limited) in assessing their “mental quotient,” a ratio adapted by Lewis Terman of Stanford University. It was obtained by dividing mental age (as determined through scores on a test) by chronological age. Terman renamed it the intelligence quotient (IQ), and his 1916 version of the Binet-Simon scale became known as the Stanford-Binet test, the most common intelligence test administered in the United States during the twentieth century. It was revised and updated in 1937, 1960, 1972, and 1986, when a point-scale format was introduced for the first time. The Wechsler Tests Binet’s test depended on an age scale; that is, the questions which were answered correctly by a majority of ten-year-old children were assigned to the ten-year age level of intelligence. A more sophisticated version of the test devised by Robert Yerkes depended on a point scale for scoring; this format was fully developed by David Wechsler. While the Binet-Terman method used different tests for different age groups, Wechsler worked toward a test to measure the same aspect of behavior at every age level. The goal of his test was to measure intelligence in a holistic (encompassing the larger whole of personality) fashion that did not depend on the verbal skills that the Stanford-Binet tests required. Wechsler thought of intelligence as a multifaceted complex of skills, the total of an effective intellectual process; he wanted his test to show the way intelligent people behaved as a consequence of an awareness of the results of their actions. He thought that those actions would be more rational, worthwhile (in terms of social values), and meaningful than those of less intelligent people. 458
Intelligence Tests Wechsler’s first test (the Wechsler-Bellevue Intelligence Scale) was published in 1939, and it awarded points for each answer depending on the level of sophistication of the response. The test consisted of six verbal subjects (information, comprehension, arithmetic, similarities, vocabulary, and digit span) and five performance subtests (picture completion, picture arrangement, block design, object assemblies, and digit symbols). The division into verbal and performance skills permitted the calculation of three intelligent quotients: a verbal IQ based on the sum of the verbal tests, correlated with norms of age, a performance IQ based on the sum of performance tests, and a full-scale IQ derived from the sum of all the answers. The test was standardized on a sample of adults, and it could be used to test individuals who had linguistic or sensorimotor handicaps. The pattern of scores on the separate tests could also be used to diagnose learning disability or, in some situations, clinical disorder or dysfunction. The original test was limited by the sample used for standardization, but the 1955 Wechsler Adult Intelligence Scale (WAIS) provided a basis for testing adults from the ages of sixteen to seventy-five. Further revision in the standard scale (including the WAIS-R, 1981) updated the test to coincide with changes in cultural experience. In addition, a Wechsler Intelligence Scale for Children (WISC) was designed to cover ages five to fifteen in 1949 and was revised (WISC-R) in 1974 to cover ages six to sixteen. In 1991, another revision (WISC-III) was introduced. Subsequent modifications also led to a test suitable for preschool children, the Wechsler Preschool and Primary Scales of Intelligence (WPPSI) of 1967, which covered ages four to six and a half and included mazes, animal figures, and geometric designs. This test was revised in 1981 (WPPSI-R) to extend its range over three years to seven years, three months. Further adjustments have also been made to account for a candidate’s sociocultural background in a test called the System of Multicultural Pluralistic Assessment (SOMPA, 1977). Recent definitions of intelligence have resulted in further development of testing instruments. Raymond Cattell’s proposal that intelligence could be divided into two types—fluid (or forming) and crystallized (fixed)—led to a test that used figure classification, figure analysis, and letter and number series to assess the essential nonverbal, relatively culture-free aspects of fluid intelligence; it used vocabulary definition, abstract word analogies, and general information to determine the skills that depend on exposure to cultural processes inherent in crystallized intelligence. Other theories, such as Jean Piaget’s idea that intelligence is a form of individual adaptation and accommodation to an environment, led to the development of a test which measures mental organization at successive ages. Uses of Intelligence Assessment There was a tendency at various times during the twentieth century to regard intelligence assessment as an answer to questions of placement and classification in almost every area of human experience. The most effective 459
Psychology Basics and scientifically valid uses of tests, however, have been in predicting performance in scholastic endeavor, in revealing disguised or latent ability to assist in career counseling, in determining the most appropriate developmental programs for handicapped or mentally handicapped individuals, in locating specific strengths and weaknesses in an individual, in measuring specific changes associated with special programs and forms of therapy, and in comparing a child’s mental ability with that of other children observed in a similar situation to establish a profile of cognitive skills. One of the most widespread and effective uses of intelligence tests is the determination of possible problems in a child’s course of basic education. As reported by Lewis Aiken in Assessment of Intellectual Functioning (1987), a typical case involved an eight-year-old boy with a suspected learning disability. He was given the WISC-R test in 1985, and his full-scale IQ was figured to be 116, placing him in the high average classification. This provided an assessment of general intelligence and scholastic aptitude. His verbal IQ was 127, placing him in the ninety-seventh percentile, indicative of exceptional verbal comprehension. This suggested that he could reason very well, learn verbal material quickly, and process verbal information effectively. His performance IQ of 98 placed him in the average category, but the magnitude of the difference between his verbal and performance IQs is very unusual in children of his age. It pointed to a need for additional interpretive analysis as well as further study to reveal the reasons behind the discrepancy. Close scrutiny of the test results showed that low scores on the arithmetic, digit span, and coding subtests might indicate a short attention or memory span, poor concentration, or a lack of facility in handling numbers. While no absolute conclusions could be drawn at this point, the results of the test could be used in conjunction with other procedures, observation, and background information to determine an appropriate course of action. Intelligence and Guidance Another common use of an intelligence test is to help an examinee determine specific areas of ability or aptitude which might be useful in selecting a career route. As reported in Aiken, a college senior was given the OtisLennon School Ability Test (O-LSAT, Advanced Form R) just before her twenty-second birthday. She planned to enroll in a program in a graduate business school and work toward an M.B.A. degree. The O-LSAT is designed to gauge general mental ability, and it includes classification, analogy, and omnibus (a variety of items to measure different aspects of mental functioning) elements. The omnibus includes verbal comprehension, quantitative reasoning, and the ability to follow directions. The examinee was able to complete the test in thirty-five minutes and used the remaining allotted time to check her answers. Her raw score (number of items answered correctly) was 64 (out of 80), her school ability index was 116—which approximated her IQ—and her percentile rank among candidates in the 18-plus range was 84. These scores were in the average 460
Intelligence Tests range for college seniors, indicating an overall intellectual ability that could be classified as “high average” in terms of the general population. Of the sixteen items answered incorrectly, a superficial analysis pointed toward some difficulty with nonverbal reasoning, but no conclusions could be reached without further examination in this area. There was no significant pattern of errors otherwise, and the random distribution offered no additional guide to areas of weakness. The initial conclusion that was drawn from the test was that a career in business was appropriate and that with hard work and the full application of her intellectual abilities, she would be able to earn an M.B.A. at a reputable university. A particularly important application of intelligence assessment is the identification and guidance of a child with advanced intellectual abilities. In a case reported in Jerome M. Sattler’s Assessment of Children (1988), a threeyear-old boy was tested repeatedly from that age until his sixth birthday. This procedure required the implementation of the Stanford-Binet Form L-M, the WPPSI, and the Peabody Individual Achievement Test (PIAT) for grade equivalents. The Stanford-Binet scores were 127 (at age three), 152, 152, and 159+ (with a linear extrapolation to 163). During his first test he was anxious and did not give long verbal responses, but the range of his scores indicated a very superior classification. He did not cooperate with the examiner on the WPPSI vocabulary and animal subtests (the examiner believed that he was not interested), but his performance at age four placed him in the superior range. On the PIAT, he was consistently above average, earning a grade equivalent above 4.0 at the age of six, with a grade equivalent of 7.4 (his highest score) in mathematics; the average grade equivalent for age six is 1.0. As Sattler points out, the case illustrates “a number of important principles related to testing and assessment.” In the largest sense, it illustrates the way different tests measuring general intelligence may yield different results (although all pointed toward superior mental development). The same test may also yield different scores at different age levels. The child’s motivation (among other factors) may also play an important part in his results. More specifically, because the boy showed more interest in reading at age three and mathematics at age six, the test could not be considered a useful predictor of later interest, although an interest in solving perceptual-logical problems remained consistent throughout. Finally, because the parents had kept a detailed record of the boy’s early development in a baby book, the rich history recorded there was corroborated by the test results which reaffirmed their initial suspicions that the boy was unusually gifted. During his first year in school, he tended to play alone and had frequent minor tantrums which affected his performance in school subjects. When he became accustomed to the social process of school life, however, he was able to demonstrate the ability that his parents had observed at home and that the initial tests validated. 461
Psychology Basics Definitions of Intelligence While intelligence tests of some sort appeared in human history as early as the Old Testament book of Judges (7:3-7, 12:6), which indicates that early Jewish society used questions and observations in personnel selection, the intelligence test as it is known today can be traced to Renaissance Europe. In 1575, the Spanish physician Juan Huarte wrote Examen de Ingenios, a treatise concerning individual differences in mental ability with suggestions for appropriate tests. His work, and that of other investigators and theorists, was the result of the rise of a middle class with aspirations to productive employment. Previously, the aristocracy had controlled everything, and fitness for a position was determined by lineage. Once this monarchical rule began to break down, other means were necessary for determining who was fit for a particular occupation and what might be the most productive use of a person’s abilities. When it became apparent that royal blood was no guarantee of competence, judgment, or mental acuity, the entire question of the origins of intelligence began to occupy members of the scientific community. For a time, the philosophy of empiricism led scientists toward the idea that the mind itself was formed by mental association among sense impressions, and sensorimotor tests were particularly prominent. As the results of these tests failed to correlate with demonstrations of mental ability (such as marks in school), however, other means were sought to measure and define intelligence. The interest in intelligence testing in the nineteenth century was an important aspect of the development of psychology as a separate scientific discipline, and the twin paths of psychometric (that is, the quantitative assessment of an individual’s attributes or traits) and statistical analysis on one hand and philosophical conjecture concerning the shape and operation of the mind on the other were joined in experimentation concerning methods of assessing intelligence. From their first applications in France as a diagnostic instrument, intelligence tests have been used to help psychologists, educators, and other professionals plan courses of action to aid individuals suffering from some mental limitation or obstacle. This role has been expanded to cover the full range of human intellectual ability and to isolate many individual aspects of intelligence in myriad forms. The profusion of tests has both complicated and deepened an understanding of how the mind functions, and the continuing proposition of theories of intelligence through the twentieth century resulted in an increasingly sophisticated battery of tests designed to assess and register each new theory. Modern Testing In addition, technological developments, particularly the growing use of computers, permit a wider use of flexible testing in which the decision about what item or task to present next depends on the previous answer. Computers are also useful in “number crunching,” so that such basic components of a test system as norms, derived scores, and reliability and validity coefficients 462
Intelligence Tests (the basic statistical material behind the calculation of scores) can be assembled more quickly and efficiently. Computers also make it possible to administer tests at multiple sites simultaneously when an individual examiner’s presence is not necessary. Nevertheless, the human capacity for judgment and analysis in the interpretation of results remain crucial to test procedures. Intelligence testing is likely to continue as a primary means of predicting educational or vocational performance, but tests designed to measure the mind in terms of its ability to process information by shifting strategies in response to a changing environment are likely to become more prevalent. The proliferation of more detailed, separate sets of norms for different groups (age, sex, ethnic origin, and so on) is likely to continue. Also, the relationship between intelligence per se and behavioral attitudes that seem to resemble aptitude rather than personality measures is part of the heredityenvironment controversy that will continue. Finally, advances in studies on the neurophysiological bases of intelligence will be reflected in tests responsive to a growing understanding of the biochemical aspects of cognition. As an operating principle, though, professionals in the field will have to be guided by a continuing awareness that intelligence testing is only one aspect of understanding a person’s total behavior and that the limitations involved in the measuring process must be understood to avoid incorrect or inappropriate diagnoses that might prove harmful to an individual. Howard Gardner postulated a theory of intelligence which focuses on a symbol system approach that combines both factor analytic and information processing methodology. He included seven dimensions of intelligence: verbal and linguistic, mathematical and logical, visual and spatial, body and kinesthetic, musical and rhythmical, interpersonal, intrapersonal, and environmental. The concept of types of intelligence is not new. L. L. Thurstone developed a test of eight scales named the Primary Mental Abilities test. Edward L. Thorndike identified several types of intelligence: abstract, social, and practical. Sternberg used informational processing and cognitive theory in his model of intelligence and identified three different types of information processing components: metacomponents, performance components, and knowledge acquisition components. He saw metacomponents as the higher-order control processes used to oversee the planning, monitoring, and evaluation of task performance. Sources for Further Study Gardner, Howard. Multiple Intelligences: The Theory in Practice. New York: Basic Books, 1993. Gardner discusses his theory of multiple intelligences, which takes into consideration the psychological, biological, and cultural dimensions of cognition. Goldstein, Gerald, and Michael Hersen, eds. Handbook of Psychological Assessment. 3d ed. New York: Pergamon, 2000. There are a series of chapters on assessment of intelligence as well as on psychometric foundations of testing. 463
Psychology Basics Jensen, Arthur. The “G” Factor: The Science of Mental Ability. Westport, Conn.: Praeger, 1998. The author discusses the structure of intelligence. Kampaus, Randy W. Clinical Assessment of Child and Adolescent Intelligence. 2d ed. Boston: Allyn & Bacon, 2001. A good overview of intelligence tests used with children and adolescents. Sternberg, Robert J., ed. Handbook of Intelligence. New York: Cambridge University Press, 2000. The writers discuss the history and theory of intelligence, the development of intelligence, and the biology of intelligence. Leon Lewis and James R. Deni; updated by Robert J. Drummond See also: Intelligence; Race and Intelligence; Survey Research: Questionnaires and Interviews.
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Language Type of psychology: Cognition; language Fields of study: Cognitive processes; thought Language is a system of arbitrary symbols that can be combined in conventionalized ways to express ideas, thoughts, and feelings. Various theories and models have been constructed to study, describe, and explain language acquisition, language processing, and its relation to thought and cognition. Key concepts • displacement • grammar • language faculty • linguistic relativity • morphology • phonology • pragmatics • semantics • syntax • universal grammar Language is a system of arbitrary symbols that can be combined in conventionalized ways to express ideas, thoughts, and feelings. Language has been typically seen as uniquely human, separating the human species from other animals. Language enables people of all cultures to survive as a group and preserve their culture. The fundamental features of human language make it extremely effective and very economical. Language uses its arbitrary symbols to refer to physical things or nonphysical ideas; to a single item or a whole category; to a fixed state or to a changing process; to existent reality or to nonexistent fiction; to truths or to lies. Language is systematic and rule-governed. Its four component subsystems are phonology, semantics, grammar, and pragmatics. The phonological system uses phonemes (the smallest speech sound units capable of differentiating meanings) as its building blocks to form syllables and words through phonemic rules. For example, /m/ and /n/ are two different phonemes because they differentiate meaning as in /mTt/ (meat) versus /nTt/ (neat), and “meat” has three phonemes of /m/, /T/, and /t/ placed in a “lawful” order in English to form one syllable. The semantic system makes language meaningful. It has two levels: Lexical semantics refers to the word meaning, and grammatical semantics to the meaning derived from the combinations of morphemes (the smallest meaning units) into words and sentences. “Beds,” for example, has two morphemes, “bed” as a free morpheme means “a piece of furniture for reclining or sleeping,” and “s” as a bound morpheme means “more than one.” The grammatical system includes morphology and syntax. Morphology 465
Psychology Basics specifies rules to form words (for example, prefixes, suffixes, grammatical morphemes such as “-ed,” and rules to form compound words such as “blackboard”). Syntax deals with rules for word order in sentences (such as, “I speak English,” but not “I English speak”). Furthermore, the syntax of human language has four core elements, summarized in 1999 by Edward Kako as discrete combinatorics (each word retains its general meaning even when combined with other words), category-based rules (phrases are built around word categories), argument structure (the arguments or the participants involved in an event, labeled by verbs, are assigned to syntactic positions in a sentence), and closed-class vocabulary (the grammatical functional words, such as “the,” “on,” or “and,” are usually not open to addition of new words). The fourth subsystem in human language is the pragmatic system. It involves rules to guide culture-based, appropriate use of language in communication. For example, people choose different styles (speech registers) that they deem appropriate when they talk to their spouses versus their children. Other examples include the use of contextual information, inferring the speaker’s illocutionary intent (intended meaning), polite expressions, conversational rules, and referential communication skills (to speak clearly and to ask clarification questions if the message is not clear). Language is creative, generative, and productive. With a limited number of symbols and rules, any language user is able to produce and understand an unlimited number of novel utterances. Language has the characteristic of displacement; that is, it is able to refer to or describe not only items and events here and now but also items and events in other times and places. Language Acquisition and Development Views on language acquisition and development are diverse. Some tend to believe that language development follows one universal path, shows qualitatively different, stagelike shifts, proceeds as an independent language faculty, and is propelled by innate factors. Others tend to believe in options for different paths, continuous changes through learning, and cognitive prerequisites for language development. universal pathway in language development. Stage theories usually suggest a universal path (an invariant sequence of stages) for language development. A typical child anywhere in the world starts with cooing (playing with the vowel sounds) at two to three months of age, changes into babbling (consonant-vowel combinations) at four to six months, begins to use gestures at nine to ten months, and produces first words by the first birthday. First word combinations, known as telegraphic speech (content word combinations with functional elements left out, such as “Mommy cookie!”) normally appear when children are between 1.5 and 2.5 years. Meanwhile, rapid addition of new words results in a vocabulary spurt. Grammatical rules are being figured out, as seen in young children’s application of regular grammatical rules to irregular exceptions (called overregularization, as in “I 466
Language hurted my finger”). Later on, formal education promotes further vocabulary growth, sentence complexity, and subtle usages. Language ability continues to improve in early adulthood, then remains stable. It generally will not decline until a person reaches the late sixties. different pathways in language development. Although the universal pattern appears true in some respects, not all children acquire language in the same way. Analyses of young children’s early words have led psychologists to an appreciation of children’s different approaches to language. In her 1995 book Individual Differences in Language Development, Cecilia Shore analyzed the different pathways of two general styles (sometimes termed analytic versus holistic) in the four major language component areas. In early phonological development, holistic babies seem to attend to prosody or intonation. They tend to be willing to take risks to try a variety of sound chunks, thus producing larger speech units in sentencelike intonation but with blurred sounds. Analytic babies are phonemic-oriented, paying attention to distinct speech sounds. Their articulation is clearer. In semantic development, children differ not only in their vocabulary size but also in the type of words they acquire. According to Katherine Nelson (cited in Shore’s work), who divided children’s language acquisition styles into referential versus expressive types, the majority of the referential babies’ first words were object labels (“ball,” “cat”) whereas many in the expressive children’s vocabulary were personal-social frozen phrases (“Don’t do dat”). In Shore’s opinion, the referential babies are attracted to the referential function of nouns and take in the semantic concept of object names; the expressive children attend more to the personal-social aspect of language and acquire relational words, pronouns, and undifferentiated communicative formulaic utterances. Early grammatical development shows similar patterns. The analytical children are more likely to adopt the nominal approach and use telegraphic grammar to combine content words but ignore the grammatical inflections (such as the plural “-s”). The holistic children have a tendency to take the pronominal approach and use pivot-open grammar to have a small number of words fill in the frame slots (for instance, the structure of “allgone [ . . . ]” generates “allgone shoe,” “allgone cookie,” and so on). The units of language acquisition might be different for different children. In the area of pragmatic development, children may differ in their understanding of the primary function of language. Nelson has argued that the referential children may appreciate the informative function of language and the expressive children may attend to the interpersonal function of language. The former are generally more object-oriented, are declarative, and display low variety in speech acts, whereas the latter are more person-oriented, are imperative, and display high variety in speech acts. Convenient as it is to discuss individual differences in terms of the two general language acquisition styles (analytic versus holistic), it does not 467
Psychology Basics mean that the two are necessarily mutually exclusive—children actually use both strategies, although they might use them to different extents at different times and change reliance patterns over time. Theories of Language Development With an emphasis on language performance (actual language use in different situations) rather than language competence (knowledge of language rules and structure), learning theories contend that children learn their verbal behavior (a term suggested by the behaviorist B. F. Skinner in 1957 to replace the vague word of “language”) primarily through conditioning and imitation, not maturation. Classical conditioning allows the child to make associations between verbal stimuli, internal responses, and situational contexts to understand a word’s meaning. It also enables the child to comprehend a word’s connotative meaning—whether it is associated with pleasant or unpleasant feelings. Operant conditioning shapes the child’s speech through selective reinforcement and punishment. Adults’ verbal behaviors serve as the environmental stimuli to elicit the child’s verbal responses, as models for the child to imitate, and as the shaping agent (through imitating their children’s well-formed speech and recasting or expanding their illformed speech). Nevertheless, learning theories have difficulty explaining many phenomena in language development. Imitation cannot account for children’s creative yet logical sayings, such as calling a gardener “plantman,” because there are no such models in adult language. Shaping also falls short of an adequate explanation, because adults do not always correct their children’s mistakes, especially grammatical ones. Sometimes they even mimic their children’s cute mistakes. Furthermore, residential homes are not highly controlled laboratories—the stimulus-response-consequence contingencies are far from perfect. the nativist perspective. The nativist perspective, turning to innate mechanisms for language development, has the following underlying assumptions: language is a human-species-specific capacity; language is “unlearnable,” because it is impossible for a naïve and immature child to figure out such a complex linguistic system from an imperfect, not very consistent, highly opaque, and frequently ambiguous language environment; and there is a common structural core in all human languages. In 1965, linguist Noam Chomsky posited an innate language-acquisition device (LAD), with the “universal grammar” residing in it, to explain children’s rapid acquisition of any language and even multiple languages. LAD is assumed to be a part of the brain, specialized for processing language. Universal grammar is the innate knowledge of the grammatical system of principles and rules expressing the essence of all human languages. Its transformational generative grammar consists of rules to convert the deep structure (grammatical classes and their relationships) to surface structure (the actual sentences said) in the case of production, or vice versa in the case of comprehension. 468
Language Equipped with this biological endowment, children need only minimal language exposure to trigger the LAD, and their innate knowledge of the universal grammar will enable them to extract the rules for the specific language(s) to which they are exposed. Evidence for the nativist perspective can be discussed at two levels: the linguistic level (language rules and structure) and the biological level. At the linguistic level, people are sensitive to grammatical rules and linguistic structural elements. For example, sentences in the active voice are processed more quickly than sentences in the passive voice, because the former type is closer to the deep structure and needs fewer transformation steps than the latter type. “Click insertion” studies (which insert a “click” at different places in a sentence) and “interrupted tape” studies (which interrupt a tape with recorded messages at different points) have shown a consistent bias for people to recall the click or interruption position as being at linguistic constituent boundaries, such as the end of a clause. After a sentence has been processed, what remains in memory is the meaning or the gist of the sentence, not its word-for-word surface structure, suggesting the transformation from the surface structure to the deep structure. Around the world, the structure of creolized languages (invented languages), including the sign languages invented by deaf children who have not been exposed to any language, is similar and resembles early child language. Young children’s early language data have also rendered support. In phonology, habituation studies show that newborns can distinguish between phonemes such as /p/ and /b/. Most amazingly, they perceive variations of a sound as the same if they come from the same phoneme but different if they cross the boundary into a different phoneme (categorical speech perception). In semantics, babies seem to know that object labels refer to whole objects and that a new word must mean the name of a new object. If the new word is related to an old object whose name the child already knows, the word must mean either a part or a property of that object (the mutual exclusivity hypothesis). In the domain of grammar, Dan Isaac Slobin’s 1985 cross-cultural data have shown that young children pay particular attention to the ends of words and use subject-object word order, probably as a function of their innate operating principles. By semantic bootstrapping, young children know that object names are nouns and that action words are verbs. By syntactic bootstrapping, they understand a word’s grammatical class membership according to its position in a sentence. Even young children’s mistaken overregularization of grammatical rules to exceptions demonstrates their success in rule extraction, as such mistaken behavior is not modeled by adults. the neural storehouse. At the biological level, human babies seem to be prepared for language: They prefer the human voice to other sounds and the human face to other figures. Some aspects of the language developmental sequence appear to be universal—even deaf children start to coo and babble at about the same ages as hearing children, despite of their lack of language input, and later develop sign combinations that are very similar to 469
Psychology Basics telegraphic speech. Children’s language environment is indeed quite chaotic, yet it takes them only four to five years to speak their mother tongue like an adult without systematic, overt teaching. Furthermore, a critical or sensitive period seems to exist for language acquisition. Young children are able to pick up any language or a second language effortlessly, with no accent or grammatical mistakes. After puberty, people generally have to exert great efforts to learn another language, and their pronunciation as well as grammar typically suffers. Reinforced language teaching in postcritical years was not successful in the cases of “Victor” (a boy who had been deserted in the wild) and “Genie” (a girl who had been confined in a basement). Edward Kako’s 1999 study, a careful analysis of the linguistic behavior of a parrot, two dolphins, and a bonobo, led him to conclude that no nonhuman animals, including the language-trained ones, show all of the properties of human language in their communication, although he respectfully acknowledges all the achievements in animal language training. Language is unique to human beings. Although the neural storehouse for the universal grammar has not been pinpointed yet, cognitive neuroscience has delivered some supportive evidence. Infants’ brains respond asymmetrically to language sounds versus nonlanguage sounds. Event-related potentials (ERPs) have indicated localized brain regions for different word categories in native English speakers. Research suggests possible specific brain structures that had registered a detailed index for nouns. Brain studies have confirmed the left hemisphere’s language specialization relative to the right hemisphere, even among very young infants. Broca’s area and Wernicke’s area are housed in the left hemisphere. Damage to Broca’s area results in Broca’s aphasia, with a consequence of producing grammatically defective, halting, telegramlike speech. When Wernicke’s area is damaged, speech fluency and grammatical structure are spared but semantics is impaired. This linguistic lateralization pattern and the linguistic consequences of brain injuries are also true of normal and aphasic American Sign Language users. However, the nativist perspective is not immune to criticism. The universal grammar cannot adequately explain the grammatical diversity in all human languages. The growth spurts in brain development do not correspond to language development in a synchronized manner. The importance of social interaction, contextual factors, and formal education for knowledge and pragmatic usage of complex rules, subtle expressions, speech acts and styles has been neglected in nativist theories. Dissatisfied with this nature-nurture dichotomy, interactionist theories try to bring the two together. They recognize the reciprocal influences, facilitating or constraining, dependent or modifying, among multiple factors from the biological, cognitive, linguistic, and social domains. For instance, the typical prenatal and postnatal mother-tongue environment will eventually wean the infants’ initial ability to differentiate the speech sounds of any language and, at the same time, sharpen their sensitivity to their native lan470
Language guage. Deaf children’s babbling does not develop into words as does that of hearing children. Babies deprived of the opportunity of social interaction, as seen in the cases of “Victor” and “Genie,” will not automatically develop a proper language. It is in the dynamic child-environment system that a child acquires language. Language and Cognition cognitive development and language acquisition. Cognitive theorists generally believe that language is contingent on cognitive development. The referential power in the arbitrary symbols assumes the cognitive prerequisite of understanding the concepts they signify. As a cognitive interactionist, Jean Piaget believed that action-based interaction with the world gave rise to the formation of object concepts, separation of self from the external world, and mental representation of reality by mental images, signs, and symbols (language). Language reflects the degree of cognitive maturity. For example, young children’s immature egocentric thought (unable to understand others’ perspectives) is revealed in their egocentric speech (talking to self)—children seem to show no realization of the need to connect with others’ comments or to ascertain whether one is being understood. Older children’s cognitive achievements of logical thinking and perspective-taking lead to the disappearance of egocentric speech and their use of socialized speech for genuine social interaction. Although language as a verbal tool facilitates children’s interaction with the world, it is the interaction that contributes to cognitive development. Piaget gave credit to language only in the later development of abstract reasoning by adolescents. In L. S. Vygotsky’s social-functional interactionist view, language and cognition develop independently at first, as a result of their different origins in the course of evolution. Infants use practical/instrumental intelligence (intelligence without speech) such as smiling, gazing, grasping, or reaching, to act upon or respond to the social world. Meanwhile, the infants’ cries and vocalizations, though they do not initially have true communicative intent (speech without thinking), function well in bringing about adults’ responses. Adults attribute meaning to infants’ vocalizations and thus include the babies in the active communicative system, fostering joint attention and intersubjectivity (understanding each other’s intention). Such social interactions help the infants eventually complete the transition from nonintentional to intentional behavior and to discover the referential power of symbols, thus moving on to verbal thinking and later to meaningful speech. Externalized speech (egocentric speech) is a means for the child to monitor and guide his or her own thoughts and problem-solving actions. This externalized functional “conversation with oneself” (egocentric speech) does not disappear but is internalized over time and becomes inner speech, a tool for private thinking. Thus, in Vygotsky’s theory, language first develops independently of cognition, then intersects with cognition and contributes significantly to cognitive development thereafter. Language develop471
Psychology Basics
DSM-IV-TR Criteria for Language Disorders Expressive Language Disorder (DSM code 315.31) Scores from standardized measures of expressive language development substantially below those from standardized measures of nonverbal intellectual capacity and receptive language development May be manifested by the following: • markedly limited vocabulary • errors in tense • difficulty recalling words • difficulty producing sentences with developmentally appropriate length or complexity Expressive language difficulties interfere with academic or occupational achievement or with social communication Criteria for Mixed Receptive-Expressive Language Disorder or a pervasive developmental disorder are not met If mental retardation, speech-motor or sensory deficit, or environmental deprivation is present, language difficulties exceed those usually associated with these problems Mixed Receptive-Expressive Language Disorder (DSM code 315.32) Scores from a battery of standardized measures of receptive and expressive language development substantially below those from standardized measures of nonverbal intellectual capacity Symptoms include those for Expressive Language Disorder as well as difficulty understanding words, sentences, or specific types of words (such as spatial terms) Receptive and expressive language difficulties interfere significantly with academic or occupational achievement or with social communication Criteria for a pervasive developmental disorder are not met If mental retardation, speech-motor or sensory deficit, or environmental deprivation is present, language difficulties exceed those usually associated with these problems
ment proceeds from a global, social functional use (externalized speech) to a mature, internalized mastery (inner speech), opposite to what Piaget suggested. linguistic relativity. Linguistic relativity refers to the notion that the symbolic structure and use of a language will shape its users’ way of thinking. The Sapir-Whorf hypothesis, also known as linguistic determinism, is a strong version. According to anthropologist John Lucy, writing in 1997, all the variations of linguistic relativity, weak or strong, share the assumption 472
Language that “certain properties of a given language have consequences for patterns of thought about reality. . . . Language embodies an interpretation of reality and language can influence thought about that reality.” Many researchers have tested these claims. Lera Boroditsky, for example, in a 2001 study examined the relationship between spatial terms used to talk about time and the way Mandarin Chinese speakers (using vertical spatial metaphors) and English speakers (using horizontal spatial metaphors) think about time. The findings suggested that abstract conceptions, such as time, might indeed be subject to the influence from specific languages. On the other hand, the influence between language and thought might be more likely bidirectional than unidirectional. Many examples from the Civil Rights movement or the women’s movement, such as the thought of equality and bias-free linguistic expressions, can be cited to illustrate the reciprocal relationships between the two. language faculty as a module. There are debates over whether language is a separate faculty or a part of general cognition. Traditional learning theories are firm in the belief that language is a learned verbal behavior shaped by the environment. In other words, language is not unique in its own right. By contrast, nativist theorists insist on language being an independent, innate faculty. Chomsky even advocates that, being one of the clearest and most important separate modules in the individual brain, language should be viewed internally from the individual and therefore be called internal language or “i-language,” distinct from “e-language” or the external and social use of language. Nativists also insist on language being unique to humans, because even higher-order apes, though they have intelligence (such as tool using, problem solving, insights) and live a social life, do not possess a true language. The view of language as an independent faculty has received support from works in cognitive neuroscience, speech-processing studies, data associated with aphasia (language impairment due to brain damage), and unique case studies. Specific word and grammatical categories seem to be registered in localized regions of the brain. Some empirical studies have suggested that lexical access and word-meaning activation appear to be autonomic (modular). As noted, Broca’s aphasia and Wernicke’s aphasia display different language deficit symptoms. In 1991, Jeni Yamada reported the case of Laura, a retarded woman with an IQ score of just 41 when she was in her twenties. Her level of cognitive problem-solving skill was comparable to that of a preschooler, yet she was able to produce a variety of grammatically sophisticated sentences, such as “He was saying that I lost my battery powered watch that I loved; I just loved that watch.” Interestingly, Laura’s normal development in phonology, vocabulary, and grammar did not protect her from impairment in pragmatics. In responding to the question, “How do you earn your money?,” Laura answered, “Well, we were taking a walk, my mom, and there was this giant, like, my mother threw a stick.” It seems that some components of language, such as vocabulary and grammar, may func473
Psychology Basics tion in a somewhat autonomic manner, whereas other parts, such as pragmatics, require some general cognitive capabilities and social learning experiences. Cognitive psychologists hold that language is not a separate module but a facet of general cognition. They caution people against hasty acceptance of brain localization as evidence for a language faculty. Arshavir Blackwell and Elizabeth Bates (1995) have suggested an alternative explanation for the agrammaticality in Broca’s aphasia: Grammatical deficits might be the result of a global cognitive resource diminution, rather than just the damaged Broca’s area. In 1994, Michael Maratsos and Laura Matheny criticized the inadequate explanatory power of the language-as-a-faculty theory pertaining to the following phenomena: comprehension difficulties in Broca’s aphasia in addition to grammatical impairment; semantically related word substitutions in Wernicke’s aphasia; the brain’s plasticity or elasticity (the flexibility of other parts of the brain adapting to pick up some of the functions of the damaged parts); and the practical inseparability of phonology, semantics, syntax, and pragmatics from one another. Some information-processing models, such as connectionist models, have provided another way to discuss language, not in the traditional terms of symbols, rules, or cognitive capacity but in terms of the strengths of the connections in the neural network. Using computer modeling, J. L. McClelland explains that knowledge is stored in the weights of the parameter connections, which connect the hidden layers of units to the input units that process task-related information and the output units that generate responses (performance). Just like neurons at work, parallel-distributed processing, or many simultaneous operations by the computer processor, will result in self-regulated strength adjustments of the connections. Over extensive trials, the “learner” will go through an initial error period (the selfadjusting, learning period), but the incremental, continual change in the connection weights will give rise to stagelike progressions. Eventually, the machine gives rulelike performance, even if the initial input was random, without the rules having ever been programmed into the system. These artificial neural networks have successfully demonstrated developmental changes or stages in language acquisition (similar to children’s), such as learning the past tense of English verbs. As a product of the neural network’s experience-driven adjustment of its connection weights, language does not need cognitive prerequisites, or a specific language faculty in the architecture (the brain). Although emphasizing learning, these models are not to prove the tabula rasa (blank slate) assumption of traditional behaviorism, either, because even small variations in the initial artificial brain structure can make qualitative differences in language acquisition. The interaction between the neural structure and environment (input cues and feedback patterns) is further elaborated in dynamic systems models. For example, Paul van Geert’s dynamic system, proposed in 1991, is an ecosystem with heuristic principles modeled after the biological system in general and 474
Language the evolutionary system in particular. The system space consists of multiple growers or “species” (such as vocabulary and grammatical rules) in interrelated connections. Developmental outcome depends on the changes of the components in their mutual dependency as well as competition for the limited internal and external resources available to them. Conclusion As Thomas M. Holtgraves said in 2002, “It is hard to think of a topic that has been of interest to more academic disciplines than language.” Language can be analyzed at its pure, abstract, and symbolic structural level, but it should also be studied at biological, psychological, and social levels in interconnected dynamic systems. Continued endeavors in interdisciplinary investigations using multiple approaches will surely lead to further understanding of language. Sources for Further Study Blackwell, Arshavir, and Elizabeth Bates. “Inducing Agrammatic Profiles in Normals: Evidence for the Selective Vulnerability of Morphology Under Cognitive Resource Limitation.” Journal of Cognitive Neuroscience 7, no. 2 (1995): 228-257. Raises caution about the interpretation of agrammatic aphasia as evidence for a grammar module and proposes global resource diminution as an alternative explanation. Boroditsky, Lera. “Does Language Shape Thought? Mandarin and English Speakers’ Conceptions of Time.” Cognitive Psychology 43, no. 1 (2001): 1-22. Three empirical studies to test the Whorfian hypothesis of language’s ability to shape speakers’ abstract conceptions. Chomsky, Noam. Aspects of the Theory of Syntax. Cambridge, Mass.: MIT Press, 1965. Explains the innate universal grammar and how the transformational grammar works to map the deep structures to surface structures. __________. “Language from an Internalist Perspective.” In The Future of the Cognitive Revolution, edited by David Johnson and Christina E. Erneling. New York: Oxford University Press, 1997. Explains why the author insists on language being modular. Daniels, Harry, ed. An Introduction to Vygotsky. New York: Routledge, 1996. A collection of articles about Soviet psychologist L. S. Vygotsky’s theoretical position on thought and speech. Gleason, Jean Berko, and Nan E. Bernstein, eds. Psycholinguistics. 2d ed. Fort Worth, Tex.: Harcourt Brace College Publishers, 1998. Contributors discuss language users’ knowledge, the biological bases of human communicative behavior, speech perception and production, word meaning, sentence and discourse processing, language acquisition, reading comprehension, and bilingualism. Holtgraves, Thomas M. Language as Social Action: Social Psychology and Language Use. Mahwah, N.J.: Lawrence Erlbaum, 2002. An interdisciplinary review of the literature that treats language as social action, most relevant 475
Psychology Basics to the areas of social psychology, cognitive psychology, and communication. Kako, Edward. “Elements of Syntax in the Systems of Three LanguageTrained Animals.” Animal Learning & Behavior 27, no. 1 (1999): 1-14. A systematic analysis of the language performance of a parrot, two dolphins, and a bonobo against four criteria of syntax. Lloyd, Peter, and Charles Fernyhough, eds. Lev Vygotsky: Critical Assessments, Volume II: Thought and Language. New York: Routledge, 1999. Vygotsky’s views on thought and language (verbal self-regulation, private speech, and play) are introduced, contrasted to Piagetian views, and tested in studies. Lucy, John A. “Linguistic Relativity.” Annual Review of Anthropology 26 (1997): 291-312. A review of the history of the linguistic relativity hypothesis and various approaches to testing the hypothesis. McClelland, J. L. “A Connectionist Perspective on Knowledge and Development.” In New Approaches to Process Modeling, edited by Tony Simon and Graeme S. Halford. Hillsdale, N.J.: Lawrence Erlbaum, 1995. Discusses the applicability of a connectionist approach to the rulelike progression of behavior. Matatsos, Michael, and Laura Matheny. “Language Specificity and Elasticity: Brain and Clinical Syndrome Studies.” Annual Review of Psychology 45 (1994): 487-516. A review of module theories of language and alternative explanations based on clinical studies involving language speakers and signers. Piaget, Jean. The Language and Thought of the Child. Translated by Marjorie and Ruth Gabain. Reprint. New York: Routledge, 2002. Explains the qualitative differences in children’s egocentric speech and socialized speech and their relationship to thought, with child language data. Shore, Cecilia M. Individual Differences in Language Development. Vol. 7 in Individual Differences and Development, edited by Robert Plomin. Thousand Oaks, Calif.: Sage, 1995. Discusses the individual differences in phonological, lexical, grammatical, and pragmatic development of young children aged one to three years. Van Geert, Paul. “A Dynamic Systems Model of Cognitive and Language Growth.” Psychological Review 98, no. 1 (1991): 3-53. A dynamic system model analogized to the evolutional system explains how the components in cognitive and language systems mutually support or compete for limited internal and external resources for growth. Yamada, Jeni E. A Case for the Modularity of Language. Cambridge, Mass.: MIT Press, 1991. A case report of Laura, whose vocabulary and grammar seemed to have developed independently of her rather low cognitive abilities. Ling-Yi Zhou See also: Brain Structure; Speech Disorders. 476
Learned Helplessness Type of psychology: Learning Fields of study: Cognitive learning; critical issues in stress; problem solving The concept of learned helplessness, first observed in laboratory animals, has been applied to humans in various situations; in particular, it has been applied to depression. The idea holds that feelings of helplessness are often learned from previous experience; therefore, it should also be possible to unlearn them. Key concepts • attribution • helplessness • learning • personality • self-concept The concept of learned helplessness originated with experiments performed on laboratory dogs by psychologist Martin E. P. Seligman and his colleagues. Seligman noticed that a group of dogs in a learning experiment were not attempting to escape when they were subjected to an electric shock. Intrigued, he set up further experiments using two groups of dogs. One group was first given electric shocks from which they could not escape. Then, even when they were given shocks in a situation where they could avoid them, most of the dogs did not attempt to escape. By comparison, another group, which had not first been given inescapable shocks, had no trouble jumping to avoid the shocks. Seligman also observed that, even after the experiment, the dogs that had first received the unavoidable shocks seemed to be abnormally inactive and had reduced appetites. After considerable research on the topic, Seligman and others correlated this “learned” helplessness and depression. It seemed to Seligman that when humans, or other animals, feel unable to extricate themselves from a highly stressful situation, they perceive the idea of relief to be hopeless and they give up. The belief that they cannot affect the outcome of events no matter what force they exert on their environment seems to create an attitude of defeat. Actual failure eventually follows, thereby reinforcing that belief. It seems that the reality of the situation is not the crucial factor: What matters is the perception that the situation is hopeless. Attributional Style Questionnaire As research continued, however, Seligman discovered that exposure to uncontrollable negative situations did not always lead to helplessness and depression. Moreover, the results yielded no explanation of the loss of selfesteem frequently seen in depressed persons. To refine their ability to pre477
Psychology Basics dict helpless attitudes and behavior, Seligman and his colleagues developed a measuring mechanism called the attributional style questionnaire. It involves twelve hypothetical events, six bad and six good. Subjects involved in testing are told to imagine themselves in the situations and to determine what they believe would be the major cause of the situation if it were to happen to them. After subjects complete the test, their performance is rated according to stability versus instability, globality versus specificity, and externality versus internality. An example of stable, global, internal perceptions would be a feeling of stupidity for one’s failure; an unstable, specific, and external perception might consider luck to be the cause of the same situation. The questionnaire has been used by some industries and corporations to identify people who may not be appropriate for certain positions requiring assertiveness and a well-developed ability to handle stress. The same questionnaire has also been used to identify individuals who may be at high risk for developing psychosomatic disorders so that early intervention can be implemented. Perhaps the primary significance of learned helplessness is its model of how a person’s perception of a life event can influence the person’s behavior—and can therefore affect his or her life and possibly the lives of others. Seligman believes that the way people perceive and explain the things that happen to them may be more important than what actually happens. These perceptions can have serious implications for a person’s mental and physical health. Perceptions of Helplessness The human mind is so complex, and the cognitive process so unknown, that perception is one of the most confusing frontiers facing social scientists. Why do people perceive situations as they do—often as events far different from the ones that actually transpired? If a person is convinced that an event occurred the way he or she remembers it, then it becomes that person’s reality. It will be stored that way and may be retrieved that way in the future— perhaps blocking opportunities for positive growth and change because the memory is based on an inaccurate perception. If children are taught that they are “stupid” because they cannot understand what is expected of them, for example, then they may eventually stop attempting to understand: They have learned that their response (trying to understand) and the situation’s outcome are independent of each other. If such helpless feelings are reinforced, the individuals may develop an expectation that no matter what they do, it will be futile. They will then develop a new feeling—helplessness—which can be generalized to a new situation and can interfere with the future. Various studies have indeed shown that many people have been “taught” that, no matter what their response, the outcome will be the same—failure—so there is no reason to bother to do anything. 478
Learned Helplessness Role in Victimization One example of this can be demonstrated in the area of victimized women and children. Halfway houses and safe houses are established in an attempt to both protect and retrain battered women and children. Efforts are made to teach them how to change their perceptions and give them new feelings of potency and control. The goal is to teach them that they can have an effect on their environment and have the power to administer successful positive change. For many women, assertiveness training, martial arts classes, and seminars on how to make a strong positive statement with their self-presentation (such as their choice of clothes) become matters of survival. Children, however, are in a much more vulnerable situation, as they must depend on adults in order to survive. For most children in the world, helplessness is a reality in many situations: They do not, in fact, have much control over what happens to them, regardless of the response they exhibit. Adults, whether they are parents, educators, church leaders, or older siblings, have the responsibility of being positive role models to help children shape their perceptions of the world. If children are allowed to express their feelings, and if their comments are listened to and considered, they can see that they do have some power over their environment and can break patterns of learned helplessness. A therapist has described “Susan,” a client who as a youngster had lived with the belief that if she argued or asserted her needs with her parents they would leave her. She became the “perfect” child, never arguing or seeming to be ungrateful; in the past, if she had, her parents would often get into a fight and one would temporarily leave. Susan’s perception was that if she asserted her needs, she was abandoned; if she then begged the parent who remained to tell the absent parent that she was sorry and would never do it again, that parent would return. In reality, her parents did not communicate well and were using their child as an excuse to get angry and leave. The purpose was to punish the other adult, not to hurt the child. When Susan became an adult, she became involved with a man who mistreated her, both physically and emotionally, but always begged forgiveness after the fact. She always forgave him, believing that she had done something wrong to deserve his harsh treatment in the first place. At her first session with a therapist, she was reluctant to be there, having been referred by a women’s shelter. She missed her second session because she had returned to her lover, who had found her at the shelter. Eventually, after a cycle of returns to the shelter, the therapist, and her lover, Susan was able to break free and begin the healing process, one day at a time. She told the therapist repeatedly that she believed that no matter what she did, the outcome would always be the same—she would rather be with the man who abused her but paid attention to her than be alone. After two difficult years of concentrating on a new perception of herself and her environment, she began to experience actual power in the form of positive effectiveness on her life. She be479
Psychology Basics came able to see old patterns before they took control and to replace them with new perceptions. Another example of the power that perceptions of helplessness can have concerns a man (“John”) who, as a young boy, was very attached to his father and used to throw tantrums when his father had to leave for work. John’s mother would drag him to the kitchen and hold his head under the cold water faucet to stop his screaming; it worked. The child grew up with an impotent rage toward his mother, however, and disappointment in his father for not protecting him. He grew up believing that, no matter how he made his desires known, his feelings would be drowned, as they had been many years before. As a teenager, John grew increasingly violent, eventually getting into trouble; he did not realize that his family was dysfunctional and did not have the necessary skills to get better. John was never able to believe in himself, even though—on raw rage and little confidence—he triumphed over his pain and terror to achieve an advanced education and black belt in the martial arts. He even developed a career teaching others how to gain power in their lives and how to help nurture the spirit of children. Yet after all this, he still does not have much confidence in his abilities. He is also still terrified of water, although he forces himself to swim. Mind-Body Relationship Research has provided validity for the suspected link between how a person perceives and influences his or her environment and that person’s total health and effectiveness. There has been evidence that the mind and body are inseparable, that one influences the other even to the point of breakdown or healing. Leslie Kamen, Judith Rodin, and Seligman have corroborated the idea that how a person explains life situations (a person’s explanatory style) seems to be related to immune system functioning. Blood samples were taken from a group of older persons who had been interviewed about life changes, stress, and health changes. Those whose interviews revealed a pessimistic or depressive explanatory style had a larger percentage of suppressor cells in their blood. Considering the idea that suppressor cells are believed to undermine the body’s ability to fight tumor growth, these discoveries suggest a link between learned helplessness (as revealed by attitude and explanatory style) and susceptibility to diseases. Studies have also been conducted to determine whether learned helplessness and explanatory style can predict illness. Results, though inconclusive, suggest that a person’s attitude and perception of life events do influence physical health some twenty to thirty years later and can therefore be a valuable predictor and a tool for prevention. Particularly if an illness is just beginning, a person’s psychological state may be crucial to healing.
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Learned Helplessness New Research Directions The concepts of helplessness and hopelessness versus control over life situations are as old as humankind. The specific theory of learned helplessness, however, originated with the experiments conducted by the University of Pennsylvania in the mid-1960’s by Seligman, Steven F. Maier, and J. Bruce Overmier. The idea that helplessness could be learned has opened the door to many exciting new approaches to disorders formerly considered personality or biologically oriented, such as psychosomatic disorders, victimization by gender, depression, and impaired job effectiveness. The idea that people actually do have an effect on their environment is of tremendous importance to those suffering from depression. Most such people mention a general feeling of hopelessness, which makes the journey out of this state seem overwhelming; the feeling implies that one is powerless over one’s reactions and behavior. Research-based evidence has shown that people do have the power to influence their perceptions of their environment and, therefore, change their reactions to it. If the research on perception and learned helplessness is accurate, a logical next step is to find out how explanatory style originates and how it can be changed. Some suspected influences are how a child’s first major trauma is handled, how teachers present information to be learned (as well as teachers’ attitudes toward life events), and parental influence. Perhaps the most promising aspect of the research on learned helplessness is the idea that what is learned can be unlearned; therefore, humans really do have choices as to their destiny and quality of life. Considerable importance falls upon those who have a direct influence on children, because it is they who will shape the attitudes of the future. Sources for Further Study Applebee, Arthur N. The Child’s Concept of Story, Ages Two to Seventeen. Reprint. Chicago: University of Chicago Press, 1989. An innovative approach and eight thought-provoking chapters give this book an edge on some of the classics in this field. The author examines the use of language and how perceptions can be influenced by it. Demonstrates an adult’s and child’s sense of story as well as the responses of adolescents. The author shows how perceptions are easily manipulated by skillful use of phrasing. There are three appendices: a collection of analysis and data, elements of response, and a thorough supplementary table. Bammer, Kurt, and Benjamin H. Newberry, eds. Stress and Cancer. Toronto: Hogrefe, 1981. This edited group of independently written chapters presents thirteen different perspectives from a variety of professionals working in the field of cancer and stress. Well written; achieves its goal without imposing editorial constraints. Perception of events is emphasized as a major determinant of healing. Excellent resources. Coopersmith, Stanley. The Antecedents of Self Esteem. 1967. Reprint. Palo Alto, Calif.: Consulting Psychologists Press, 1981. Emphasizes the importance 481
Psychology Basics of limits and boundaries of permissible behavior in the development of self-esteem. Discusses the mirror-image idea of humans emulating society as it develops through the parent/child relationship. There are four very helpful measuring devices in the appendix. Peterson, Christopher, Steven F. Maier, and Martin E. P. Seligman. Learned Helplessness: A Theory for the Age of Personal Control. New York: Oxford University Press, 1995. Summarizes the theory and application of the theory of learned helplessness, focusing on personal control as a tool for overcoming the condition. Seligman, Martin E. P. Helplessness: On Depression, Development, and Death. 1975. Reprint. New York: W. H. Freeman, 1992. This easily read and understood book was written by the master researcher in the field of learned helplessness. Covers such areas as anxiety and unpredictability, education’s role in emotional development, experimental studies, and how perception influences everyday life. Excellent references. Highly recommended for anyone interested in the topic. Frederic Wynn See also: Conditioning; Depression; Learning.
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Learning Type of psychology: Biological bases of behavior; learning; motivation Fields of study: Biological influences on learning; instrumental conditioning; Pavlovian conditioning; problem solving Learning refers to a change in behavior as a result of experience. Learning is studied in a variety of species in an attempt to uncover basic principles. There are two major types of learning: classical (Pavlovian) conditioning and operant (instrumental) conditioning. Exposure to uncontrollable aversive events can have detrimental effects on learning. Consequences can be successfully used to develop a variety of behaviors, including even random, unpredictable performance. Learning produces lasting changes in the nervous system. Key concepts • classical conditioning • contingency • law of effect • learned helplessness • operant conditioning • shaping Learning has been of central interest to psychologists since the emergence of the field in the late 1800’s. Learning refers to changes in behavior that result from experiences. The term “behavior” includes all actions of an organism, both those that are directly observable, such as typing at a keyboard, and those that are unobservable, such as thinking about how to solve a problem. Psychologists studying learning work with a variety of species, including humans, rodents, and birds. Nonhuman species are studied for a variety of reasons. First, scientists are interested in fundamental principles of learning that have cross-species generality. Second, the degree of experimental control that can be obtained with nonhumans is much higher than with humans. These controlled conditions make it more likely that any effect that is found results from the experimental manipulations, rather than some uncontrolled variable. Third, studying the learning of nonhumans can be helpful to animals. For example, a scientist might need to know the best way to raise an endangered giant condor to maximize its chances of survival when introduced to the wild. There are two major types of learning. Classical conditioning (also called Pavlovian conditioning, after Russian physiologist Ivan Pavlov) involves transfer of control of reflexes to new environmental stimuli. For example, a glaucoma test at an optometrist’s office used to involve a puff of air being delivered into the patient’s eyes, which elicited blinking. After this experience, putting one’s head into the machine would elicit blinking; the glaucomatesting machine would elicit the reflex of blinking, before the air puff was delivered. 483
Psychology Basics Operant conditioning, also called instrumental conditioning, involves the regulation of nonreflexive behavior by its consequences. American psychologist Edward Thorndike was a pioneer in the study of operant conditioning, publishing his work about cats escaping from puzzle boxes in 1898. Thorndike observed that over successive trials, movements that released a latch, allowing the animal to get out of the box and get some food, became more frequent. Movements not resulting in escape became less frequent. Thorndike called this the Law of Effect: responses followed by satisfaction would be strengthened, while responses followed by discomfort would be weakened. The study of operant conditioning was greatly extended by American behaviorist B. F. Skinner, starting in the 1930’s. Beginning in the 1960’s, American psychologists Martin Seligman, Steven Maier, J. Bruce Overmier, and their colleagues discovered that the controllability of events has a large impact on future learning. Dogs exposed to inescapable electric shock became passive and failed to learn to escape shock in later situations in which escape was possible. Seligman and colleagues called this phenomenon “learned helplessness” because the dogs had learned that escape was not possible and gave up. The laboratory phenomenon of learned helplessness has been applied to the understanding and treatment of human depression and related conditions. In the 1970’s, some psychologists thought the use of rewards (such as praise or tangible items) was harmful to motivation, interest, and creativity. Beginning in the 1990’s, however, American Robert Eisenberger and Canadian Judy Cameron, conducting research and analyzing previous studies, found that rewards generally have beneficial impacts. Rewards appear to have detrimental effects only when they are given regardless of how the person or animal does. Furthermore, the work of Allen Neuringer and colleagues has shown that, contrary to previous thinking, both people and animals can learn to behave in random, unpredictable ways. The changes in behavior produced by learning are accompanied by changes in physiological makeup. Learning is associated with changes in the strength of connections between neurons (nerve cells in the brain), some quite long-lasting. Eric R. Kandel and his colleagues have documented the changes in physiology underlying relatively simple learning in giant sea snails, progressing to more complex behaviors in mammals. Similar physiological changes accompany learning in a variety of organisms, highlighting the continuity of learning across different species. Classical Conditioning Classical conditioning was first systematically investigated by Ivan Pavlov in the late 1800’s and early 1900’s. Classical conditioning involves the transfer of control of an elicited response from one stimulus to another, previously neutral, stimulus. Pavlov discovered classical conditioning accidentally while investigating digestion in dogs. A dog was given meat powder in its mouth to elicit salivation. After this process had been repeated a number of times, the 484
Learning dog would start salivating before the meat powder was put in its mouth. When it saw the laboratory assistant, it would start to salivate, although it had not initially salivated at the sight. Pavlov devoted the rest of his long career to the phenomenon of classical conditioning. In classical conditioning, a response is initially elicited by an unconditioned stimulus (US). The US is a stimulus that elicits a response without any prior experience. For example, the loud sound of a balloon bursting naturally causes people to blink their eyes and withdraw from the noise. The response that is naturally elicited is called the unconditioned response (UR). If some stimulus reliably precedes the US, then over time it, too, will come to elicit a response. For example, the sight of an overfull balloon initially does not elicit blinking of the eyes, but if the sight of the balloon reliably precedes the loud noise that comes when it bursts, people eventually come to blink and recoil at the sight of an overfull balloon. The stimulus with the new power to elicit the response is called the conditioned stimulus (CS), and the response elicited by the CS is called the conditioned response (CR). Classical conditioning occurs with a variety of behaviors and situations. For example, a person who was stung by a wasp in a woodshed may now experience fear on approaching the woodshed. In this case, the building becomes a CS eliciting the CR of fear because the wasp’s sting (the US) elicited pain and fear (the UR) in that place. To overcome the classical conditioning, the person would need to enter the woodshed repeatedly without incident. If the woodshed was no longer paired with the painful sting of the wasp, over time the CR would extinguish. Many phobias are thought to arise through classical conditioning. One common successful treatment is systematic desensitization, in which the person, through progressive steps, gradually faces the feared object or situation until the fear CR extinguishes. Classical conditioning has been recognized as the culprit in food aversions developed by people receiving chemotherapy treatments for cancer. In this case, the food becomes a CS for illness (the CR) by being paired with the chemotherapy treatment (the US) that later elicits illness (the UR). Using more advanced principles of classical conditioning learned through research with nonhumans, people are now able to reduce the degree of aversion that occurs to regular meals, thus preventing the person from developing revulsions to food, which would further complicate the treatment of the cancer by introducing potential nutritional problems. Operant Conditioning Operant conditioning (also called instrumental conditioning) involves the regulation of voluntary behavior by its consequences. Thorndike first systemically studied operant conditioning in the late 1800’s. He placed cats in puzzle boxes and measured the amount of time they took to escape to a waiting bowl of food. He found that with increasing experience, the cats escaped more quickly. Movements that resulted in being released from the box, such 485
Psychology Basics as stepping on a panel or clawing a loop in a string, became more frequent, whereas movements that were not followed by release became less frequent. This type of operant learning is called “trial-and-error learning,” because there is no systematic attempt made to teach the behavior. Instead, the organism makes many mistakes, which become less likely over time, and sometimes hits on the solution, which then becomes more likely over time. B. F. Skinner, beginning in the 1930’s, greatly extended and systematized the study of operant conditioning. One of his major contributions was to invent an apparatus called the operant chamber, which provided a controlled environment in which behavior was automatically recorded. In the operant chamber, an animal, such as a rat, would be able to make an arbitrary response, such as pressing a small lever on the side of the chamber with its paws. The apparatus could be programmed to record the response automatically and provide a consequence, such as a bit of food, to the animal. There are several advantages to this technique. First, the chamber filters out unplanned sights and sounds that could disturb the animal and affect ongoing behavior. Second, the animal is free to make the response at any time, and so response rate can vary over a wide range as a result of any experimental manipulations. This range means that response rate is a sensitive measure to detect the effects of changes the experimenter makes. Third, the automatic control and recording means that the procedure can be repeated exactly the same way in every experimental session and that the experimenter’s ideas about what should happen cannot influence the outcome. The operant conditioning chamber is used extensively today in experiments investigating the learning of a variety of species from different perspectives. One major technique to teach new behavior is called shaping. Shaping refers to providing a consequence for successive approximations to a desired response. For example, to teach a child to tie shoelaces, a parent might start by crossing the laces, forming the loops and crossing them, and having the child do the last part of pulling the loops tight. The parent would then praise the child. The parent could then gradually have the child do more and more of the task, until the whole task is successfully completed from the start. This type of approach ensures that the task is never too far out of reach of the child’s current capabilities. Shaping takes place when young children are learning language, too. At first, parents and other caregivers are overjoyed at any approximation of basic words. Over time, however, they require the sounds to be closer and closer to the final, precisely spoken performance. Shaping can be used to teach a wide variety of behaviors in humans and nonhumans. The critical feature is that the requirement for the reward is gradually increased, in pace with the developing skill. If for some reason the behavior deteriorates, then the requirement can be lowered until the person is once again successful, then proceed again through increasing levels of difficulty. In order for any consequence to be effective, it should occur immediately after the behavior and every time the behavior occurs. 486
Learning Reinforcers and Punishers In operant conditioning, there are four basic contingencies that can be used to modify the frequency of occurrence of nonreflexive behavior. A contingency refers to the relation between the situation, a behavior, and the consequence of the behavior. A reinforcer is a consequence that makes a behavior more likely in the future, whereas a punisher is a consequence that makes a behavior less likely in the future. Reinforcers and punishers both come in both positive and negative forms. A positive consequence is the presentation of a stimulus or event as a result of the behavior, and a negative consequence is the removal of a stimulus or event as a result of the behavior. Correctly used, the terms “positive” and “negative” refer only to whether the event is presented or removed, not whether the action is judged good or bad. A positive reinforcer is a consequence that increases the future likelihood of the behavior that produced it. For example, if a parent were to praise a child at dinner for eating properly with a fork, and as a result the child used the fork properly more often, then praise would have served as a positive reinforcer. The vast majority of scientists studying learning recommend positive reinforcement as the best technique to promote learning. One can attempt to increase the desired appropriate behavior through positive reinforcement, rather than focusing on the undesired or inappropriate behavior. If the appropriate behavior becomes more frequent, then chances are that the inappropriate behavior will have become less frequent as well, due to the fact that there are only so many things that a person can do at one time. A negative reinforcer is a consequence that increases the future likelihood of the behavior that removed it. For example, in many cars, a buzzer or bell sounds until the driver puts on the seatbelt. In this case, putting on the seatbelt is negatively reinforced by the removal of the noise. Another example of negative reinforcement occurs when a child is having a tantrum in a grocery store until given candy. The removal of the screaming would serve as a negative reinforcer for the parent’s behavior: In the future when the child was screaming, the parent would probably be more likely to give the child candy. Furthermore, the parent is providing positive reinforcement for screaming by presenting a consequence (candy) for a behavior (screaming) that makes the behavior more likely to occur in similar situations in the future. This example should make clear that reinforcement is defined in terms of the presentation or removal of an event increasing the likelihood of a behavior in the future, not in terms of intentions or opinions. Most parents would not consider the behavior inadvertently created and maintained in this way to be “positive.” Positive punishment refers to the presentation of an event that decreases the likelihood of the behavior that produced it. For example, if a person touches a hot stove, the pain that ensues makes it much less likely that the person will touch the stove under those conditions in the future. In this case, 487
Psychology Basics the behavior (touching the stove) produces a stimulus (pain) that makes the behavior less frequent. Negative punishment, on the other hand, refers to the removal of an event that decreases the likelihood of the behavior that produced it. For example, if a birdwatcher walking through the woods makes a loud move that causes all of the birds to fly away, then the watcher would be less likely to move like that in the future. In this way, watchers learn to move quietly to avoid disturbing the birds they are trying to observe. Negative reinforcement, positive punishment, and negative punishment all involve what is called aversive control. An aversive stimulus is anything that an organism will attempt to escape from or try to avoid if possible. Aversive control refers to learning produced through the use of an aversive stimulus. For example, parents sometimes use spanking or hitting in an attempt to teach their child not to do something, such as hitting another child. This type of approach has been shown to have a number of undesirable outcomes, however. One problem is that the appropriate or desired alternative behavior is not taught. In other words, the child does not learn what should be done instead of what was done. Another problem is that the use of aversive stimuli can produce aggression. Humans and nonhumans alike often respond to painful stimuli with an increased likelihood of aggression. The aggression may or may not be directed toward the person or thing that hurt them. Additionally, the use of aversive control can produce avoidance—children who have been spanked or hit may try to stay away from the person who hurt them. Furthermore, through observation, children who have been spanked may be more likely to use physical harm to others as an attempted solution when they encounter conflict. Indeed, corporal punishment (the use of spanking or other physical force intended to cause a child to experience pain, but not injury, for the purpose of correction) has been linked to many undesirable outcomes for children, some of which extend well into adulthood. Beginning in the 1970’s, American psychologist Murray Straus and his colleagues investigated the impact of corporal punishment on children. Their findings indicated that the use of corporal punishment is associated with an increase in later antisocial behavior, a decrease in cognitive development relative to children who are not spanked, and an increased likelihood of spousal abuse as an adult, in addition to several other detrimental outcomes. Learned Helplessness As Seligman, Maier, and Overmier discovered, exposure to uncontrollable aversive events can have profound impacts on future learning, a phenomenon called “learned helplessness.” In learned helplessness, an organism that has been exposed to uncontrollable aversive events later has an impaired ability to learn to escape from aversive situations and even to learn new, unrelated behaviors. The phenomenon was accidentally discovered in laboratory research with dogs. Seligman and his colleagues found that dogs that were exposed to electrical shocks in a harness, with no possibility of es488
Learning cape, later could not learn to escape shocks in a shuttle box in which they had only to jump to the other side. Disturbingly, they would lie down and whimper, not even trying to get away from the completely avoidable shocks. Dogs that had not been exposed to the uncontrollable shocks learned to escape in the shuttle box rapidly. More important, dogs exposed to the same number and pattern of shocks, but with the ability to turn them off, also had no trouble learning to escape in the shuttle box. In other words, it was the exposure to uncontrollable shocks, not just shocks, that produced the later deficit in escape learning. Moreover, the dogs that had been exposed to uncontrollable aversive events also had difficulties learning other, unrelated, tasks. This basic result has since been found many times with many different types of situations, species, and types of aversive events. For example, learned helplessness has been shown to occur in dogs, cats, mice, rats, gerbils, goldfish, cockroaches, and even slugs. Humans show the learned helplessness phenomenon in laboratory studies as well. For example, people exposed to an uncontrollable loud static noise later solved fewer anagrams (word puzzles) than people exposed to the same amount and pattern of noise but who could turn it off. Learned helplessness has major implications for the understanding and treatment of human depression. Although certainly the case with people is more complex, animals that have developed learned helplessness in the laboratory show similarities to depressed people. For example, they have generalized reduced behavioral output. Similarly, researchers discovered early on that learned helplessness in rats could be prevented by treatment with antidepressant medication. Furthermore, exposure to uncontrollable aversive events produces deficiencies in immune system function, resulting in greater physical ailments, in both animals and people. In people, serial combinations of uncontrollable aversive events, such as sudden and unexpected loss of a spouse or child, being laid off from a job, or losing a home to fire, can result in the feeling that one is powerless and doomed. These feelings of helplessness can then produce changes, such as decreased interest in life and increased illness, which further compound the situation. Fortunately, there are effective treatments for learned helplessness. One solution already mentioned is antidepressant medication, which may work in part because it overcomes the physiological changes produced by the helpless experience. Additionally, therapy to teach effective coping and successful learning experiences can reverse learned helplessness in people and laboratory animals. Learned Creativity and Variability Beginning in the 1970’s, some psychologists began to criticize the use of rewards to promote learning. Tangible rewards, as well as praise and attention, they argued, could interfere with creativity, problem-solving ability, motivation, and enjoyment. Fortunately, these concerns were allayed in the 1990’s by careful research and examination of previous research, most notably that 489
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Children can learn to be creative in their drawing; creativity was formerly thought to be outside the domain of learning. (EyeWire)
of Eisenberger and Judy Cameron. Together, they analyzed the results of more than one hundred published studies on the effects of rewards and found that in general, rewards increase interest, motivation, and performance. The only situation in which rewards had detrimental effects was when they were offered independently of performance. In other words, giving “rewards” regardless of how the person does is bad for morale and interest. Furthermore, several aspects of performance previously thought to be beyond the domain of learning, such as creativity and even randomlike behavior, have been demonstrated to be sensitive to consequences. Children can learn to be creative in their drawing, in terms of the number of novel pictures drawn, using rewards for novelty. Similarly, as shown by the work of American psychologist Allen Neuringer and his colleagues, people and animals alike can learn to engage in strings of unpredictable behavior that cannot be distinguished from the random sort of outcomes generated by a random number generator. This finding is particularly interesting given that 490
Learning this novel behavior has been found to generalize to new situations, beyond the situation in which the learning originally occurred. Learned variability has been demonstrated in dolphins, rats, pigeons, and humans, including children with autism. Learning to be creative and to try new approaches has important implications for many aspects of daily life and problem solving. Biological Bases of Learning The features of learning do not occur in a vacuum: They often produce lasting, physiological changes in the organism. The search for the physical underpinnings of learning has progressed from relatively basic reflexes in relatively simple organisms to more complex behaviors in mammals. Beginning in the 1960’s, Eric R. Kandel and his colleagues started to examine simple learning in the large sea snail Aplysia. This snail was chosen as a model to study physiological changes in learning because its nervous system is relatively simple, containing several thousand neurons (nerve cells) compared to the billions of neurons in mammals. The neurons are large, so researchers can identify individual cells and monitor them for changes as learning progresses. In this Nobel Prize-winning work, Kandel and colleagues outlined many of the changes in the degree of responsiveness in connections between neurons that underlie classical conditioning processes. The same processes have been observed in other species, including mammals, and the work continues to expand to more complex behavior. This research shows the commonality in learning processes across species and emphasizes the progress in understanding the physical basis that underlies learning. Sources for Further Study Branch, Marc N., and Timothy D. Hackenberg. “Humans Are Animals, Too: Connecting Animal Research to Human Behavior and Cognition.” In Learning and Behavior Therapy, edited by William O’Donohue. Boston: Allyn & Bacon, 1998. The authors explain the relevance of work with nonhumans to humans. Includes a discussion of the effects of explicit rewards on motivation and the phenomenon of learning without awareness. This book chapter is clearly written and understandable to the interested nonprofessional reader. Carroll, Marilyn E., and J. Bruce Overmier, eds. Animal Research and Human Health: Advancing Human Welfare Through Behavioral Science. Washington, D.C.: American Psychological Association, 2001. Contains descriptions of the application of research with animals to a variety of human conditions, including anxiety, stress, depression, drug abuse, aggression, and a variety of areas of learning. Also contains a section on the ethics of using animals in behavioral research and a list of additional readings. Eisenberger, Robert, and Judy Cameron. “The Detrimental Effects of Reward: Myth or Reality?” American Psychologist 51, no. 11 (1996): 1153-1166. This journal article in the publication of the American Psychological Association provides an analysis of over one hundred studies and finds that 491
Psychology Basics rewards generally are not detrimental, but are in fact beneficial, to motivation, interest, and enjoyment of a task. Although the article contains advanced statistical techniques, they are not critical to the understanding of the findings. Mazur, James E. Learning and Behavior. Upper Saddle River, N.J.: Prentice Hall, 2001. This best-selling introduction to the topic of learning and behavior assumes no prior knowledge of psychology. The reading is straightforward though sometimes challenging as it covers the basics of classical and operant conditioning, biological bases of learning and behavior, and applications to complex human learning situations. Overmier, J. Bruce, and V. M. LoLordo. “Learned Helplessness.” In Learning and Behavior Therapy, edited by William O’Donohue. Boston: Allyn & Bacon, 1998. Scholarly, complete discussion of the history of research in learned helplessness, thorough description of the phenomenon, up to current controversies and debates in this area. Contains information on the physiological underpinnings of learned helplessness and the application of this research to human depression. Includes large reference section with classic papers in this area of research. Seligman, Martin E. P. Learned Optimism. New York: Pocket Books, 1998. This book by one of the pioneers in the area describes the basic research underlying the proposed therapeutic approach to address problems with learned helplessness. Contains scales to assess the reader’s degree of optimism and scientifically based recommendations to change problematic behavior. Written for a broad audience. Skinner, B. F. Science and Human Behavior. Reprint. New York: Classics of Psychiatry & Behavioral Sciences Library, 1992. This classic work by Skinner was designed to bring the study of human learning to a wide audience. Describes the application of science to human problems. Reviews basic learning principles before discussing their application to a variety of wide ranging human issues. Straus, Murray A., and Denise A. Donnelly. Beating the Devil out of Them: Corporal Punishment in American Families and Its Effects on Children. New Brunswick, N.J.: Transaction, 2001. This thought-provoking book by one of the foremost experts on family violence is written for a broad audience. Discusses the prevalence of spanking and other forms of corporal punishment. Outlines the short-term and long-term impacts of spanking on children, including increased aggression, criminality, and depression. Includes a discussion of benefits of alternative child-rearing strategies. Amy L. Odum See also: Cognitive Development: Jean Piaget; Giftedness; Imprinting; Intelligence; Language; Learning Disorders; Logic and Reasoning; Memory; Mental Retardation; Pavlovian Conditioning; Race and Intelligence; Thought: Study and Measurement. 492
Learning Disorders Type of psychology: Psychopathology Field of study: Childhood and adolescent disorders Learning disorders (LD) comprise the disorders usually first diagnosed in infancy, childhood, or adolescence. Because the condition affects the academic progress of approximately 5 percent of all public school students in the United States, it has attracted the attention of clinicians, educators, and researchers from varied disciplines. Substantial progress has been made in the assessment and diagnosis of learning disorders but questions regarding etiology, course, and treatment of the disorder continue to challenge investigators. Key concepts • disorder of written expression • dyslexia • learning disabilities • learning disorder not otherwise specified • mathematics disorder • phonological processing • reading disorder Learning disorders (LD) is a general term for clinical conditions that meet three diagnostic criteria: An individual’s achievement in an academic domain (such as reading) is substantially below that expected given his or her age, schooling, and level of intelligence; the learning disturbance interferes significantly with academic achievement or activities of daily living that require specific academic skills; and if a sensory deficit (such as blindness or deafness) is present, the learning difficulties are in excess of those usually associated with it. The American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000) specifies four subcategories of learning disorders: Reading Disorder, Mathematics Disorder, Disorder of Written Expression, and Learning Disorder Not Otherwise Specified (NOS). The criteria for the first three specific learning disorders are the same except for the academic domain affected by the disorder. The fourth subcategory is reserved for disorders involving learning the academic skills that do not meet the criteria for any specific learning disorder. Included are problems in all three academic domains (reading, mathematics, written expression) that together significantly interfere with academic achievement even though academic achievement as measured on standardized tests does not fall substantially below what is expected given the individual’s chronological age, intelligence quotient (IQ), or age-appropriate education. A variety of statistical approaches are used to produce an operational definition of “substantially below” academic achievement. Despite some controversy about its appropriateness, the most frequently used approach de493
Psychology Basics fines “substantially below” as a discrepancy between achievement and IQ of more than two standard deviations (SD). In cases where an individual’s performance on an IQ test may have been compromised by an associated disorder in linguistic or information processing, an associated mental disorder, a general medical condition, or the individual’s ethnic or cultural background, a smaller discrepancy (between one and two SDs) may be acceptable. Differential diagnosis involves differentiating learning disorders from normal variations in academic achievement, scholastic difficulties due to lack of opportunity, poor teaching, or cultural factors, and learning difficulties associated with a sensory deficit. In cases of pervasive developmental disorder or mild mental retardation, an additional diagnosis of learning disorder is given if the individual’s academic achievement is substantially below the expected level given the individual’s schooling and intelligence. The term “learning disorders” was first applied to a clinical condition meeting these three criteria in the Diagnostic and Statistical Manual of Mental Disorders (4th ed., DSM-IV), published in 1994. Earlier editions of the DSM used other labels such as “learning disturbance,” a subcategory within special symptom reactions in DSM-II (1968). In DSM-III (1980) and DSM-III-R (1987), the condition was labeled “Academic Skills Disorders” and listed under “Specific Developmental Disorders”; furthermore, the diagnosis was based only on “substantially below” academic achievement, and the disorder was classified as an Axis II rather than an Axis I or clinical condition. The LD condition is also known by names other than those used in the psychiatric nomenclature, most frequently as “learning disabilities,” which is defined as a disorder in one or more of the basic psychological processes involved in understanding or in using spoken or written language, which may manifest itself in an imperfect ability to listen, think, speak, read, write, spell, or do mathematical calculations in children whose learning problems are not primarily the result of visual, hearing, or motor handicaps, mental retardation, emotional disturbance, or environmental, cultural, or economic disadvantage. Learning disabilities is the term used in P.L. 94-142, the Education for All Handicapped Children Act of 1975, and in P.L. 101476, the Individuals with Disabilities Education Act. Specific learning disorders are also referred to by other names, such as dyslexia (Reading Disorder), dyscalculia (Mathematics Disorder), or dysgraphia (Disorder of Written Expression). Empirical evidence about prevalence, etiology, course of the disorder, and intervention comes mainly from subjects identified as having dyslexia or learning disabilities. Prevalence Prevalence rates for learning disorders vary, depending on the definitions and methods of determining the achievement-intelligence discrepancy. According to the American Psychiatric Association, estimates range from 2 percent to 10 percent for the general population, and 5 percent for public 494
Learning Disorders school students in the United States. The prevalence rate for each specific learning disorder is more difficult to establish because many studies simply report the total number of learning disorders without separating them according to subcategory. Reading disorder is the most common, found in 4 percent of school-age children in the United States. Approximately four out of five cases of LD have Reading Disorder alone or in combination with Mathematics Disorder or Disorder of Written Expression. About 1 percent of school-age children have Mathematics Disorder, one out of five cases of LD. Disorder of Written Expression alone is rare; it is usually associated with Reading Disorder. Studies based on referrals to school psychologists or clinics reported that more males than females manifested a learning disorder. However, studies employing careful diagnostic assessment and strict application of the criteria have found more equal rates for males and females. LD often coexists with another disorder, usually language disorders, communication disorders, attention-deficit hyperactivity disorder (ADHD), or conduct disorder. Etiology There is strong empirical support for a genetic basis of Reading Disorder or dyslexia from behavior genetic studies. John C. DeFries and his colleagues indicate that heredity can account for as much as 60 percent of the variance in Reading Disorders or dyslexia. As for the exact mode of genetic transmission, Lon R. Cardon and his collaborators, in two behavior genetic studies, identified chromosome 6 as a possible quantitative trait locus for a predisposition to develop Reading Disorder. The possibility that transmission occurs through a subtle brain dysfunction rather than autosomal dominance has been explored by Bruce Pennington and others. The neurophysiological basis of Reading Disorders has been explored in studies of central nervous dysfunction or faulty development of cerebral dominance. The hypothesized role of central nervous dysfunction has been difficult to verify despite observations that many children with learning disorders had a history of prenatal and perinatal complications, neurological soft signs, and electroencephalograph abnormalities. In 1925, neurologist Samuel T. Orton hypothesized that Reading Disorder or dyslexia results from failure to establish hemispheric dominance between the two halves of the brain. Research has yielded inconsistent support for Orton’s hypothesis and its reformulation, the progressive lateralization hypothesis. However, autopsy findings of cellular abnormalities in the left hemispheres of dyslexics that were confirmed in brain imaging studies of live human subjects have reinvigorated researchers. These new directions are pursued in studies using sophisticated brain imaging technology. Genetic and neurophysiological factors do not directly cause problems in learning the academic skills. Rather, they affect development of neuropsychological, information-processing, linguistic, or communication abilities, producing difficulties or deficits that lead to learning problems. The most 495
Psychology Basics promising finding from research on process and ability deficits concerns phonological processing—the ability to use phonological information (the phonemes or speech sounds of one’s language)—in processing oral and written language. Two types of phonological processing, phonological awareness and phonological memory (encoding or retrieval), have been studied extensively. Based on correlational and experimental data, there is an emerging consensus that a deficit in phonological processing is the basis of reading disorder in a majority of cases. Assessment Assessment refers to the gathering of information in order to attain a goal. Assessment tools vary with the goal. If the goal is to establish the diagnosis, assessment involves the individualized administration of standardized tests of academic achievement and intelligence that have norms for the child’s age and, preferably, social class and ethnicity. To verify that the learning disturbance is interfering with a child’s academic achievement or social functioning, information is collected from parents and teachers through interviews and standardized measures such as rating scales. Behavioral observations of the child may be used to supplement parent-teacher reports. If there is visual, hearing, or other sensory impairment, it must be determined that the learning deficit is in excess of that usually associated with it. The child’s developmental, medical, and educational histories and the family history are also obtained and used in establishing the differential diagnosis and clarifying etiology. If LD is present, the next goal is a detailed description of the learning disorder to guide treatment. Tools will depend upon the specific type of learning disorder. For example, in the case of dyslexia, E. Wilcutt and Pennington suggest that the achievement test given to establish the achievementintelligence discrepancy be supplemented by others such as the Gray Oral Reading Test (GORT-III), a timed measure of reading fluency as well as reading comprehension. Still another assessment goal is to identify the neuropsychological, linguistic, emotional, and behavioral correlates of the learning disorder and any associated disorders. A variety of measures exist for this purpose. Instrument selection should be guided by the clinician’s hypotheses, based on what has been learned about the child and the disorder. Information about correlates and associated disorders is relevant to setting targets for intervention, understanding the etiology, and estimating the child’s potential response to intervention and prognosis. In schools, identification of LD involves a multidisciplinary evaluation team including the classroom teacher, a psychologist, and a special education teacher or specialist in the child’s academic skill deficit (such as reading). As needed, input may be sought from the child’s pediatrician, a speech therapist, an audiologist, a language specialist, or a psychiatrist. A thorough assessment should provide a good description of the child’s strengths as well as weaknesses that will be the basis of effective and comprehensive treat496
Learning Disorders
DSM-IV-TR Criteria for Learning Disorders Mathematics Disorder (DSM code 315.1) Mathematical ability, as measured by individually administered standardized tests, substantially below that expected given chronological age, measured intelligence, and age-appropriate education Disorder interferes significantly with academic achievement or activities of daily living requiring mathematical ability If a sensory deficit is present, mathematical difficulties exceed those usually associated with it Reading Disorder (DSM code 315.00) Reading achievement, as measured by individually administered standardized tests of reading accuracy or comprehension, substantially below that expected given chronological age, measured intelligence, and age-appropriate education Disorder interferes significantly with academic achievement or activities of daily living requiring reading skills If a sensory deficit is present, reading difficulties exceed those usually associated with it Disorder of Written Expression (DSM code 315.2) Writing skills, as measured by individually administered standardized tests or functional assessments of writing skills, substantially below those expected given chronological age, measured intelligence, and age-appropriate education Disorder interferes significantly with academic achievement or activities of daily living requiring the composition of written texts (such as writing grammatically correct sentences and organized paragraphs) If a sensory deficit is present, writing difficulties exceed those usually associated with it Learning Disorder Not Otherwise Specified (DSM code 315.9)
ment plans for both the child and the family. In school settings, these are called, respectively, an Individual Educational Plan (IEP) an d an Individual Family Service Plan (IFSP). Treatment Most children with LD require special education. Depending upon the disorder’s severity, they may learn best in a one-on-one setting, small group, special class, or regular classroom plus resource room tutoring. Treatment of LD should address both the disorder and associated conditions or correlates. Furthermore, it should include assisting the family and 497
Psychology Basics school in becoming more facilitative contexts for development of the child with LD. Using neuropsychological training, psychoeducational methods, behavioral or cognitive-behavioral therapies, or cognitive instruction, singly or in combination, specific interventions have targeted the psychological process dysfunction or deficit assumed to underlie the specific learning disorder; a specific academic skill such as word attack; or an associated feature or correlate such as social skills. Process-oriented approaches that rose to prominence in the 1990’s are linguistic models aimed at remediating deficits in phonological awareness and phonological memory, and cognitive models which teach specific cognitive strategies that enable the child to become a more efficient learner. Overall, treatment or intervention studies during the last two decades of the twentieth century and at the beginning of the twenty-first century are more theory-driven, built on prior research, and rigorous in methodology. Many studies have shown significant gains in target behaviors. Transfer of training, however, remains elusive. Generalization of learned skills and strategies is still the major challenge for future treatment research. As the twenty-first century begins, LD remains a persistent or chronic disorder. Sources for Further Study American Psychiatric Association. Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR. Rev. 4th ed. Washington, D.C.: Author, 2000. Provides a detailed description of the diagnostic criteria, associated features and disorders, and differential diagnosis. It also describes the course of the disorder and familial pattern, if any, for the specific learning disorders. Brown, F. R., III, H. L. Aylward, and B. K. Keogh, eds. Diagnosis and Management of Learning Disabilities. San Diego, Calif.: Singular Publishing Group, 1996. A multidisciplinary group of contributors provide a comprehensive yet detailed view of diagnosis, assessment, and treatment of learning problems. Because of its clarity and scope, this is recommended as an introductory text. Lyon, G. Reid. “Treatment of Learning Disabilities.” In Treatment of Childhood Disorders, edited by E. J. Mash and L. C. Terdal. New York: Guilford Press, 1998. This chapter gives an excellent description of treatment models and reviews the research on their respective efficacies. Sternberg, R. J., and Louise Spear-Swerling, eds. Perspectives on Learning Disabilities. Boulder, Colo.: Westview Press, 1999. This sophisticated presentation and critique of biological, cognitive, and contextual approaches to learning disabilities is highly recommended for graduate students and professionals. Felicisima C. Serafica See also: Attention-Deficit Hyperactivity Disorder (ADHD); Brain Structure; Intelligence; Intelligence Tests; Language; Logic and Reasoning; Memory; Speech Disorders. 498
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MAGILL’S C H O I C E
Psychology Basics Volume 2 Logic and Reasoning— Women’s Psychology: Sigmund Freud Index
Editor
Nancy A. Piotrowski, Ph.D. University of California, Berkeley
Salem Press Pasadena, California Hackensack, New Jersey
Copyright © 2005, by Salem Press, Inc. All rights in this book are reserved. No part of this work may be used or reproduced in any manner whatsoever or transmitted in any form or by any means, electronic or mechanical, including photocopy, recording, or any information storage and retrieval system, without written permission from the copyright owner except in the case of brief quotations embodied in critical articles and reviews. For information address the publisher, Salem Press, Inc., P.O. Box 50062, Pasadena, California 91115. ∞ The paper used in these volumes conforms to the American National Standard for Permanence of Paper for Printed Library Materials, Z39.48-1992 (R1997). The essays in this work originally appeared in Magill’s Encyclopedia of Social Science: Psychology, 2003; new material has been added.
Library of Congress Cataloging-in-Publication Data Psychology basics / editor, Nancy A. Piotrowski.— Rev. ed. p. cm. — (Magill’s choice) Includes bibliographical references and index. ISBN 1-58765-199-8 (set : alk. paper) — ISBN 1-58765-200-5 (v. 1 : alk. paper) — ISBN 1-58765-201-3 (v. 2 : alk. paper) 1. Psychology—Encyclopedias. I. Piotrowski, Nancy A. II. Series BF31.P765 2004 150′.3—dc22 2004016637
First Printing
printed in the united states of america
Table of Contents Logic and Reasoning . . . . . . . . . . . . . . . . . . . . . . . . . . . 499 Madness: Historical Concepts. Memory . . . . . . . . . . . . Memory: Animal Research . . Mental Retardation . . . . . . Mood Disorders . . . . . . . . Moral Development . . . . . . Motivation . . . . . . . . . . . Multiple Personality . . . . . .
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507 516 524 532 539 546 552 559
Nervous System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 565 Neuropsychology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 571 Obsessive-Compulsive Disorder . . . . . . . . . . . . . . . . . . . . . . 577 Parkinson’s Disease . . . . . . . . . . . . . . . . . . . . . . Pavlovian Conditioning . . . . . . . . . . . . . . . . . . . . Personal Constructs: George A. Kelly . . . . . . . . . . . . Personality Disorders . . . . . . . . . . . . . . . . . . . . . Personality: Psychophysiological Measures . . . . . . . . . . Personality Theory . . . . . . . . . . . . . . . . . . . . . . Personology: Henry A. Murray . . . . . . . . . . . . . . . . Phobias . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Psychoanalysis . . . . . . . . . . . . . . . . . . . . . . . . . Psychoanalytic Psychology. . . . . . . . . . . . . . . . . . . Psychoanalytic Psychology and Personality: Sigmund Freud Psychology: Definition. . . . . . . . . . . . . . . . . . . . . Psychology: Fields of Specialization . . . . . . . . . . . . . Psychopathology . . . . . . . . . . . . . . . . . . . . . . . . Psychosomatic Disorders . . . . . . . . . . . . . . . . . . . Psychosurgery . . . . . . . . . . . . . . . . . . . . . . . . . Psychotherapy: Goals and Techniques . . . . . . . . . . . .
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584 589 596 602 610 617 624 630 638 647 655 662 667 674 683 691 698
Race and Intelligence . . . . . . . . . . . . . . . . . . . . . . . . . . . 704 Radical Behaviorism: B. F. Skinner . . . . . . . . . . . . . . . . . . . . 711 Reflexes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 719 S-R Theory: Neal E. Miller and John Dollard . . . . . . . . . . . . . . 725 Schizophrenia: Background, Types, and Symptoms . . . . . . . . . . . 731 xix
Psychology Basics Schizophrenia: Theoretical Explanations . . . . Self . . . . . . . . . . . . . . . . . . . . . . . . . Self-Esteem. . . . . . . . . . . . . . . . . . . . . Sensation and Perception . . . . . . . . . . . . . Senses . . . . . . . . . . . . . . . . . . . . . . . Sexual Variants and Paraphilias. . . . . . . . . . Sleep . . . . . . . . . . . . . . . . . . . . . . . . Social Learning: Albert Bandura . . . . . . . . . Social Psychological Models: Erich Fromm . . . Social Psychological Models: Karen Horney . . . Speech Disorders . . . . . . . . . . . . . . . . . Stress . . . . . . . . . . . . . . . . . . . . . . . . Stress: Behavioral and Psychological Responses . Stress: Physiological Responses . . . . . . . . . . Stress-Related Diseases . . . . . . . . . . . . . . Structuralism and Functionalism . . . . . . . . . Substance Use Disorders . . . . . . . . . . . . . Suicide . . . . . . . . . . . . . . . . . . . . . . . Support Groups . . . . . . . . . . . . . . . . . . Survey Research: Questionnaires and Interviews
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Thirst . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 876 Thought: Study and Measurement . . . . . . . . . . . . . . . . . . . . 880 Women’s Psychology: Carol Gilligan . . . . . . . . . . . . . . . . . . . 886 Women’s Psychology: Karen Horney . . . . . . . . . . . . . . . . . . . 894 Women’s Psychology: Sigmund Freud . . . . . . . . . . . . . . . . . . 900 Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 908 Biographical List of Psychologists. . . . . . . . . . . . . . . . . . . . . 946 Web Site Directory. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 956 Categorized List of Entries . . . . . . . . . . . . . . . . . . . . . . . . 969 Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 975
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Logic and Reasoning Type of psychology: Cognition Fields of study: Cognitive processes; thought Logic and reasoning are essential elements of the human mind and underlie many daily activities. Although humans may not follow the prescriptions of formal logic precisely, human reasoning is nevertheless often systematic. Study of the structures and processes involved in the use of logic and reasoning provides insight into both the human mind and the possible creation of intelligent machines. Key concepts • atmosphere hypothesis • availability • belief-bias effect • confirmation bias • deductive reasoning • gambler’s fallacy • heuristic • inductive reasoning • representativeness • syllogism Logical and reasoning tasks are typically classified as either deductive or inductive. In deductive reasoning, if the premises are true and a valid rule of inference is used, the conclusion must be true. In inductive reasoning, in contrast, the conclusion can be false even if the premises are true. In many cases, deductive reasoning also involves moving from general principles to specific conclusions, while inductive reasoning involves moving from specific examples to general conclusions. Cognitive psychologists study deductive reasoning by examining how people reason using syllogisms, logical arguments comprising a major and a minor premise that lead to a conclusion. The premises are assumed to be true; the validity of the conclusion depends upon whether a proper rule of inference is used. The classic example of deduction is: All men are mortal. Socrates is a man. Socrates is a mortal.
A more modern example of deduction might be: All dinosaurs are animals. All animals are in zoos. All dinosaurs are in zoos. 499
Psychology Basics The conclusion is valid but is not true, because one of the premises (all animals are in zoos) is not true. Broadly speaking, truth refers to content (that is, applicability of the conclusion to the real world), and validity refers to form (that is, whether the conclusion is drawn logically). It is thus possible to have a valid argument that is nevertheless untrue. Even if a valid rule of inference is applied and a valid conclusion is drawn, the conclusion may not be true. If a valid conclusion has been drawn from true premises, however, the argument is called “sound.” With inductive reasoning, the validity of the conclusion is less certain. The classic example of induction is: Every crow I have seen in my life up to this time has been black. All crows are black.
Other examples of induction include a child who begins to say “goed” (from “go”) instead of “went,” a detective piecing together evidence at the scene of a crime, and a stock analyst who, after observing that prices have fallen during the past two Septembers, urges clients to sell in August. In all these cases, a conclusion is drawn based on evidence observed prior to the conclusion. There remains the possibility, however, that additional evidence may render the conclusion incorrect. It does not matter how many positive instances (for example, black crows, September stock declines) have been observed; if one counterexample can be found (a white crow, a September stock rise), the conclusion is incorrect. Heuristics The study of induction spans a variety of methods and topics. In this article, most of the consideration of induction involves cases in which people rely on heuristics in their reasoning. Heuristics involve “rules of thumb” that yield “ballpark” solutions that are approximately correct and can be applied across a wide range of problems. One common heuristic is representativeness, which is invoked in answering the following questions: What is the probability that object A belongs to class B, event A originates from process B, or that process B will generate event A? The representativeness heuristic suggests that probabilities are evaluated by the degree to which A is representative of B, that is, by the degree to which A resembles B. If A is representative of B, the probability that A originates from B is judged to be high; if A does not resemble B or is not similar to B, the probability that A originates from B is judged to be low. A second heuristic is availability, which is invoked in judgments of frequency. Specifically, people assess the frequency of a class by the ease with which instances of that class can be brought to mind. Factors that influence the ability to think of instances of a class, such as recency, salience, number of associations, and so forth, influence availability in such a way that certain types of events (such as recent and salient) are more available. For example, 500
Logic and Reasoning if several people one knows have been involved in car crashes recently, one’s subjective probability of being in a car crash is increased. Rules of Inference Before examining how people reason deductively, two rules of inference must be considered: modus ponens (the “method of putting,” which involves affirming a premise) and modus tollens (the “method of taking,” which involves negating a premise). Considering P and Q as content-free abstract variables (much like algebraic variables), modus ponens states that given “P implies Q” and given P, one can infer Q. In the following example, applying modus ponens to 1 and 2 (in which P is “it rained last night” and Q is “the game was canceled”), one can infer 3. 1. If it rained last night, then the game was canceled. 2. It rained last night. 3. The game was canceled.
Modus tollens states that given “P implies Q” and ~Q (read “not Q”; “~” is a symbol for negation), one can infer “~P.” Applying modus tollens to 1 and 4, one can infer 5. 4. The game was not canceled. 5. It did not rain last night.
In general, people apply modus ponens properly but do not apply modus tollens properly. In one experiment, four cards showing the following letters or numbers were placed in front of subjects: EK47
Subjects saw only one side of each card but were told that a letter appeared on one side and a number on the other side. Subjects were asked to judge the validity of the following rule by turning over only those cards that provided a valid test of the following statement: If a card has a vowel on one side, then it has an even number on the other side. Turning over E is a correct application of modus ponens, and turning over 7 is a correct application of modus tollens (consider P as “vowel on one side” and Q as “even number on the other side”). Almost 80 percent of subjects turned over E only or E and 4, while only 4 percent of subjects chose the correct answer, turning over E and 7. While many subjects correctly applied modus ponens, far fewer correctly applied modus tollens. Additionally, many subjects turned over 4, an error called affirmation of the consequent. When stimuli are concrete, reasoning improves. In an analogous experiment, four cards with the following information were placed before subjects: 501
Psychology Basics beer Coke 16 22
One side of each card showed a person’s drink; the other side showed a person’s age. Subjects evaluated this rule: If a person is drinking beer, that person must be at least nineteen. In this experiment, nearly 75 percent of the subjects made the correct selections, showing that in some contexts people are more likely to apply modus tollens properly. When quantifiers such as “all,” “some,” and “none” are used within syllogisms, additional errors in reasoning occur. People are more likely to accept positive conclusions to positive premises and negative conclusions to negative premises, negative conclusions if premises are mixed, a universal conclusion if premises are universal (all or none), a particular conclusion if premises are particular (some), and a particular conclusion if one premise is general and the other is particular. These observations led to the atmosphere hypothesis, which suggests that the quantifiers within the premises create an “atmosphere” predisposing subjects to accept as valid conclusions that use the same quantifiers. Influence of Knowledge and Beliefs Prior knowledge or beliefs can influence reasoning if people neglect the form of the argument and concentrate on the content; this is referred to as the belief-bias effect. If a valid conclusion appears unbelievable, people reject it, while a conclusion that is invalid but appears believable is accepted as valid. Many people accept this syllogism as valid: All oak trees have acorns. This tree has acorns. This tree is an oak tree.
Consider, however, this logically equivalent syllogism: All oak trees have leaves. This tree has leaves. This tree is an oak tree.
In the first syllogism, people’s knowledge that only oak trees have acorns leads them to accept the conclusion as valid. In the second syllogism, people’s knowledge that many types of trees have leaves leads them to reject the conclusion as invalid. Biases in Reasoning A common bias in inductive reasoning is the confirmation bias, the tendency to seek confirming evidence and not to seek disconfirming evidence. In one study, subjects who were presented with the numbers (2, 4, 6) determined what rule (concept) would allow them to generate additional num502
Logic and Reasoning bers in the series. In testing their hypotheses, many subjects produced series to confirm their hypotheses—for example, (20, 22, 24) or (100, 102, 104)— of “even numbers ascending by 2,” but few produced series to disconfirm their hypotheses—for example, (1, 3, 5) or (20, 50, 187). In fact, any ascending series (such as 32, 69, 100,005) would have satisfied the general rule, but because subjects did not seek to disconfirm their more specific rules, they did not discover the more general rule. Heuristics also lead to biases in reasoning. In one study, subjects were told that bag A contained ten blue and twenty red chips, while bag B contained twenty blue and ten red chips. On each trial, the experimenter selected one bag; subjects knew that bag A would be selected on 80 percent of the trials. The subject drew three chips from the bag and reasoned whether A or B had been selected. When subjects drew two blues and one red, all were confident that B had been selected. If the probability for that sample is actually calculated, however, the odds are 2:1 that it comes from A. People chose B because the sample of chips resembles (represents) B more than A, and ignored the prior probability of 80 percent that the bag was A. In another experiment, subjects were shown descriptions of “Linda” that made her appear to be a feminist. Subjects rated the probability that Linda was a bank teller and a feminist higher than the probability that Linda was a bank teller. Whenever there is a conjunction of events, however, the probability of both events is less than the probability of either event alone, so the probability that Linda was a bank teller and a feminist was actually lower than the probability that she was only a bank teller. Reliance on representativeness leads to overestimation of the probability of a conjunction of events. Reliance on representativeness also leads to the “gambler’s fallacy.” This fallacy can be defined as the belief that if a small sample is drawn from an infinite and randomly distributed population, that sample must also appear randomly distributed. Consider a chance event such as flipping a coin. (H represents “heads”; T represents “tails.”) Which sequence is more probable: HTHTTH or HHHHHH? Subjects judge that the first sequence is more probable, but both are equally probable. The second sequence, HHHHHH, does not appear to be random, however, and so is believed to be less probable. After a long run of H, people judge T as more probable than H because the coin is “due” for T. A problem with the idea of “due,” though, is that the coin itself has no memory of a run of H or T. As far as the coin is concerned, on the next toss there is .5 probability of H and .5 probability of T. The fallacy arises because subjects expect a small sample from an infinitely large random distribution to appear random. The same misconceptions are often extended beyond coin-flipping to all games of chance. In fallacies of reasoning resulting from availability, subjects misestimate frequencies. When subjects estimated the proportion of English words beginning with R versus words with R as the third letter, they estimated that more words begin with R, but, in fact, more than three times as many words 503
Psychology Basics have R as their third letter. For another example, consider the following problem. Ten people are available and need to be organized into committees. Can more committees of two or more committees of eight be organized? Subjects claimed that more committees of two could be organized, probably because it is easier to visualize a larger number of committees of two, but equal numbers of committees could be made in both cases. In both examples, the class for which it is easier to generate examples is judged to be the most frequent or numerous. An additional aspect of availability involves causal scenarios (sometimes referred to as the simulation heuristic), stories or narratives in which one event causes another and which lead from an original situation to an outcome. If a causal scenario linking an original situation and outcome is easily available, that outcome is judged to be more likely. Evolution of Study Until the twentieth century, deductive logic and the psychology of human thought were considered to be the same topic. The mathematician George Boole titled his 1854 book on logical calculus An Investigation of the Laws of Human Thought. This book was designed “to investigate the fundamental laws of those operations of the mind by which reasoning is performed.” Humans did not always seem to operate according to the prescriptions of logic, but such lapses were seen as the malfunctioning of the mental machinery. When the mental machinery functioned properly, humans were logical. Indeed, it is human rationality, the ability to think logically, that for many thinkers throughout time has separated humans from other animals (for example, Aristotle’s man as rational animal) and defined the human essence (for example, René Descartes’s “I think, therefore I am”). As a quintessential mental process, the study of reasoning is an integral part of modern cognitive psychology. In the mid-twentieth century, however, when psychology was in the grip of the behaviorist movement, little attention was given to such “mentalistic” conceptions, with the exception of isolated works such as Frederic C. Bartlett’s studies of memory and Jerome S. Bruner, Jacqueline J. Goodnow, and George A. Austin’s landmark publication A Study of Thinking (1956), dealing with, among other topics, induction and concept formation. The development of the digital computer and the subsequent application of the computer as a metaphor for the human mind suggested new methods and vocabularies for investigating mental processes such as reasoning, and with the ascendancy of the cognitive approach within experimental psychology and the emergence of cognitive science, research on human reasoning has become central in attempts both to understand the human mind and to build machines that are capable of independent, intelligent action. Involvement of Computers In the latter part of the twentieth century, there were attempts to simulate human reasoning with computers and to develop computers capable of 504
Logic and Reasoning humanlike reasoning. One notable attempt involved the work of Allen Newell and Herbert Simon, who provided human subjects with various sorts of problems to solve. Their human subjects would “think out loud,” and transcripts of what they said became the basis of computer programs designed to mimic human problem solving and reasoning. Thus, the study of human logic and reasoning not only furthered the understanding of human cognitive processes but also gave guidance to those working in artificial intelligence. One caveat, however, is that even though such transcripts may serve as a model for computer intelligence, there remain important differences between human and machine “reasoning.” For example, in humans, the correct application of some inference rules (for example, modus tollens) depends upon the context (for example, the atmosphere hypothesis or the belief-bias effect). Furthermore, not all human reasoning may be strictly verbalizable, and to the extent that human reasoning relies on nonlinguistic processes (such as imagery), it might not be possible to mimic or re-create it on a computer. After being assumed to be logical, or even being ignored by science, human reasoning is finally being studied for what it is. In solving logical problems, humans do not always comply with the dictates of logical theory; the solutions reached may be influenced by the context of the problem, previous knowledge or belief, and the particular heuristics used in reaching a solution. Discovery of the structures, processes, and strategies involved in reasoning promises to increase the understanding not only of how the human mind works but also of how to develop artificially intelligent machines. Sources for Further Study Halpern, Diane F. Thought and Knowledge: An Introduction to Critical Thinking. 4th ed. Mahwah, N.J.: Lawrence Erlbaum, 2003. Presents a brief overview of memory and language, then presents data and theory on performance with different types of deductive arguments, analyzing arguments, fallacies, reasoning with probabilities, and hypothesis testing. The author provides numerous examples and exercises, and the text can be understood by high school or college students. Holland, John H., et al. Induction: Processes of Inference, Learning, and Discovery. Reprint. Cambridge, Mass.: MIT Press, 1989. Presents a broad crossdisciplinary account of induction and examines the role of inferential rules in induction, people’s mental models of the world, concept formation, problem solving, and the role of induction in discovery. The authors provide an extensive bibliography of scholarly research on induction. Johnson-Laird, Philip Nicholas. Mental Models. Cambridge, Mass.: Harvard University Press, 1983. Presents an extensive review of data and theory on syllogistic reasoning. The author presents a unified theory of the mind based on recursive procedures, propositional representations, and mental models. The text is very thorough and detailed, and many readers may find it daunting. 505
Psychology Basics Kahneman, Daniel, Paul Slovic, and Amos Tversky, eds. Judgment Under Uncertainty: Heuristics and Biases. New York: Cambridge University Press, 1987. Presents a collection of many of the important papers on heuristics, including several papers each on representativeness, availability, causality and attribution, and corrective procedures. Many of the papers are thorough and present detailed information on experiments or theory. Kelley, David. The Art of Reasoning. 3d ed. New York: W. W. Norton, 1998. A well-regarded introduction to classic logic. Thorough and accessible. Sternberg, Robert J., and Talia Ben-Zeev. Complex Cognition: The Psychology of Human Thought. New York: Oxford University Press, 2001. An introduction to cognitive psychology, including explanations of the types of reasoning in theory and in practice. Synthesizes the “normative reference” and “bounded rationality” approaches to understanding human thought. Weizenbaum, Joseph. Computer Power and Human Reason II. New York: W. H. Freeman, 1997. Provides many examples of “computer reason” and argues that some aspects of the mind cannot be explained in informationprocessing (computational) terms. Makes the case that computers should not be given tasks that demand human reason or wisdom. Written in an accessible and easy-to-read style. Timothy L. Hubbard See also: Thought: Study and Measurement.
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Madness Historical Concepts Type of psychology: Psychopathology Fields of study: General constructs and issues; models of abnormality Throughout history, humans have tried to explain the abnormal behavior of people with mental disorders. From the ancient concept of demoniacal possession to modern biopsychosocial models, beliefs regarding the cause of mental disorders have influenced the way communities treat those variously labeled mad, insane, or mentally ill. Key concepts • asylum • biopsychosocial model of mental disorders • deinstitutionalization • demoniacal possession • humoral imbalance • lobotomy • madness • moral treatment • phenothiazines People are social creatures who learn how to behave appropriately in families and communities. What is considered appropriate, however, depends on a host of factors, including historical period, culture, geography, and religion. Thus, what is valued and respected changes over time, as do sociocultural perceptions of aberrant or deviant behavior. How deviancy is treated depends a great deal on the extent of the deviancy—is the person dangerous, a threat to self or to the community, in flagrant opposition to community norms, or is the person just a little odd? How the community responds also depends on its beliefs as to what causes aberrant behavior. Supernatural beliefs in demons, spirits, and magic were common in preliterate societies. In the medieval Western world, Christians believed that the devil was in possession of deranged souls. Hence, the mentally ill were subjected to cruel treatments justified by the idea of routing out demons or the devil. For centuries, the prevailing explanation for madness was demoniacal possession. Prior to the nineteenth century, families and communities cared for the mad. If they were unmanageable or violent, the mad were incarcerated in houses of correction or dungeons, where they were manacled or put into straitjackets. If a physician ever attended someone who was deemed mad by the community, it was to purge or bleed the patient to redress a supposed humoral imbalance. Most medical explanations prior to the advent of scientific medicine were expressed in terms of the four humors: black bile, yellow bile, blood, and 507
Psychology Basics phlegm. Imbalances usually were treated with laxatives, purgatives, astringents, emetics, and bleeding. Understanding moved from the holistic and humoral to the anatomical, chemical, and physiological. Also, views of humans and their rights changed enormously as a consequence of the eighteenth century American and French Revolutions. During the nineteenth and twentieth centuries, madhouses were first replaced by more progressive lunatic asylums and then by mental hospitals and community mental health centers. In parallel fashion, custodians and superintendents of madhouses became mad-doctors or alienists in the nineteenth century and psychiatrists, psychologists, and counselors of various kinds in the twentieth century. Similarly, the language changed: Madness was variously called lunacy, insanity, derangement, or alienation. The term currently used is mental disorder. These changes reflect the rejection of supernatural and humoral explanations of madness in favor of a disease model with varying emphases on organic or psychic causes. Early Views of Madness One of the terrible consequences of the belief in supernatural possession by demons was the inhumane treatment in which it often resulted. An example is found in the book of Leviticus in the Bible, which many scholars believe is a compilation of laws which had been handed down orally in the Jewish community for as long as a thousand years until they were written down, perhaps about 700 b.c.e. Leviticus 20:27, in the King James version, reads, “A man or a woman that hath a familiar spirit . . . shall surely be put to death: they shall stone him with stones.” The term “familiar spirit” suggests demoniacal possession. There were exceptions to the possession theory and the inhumane treatment to which it often led. Hippocrates, who lived around 300 b.c.e. in Greece and who is regarded as the father of medicine, believed that mental illness had biological causes and could be explained by human reason through empirical study. Although Hippocrates found no cure, he did recommend that the mentally ill be treated humanely, as other ill people would be treated. Humane treatment of the mentally ill was often the best that physicians and others could do. The period of Western history that is sometimes known as the Dark Ages was particularly dark for the mad. Folk belief, theology, and occult beliefs and practices of all kinds often led to terrible treatment. Although some educated and thoughtful people, even in that period, held humane views, they were in the minority regarding madness. Eighteenth and Nineteenth Century Views It was not until what could be considered the modern historical period, beginning at the end of the eighteenth century—the time of the American and French Revolutions—that major changes took place in the treatment of the mentally ill. Additionally, there was a change in attitudes toward such 508
Madness: Historical Concepts persons, in approaches to their treatment and in beliefs regarding the causes of their strange behaviors. The man who, because of his courage, became a symbol of this new attitude was the French physician Philippe Pinel (1745-1826), appointed physician-in-chief of the Bictre Hospital in Paris in 1792. The Bictre was one of a number of “asylums” which had developed in Europe and in Latin America over several hundred years to house the insane. Often started with the best of intentions, most of the asylums became hellish places of incarceration. In the Bictre, patients were often chained to the walls of their cells and lacked even the most elementary amenities. Pinel insisted to a skeptical committee of the Revolution that he be permitted to remove the chains from some of the patients. In one of the great, heroic acts in human history, Pinel introduced “moral treatment” of the insane, risking grave personal consequences if his humane experiment had failed. This change was occurring in other places at about the same time. After the death of a Quaker in Britain’s York Asylum, the local Quaker community founded the York Retreat, where neither chains nor corporal punishment were allowed. In the United States, Benjamin Rush, a founder of the Ameri-
Benjamin Rush invented this “tranquillizing chair” in 1811. (National Library of Medicine) 509
Psychology Basics
A “centrifugal bed” was used to spin mental patients in the early nineteenth century. (National Library of Medicine)
can Psychiatric Association, applied his version of moral treatment, which was not entirely humane as it involved physical restraints and fear as therapeutic agents. Toward the middle of the nineteenth century, American crusader Dorothea Lynde Dix fought for the establishment of state hospitals for the insane. As a result of her activism, thirty-two states established at least one mental hospital. Dix had been influenced by the moral model as well as by the medical sciences, which were rapidly developing in the nineteenth century. Unfortunately, the state mental hospital often lost its character as a “retreat” for the insane. The nineteenth century was the first time in Western history (with some exceptions) that a number of scientists turned their attention to abnormal behavior. For example, the German psychiatrist Emil Kraepelin spent much of his life trying to develop a scientific classification system for psychopathology. Sigmund Freud attempted to develop a science of mental illness. Although many of Freud’s ideas have not withstood empirical investigation, perhaps his greatest contribution was his insistence that scientific principles apply to mental illness. He believed that abnormal behavior is not caused by supernatural forces and does not arise in a chaotic, random way, but that it can be understood as serving some psychological purpose. Modern Medicines Many of the medical/biological treatments for mental illness in the first half of the twentieth century were frantic attempts to deal with very serious problems—attempts made by clinicians who had few effective therapies avail510
Madness: Historical Concepts able. The attempt to produce convulsions (which often did seem to make people “better,” at least temporarily) was popular for a decade or two. One example was insulin shock therapy, in which convulsions were induced in mentally ill people by insulin injection. Electroconvulsive (electric shock) therapy was also used. Originally it was primarily used with patients who had schizophrenia, a severe form of psychosis. Although it was not very effective with schizophrenia, it was found to be useful with patients who had resistant forms of depressive psychosis. Another treatment sometimes used, beginning in the 1930’s, was prefrontal lobotomy. Many professionals today would point out that the use of lobotomy indicates the almost desperate search for an effective treatment for the most aggressive or the most difficult psychotic patients. As originally used, lobotomy was an imprecise slashing of the frontal lobe of the brain. The real medical breakthrough in the treatment of psychotic patients was associated with the use of certain drugs from a chemical family known as phenothiazines. Originally used in France as tranquilizers for surgery patients, their potent calming effect attracted the interest of psychiatrists and other mental health workers. One drug of this group, chlorpromazine, was found to reduce or eliminate psychotic symptoms in many patients. This and similar medications came to be referred to as antipsychotic drugs. Although their mechanism of action is still not completely understood, they improved the condition of many severely ill patients while causing severe side effects for others. The drugs allowed patients to function outside the hospital and often to lead normal lives. They enabled many patients to benefit from psychotherapy. The approval of the use of chlorpromazine as an antipsychotic drug in the United States in 1955 revolutionized the treatment of many mental patients. Individuals who, prior to 1955, might have spent much of their lives in a hospital could instead control their illness effectively enough to live in the community, work at a job, attend school, and be a functioning member of a family. In 1955, the United States had approximately 559,000 patients in state mental hospitals; seventeen years later, in 1972, the population of the state mental hospitals had decreased almost by half, to approximately 276,000. Although all of this cannot be attributed to the advent of the psychoactive drugs, they undoubtedly played a major role. The phenothiazines had finally given medicine a real tool in the battle with psychosis. One might believe that the antipsychotic drugs, combined with a modern version of the moral treatment, would enable society to eliminate mental illness as a major human problem. Unfortunately, good intentions go awry. The “major tranquilizers” can easily become chemical straitjackets; those who prescribe the drugs are sometimes minimally involved with future treatment. In the early 1980’s, policy makers saw what appeared to be the economic benefits of reducing the role of the mental hospital, by discharging patients and closing some facilities. However, they did not foresee that large numbers of homeless psychotics would live in the streets as a consequence of “deinstitutionali511
Psychology Basics zation.” The plight of the homeless continues in the early part of the twentyfirst century to be a serious problem throughout the United States. Disorder and Dysfunction The twentieth century saw the exploration of many avenues in the treatment of mental disorders. Treatments ranging from classical psychoanalysis to cognitive and humanistic therapies to the use of therapeutic drugs were applied. Psychologists examined the effects of mental disorders on many aspects of life, including cognition and personality. These disorders affect the most essential of human functions, including cognition, which has to do with the way in which the mind thinks and makes decisions. Cognition does not work in “ordinary” ways in the person with a serious mental illness, making his or her behavior very difficult for family, friends, and others to understand. Another aspect of cognition is perception. Perception has to do with the way that the mind, or brain, interprets and understands the information which comes to a person through the senses. There is a general consensus among most human beings about what they see and hear, and perhaps to a lesser extent about what they touch, taste, and smell. The victim of mental illness, however, often perceives the world in a much different way. This person may see objects or events that no one else sees, phenomena called hallucinations. The hallucinations may be visual—for example, the person may see a frightening wild animal that no one else sees—or aural—for example, the person may hear a voice that no one else hears, accusing him or her of terrible crimes or behaviors. A different kind of cognitive disorder is delusions. Delusions are untrue and often strange ideas, usually growing out of psychological needs or problems of a person who may have only tenuous contact with reality. A person, for example, may believe that other employees are plotting to harm her in some way when, in fact, they are merely telling innocuous stories around the water cooler. Sometimes people with mental illness will be disoriented, which means that they do not know where they are in time (what year, what season, or what time of day) or in space (where they live, where they are at the present moment, or where they are going). In addition to experiencing cognitive dysfunction that creates havoc, mentally ill persons may have emotional problems that go beyond the ordinary. For example, they may live on such an emotional “high” for weeks or months at a time that their behavior is exhausting both to themselves and to those around them. They may exhibit bizarre behavior; for example, they may talk about giving away vast amounts of money (which they do not have), or they may go without sleep for days until they drop from exhaustion. This emotional “excitement” seems to dominate their lives and is called mania. The word “maniac” comes from this terrible emotional extreme. At the other end of the emotional spectrum is clinical depression. This does not refer to the “blues” of ordinary daily life, with all its ups and downs, but to an emotional emptiness in which the individual seems to have lost all 512
Madness: Historical Concepts emotional energy. The individual often seems completely apathetic. The person may feel life is not life worth living and may have anhedonia, which refers to an inability to experience pleasure of almost any kind. Treatment Approaches Anyone interacting with a person suffering from a severe mental disorder comes to think of him or her as being different from normal human beings. The behavior of those with mental illness is regarded, with some justification, as bizarre and unpredictable. They are often labeled with a term that sets them apart, such as “crazy” or “mad.” There are many words in the English language that have been, or are, used to describe these persons—many of them quite cruel and derogatory. Since the nineteenth century, professionals have used the term “psychotic” to denote severe mental illness or disorders. Interestingly, one translation of psychotic is “of a sickness of the soul” and reflects the earlier belief regarding the etiology or cause of mental illness. This belief is still held by some therapists and pastoral counselors in the twenty-first century. Until the end of the twentieth century, the term “neurosis” connoted more moderate dysfunction than the term “psychosis.” However, whether neurosis is always less disabling or disturbing than psychosis has been an open question. An attempt was made to deal with this dilemma in 1980, when the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders (3d ed., 1980, DSM-III) officially dropped the term “neurosis” from the diagnostic terms. The current approach to mental disorders, at its best, offers hope and healing to patients and their families. However, much about the etiology of mental disorders remains unknown to social scientists and physicians. In 1963, President John F. Kennedy signed the Community Mental Health and Retardation Act. Its goal was to set up centers throughout the United States offering services to mentally and emotionally disturbed citizens and their families, incorporating the best that had been learned and that would be learned from science and from medicine. Outpatient services in the community, emergency services, “partial” hospitalizations (adult day care), consultation, education, and research were among the programs supported by the act. Although imperfect, it nevertheless demonstrated how far science had come from the days when witches were burned at the stake and the possessed were stoned to death. When one deals with mental disorders, one is dealing with human behavior—both the behavior of the individual identified as having the problem and the behavior of the community. The response of the community is critical for the successful treatment of disorders. For example, D. L. Rosenhan, in a well-known 1973 study titled “On Being Sane in Insane Places,” showed how easy it is to be labeled “crazy” and how difficult it is to get rid of the label. He demonstrated how one’s behavior is interpreted and understood on the basis of the labels that have been applied. (The “pseudopatients” in the study had been admitted to a mental hospital and given a diagnosis—a la513
Psychology Basics bel—of schizophrenia. Consequently, even their writing of notes in a notebook was regarded as evidence of their illness.) To understand mental disorders is not merely to understand personal dysfunction or distress but also to understand social and cultural biases of the community, from the family to the federal government. The prognosis for eventual mental and emotional health depends not only on appropriate therapy but also on the reasonable and humane response of the relevant communities. Sources for Further Study American Psychiatric Association. Diagnostic and Statistical Manual of Disorders: DSM-IV-TR. Rev. 4th ed. Washington, D.C.: Author, 2000. This is the official manual for the classification of mental disorders used by clinicians and researchers in a variety of settings. The manual also is used for educational purposes as disorders are described with respect to diagnostic features, cultural and age considerations, prevalence, course, and familial patterns. The language is accessible to advanced students. Berrios, German E., and Roy Porter. A History of Clinical Psychiatry: The Origin and History of Psychiatric Disorders. Washington Square: New York University Press, 1995. This book addresses the clinical and social history of mental disorders and is a good follow-up for readers interested in studying a particular type of disorder. A major theme throughout involves tracking the interaction between clinical signals of disorder, successive historical periods, and psychosocial contexts. For advanced students. Frankl, Viktor Emil. Man’s Search for Meaning: An Introduction to Logotherapy. New York: Insight Books, 1997. A powerful book which serves as an example of many publications that emphasize what has been called “moral treatment.” Frankl’s book is partly autobiographical, based on his experiences as a Jew in a German concentration camp. The book then goes on to develop some ideas related to abnormal behavior. Freud, Sigmund. The Freud Reader. Edited by Peter Gay. 1989. Reprint. New York: W. W. Norton, 1995. This book offers a selection of essays and excerpts meant to give the reader an understanding of the breadth of Freud’s seminal work. Topics include Freud’s psychosexual theory of human development, his theory of mind, psychoanalysis, and his ideas on the arts, religion, and culture. The editor offers introductions for each selection. Good overview of a historically important thinker. Grob, Gerald N. The Mad Among Us: A History of the Care of America’s Mentally Ill. New York: Free Press, 1994. This history of the care and treatment of the mentally ill in America begins with the colonial period and ends with the modern period. It is a thoughtful analysis of changing societal perceptions of moral obligation and of the historically varying policies regarding presumed effective care. Documents the contradictory policies of confinement versus community living for the disordered. Also looks at the question of whether the public need for protection overrides the needs of the individual. Written for the general reader. 514
Madness: Historical Concepts Porter, Roy. The Greatest Benefit to Mankind: A Medical History of Humanity. New York: W. W. Norton, 1997. An engaging book that includes a chapter on psychiatry, a short history of mental disorders covering the eighteenth through the twentieth centuries in Britain, Europe, and North America. Good discussions of the asylum movement, degeneration theory and Nazi psychiatry, psychoanalysis, and modern developments. Porter was a social historian of medicine whose scholarship is accessible to the general reader. There is an extensive list of sources for further reading. Highly recommended. __________. Madness: A Brief History. New York: Oxford University Press, 2002. A history of Western ideas about mental illness by one of the most respected historians of medicine. Changing ideas about “madness” help trace the evolution of psychology. Robinson, Daniel N. An Intellectual History of Psychology. 3d ed. Madison: University of Wisconsin Press, 1995. Although mental illness as such occupies a small part of this book, it is a genuinely important book in helping to understand the philosophical and intellectual currents which have played such a major role in the psychological and scientific understanding of mental illness. A sometimes demanding book to read, it is well worth the intellectual energy for one who wants to understand various intellectual disciplines. Rosenhan, David L. “On Being Sane in Insane Places.” Science 179 (January 19, 1973): 250-258. More of a “naturalistic illustration” than a scientific experiment, this article raises provocative questions and puts forth some controversial conclusions. Enjoyable reading that does not require much psychological background on the part of the reader. James Taylor Henderson; updated by Tanja Bekhuis See also: Psychology: Fields of Specialization; Psychosurgery; Schizophrenia: Background, Types, and Symptoms; Schizophrenia: Theoretical Explanations; Thought: Study and Measurement.
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Memory Type of psychology: Memory Field of study: Cognitive processes Theories of memory attempt to identify the structures and explain the processes underlying the human memory system. These theories give coherence to an understanding of memory and suggest new research needed to extend knowledge about learning and memory. Key concepts • episodic memory • iconic memory • long-term memory • memory trace • schemas • semantic memory • sensory memory • short-term memory Human memory is among the most complex phenomena in the universe. A Russian newspaper reporter once flawlessly recalled a list of fifty unrelated words he had studied for only three minutes fifteen years earlier. On the other hand, as everyone knows from personal experience, the memory system is also capable of losing information presented only seconds before. Errors in memory create so many problems that it seems imperative to know all that is possible about human memory. For that, a theory is needed. A scientific theory is a systematic way to understand complex phenomena that occur in nature. A theory is judged to be useful insofar as its claims can be supported by the findings of empirical tests, especially experimentation, and insofar as it leads to further research studies. A theory is not right or wrong; it is simply a tool to describe what is known and to suggest what needs further study. Three major forms of memory are generally described: short-term, longterm, and sensory memory. Short-term memory represents the temporary retention of newly acquired information. Generally, short-term memory lasts no longer than about twenty seconds. This is useful for short-term tasks, such as the recall of speech during discussions or discourse with another person. Short-term memory is rapidly lost, sometimes referred to as a process of decaying. Alan Baddeley, a major researcher in the field of memory, has suggested a concept of “working memory” may be substituted for shortterm. Repeat stimulation, or rehearsal, may transfer short-term memory into that of long-term. Long-term memory involves storage of information over longer periods of time, potentially as long as the life of the individual. Some researchers into the subject consider long-term memory to include two major areas: epi516
Memory sodic and semantic. Episodic memory addresses events that have a temporal relationship with a person’s life. This may include recall of when events or information appeared. Semantic memory represents the concepts or skills, represented in part by learning, that people acquire through the course of their lives. Sensory memories are those which can be retrieved as a result of sensory stimuli. For example, a particular odor may result in recall of events from the past. The unusual smell of a cleaning solution may cause recall of a college dormitory from years past. This form of recall has been called olfactory memory. The image of a flower may result in the memory of a teenage boyfriend. Such a visual stimulus is sometimes referred to as iconic memory. Theories of memory have been important to psychology for a long time, often occupying the time and interest of researchers throughout their careers. Memory, which is always connected to learning, is defined as the mental process of preserving information acquired through the senses for later use. The cognitive approach to memory places emphasis on mental processes, which result in the ability to comprehend or recall what is learned. The basis is found in changes that occur in the regions of the brain, such as the hippocampus, associated with memory. In a sense, memory is the record of the experiences of a lifetime. Without it, a person could not reexperience the past; everything at every moment would be brand-new. A person could not recognize the face of a loved one or learn from any experience. A person would thus have a greatly reduced chance for survival and would have no sense of personal identity. Memory is, in short, critical to functioning as a human being. Associationism, Cognitive Theory, and Neuropsychology The goal of a theory of memory is to explain the structures (analogous to hardware) and the processes (analogous to software) that make the system work. Explaining how such a complex system works is a massive undertaking. Many attempts have taken the form of large-scale theories, which seek to deal with all major operations of the memory systems. The major theories of memory are associationism and theories from cognitive psychology and neuropsychology. The theories differ primarily in views of the retention and retrieval functions of memory. They also differ in terms of their conception of memory as active or passive. Associationism, is the theory that memory relies on forming links or bonds between two unrelated things. This theory stems from the work of Hermann Ebbinghaus, who started the use of laboratory methods in the study of memory in the late nineteenth century. According to this theory, the ability to remember depends on establishing associations between stimuli and responses (S-R). Establishing associations depends on the frequency, recency, and saliency of their pairing. If these bonds become very strong, the subject is said to have developed a habit. Associationism also assumes the 517
Psychology Basics existence of internal stimuli that produce behavioral responses. These responses then become stimuli for other unobservable internal responses, thus forming chains. In this way, complex physical behaviors and mental associations can be achieved. Associationists tend to view the memory system as essentially passive, responding to environmental stimuli. Cognitive theory emphasizes studying complex memory in the real world; it is concerned with the ecological validity of memory studies. Most of this work stems from the research of Sir Frederic C. Bartlett, who was not satisfied with laboratory emphasis on “artificial memory,” but rather chose to study what he called meaningful memory. Meaningful memory, he said in his book Remembering: A Study in Experimental and Social Psychology (1932), is a person’s effort to make sense of the world and to function effectively in it. Cognitive psychology recognizes subjective experiences as inescapably linked to human behavior. It centers on internal representation of past experiences and assumes that intentions, goals, and plans make a difference in what is remembered and how well it is remembered. The focus in memory research is on semantic memory—the knowledge of words, categories, concepts, and meanings located in long-term memory. People have highly complex networks of concepts, which helps account for their behavior in the real world. These networks are called schemas. New experiences and new information are viewed in light of old schemas so that they are easier to remember. Cognitive theory emphasizes how the individual processes information, and it uses the computer as its working model of memory. Neuropsychology has contributed the third major theory of memory. Although psychology has always recognized the connection between its concerns and those of biology and medicine, the technology now available has made neuropsychological analysis of brain structure and functioning possible. Karl Lashley was an early researcher who sought to find the location of memory in the brain. He ran rats through mazes until they had learned the correct pathway. His subsequent surgical operations on experimental rats’ brains failed to show localization of memory. The search for the memory trace, the physiological change that presumably occurs as a result of learning, continued with Donald Hebb, who had assisted Lashley. The brain consists of billions of nerve cells, which are connected to thousands of other neurons. Hebb measured the electrical activity of the brain during learning, and he discovered that nerve cells fire repeatedly. He was able to show that an incoming stimulus causes patterns of neurons to become active. These cell assemblies discovered by Hebb constitute a structure for the reverberating circuits, a set of neurons firing repeatedly when information enters short-term memory. This firing seems to echo the information until it is consolidated in long-term memory. Other researchers have found chemical and physical changes associated with the synapses and in the neurons themselves during learning and when the learning is consolidated into long-term memory. The discovery of the memory trace, a dream of researchers for a long time, may become a reality. Neuropsy518
Memory chology sees memory as a neural function controlled by electrical and chemical activity. Clinical Approaches to Memory Disorders Human memory is so important to daily life that any theory that could explain its structures and processes and thus potentially improve its functioning would be invaluable. Memory is inextricably tied to learning, planning, reasoning, and problem solving; it lies at the core of human intelligence. None of the three theories is by itself sufficient to explain all the phenomena associated with memory. Over the years, a number of ideas have been developed in the attempt to improve memory functioning through passive means. Efforts to induce learning during sleep and to assess memory of patients for events taking place while under anesthesia have had mixed results, but on the whole have not succeeded. Memory enhancement through hypnosis has been attempted but has not been shown to be very effective or reliable. Pills to improve memory and thereby intelligence have been marketed
Although memory does decline with age, most older people do not experience significant impairment. (PhotoDisc) 519
Psychology Basics but so far have not been shown to be the answer to memory problems. Research has begun on the possibility that certain drugs (such as tacrine) may interactively inhibit memory loss in people afflicted with certain kinds of dementia (for example, Alzheimer’s disease). Work in neuropsychology has shown the influence of emotion-triggered hormonal changes in promoting the memory of exciting or shocking events (such as one’s first kiss or an earthquake). This has led to an understanding of state-dependent memory: Things learned in a particular physical or emotional state are more easily remembered when the person is in that state again. This helps explain the difficulties in remembering events that took place when a person was intoxicated or depressed. In fact, heavy use of alcohol may result in significant memory loss. A person may not even remember having injured someone in a car crash. Although not fully researched, it may be that certain kinds of memory are mood-congruent. Perhaps memories of events that occurred when a person was in a certain mood may become available to the person only when that mood is again induced. More active means for memory improvement have met with greater success. Associationist theory has demonstrated the value of the use of mnemonics, devices or procedures intentionally designed to facilitate encoding and subsequent recall. The use of rhymes, acronyms, pegwords, and the like enables people to recall factual information such as the number of days in each month (“Thirty days have September . . . ”), the names of the Great Lakes (the acronym HOMES), and the colors of the visible spectrum (ROY G. BIV). Visual cues, such as tying a string around one’s finger or knotting one’s handkerchief, are traditional and effective ways to improve prospective memory. Cognitive psychology has demonstrated the importance of emotional factors—how and why something is learned—to the effectiveness of memory. It has provided the research base to demonstrate the effectiveness of study strategies such as the SQ3R (survey, question, read, recite, review) technique. Cognitive theory has also shown that metamemory, a person’s knowledge about how his or her memory works, may be important for the improvement of memory. In clinical settings, much research has been concerned with memory impairment as a means to test the applicability of theories of memory. Head injuries are a common cause of amnesia in which events immediately prior to an accident cannot be recalled. Damage to the hippocampus, a part of the brain that is vital to memory, breaks down the transfer of information from short-term to long-term memory. One dramatic case concerns “H. M.,” a patient who had brain surgery to control epileptic seizures. After surgery, H. M.’s short-term memory was intact, but if he was momentarily distracted from a task, he could not remember anything about what he had just been doing. The information was never transferred to long-term memory. Such patients still remember information that was stored in long-term memory before their operation, but to them everyday experiences are always strangely new. They can read the same paragraph over and over, but each time the ma520
Memory terial will be brand-new. In H. M.’s case, it was discovered that his intelligence as measured by standardized tests actually improved, yet he was continually disoriented and unable to learn even the simplest new associations. Intelligence tests are made to measure general information, vocabulary, and grammatical associations; these things were stored in H. M.’s long-term memory and were apparently not affected by brain surgery. In cases less dramatic than H. M.’s, damage to particular areas of the brain can still have devastating effects on the memory. Damage can be caused by accidents, violent sports activity, strokes, tumors, and alcoholism. Alzheimer’s disease is another area to which research findings on memory may be applied. In this fatal disease a patient’s forgetfulness increases from normal forgetting to the point that the patient cannot remember how to communicate, cannot recognize loved ones, and cannot care for his or her own safety needs. Associationism, cognitive psychology, and neuropsychology can each explain some of the structures and processes involved in these and other realworld problems, but it seems as though none of the theories is sufficient by itself. Memory is such a complex phenomenon that it takes all the largescale theories and a number of smaller-scale ones to comprehend it. The truth probably is that the theories are not mutually exclusive, but rather are complementary to one another. Physiological Basis of Memory Theories of learning and memory have been of great concern to philosophers and psychologists for a long time. They have formed a major part of the history of psychology. Each of the theories has been ascendant for a time, but the nature of theory building requires new conceptions to compensate for perceived weaknesses in currently accepted theories and models. Associationism was the principal theory of memory of stimulus-response psychology, which was dominant in the United States until the mid-1950’s. Cognitive psychology evolved from Gestalt psychology, from Jean Piaget’s work on developmental psychology, and from information-processing theory associated with the computer, and was extremely important during the 1970’s and 1980’s. Neuropsychology developed concurrently with advanced technology that permits microanalysis of brain functioning. It has resulted in an explosion of knowledge about how the brain and its systems operate. Formation of memory seems to involve two individual events. Short-term memory develops first. Repeated rehearsal transfers this form of memory into long-term storage. At one time, it was believed both these forms of memory involved similar events in the brain. However, experimental models have shown such a theory to be incorrect. Two experimental approaches have addressed this issue: the separation of memory formation involving “accidental” or intentional interference with brain function, and development of an animal model for the study of memory. Electroshock treatment of depression in humans has been shown to interfere with short-term memory formation. However, these persons are still 521
Psychology Basics perfectly able to recall the memory of earlier events stored within long-term memory. Accidental damage to temporal lobes of the brain does not appear to interfere with short-term memory, but may inhibit the ability to recall events from the past. The experimental use of an animal model in the study of memory formation was developed by Eric Kandel at Columbia University. Kandel has utilized the sea slug Aplysia in his study of memory. The advantage of such a model is its simplicity—instead of approximately one trillion neurons which make up the nervous system of humans, Aplysia contains a “mere” twenty thousand. Using a variety of stimuli on the animal, and observing its response, Kandel has shown that the physiological basis for short-term memory differs from that of long-term. Specifically, short-term memory involves stimulus to only a small number of individual neurons. Long-term memory involves de novo (new) protein synthesis in the affected cells, and formation of extensive neural circuits. Kandel was awarded the Nobel Prize in Physiology or Medicine in 2000 for this work. Memory Retrieval The basis for memory recall remains an active area of study. Memory retrieval can be of two types: recognition and recall. In recognition, the individual is presented with information that had been previously learned. The subject remembers he or she has already observed or learned that information. In effect, it is analogous to seeing a movie or book for the second time. In recall, information is reproduced from memory, as in response to a question. The physiological basis for retrieval probably involves the activation of regions of the brain which were involved in the initial encoding. Sources for Further Study Baddeley, Alan D. Human Memory: Theory and Practice. Rev. ed. Boston: Allyn and Bacon, 1998. Updated edition of a classic text. The original emphasis on history of memory research continues, along with experimental views of consciousness and implicit memory. Collins, Alan, ed. Theories of Memory. Mahwah, N.J.: Lawrence Erlbaum, 1993. Emphasis of the book is on research into theories of memory, particularly that of a cognitive approach. Various explanations are presented. Hunt, R. Reed, and Henry Ellis. Fundamentals of Cognitive Psychology. 6th ed. Boston: McGraw-Hill, 1999. The authors approach the role of cognitive psychology in memory using an experimental problem-solving approach. Updated theories explaining both long-term and short-term memory, as well as retrieval, are included. Kandel, Eric. “The Molecular Biology of Memory Storage: A Dialogue Between Genes and Synapses.” Science 294 (2001): 1030-1038. A summary of the Nobel Prize-winning research into the physiological basis of memory. The author provides an experimental approach in differentiating short522
Memory term and long-term memory at the molecular level. The article requires some knowledge of neural function. Neisser, Ulric. Cognition and Reality: Principles and Implications of Cognitive Psychology. San Francisco: W. H. Freeman, 1981. This book marked the acceptance of cognitive psychology as a major component within the approach to the study and understanding of memory. The major goals of the approach are described. Many of the author’s suggestions as to an experimental approach using real-world models have been applied in subsequent years. Norman, Donald A. The Psychology of Everyday Things. 1988. Reprint. New York: Basic Books, 2002. An enjoyable approach to the subject. The author emphasizes the cognitive approach in dealing with problems. Topics include recognition of both good and bad design as well as ways to improve design based upon psychology of the consumer. Nyberg, Lars, et al. “Reactivation of Encoding-Related Brain Activity During Memory Retrieval.” Proceedings of the National Academy of Sciences of the United States of America 97 (September 26, 2000): 11, 120-121, 124. Description of positron emission tomography (PET) studies which monitor brain activity during memory recall. The authors demonstrate, through linkage of visual and auditory recall, that recall involves regions of the brain initially involved in memory formation. R. G. Gaddis; updated by Richard Adler See also: Brain Structure; Memory: Animal Research.
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Memory Animal Research Type of psychology: Biological bases of behavior; memory Fields of study: Biological influences on learning; nervous system; Pavlovian conditioning Research with nonhuman animals has significantly contributed to an understanding of the basic processes of memory, including its anatomy and physiology. Important brain regions, neurotransmitters, and genes have been identified, and this information is now being used to understand further and treat human memory disorders. Key concepts • anterograde amnesia • engram • experimental brain damage • genetic engineering • hippocampus • prefrontal cortex • retrograde amnesia • stroke Nonhuman animals have been used as subjects in memory research since the earliest days of psychology, and much of what is known about the fundamental processes of memory is largely based on work with animals. Rats, mice, pigeons, rabbits, monkeys, sea slugs, flatworms, and fruit flies are among the most commonly used species. The widespread use of animals in memory research can be attributed to the ability systematically to manipulate and control their environments under strict laboratory conditions and to use procedures and invasive techniques, such as surgery and drugs, that cannot ethically be used with humans. A typical research protocol involves training animals on any of a variety of learning paradigms and concurrently measuring or manipulating some aspect of the nervous system to examine its relationship to memory. Although learning and memory are closely related, a distinction should be drawn between learning and memory. Learning is defined as a relatively permanent change in behavior as a result of experience. Memory is the underlying process by which information is encoded, stored, and retrieved by the nervous system. Modern learning and memory paradigms are based on the principles of classical and operant conditioning first established by the early behaviorists: Ivan Pavlov, Edward L. Thorndike, John B. Watson, and B. F. Skinner. These learning paradigms can be used to examine different types of memory and to explore the underlying brain mechanisms that may mediate them. For classical conditioning, widely used paradigms include 524
Memory: Animal Research eyeblink conditioning, taste aversion learning, and fear conditioning. For operant conditioning, memory for objects, spatial memory, context discrimination, and maze learning are among the most frequently used procedures. Two other very simple forms of learning, habituation (the gradual decrease in response to a stimulus as a result of repeated exposure to it) and sensitization (the gradual increase in response to a stimulus after repeated exposure to it) are both simple forms of nonassociative learning also extensively used in animal memory research. Researchers have at their disposal a number of techniques that allow them to manipulate the nervous system and assess its functions. Historically, experimental brain damage has been one of the most widely used procedures. This technique involves surgically destroying (known as lesioning) various parts of the brain and assessing the effects of the lesion on memory processes. Pharmacological manipulations are also frequently used and involve administering a drug known to affect a specific neurotransmitter or hormonal system thought to play a role in memory. Functional studies involve measuring brain activity while an animal is actually engaged in learning. Recordings can be made from individual brain cells (neurons), groups of neurons, or entire anatomical regions. Beginning in the late 1990’s, genetic engineering began to be applied to the study of animal memory. These procedures involve the direct manipulation of genes that produce proteins suspected to be important for memory. By combining a wide variety of memory paradigms with an increasing number of ways to manipulate or measure the nervous system, animal research has been extremely useful in addressing several fundamental questions about memory. These issues include the important brain structures involved in memory, the manner in which information is stored in the nervous system, and the causes and potential treatments for human memory disorders. The Anatomy of Memory One of the first questions about memory to be addressed using animals was its relationship to the underlying structure of the nervous system. American psychologist Karl Lashley (1890-1958) was an early pioneer in this field. His main interest was in finding what was then referred to as the engram, the physical location in the brain where memories are stored. Lashley trained rats on a variety of tasks, such as the ability to learn mazes or perform simple discriminations, and then lesioned various parts of the cerebral cortex (the convoluted outer covering of the brain) in an attempt to erase the memory trace. Despite years of effort, he found that he could not completely abolish a memory, no matter what part of the cortex he lesioned. Lashley summed up his puzzlement and frustration at these findings in this now well-known quote: “I sometimes feel, in reviewing the evidence on the localization of the engram, that the necessary conclusion is that learning just is not possible.” 525
Psychology Basics While the specific location of the brain lesion did not appear important, Lashley found that the total amount of brain tissue removed was critical. When large lesions were produced, as compared to smaller ones, he found that memories could be abolished, regardless of the location in the cortex where they were made. This led Lashley to propose the concepts of mass action and equipotentiality, which state that the cortex works as a whole and that all parts contribute equally to complex behaviors. Further research has generally supported Lashley’s original conclusions about the localization of the engram. However, better memory tests and more sophisticated techniques for inducing brain damage have revealed that certain brain regions are more involved in memory than others and that different brain regions are actually responsible for different types of memory. For example, classical conditioning, which is the modification of a reflex through learning, appears primarily to involve the brain stem or cerebellum, which are two evolutionarily old brain structures. Specific circuitry within these structures that underlies a number of forms of classical conditioning has been identified. In the rabbit, a puff of air blown into the eye produces a reflexive blinking response. When researchers repeatedly pair the air puff with a tone, the tone itself will eventually elicit the response. The memory for this response involves a very specific circuit of neurons, primarily in the cerebellum. Once the response is well learned, it can be abolished by lesions in this circuit. Importantly, these lesions do not affect other forms of memory. Similarly, taste aversion learning, a process by which animals learn not to consume a food or liquid that has previously made them ill, has been shown to be mediated by a very specific circuit in the brain stem, specifically the pons and medulla. Animals with lesions to the nucleus of the solitary tract, a portion of this circuit in the medulla where taste, olfactory, and illness-related information converge, will not readily learn taste aversions. More complex forms of learning and memory have been shown to involve more recently evolved brain structures. Many of these are located in either the cortex or the limbic system, an area of the brain located between the newer cortex and the older brain stem. One component of the limbic system believed to be heavily involved in memory is the hippocampus. One of its primary functions appears to be spatial memory. Rats and monkeys with damage limited to the hippocampus are impaired in maze learning and locating objects in space but have normal memory for nonspatial tasks. Animals that require spatial navigation for their survival, such as homing pigeons and food-storing rodents (which must remember the location of the food that they have stored) have disproportionately large hippocampi. Moreover, damage to the hippocampus in these species leads to a disruption in their ability to navigate and find stored food. One area of the cortex that has been shown to be involved in memory is the prefrontal cortex. This area has been implicated in short-term memory, which is the ability to hold temporarily a mental representation of an object 526
Memory: Animal Research or event. Monkeys and rats that received lesions to the prefrontal cortex were impaired in learning tasks that required them to remember briefly the location of an object or to learn tasks that require them to switch back and forth between strategies for solving the task. Studies involving the measurement of brain function have also demonstrated that this area of the brain is active during periods when animals are thought to be holding information in short-term memory. While experimental brain damage has been one of the predominant techniques used to study structure/function relationships in the nervous system, difficulty in interpretation, an increased concern for animal welfare, and the advent of more sophisticated physiological and molecular techniques have led to an overall decline in their use. The Molecules of Memory While lesion studies have been useful in determining the brain structures involved in memory, pharmacological techniques have been used to address its underlying chemistry. Pharmacological manipulations have a long history in memory research with animals, dating back to the early 1900’s and the discovery of neurotransmitters. Neurotransmitters are chemical messengers secreted by neurons and are essential to communication within the nervous system. Each neurotransmitter, of which there are more than one hundred, has its own specific receptor to which it can attach and alter cellular functioning. By administering drugs that either increase or decrease the activity of specific neurotransmitters, researchers have been able to investigate their role in memory formation. One neurotransmitter that has been strongly implicated in memory is glutamate. This transmitter is found throughout the brain but is most highly concentrated in the cerebral cortex and the hippocampus. Drugs that increase the activity of glutamate facilitate learning and improve memory, while drugs that reduce glutamate activity have the opposite effect. The neurotransmitter dopamine has also been implicated in memory formation. In small doses, drugs such as cocaine and amphetamine, which increase dopamine activity, have been found to improve memory in both humans and lower animals. Moderate doses of caffeine can also facilitate memory storage, albeit by a less understood mechanism. Other neurotransmitters believed to be involved in memory include acetylcholine, serotonin, norepinephrine, and the endorphins. Research with simpler organisms has been directed at understanding the chemical events at the molecular level that may be involved in memory. One animal in particular, the marine invertebrate Aplysia californica, has played a pivotal role in this research. Aplysia have very simple nervous systems with large, easily identifiable neurons and are capable of many forms of learning, including habituation, sensitization, and classical conditioning. Canadian psychologist Donald Hebb (1904-1985), a former student of Lashley, proposed that memories are stored in the nervous system as a result of the 527
Psychology Basics strengthening of connections between neurons as a result of their repeated activation during learning. With the Aplysia, it is possible indirectly to observe and manipulate the connections between neurons while learning is taking place. Eric Kandel of Columbia University has used the Aplysia as a model system to study the molecular biology of memory for more than thirty years. He demonstrated that when a short-term memory is formed in the Aplysia, the connections between the neurons involved in the learning process are strengthened by gradually coming to release more neurotransmitters, particularly serotonin. When long-term memories are formed, new connections between nerve cells actually grow. With repeated disuse, these processes appear to reverse themselves. Kandel’s work has suggested that memory (what Lashley referred to as the engram) is represented in the nervous system in the form of a chemical or structural change, depending on the nature and duration of the memory itself. For these discoveries, Kandel was awarded the Nobel Prize in 2000. Modern genetic engineering techniques have made it possible to address the molecular biology of memory in mammals (predominantly mice) as well as invertebrates. Two related techniques, genetic knockouts and transgenics, have been applied to the problem. Genetic knockouts involve removing, or “knocking out,” a gene that produces a specific protein thought to be involved in memory. Frequently targeted genes include those for neurotransmitters or their receptors. Transgenics involves the insertion of a new gene into the genome of an organism with the goal of either overproducing a specific protein or inserting a completely foreign protein into the animal. Neurotransmitters and their receptors are again the most frequently targeted sites. A remarkable number of knockout mice have been produced with a variety of short- and long-term memory deficits. In many ways, this technique is analogous to those used in earlier brain lesion studies but is applied at the molecular level. Dopamine, serotonin, glutamate, and acetylcholine systems have all been implicated in memory formation as a result of genetic knockout studies. Significantly, researchers have also been able to improve memory in mice through genetic engineering. Transgenic mice that overproduce glutamate receptors actually learn mazes faster and have better retention than normal mice. It is hoped that in the future gene therapy for human memory disorders may be developed based on this technique. Animal Models of Human Memory Disorders Animal research has many practical applications to the study and treatment of human memory dysfunction. Many types of neurological disorder and brain damage can produce memory impairments in humans, and it has been possible to model some of these in animals. The first successful attempt at this was production of an animal model of brain-damaged-induced amnesia. It had been known since the 1950’s that damage to the temporal lobes, as a result of disease, traumatic injury, epilepsy, or infection, could 528
Memory: Animal Research produce a disorder known as anterograde amnesia, the inability to form new long-term memories. This is in contrast to the better-known retrograde amnesia, which is an inability to remember previously stored information. Beginning in the late 1970’s, work with monkeys, and later rats, began to identify the critical temporal lobe structures that, when damaged, produce anterograde amnesia. These structures include the hippocampus and, perhaps more important, the adjacent, overlying cortex, which is known as the rhinal cortex. As a result of this work, this brain region is now believed to be critical in the formation of new long-term memories. Memory disorders also frequently develop after an interruption of oxygen flow to the brain (known as hypoxia), which can be caused by events such as stroke, cardiac arrest, or carbon monoxide poisoning. There are a variety of animal models of stroke and resultant memory disorders. Significantly, oxygen deprivation produces brain damage that is most severe in the temporal lobe, particularly the hippocampus and the rhinal cortex. Using animal models, the mechanisms underlying hypoxic injury have been investigated, and potential therapeutic drugs designed to minimize the brain damage and lessen the memory impairments have been tested. One potentially damaging event that has been identified is a massive influx of calcium into neurons during a hypoxic episode. This has led to the development of calcium blockers and their widespread use in the clinical treatment of complications arising from stroke. Alzheimer’s disease is probably the best-known human memory disorder. It is characterized by gradual memory loss over a period of five to fifteen years. It typically begins as a mild forgetfulness and progresses to anterograde amnesia, retrograde amnesia, and eventually complete cognitive dysfunction and physical incapacitation. One pathological event that has been implicated in the development of Alzheimer’s disease is the overproduction of a protein known as the amyloid-beta protein. The normal biological function of this protein is not known, but at high levels it appears to be toxic to neurons. Amyloid-beta deposits are most pronounced and develop first in the temporal and frontal lobes, a fact that corresponds well with the memory functions ascribed to these areas and the types of deficits seen in people with Alzheimer’s disease. The development of an animal model has marked a major milestone in understanding the disorder and developing a potential treatment. Mice have been genetically engineered to overproduce the amyloid-beta protein. As a result, they develop patterns of brain damage and memory deficits similar to those in humans with Alzheimer’s disease. The development of the Alzheimer’s mouse has allowed for a comprehensive investigation of the genetics of the disorder as well as providing a model on which to test potential therapeutic treatments. Limited success for potential treatments has been obtained with an experimental vaccine in animals. This vaccine has been shown to reduce both brain damage and memory deficits. Application to the treatment of human Alzheimer’s disease is many years away. 529
Psychology Basics Sources for Further Study Anagnostopoulos, Anna V., Larry E. Mobraaten, John J. Sharp, and Muriel T. Davisson. “Transgenic and Knockout Databases: Behavioral Profiles of Mouse Mutants.” Physiology and Behavior 73 (2001): 675-689. A summary of an ongoing project to construct a database of genetically engineered mice designed to facilitate the dissemination of findings among researchers. The article contains an exhaustive reference section on mutant mice and their behavioral and physiological profiles. Cohen, Neil J., and Howard Eichenbaum. Memory, Amnesia, and the Hippocampal System. Cambridge, Mass.: MIT Press, 1993. A discussion of memory impairments resulting from damage the hippocampus and adjacent brain regions. Duva, Christopher A., Thomas J. Kornecook, and John P. J. Pinel. “Animal Models of Medial Temporal Lobe Amnesia: The Myth of the Hippocampus.” In Animal Models of Human Emotion and Cognition, edited by Mark Haug and Richard E Whalen. Washington, D.C.: American Psychological Association, 1999. A critical evaluation of the role of the hippocampus in memory for objects. The article includes a historical description of human amnesia and attempts to model it in monkeys and rats. Kiefer, Steven W. “Neural Mediation of Conditioned Food Aversions.” Annals of the New York Academy of Sciences 443 (1985): 100-109. A comprehensive review of the brain areas and neural systems involved in food aversion learning. Martinez, Joe L., and Raymond P. Kesner. Neurobiology of Learning and Memory. New York: Academic Press, 1998. An overview of information on the neurobiology of learning and memory from developmental, pharmacological, and psychobiological perspectives. A good introductory source. Morgan, Dave, et al. “A Peptide Vaccination Prevents Memory Loss in an Animal Model of Alzheimer’s Disease.” Nature 408 (2000): 982-985. This original research report describes a successful attempt to vaccinate Alzheimer’s mice against the disorder and prevent memory loss. Squire, Larry R., and Eric Kandel. Memory: From Mind to Molecules. New York: Scientific American Library, 1999. An approachable volume summarizing the major developments in understanding the anatomy and physiology of vertebrate and invertebrate learning. This text contains an extensive discussion of Kandel’s work with the molecular biology of memory in Aplysia and Squires’s work on the neuroanatomy of memory with monkeys. An excellent source for people with a limited background in biology and chemistry. Tang, Ya-Ping, et al. “Genetic Enhancement of Learning and Memory in Mice.” Nature 401 (1999): 63-69. An original research report that describes how memory was improved in a strain of mice by genetically engineering them to contain an overabundance of glutamate receptors in the hippocampus. 530
Memory: Animal Research Thompson, Richard F. “The Neurobiology of Learning and Memory.” Science 233, no. 13 (1986): 941-947. The author summarizes his work on the brain mechanisms involved in classical conditioning of the eyeblink reflex in rabbits. Tulving, Endel, and Fergus I. M. Craik. The Oxford Handbook of Memory. New York: Oxford University Press, 2000. A comprehensive volume dealing with a wide variety of topics related to both animal and human memory. An excellent general reference source. Christopher A. Duva See also: Animal Experimentation; Brain Structure; Habituation and Sensitization; Memory.
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Mental Retardation Type of psychology: Developmental psychology Fields of study: Childhood and adolescent disorders; organic disorders Mental retardation occurs about three times per thousand births and usually indicates an intelligence quotient (IQ) of less than 70. Variations in severity may allow some individuals to be virtually independent and capable of retaining simple jobs, whereas more severely affected persons may require lifetime institutional care. The causes of mental retardation are numerous, with many having a clear-cut underlying genetic basis, others implicating environmental factors, and still others with no known cause. Key concepts • congenital • Down syndrome • fetal alcohol syndrome • fragile X syndrome • idiopathic • intelligence quotient (IQ) • mental retardation • phenylketonuria • teratogens The term “mental retardation” conjures up different meanings for different people. A useful definition is provided by the American Association on Mental Retardation: “Mental retardation is a particular state of functioning that begins in childhood and is characterized by limitation in both intelligence and adaptive skills.” Mental retardation reflects the “fit” between the capabilities of individuals and the structure and expectations of their environment. It is characterized by significantly subaverage intellectual functioning, existing concurrently with related limitations in two or more of the following skill areas: communication, home living, community use, health and safety, leisure, self-care, social skills, self-direction, functional academics, and work. It is evident that deficits in intelligence and adaptive skills will be related to the complexity of the society in which the individual lives. Categorizations of the severity of mental retardation have been established based on IQ scores. The four levels of severity are mild retardation (IQ range 50-70), moderate retardation (IQ range 35-50), severe retardation (IQ range 20-35), and profound (IQ range less than 20). Rather than use a classification based on the severity level, a classification based on the type and intensity of support needed also is now in practice: intermittent, limited, extensive, or pervasive. Persons with mild retardation usually are capable of living with some degree of independence in the community and can usually work successfully at simple jobs. The great majority—85 percent—of cases of mental retardation fall into this category. The remaining 15 percent of cases are at the moderate, severe, and profound levels, with only approximately 1 percent to 2 percent at the profound level. These last 532
Mental Retardation three levels are sometimes grouped together as severe. Profoundly affected individuals require constant care and supervision. Several causes of mental retardation are becoming known, although in many cases it may not be possible to ascribe mental retardation to a specific cause. Just because a disorder is congenital (present at birth) does not necessarily imply that the disorder is genetic. Agents that are capable of affecting the developing fetus such as alcohol, mercury, infections, maternal phenylketonuria, and many other substances may lead to mental retardation. Many single-gene disorders and chromosomal abnormalities produce mental retardation as part of their syndromes, or disorders characterized by multiple effects. A large-scale study of severely mentally retarded patients institutionalized in Wisconsin, summarized by Sarah Bundey in 1997, indicated that 11.8 percent of the cases were caused by chromosomal abnormality, 6.5 percent by single-gene defects, 16.3 percent by multiple congenital anomaly syndromes, 14.7 percent by central nervous system malformations such as hydrocephalus, 32.1 percent by central nervous system dysfunction due to perinatal or unidentified prenatal causes including cerebral palsy, 8.5 percent by infectious disease, 3.9 percent by postnatal brain damage, and 1.2 percent by infantile psychosis; 4.3 percent were unclassified. It was noted that the number of patients with Down syndrome was low because they were admitted less frequently. Other surveys have shown that Down syndrome accounts for about one-third of mentally retarded patients. Etiology Although some cases of mental retardation are idiopathic (without a specific known cause), many known causes account for many of the cases of mental retardation. The difficulties in teasing out factors involved in mental and behavioral disorders are seen clearly in the study of children exposed prenatally to radiation following the Chernobyl nuclear plant disaster in 1986, as reported by S. Igumnov and V. Drozdovitch. The children who had been exposed to radiation displayed borderline intellectual functioning and emotional disorders to a greater degree than those in a control group. Other unfavorable social-psychological and sociocultural factors included a low educational level of the parents and problems associated with relocation from the contaminated areas. Similar complications are seen in the work of M. S. Durkin and colleagues on prenatal and postnatal risk factors among children in Bangladesh. The study screened more than ten thousand children from both rural and urban areas. Significant predictors of serious mental retardation included maternal goiter and postnatal brain infections. Consanguinity (having ancestors who were closely related) also was a significant factor in the rural areas. For less severe mental retardation, maternal illiteracy, maternal history of pregnancy loss, and small size for gestational age at birth were significant independent risk factors. It is convenient to separate the known causes of mental retardation into 533
Psychology Basics
DSM-IV-TR Criteria for Mental Retardation Significantly subaverage intellectual functioning: • for children and adults, IQ of approximately 70 or below • for infants, clinical judgment of significantly subaverage intellectual functioning Concurrent deficits or impairments in adaptive functioning (effectiveness in meeting standards expected for age and cultural group) in at least two of the following areas: • communication • self-care • home living • social/interpersonal skills • use of community resources • self-direction • functional academic skills • work • leisure • health • safety Onset before age eighteen DSM code based on degree of severity reflecting level of intellectual impairment: • Mild Mental Retardation (DSM code 317): IQ level of 50-55 to approx. 70 • Moderate Mental Retardation (DSM code 318.0): IQ level of 35-40 to 50-55 • Severe Mental Retardation (DSM code 318.1): IQ level of 20-25 to 35-40 • Profound Mental Retardation (DSM code 318.2): IQ level below 20 or 25 • Mental Retardation, Severity Unspecified (DSM code 319): IQ level Untestable
the two categories of genetic and acquired or environmental. However, many cases of mental retardation may be a result of the interaction of several genes and the environment, in which case the disorder is said to be multifactorial. Genetic Causes Approximately one thousand genetic disorders are associated with mental retardation, and the number increases regularly. If mental retardation is associated with other conditions or features, it is syndromic; if it is the only primary symptom, it is said to be nonspecific. In general, a genetic involvement 534
Mental Retardation is more likely to be found in severe forms of mental retardation than it is in milder forms. A few examples of chromosomal and single-gene disorders leading to mental retardation will be discussed as representative examples. chromosomal disorders. Down syndrome was first described by John Langdon Down in 1866, and although heredity was suspected in its etiology, it was not until 1959 that it was discovered that Down syndrome patients had one extra chromosome, for a total of forty-seven instead of the normal fortysix. Down syndrome occurs at a frequency of about one in one thousand births and is the single most prevalent cause of mental retardation. The great majority of Down syndrome patients have three chromosomes number 21 instead of two (a condition called trisomy 21). The physical features associated with Down syndrome are easily recognizable: short stature, a short neck with excessive loose skin, thick lips, epicanthal folds of the eye, malformed ears, poor muscle tone, and a flattened facial profile. Major physical problems include heart and kidney defects, deafness, and gastrointestinal blockages. Developmental milestones are delayed, and mental retardation is common. Intelligence varies considerably, with an average IQ of 50 and only a small percentage of patients approaching the normal range. It is essential that parents and educators assess the capabilities of each child and provide an educational environment that maximizes achievement. Although Down syndrome is genetic in the sense that it results from an imbalance in the genetic material—an extra chromosome—it is not hereditary in the sense that it does not run in families. The incidence of Down syndrome shows a striking increase with maternal age, increasing dramatically (to one in fifty births) in women giving birth beyond age thirty-five. A normal human has twenty-two pairs of autosomes and one pair of sex chromosomes—XX if a female, XY if a male. Cases involving an extra chromosome or a missing chromosome, particularly if the missing chromosome is one of the autosomes, usually lead to spontaneous abortion. The few that survive have severe malformations, including those of the brain, and are likely to have severe mental retardation. Malformations as a result of abnormalities involving the sex chromosomes are usually less severe. Females with an extra X chromosome (XXX) tend to have lower IQs than their siblings. Males with an extra X chromosome (XXY), a condition called Klinefelter syndrome, usually are not mentally retarded but may develop psychosocial problems. Males with an extra Y chromosome (XXY) may have speech, language, and reading problems. single-gene disorders. Fragile X syndrome is the second most common genetic cause of mental retardation. It is the most common inherited form of mental retardation. As is true of other disorders due to sex-linked recessive genes, more males are affected than are females. The frequency of fragile X males is about 1 in 1,000; for females, it is about 1 in 2,500. It is estimated that up to 8 percent of the males in institutions for mental retardation have a fragile X chromosome. Grant R. Sutherland and John C. Mulley in 1996 provided a useful review of the characteristics of fragile X syndrome. 535
Psychology Basics Features include a prominent forehead and jaws; prominent, long, and mildly dysmorphic ears; hyperextensible finger joints; enlarged testes (macroorchidism); and mitral value prolapse. About 80 percent of fragile X males have mental retardation. Most of them have moderate retardation, but some are only mildly retarded. They tend to have better verbal than spatial abilities. They show speech abnormalities such as echolalia (compulsively repeating the speech of others). In general, they tend to be hyperactive. Only about one-half of girls with the fragile X chromosome are affected, and limited studies of females estimate that perhaps up to 7 percent of female mental retardation is due to fragile X syndrome. The specific gene involved in fragile X syndrome has been identified: The syndrome is caused by an expanded triplet repeat, a form of mutation in which deoxyribonucleic acid (DNA) nucleotides are repeated a number of times. Phenylketonuria (PKU) is one of the inborn errors of metabolism that results in mental retardation if left untreated. PKU is a disorder of amino acid metabolism in which individuals cannot metabolize normally the amino acid phenylalanine because they are deficient in the liver enzyme phenylalanine hydroxylase. As a result, phenylalanine and other metabolites accumulate in the blood. At birth, children are normal, but clinical features gradually appear during the first twelve months. Some affected persons have a “mousy” odor about them because of the excretion of phenylacetic acid. They tend to have light skin and hair, seizures, mental retardation, and other neurologic symptoms. PKU occurs in about one in fourteen thousand births and once accounted for about 1 percent of severely retarded individuals in institutions. Some interesting variations in the incidence of PKU are seen among different populations. In Turkey, a very high incidence is seen, 1 in 2,600 births, whereas in Japan the rate is only 1 in 143,000 births. The disorder is inherited as autosomal recessive, and most of the affected children are born to parents who are not affected. PKU represents the prototype of genetic disorders for which newborn screening can be done: babies with high blood levels of phenylalanine can be identified, and treatment can begin immediately. Dietary management of phenylalanine levels does not correct the underlying gene defect, but it keeps the levels sufficiently low that adverse effects on the brain and nervous system do not occur, and mental retardation is avoided. It is thought necessary to maintain the special diet through the adolescent years. It also is necessary for women with PKU who become pregnant to resume a diet low in phenylalanine to prevent high intrauterine levels from affecting the developing fetus, even though the latter may not be genetically “programmed” to inherit PKU. Untreated patients with PKU have mean IQs around 50, whereas treated patients will have IQs close to normal. Environmental Causes Numerous cases of mental retardation are a result of damage to a fetus during pregnancy. Other problems may arise during birth or after birth. Physi536
Mental Retardation cal or chemical agents that cause an increase in congenital defects are known as teratogens. Because teratogens affect embryos and fetuses directly, the effects are not likely to produce heritable changes. A woman who uses or is exposed to various teratogens during pregnancy runs the risk of producing a child with a developmental malformation. Potential teratogens include alcohol, drugs, viral infections, radiation, diabetes mellitus, malnutrition, and environmental toxins. Since its initial clinical delineation in 1973, fetal alcohol syndrome has been noted as a major cause of mental retardation in countries where alcohol is consumed regularly. Estimates indicate that it may be responsible for as many as one to three cases of mental retardation out of every thousand births. Fortunately, fetal alcohol syndrome is easily preventable through abstinence from alcohol during pregnancy. Children affected with fetal alcohol syndrome have a characteristic facial appearance, with a small skull, upturned nose, thin upper lip, underdeveloped upper jaw, epicanthal folds, and a long philtrum (the vertical groove on the median line of the upper lip). There is growth retardation, which has its onset prenatally and continues during the postnatal period with some catch-up growth taking place thereafter. Head and brain size remain well below normal. Children show developmental delays, attention deficits, hyperactivity, and mental deficiency. Although the average IQ of children with fetal alcohol syndrome is low, 60 to 65, there is considerable variation, with some children having normal or nearnormal intelligence but experiencing learning disorders. Severe physical defects found in many of these children include cardiac and skeletal defects. Although it is evident that the risk of fetal alcohol syndrome is related to the amount and timing of the alcohol consumed by the pregnant woman, an exact close relationship has been difficult to establish. Even with moderate consumption (one to two ounces of absolute alcohol), the serious effects of fetal alcohol syndrome have been observed in approximately 10 percent of births. Many physicians now recommend that women practice total abstinence from alcohol during the entire pregnancy. Prevention and Treatment Although it is not possible to treat some underlying causes of mental retardation, many of the genetic and teratogenic cases can be prevented through genetic counseling, prenatal diagnosis, and education to alert people of the risk to developing fetuses of teratogens such as alcohol. It also is essential to have an accurate diagnosis of the cause and nature of the problems associated with individual cases of mental retardation in order for parents to be able to undertake the best possible intervention program for their children. Newborn screening programs can detect certain disorders that will lead to mental retardation, including PKU, congenital hypothyroidism, galactosemia, maple syrup urine disease, and other inherited metabolic disorders. Prenatal testing (such as amniocentesis and chorionic villi sampling) can be used to detect chromosomal disorders, including Down syndrome and sev537
Psychology Basics eral hundred single-gene disorders that may lead to severe physical or mental disorders in children. Neural tube defects can be detected prenatally by testing the amniotic fluid for elevated levels of alpha-fetoprotein. Most of the cases of prenatal testing are done for individuals in which there is a reason to suspect that the fetus is at an increased risk for a particular genetic disease or birth defect. These risks include increased maternal age, birth of a previous child with a disorder, and a family history of a disorder. Genetic counseling also is used to aid a couple in understanding genetic risks before a pregnancy has commenced, however, most mentally retarded children are born to parents with no history of mental retardation. Sources for Further Study Baroff, George S., and J. Gregory Olley. Mental Retardation: Nature, Cause, and Management. 3d ed. Philadelphia: Brunner-Routledge, 1999. This textbook presents information on the biological and psychological causes of mental retardation and its management. Beirne-Smith, Mary, James R. Patton, and Richard F. Ittenback. Mental Retardation. 6th ed. Upper Saddle River, N.J.: Prentice Hall, 2002. A comprehensive book that deals with historical, biological, psychological and sociological aspects of mental retardation. Burack, Jacob A., Robert M. Hodapp, and Edward Zigler, eds. Handbook of Mental Retardation and Development. New York: Cambridge University Press, 1997. Provides comprehensive information emphasizing the developmental aspects of mental retardation. Durkin, M. S., et al. “Prenatal and Postnatal Risk Factors for Mental Retardation Among Children in Bangladesh.” American Journal of Epidemiology 152, no. 11 (2000): 1024-1033. This study examines the roles of different factors in causing mental retardation in rural and urban children. Igumnov, S., and V. Drozdovitch. “The Intellectual Development, Mental, and Behavioural Disorders in Children from Belarus Exposed in Utero Following the Chernobyl Accident.” European Psychiatry 15, no. 4 (2000): 244-253. The authors report borderline intellectual functioning and emotional disorders in children exposed in utero to fallout from Chernobyl, along with factors thought to contribute (such as relocation). McKusick, Victor A. Mendelian Inheritance in Man. 12th ed. Baltimore: John Hopkins University Press, 1999. A comprehensive catalog of human genes and genetic disorders including mitochondrial genes. Rimoin, David L., J. Michael Connor, and Reed E. Pyeritz. Emery and Rimoin’s Principles and Practice of Medical Genetics. 3d ed. New York: Churchill Livingstone, 1997. This voluminous book includes several chapters dealing with mental and behavioral disorders. Donald J. Nash See also: Developmental Disabilities; Intelligence; Thought: Study and Measurement. 538
Mood Disorders Type of psychology: Psychopathology Field of study: Depression The diagnosis of a mood disorder requires the presence or absence of a mood episode such as a major depressive episode, manic episode, mixed episode, or hypomanic episode. Mood disorders include major depressive disorder, dysthymic disorder, bipolar I disorder, bipolar II disorder, and cyclothymic disorder. The mood disorders can be specified with seasonal pattern, rapid-cycling, or postpartum onset. Key concepts • bipolar I disorder • cyclothymic disorder • depressive episode • dysthymic disorder • hypomanic episode • major depressive disorder • manic episode • postpartum onset • rapid-cycling • seasonal pattern Descriptions of mood disorders can be found in ancient texts such as the Bible and the writings of Hippocrates (c. 460-c. 377 b.c.e.). In about 30 c.e., Aulus Cornelius Celsus, a medical writer, described melancholia as a depression caused by black bile. Mood disorders are characterized predominantly by a disturbance in mood. The American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000) describes mood episodes that characterize the mood disorders: major depressive episode, manic episode, mixed episode, and hypomanic episode. In a major depressive episode, a person experiences depressed mood for a period of at least two weeks. For the diagnosis of a depressive episode, the person must experience at least four of the following symptoms: changes in appetite or weight, sleep, and psychomotor activity; decreased energy; feelings of worthlessness or guilt; difficulty concentrating; recurrent thoughts of death or suicide. There is significant impairment in occupational or social functioning. In a manic episode, a person experiences an abnormally elevated or irritable mood for at least one week. In addition, the person must experience at least three of the following symptoms: inflated self-esteem, decreased need for sleep, pressured (loud, rapid) speech, racing thoughts, excessive planning of or participation in multiple activities, distractibility, psychomotor agitation (such as pacing), or excessive participation in activities that may have negative consequences (such as overspending). There is severe im539
Psychology Basics pairment in social or occupational functioning, or there are psychotic features. A hypomanic episode is characterized by a period of at least four days of abnormally elevated or irritable mood. The affected person must experience at least three of the following symptoms: inflated self-esteem, decreased need for sleep, pressured speech, flight of ideas, increased involvement in goal-directed activities, psychomotor agitation, or excessive participation in activities that may lead to negative consequences. The hypomanic episode is differentiated from the manic episode by less severe impairment in social or occupational functioning and a lack of psychotic features. A person experiencing a mixed episode displays symptoms of both manic and major depressive episodes nearly every day for a period of one week. Major depressive disorder is characterized by one or more major depressive episodes. Dysthymic disorder involves at least two years of depressed mood with symptoms that do not meet the criteria for a major depressive episode. Bipolar I disorder includes one or more manic or mixed episodes with major depressive episodes. Bipolar II disorder is characterized by one or more major depressive episodes with at least one hypomanic episode. Cyclothymic disorder is represented by at least two years of hypomanic episodes and depressive symptoms that do not meet the criteria for a major depressive episode. Major Depressive Disorder Major depressive disorder involves disturbances in mood, concentration, sleep, activity, appetite, and social behavior. It is much more than temporarily feeling sad. It is estimated that one out of every five women and one in fifteen men will suffer from major depression in his or her lifetime. An estimated eighteen million Americans are affected. In 1990, $30.4 billion was lost as a result of the illness. A major depressive episode may develop gradually or appear quite suddenly, without any relation to environmental factors. The symptoms of major depressive disorder will vary among individuals, but there are some common symptoms. People with major depressive disorder may have difficulty falling asleep, sleep restlessly or excessively, and wake up without feeling rested. They may experience a decrease or increase in a desire to eat. They may crave certain foods, such as carbohydrates. They may be unable to pay attention to things. Even minor decisions may seem impossible to make. A loss of energy is manifested in slower mental processing, an inability to perform normal daily routines, and slowed reaction time. Sufferers may experience anhedonia, an inability to experience pleasure. They lose interest in activities they used to enjoy. They ruminate about failures and feel guilty and helpless. People with major depressive disorder tend to seek negative feedback about themselves from others. They see no hope for improvement and may be thinking of death and suicide. In adolescents, depression may be manifested in anger, aggressiveness, delinquency, drug abuse, poor per540
Mood Disorders formance in school, or running away. Depression is a primary risk factor in the third leading cause of death among young people, suicide. There is probably no single cause of major depressive disorder, although it is primarily a disorder of the brain. A chemical dysfunction and genetics are thought to be parts of the cause. Neural circuits, which regulate mood, thinking, sleep, appetite, and behavior, do not function normally. Neurotransmitters are out of balance. One neurotransmitter implicated in depression is serotonin. It is thought that in major depressive disorder there is a reduced amount of serotonin available in the neural circuits (specifically, in the synapses). This results in reduced or lacking nerve impulse. In many patients with the disorder, the hormonal system that regulates the body’s response to stress is overactive. Stress, alcohol or drug abuse, medication, or outlook on life may trigger depressive episodes. Cognitive theories of depression state that a negative cognitive style, such as pessimism, represents a diathesis (a predisposition) which, in the presence of stress, triggers negative cognitions such as hopelessness. Negative cognitions increase the person’s vulnerability to depression. Some common precipitants of depression in vulnerable people include marital conflict, academic or work-related difficulty, chronic medical problems, and physical or sexual abuse. In most cases, medication or psychotherapy is the treatment of choice. Treatment depends on the severity and pattern of the symptoms. With treatment, 80 percent of people with major depressive disorder return to normal functioning. Antidepressant drugs influence the functioning of certain neurotransmitters (serotonin, which regulates mood, and norepinephrine, which regulates the body’s energy). Tricyclic antidepressants act simultaneously to increase both these neurotransmitters. This type of antidepressant often produces intolerable side effects such as sleepiness, nervousness, dizziness, dry mouth, or constipation. Monoamine oxidase inhibitors (MAOIs) increase levels of these same neurotransmitters plus dopamine, which regulates attention and pleasure. MAOIs can cause dizziness and interact negatively with some foods. Selective serotonin reuptake inhibitors (SSRIs) have fewer side effects but can cause nausea, insomnia or sleepiness, agitation, or sexual dysfunction. SSRIs have also been linked to violent behavior and suicide in children and adults, although this association is contested. Aminoketones increase norepinephrine and dopamine, with agitation, insomnia, and anxiety being common side effects. Selective norepinephrine reuptake inhibitors (SNRIs) increase levels of norepinephrine and can cause dry mouth, constipation, increased sweating, and insomnia. The selective serotonin reuptake inhibitors and blockers (SSRIBs) increase serotonin and elicit the fewest side effects (nausea, dizziness, sleepiness). Herbal remedies, such as St. John’s wort, may act like SSRIs; there is some evidence that St. John’s wort contributes to infertility. Some drugs blunt the action of a neurotransmitter known as substance P. Other drugs reduce the level and ef541
Psychology Basics fects of a stress-sensitive brain chemical known as corticotropin-releasing factor (CRF). The hypothalamus, the part of the brain that manages hormone release, increases production of CRF when a threat is detected. The body responds with reduced appetite, decreased sex drive, and heightened alertness. Persistent overactivation of this hormone may lead to depression. The effects of antidepressants are due to slow-onset adaptive changes in neurons. They may take several weeks to have a noticeable effect. Psychotherapy works by changing the way the brain functions. Cognitivebehavioral therapy helps patients change the negative styles of thinking and behaving associated with depression. Therapies teach patients new skills to cope better with life, increase self-esteem, cope with stress, and better deal with interpersonal relationships. There is evidence that severe depression responds most favorably with a combination of medication and psychotherapy. Electroconvulsive therapy (ECT) is an effective treatment for major depressive disorder. The treatment was first developed in 1934. Between 80 percent and 90 percent of people with the disorder show great improvement with ECT, which produces a seizure in the brain by applying electrical stimulation to the brain through electrodes placed on the scalp. ECT reduces the level of CRF. The treatment is usually repeated to obtain a therapeutic response. Common, yet short-lived, side effects include memory loss and other cognitive deficits. Dysthymic Disorder Dysthymic disorder was first introduced as a category of mood disorder in 1980. Dysthymia means “ill humor.” It is characterized as a mild, chronic depression lasting at least two years and affects 3 to 5 percent of all Americans. The majority of people with dysthymia also develop major depressive disorder, a state called double depression. The disorder is more prevalent in women than in men. Essentially, dysthymic disorder is a low-grade, chronic depression. Diagnosis of dysthymic disorder requires the impairment of physical and social functioning. Treatment may include cognitive and behavioral therapy as well as pharmacotherapy, especially SSRIs. Bipolar Disorder In 1686, Théophile Bonet, a French pathologist, described a mental illness he called maniaco-melancholicus. In 1854, Jules Falret, a French physician, described folie circulaire, distinguished by alternating moods of depression and mania. In 1899, Emil Kraepelin, a German psychologist, described manicdepressive psychosis. Bipolar disorder has a lifetime prevalence of 1.2 percent. It affects more than 2.3 million adult Americans each year. It is equally common in men and women. There is a genetic link to bipolar disorder. About 50 percent of all bipolar disorder patients have at least one parent with a mood disorder. An in542
Mood Disorders creased level of calcium ions is found in the blood of patients with bipolar disorder. There is also a lowered blood flow in the brain as well as slower overall metabolism. Some research suggests that bipolar disorder may be caused by disturbed circadian rhythms and related to disturbances in melatonin secretion. The DSM-IV-TR divides bipolar disorder into bipolar I disorder, bipolar II disorder, and cyclothymic disorder. Bipolar I disorder is characterized by the occurrence of one or more manic episodes or mixed episodes and one or more major depressive episodes. Bipolar II disorder is characterized by the occurrence of one or more major depressive episodes accompanied by at least one hypomanic episode. Cyclothymic disorder is a chronic, fluctuating mood disturbance involving periods of hypomanic episodes and periods of major depressive episodes. Treatment options include psychotherapy and medication. Mood stabilizers, such as lithium and divalproex sodium, are the most commonly used medications. Lithium is a naturally occurring substance that increases serotonin levels in the brain. Side effects can include dry mouth, high overdose toxicity, nausea, and tremor. Divalproex sodium increases GABA (gammaamino butyric acid) in the brain. Neurotransmitters trigger either “go” signals that allow messages to be passed on to other cells in the brain or “stop” signals that prevent messages from being forwarded. GABA is the most common message-altering neurotransmitter in the brain. Possible side effects of divalproex sodium include constipation, headache, nausea, liver damage, and tremor. Olanzapine increases levels of dopamine and serotonin. Side effects include drowsiness, dry mouth, low blood pressure, rapid heartbeat, and tremor. Anticonvulsants are also widely prescribed. Carbamazepine, for example, increases GABA and serotonin. Possible side effects include blurred vision, dizziness, dry mouth, stomach upset, or sedation. In the case of severe mania, patients may take a tranquilizer or a neuroleptic (antipsychotic drug) in addition to the mood stabilizer. During the depressive episode, the person may take an antidepressant. ECT may also be helpful during severe depressive episodes. Specifiers for Mood Disorders Specifiers allow for a more specific diagnosis, which assists in treatment and prognosis. A postpartum onset specifier can be applied to a diagnosis of major depressive disorder or bipolar I or II disorder if the onset is within four weeks after childbirth. Symptoms include fluctuations in mood and intense (sometimes delusional) preoccupation with infant well-being. Severe ruminations or delusional thoughts about the infant are correlated with increased risk of harm to the infant. The mother may be uninterested in the infant, afraid of being alone with the infant, or may even try to kill the child while experiencing auditory hallucinations instructing her to do so or delusions that the child is possessed. Postpartum mood episodes severely impair functioning, which differentiates them from the “baby blues” 543
Psychology Basics that affects about 70 percent of women within ten days after birth. Seasonal pattern specifier can be applied to bipolar I or II disorder or major depressive disorder. Occurrence of major depressive episodes is correlated with seasonal changes. In the most common variety, depressive episodes occur in the fall or winter and remit in the spring. The less common type is characterized by depressive episodes in the summer. Symptoms include lack of energy, oversleeping, overeating, weight gain, and carbohydrate craving. Light therapy, which uses bright visible-spectrum light, may bring relief to patients with a seasonal pattern to their mood disorder. The rapid cycler specifier can be applied to bipolar I or II disorder. Cycling is the process of going from depression to mania, or hypomania, and back or vice versa. Cycles can be as short as a few days or as long as months or years. Rapid cycling involves the occurrence of four or more mood episodes during the previous twelve months. In extreme cases, rapid cyclers can change from depression to mania and back or vice versa in as short as a few days without a normal mood period between episodes. Seventy to ninety percent of rapid cyclers are both premenopausal and postmenopausal women. Rapid cycling is associated with a poorer prognosis. Sources for Further Study Copeland, Mary Ellen. The Depression Workbook: A Guide for Living with Depression and Manic Depression. Oakland, Calif.: New Harbinger, 1992. This workbook for coping with depression is based on a study of 120 people with depression and manic depression. The author includes sections on possible causes of mood disorders and offers advice about building a support system, finding a health care professional, building self-esteem, and preventing suicide. Court, Bryan L., and Gerald E. Nelson. Bipolar Puzzle Solution: A Mental Health Client’s Perspective. Philadelphia: Taylor & Francis, 1996. The authors provide answers to questions asked by support group members about living with manic-depressive illness. Cronkite, Kathy. On the Edge of Darkness. New York: Dell, 1994. A collection of celebrity accounts of their personal experiences with depression. The reader is invited into their experiences of what depression feels like, how it is treated, and the consequences to the individual and family. Dowling, Colette. “You Mean I Don’t Have to Feel This Way?” New Help for Depression, Anxiety, and Addiction. New York: Macmillan, 1991. Presents the biological basis of disorders including bulimia, depression, and panic disorder. Includes a section on getting help through psychotherapy and medication. Gold, Mark S. The Good News About Depression: Breakthrough Medical Treatments That Can Work for You. New York: Bantam Books, 1995. The author, a biopsychiatrist, guides the reader through treatments available to people with depression. He describes conditions that mimic the symptoms of depression. 544
Mood Disorders Healy, David. The Creation of Psychopharmacology. Cambridge, Mass.: Harvard University Press, 2002. Details the discovery and development of psychiatric medications (including antidepressants), the extremely profitable partnership between psychiatrists and the large pharmaceutical companies, and the frightening consequences for today’s culture and society. Ingersoll, Barbara D., and Sam Goldstein. Lonely, Sad, and Angry. New York: Doubleday, 1995. Provides information about depressive disorders in children and adolescents. Includes guidelines on how to react to a crisis, what to expect in the future, and how to get family help. There is also a section on recognizing depression in the classroom. Moreines, Robert N., and Patricia L. McGuire. Light Up Your Blues: Understanding and Overcoming Seasonal Affective Disorders. Washington, D.C.: The PIA Press, 1989. The authors, both biopsychiatrists, describe the symptoms, causes, and effects of seasonal affective disorder. They also describe phototherapy. Nelson, John E., and Andrea Nelson, eds. Sacred Sorrows: Embracing and Transforming Depression. New York: Jeremy P. Tarcher/Putnam, 1996. This is an anthology of personal experiences, biological research, psychological research, and spiritual traditions written by psychiatrists, psychologists, social workers, novelists, philosophers, and teachers. The book provides a firsthand experience of depression and a look at theories about why people become depressed. Some of the essays discuss treatments including medication, physical exercise, psychotherapy, and raising planetary awareness. Radke-Yarrow, Marian. Children of Depressed Mothers. New York: Cambridge University Press, 1998. Presents a developmental perspective on the children of depressed mothers. The book reports the results of a longitudinal study of children and their families. Thompson, Tracy. The Beast: A Journey Through Depression. New York: Penguin, 1996. A journalist tells the story of how she came to terms with her depression. Good firsthand discussion of symptoms such as short-term memory deficits, anxiety, anhedonia, and changes in sleep patterns, sensation, and perception. Her account includes a frank discussion of feelings of isolation and thoughts of suicide. Elizabeth M. McGhee Nelson See also: Bipolar Disorder; Clinical Depression; Depression; Drug Therapies.
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Moral Development Type of psychology: Developmental psychology Fields of study: Infancy and childhood; social perception and cognition Moral development is the process of internalizing society’s rules and principles of right and wrong. In order to maintain a stable social order, the achievement of morality is necessary. Acquiring morals is a sequential process linked to a person’s stage of moral reasoning and cognitive understanding. Key concepts • cognitive development • empathy • moral development • moral rules • morality • social order Morality is a set of standards that a person has about the rightness and wrongness of various kinds of behavior. Moral development is the way in which these sets of standards change over a period of time and experiences. Without moral rules—obligatory social regulations based on the principles of justice and welfare for others—society would be chaotic and without order. Most societies, for example, agree that certain behaviors (such as murder and theft) are wrong, and most people follow those moral principles. Not everyone has the same way of reasoning about the morality of a situation, however, as seen in the following two scenarios from the work of psychologist Jean Piaget. A little boy named John is in his room. He is called to dinner, and he goes into the dining room. Behind the door on a chair is a tray with fifteen cups on it. John does not know this; when he goes in, the door knocks against the tray, and all fifteen cups are broken. There is another boy, named Henry. One day when his mother is out, he tries to get some jam from the cupboard. He climbs onto a chair but cannot reach it; he knocks over a cup. The cup falls down and breaks. When asked which of the above two boys is more naughty, most adults would immediately reply that Henry is more guilty. Conversely, a child between six and ten years of age usually will say that John is more guilty. The differences between the two scenes consist of both the amount of damage done and the intentions of the two children. It is obvious that children and adults do not view the situations in the same way. Influence of Freud and Piaget Human morality has been an issue in philosophy since the days of Aristotle; the topic was first studied by psychologists in the early twentieth century. At 546
Moral Development this time, both Sigmund Freud and Piaget addressed the issue of children’s moral development. Freud proposed that children around four years of age assimilate the morals and standards of their same-sex parent, resulting in the onset of the child’s superego, which is the storehouse for one’s conscience. Thus, children have a rudimentary sense of right and wrong based on the morals of their parental figure. Since Freud’s concept was based on his theory of psychosexual development, it was discredited by his European colleagues for most of his lifetime. Thus, his theory of moral acquisition has not generally been the basis of research on the development of morality. Piaget began observing children when he was giving intelligence tests in the laboratory of Alfred Binet. He observed that children do not reason in the same way that adults do. Thus, by questioning Swiss schoolchildren about their rules in a game of marbles, Piaget adapted his theory of cognitive development to moral development. Lawrence Kohlberg elaborated on Piaget’s theory by studying children’s, as well as adults’, reasoning concerning moral dilemmas. Kohlberg is still generally considered the leading theorist of moral development. Stages of Moral Development According to Piaget and Kohlberg, moral judgments are related to the stage of cognitive development from which a person is operating when making these judgments. According to Piaget’s theory, the development of morality includes several stages. People cannot progress to higher stages of moral development until they have also progressed through higher stages of cognitive understanding. Cognition refers to the mental processes of thinking, reasoning, knowing, remembering, understanding, and problem solving. During the premoral stage (birth through five years of age), children have little awareness of morals. As they grow, children learn about cooperative activity and equality among peers. This cognitive knowledge leads to a new respect for rights and wrongs. At this stage (age six to ten), children cannot judge that Henry is more guilty than John, because they are not capable of understanding the differences in the children’s intentions. The only understanding is of the degree of damage done. Therefore, the number of cups broken is the basis for the judgment of the wrongness of the act, regardless of the actor’s good or bad intentions. Finally, as children develop, they learn that rules can be challenged, and they are able to consider other factors, such as a person’s intentions and motivation. Once this shift in perception occurs, children’s moral development will progress to a higher stage. Role of Reasoning Kohlberg expanded Piaget’s theory by investigating how people reasoned the rightness or wrongness of an act and not how people actually behaved. For example, Kohlberg proposed the following moral dilemma. A man 547
Psychology Basics named Heinz had a wife who was dying from a disease that could be cured with a drug manufactured by a local pharmacist. The drug was expensive to make, but the druggist was charging ten times the amount it cost. Heinz could not afford the drug and pleaded with the man to discount the drug or let him pay a little at a time. The druggist refused, so Heinz broke into the pharmacy and stole the drug for his wife. Should Heinz have stolen the drug? By listening to people’s reasoning concerning Heinz’s actions, Kohlberg proposed that there are three levels (of two stages each) of moral reasoning. The first level is called the preconventional level; in this stage, a person’s feelings of right and wrong are based on an external set of rules that have been handed down by an authority figure such as a parent, teacher, or religious figure. These rules are obeyed in order to avoid punishment or to gain rewards. In other words, people at this stage of moral reasoning would not steal the drug—not because they believed that stealing was wrong but rather because they had been told not to and would fear being caught and punished for their action. The second level of moral reasoning is the conventional level, at which judgments of right and wrong are based on other people’s expectations. For example, at this level there are two substages. One is known as the “good boy/nice girl” orientation, in which morality is based on winning approval and avoiding disapproval by one’s immediate group. In other words, people may or may not steal the drug based on what they believe their peers would think of them. The second substage is called the “law and order” orientation, under which moral behavior is thought of in terms of obedience to the authority figure and the established social order. Social order refers to the way in which a society or culture functions, based on the rules, regulation, and standards that are held and taught by each member of the society. The “laws” are usually obeyed without question, regardless of the circumstances, and are seen as the mechanism for the maintenance of social order. A person operating from this stage would say that Heinz should not steal the drug because it was against the law—and if he did steal the drug, he should go to jail for his crime. The third level of moral reasoning is called the postconventional orientation. At this stage, the person is more concerned with a personal commitment to higher principles than with behavior dictated by society’s rules. Disobeying the law would be in some instances far less immoral than obeying a law that is believed to be wrong, and being punished for the legal disobedience would be easier than the guilt and self-condemnation of disobeying the personal ethical principles held by that person. For example, many civil rights workers and Vietnam War conscientious objectors were jailed, beaten, and outcast from mainstream society, but those consequences were far less damaging to them than transgressing their own convictions would have been. According to Kohlberg, the preconventional stage is characteristic of 548
Moral Development young children, while the conventional stage is more indicative of the general population. It has been estimated that only about 20 percent of the adult population reach the postconventional stage. Thus, the course of moral development is not the same for everyone. Even some adults operate at the preconventional level of moral reasoning. Education, parental affection, observation and imitation, and explanations of the consequences of behavior are factors in determining the course of moral development in a child. Role-Playing Moral development is a progression from one stage to a different, higher stage of reasoning. One cannot proceed to a higher stage of morality without the accompanying cognitive understanding. Thus, if a child thinks that John, who broke fifteen cups, is more guilty than Henry, who broke one cup, then merely telling the child that Henry’s intentions were not as good as John’s, and therefore John is not as guilty, is not going to change the child’s perceptions. The child’s understanding of the situation must be actively changed. One way of doing this is through role-playing. The child who thinks that John is more guilty can be told to act out the two scenes, playing each of the two boys. By asking the child questions about his or her feelings while going through each of the scenes, one can help the child gain empathy (the capacity for experiencing the feelings and thoughts of other people) for each of the characters and a better understanding of intentions and actions. Once the child has the cognitive understanding of intentions, he or she is then able to reason at a higher level of moral development. In other words, in trying to elevate someone’s moral reasoning, the first goal is to elevate his or her cognitive understanding of the situation. This can also be done by citing similar examples within the person’s own experience and chaining them to the event at hand. For example, if last week the child had accidentally broken something, asking the child how he or she remembers feeling when that event happened will remind the child of the emotions experienced at the time of the event. The child must then associate the remembered emotions with the situation at hand. This can be accomplished by asking questions, such as “Do you think that John might have felt the same way as you did when you broke the vase?” or “How do you think John felt when the cups fell down? Have you ever felt the same?” If one merely tells the child that John felt bad, the child may or may not comprehend the connection, but if one asks the child to reason through the situation by having empathy for John, then the child is more likely to progress to the next stage of moral reasoning. This type of empathetic role-playing can be very important in trying to change deviant behavior. If a child is stealing, then having the child imagine or play a role in a situation where he or she is the one being stolen from is the quickest way for the child to change his or her judgments of the right549
Psychology Basics ness or wrongness of the situation. Punishment may deter the behavior, but it does not result in a change in cognitive understanding or moral reasoning. In addition to changing moral reasoning powers, this type of role-playing is also more likely to aid the child from an understimulated home environment. The child whose social environment includes many incidents of undesirable behaviors or who lacks examples of positive behaviors must be stimulated in ways that appeal to current cognitive understanding but that show ways of thinking that differ from current examples in his or her life. Study of Social Cognitions Other areas of psychological research are concerned with the topic of children’s “social cognitions,” which subsumes the topic of morals and considers other issues such as empathy, attribution, and motivations. One area that has come to light is the issue of the effect of the emotions on cognitions and their contribution to moral judgments. For example, it has been shown that people in a good mood are more likely to help someone else than those in a bad mood. Expanding on this premise, other research has demonstrated that even the way people perceive an object or situation is closely linked to their psychological or emotional states at the time. Even concrete perceptions can be changed by a person’s state of being. One example is that people who are poor actually judge the size of a quarter to be larger than do people who are rich. As cognitive theories begin to consider the interactive components that emotions have in cognitions, new methods of study and new theoretical predictions will change the way cognitive psychologists study such areas as problem solving, decision making, reasoning, and memory. Each of these areas is independently related to the study of moral development and should affect the way psychologists think about how people acquire and think about morality within society. In addition, as society increases in sophistication and technology, new issues will emerge that will strain old theories. Issues that are particular to new generations will result in new ways of thinking about morality that were not faced by past generations. The direction that moral development goes is ultimately highly dependent on the problems of the current society. Sources for Further Study Duska, Ronald F., and Mariellen Whelan. Moral Development: A Guide to Piaget and Kohlberg. New York: Paulist Press, 1975. Presents Jean Piaget’s theory and its implications for Lawrence Kohlberg’s expansion into his own theory of moral development. All of the moral stories used by Piaget and Kohlberg in their research are replicated in this book. Also includes research findings and ways in which to apply these theories to everyday situations in teaching children. This book can be read easily by the high school or college student. 550
Moral Development Gilligan, Carol, Janie Victoria Ward, and Jill McLean Taylor, eds. Mapping the Moral Domain. Cambridge, Mass.: Harvard University Press, 1990. A collection of essays presenting the contribution of women’s studies to Kohlbergian theories of moral development. Nucci, Larry P. Education in the Moral Domain. New York: Cambridge University Press, 2001. Brings together theoretical and practical approaches to creating a classroom environment that nurtures moral development in children. Reed, Donald R. C. Following Kohlberg: Liberalism and the Practice of Democratic Community. South Bend, Ind.: University of Notre Dame Press, 1998. Offers a comprehensive overview of Kohlberg’s research, from an empirical and psychological perspective as well as a more abstract philosophy. Rich, John Martin, and Joseph L. DeVitis. Theories of Moral Development. 2d ed. Springfield, Ill.: Charles C Thomas, 1996. Presents a range of psychologists’ theories on moral development, including Sigmund Freud, Alfred Adler, Carl Jung, and David Sears. In addition, it places moral development within the framework of higher education and relates it to a lifespan perspective. Certain sections of the book would be difficult for a novice student to follow; however, in terms of a summary review of theoretical positions, the book is a handy reference. Donna Frick-Horbury See also: Adolescence: Cognitive Skills; Cognitive Development: Jean Piaget; Crowd Behavior; Development; Helping; Women’s Psychology: Carol Gilligan.
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Motivation Type of psychology: Biological bases of behavior; emotion; learning; memory; motivation; social psychology Fields of study: Attitudes and behavior; aversive conditioning; behavioral and cognitive models; cognitive learning; methodological issues; motivation theory; Pavlovian conditioning; personality theory; social motives Central to the study of psychology is motivation, which is fundamentally concerned with emotion, personality, learning, memory, and gaining an understanding of how behavior is most effectively activated, organized, and directed toward the achievement of goals. Key concepts • activation theory • behavioral approach • cognitive approach • hedonistic theory • humanistic approach • hydraulic model • incentive theory • Pavlovian conditioning • psychodynamic approach • teacher expectations Research in motivation is pivotal to such fields as educational psychology, social psychology, behavioral psychology, and most other subareas of psychology. Motivation is centrally concerned with the goals people set for themselves and with the means they take to achieve these goals. It is also concerned with how people react to and process information, activities directly related to learning. Motivation to process information is influenced by two major factors: the relevance of the topic to the person processing the information, which affects the willingness to think hard about the topic; and the need for cognition, or the willingness to think hard about varied topics, whether they are directly relevant or not. The relevance of a topic is central to people’s motivation to learn about it. For example, if the community in which a person lives experiences a severe budgetary crisis that will necessitate a substantial increase in property taxes, every resident in that community, home owners and renters alike, is going to be affected directly or indirectly by the increase. Because this increase is relevant to all the residents, they will, predictably, be much concerned with the topic and will likely think hard about its salient details. If, on the other hand, a community in a distant state faces such a crisis, residents in other communities, reading or hearing about the situation, will not have the motivation to do much hard thinking about it because it does not affect them directly. 552
Motivation The second category of motivation rests in the need of some individuals for cognition. Their inherent curiosity will motivate them to think deeply about various topics that do not concern them directly but that they feel a need to understand more fully. Such people are deliberative, self-motivated thinkers possessed of an innate curiosity about the world that surrounds them. They generally function at a higher intellectual level than people who engage in hard thinking primarily about topics that affect them directly. One of the aims of education at all levels is to stimulate people to think about a broad variety of topics, which they will do because they have an inherent curiosity that they long to satisfy. Early Concerns with Motivation During the late nineteenth century, Austrian psychoanalyst Sigmund Freud (1856-1939) developed theories about motivation that are usually categorized as the psychodynamic approach. He contended that people have psychic energy that is essentially sexual or aggressive in its origins. Such energy seeks results that please, satisfy, or delight. This pleasure principle, as it was called, had to function within the bounds of certain restraints, identified as the reality principle, never violating the demands of people’s conscience or of the restrains or inhibitions that their self-images imposed. In Freudian terms, the superego served to maintain the balance between the pleasure principle and the reality principle. In Beyond the Pleasure Principle (1922), Freud reached the conclusion that all motivation could be reduced to two opposing sources of energy, the life instinct and the death instinct. Heinz Hartmann (1894-1970) went a step beyond Freud’s psychodynamic theory, emphasizing the need for people to achieve their goals in ways that do not produce inner conflict, that are free of actions that might compromise or devastate the ego. More idealistic was Robert White, who denied Freud’s contention that motivation is sexual or aggressive in nature. White contended that the motivation to achieve competence is basic in people. Everyone, according to White, wishes to be competent and, given proper guidance, will strive to achieve competence, although individual goals and individual determinations of the areas in which they wish to be competent vary greatly from person to person. Such social psychologists as Erik Erikson (1902-1994), Carl Jung (18751961), and Karen Horney (1885-1952) turned their attention away from the biological and sexual nature of motivation, focusing instead upon its social aspects. They, like Freud, Hartmann, and White before them, sought to understand the unconscious means by which psychic energy is distributed as it ferrets out sources of gratification. The Behaviorists The behavioral approach to motivation is centrally concerned with rewards and punishments. People cultivate behaviors for which they are rewarded. They avoid behaviors that experience has shown them will result in pain or 553
Psychology Basics punishment. B. F. Skinner (1904-1990) was probably the most influential behaviorist. Many educators accepted his theories and applied them to social as well as teaching situations. Clark Hull (1884-1952), working experimentally with rats, determined that animals deprived of such basic requirements as food or punished by painful means such as electric shock, develop intense reactions to these stimuli. John Dollard (1900-1980) and Neal Miller (1909-2002) extended Hull’s work to human subjects. They discovered that the response elicited by these means depends on the intensity of the stimulus, not on its origin. The stimuli employed also evoke previously experienced stimulus-response reactions, so that if subjects are hurt or punished following a volitional act, they will in future avoid such an act. In other words, if the negative stimuli are rapidly reduced, the responses that immediately preceded the reduction are reinforced. These researchers concluded that physiological needs such as hunger are innate, whereas secondary drives and the reaction to all drives, through conditioning, are learned. Ivan Pavlov (1849-1936) demonstrated the strength of conditioned responses in his renowned experiments with dogs. He arranged for a bell to sound immediately before the dogs in his experiment were fed. The dogs came to associate the sound of a bell with being fed, a pleasurable and satisfying experience. Eventually, when Pavlov rang the bell but failed to follow its ringing with feeding, the dogs salivated merely on hearing the sound, because they anticipated the feeding to which they had become conditioned. Over time, the motivation to satisfy their hunger came to be as much related to hearing the bell as it was to their actually being fed. Pavlovian conditioning is directly related to motivation, in this case the motivation to satisfy hunger. Konrad Lorenz’s Hydraulic Model Freud argued that if instinctive urges are bottled up, they will eventually make the individual ill. They demand release and will find it in one way or another as the unconscious mind works to direct the distribution of the individual’s psychic energy. Konrad Lorenz (1903-1989) carried this notion a step beyond what Freud had postulated, contending that inherent drives that are not released by external means will explode spontaneously through some inherent releasing mechanism. This theory, termed Lorenz’s hydraulic model, explains psychic collapses in some people, particularly in those who are markedly repressed. Erich Fromm (1900-1980) carried Freud’s notions about the repression of innate drives one step beyond what Lorenz espoused. Fromm added a moral dimension to what Freud and Lorenz asserted, by postulating that humans develop character as a means of managing and controlling their innate physiological and psychological needs. He brought the matter of free will into his consideration of how to deal in a positive way with innate drives. 554
Motivation The Hedonistic Theory of Motivation Hedonism emphasizes pleasure over everything else. The hedonistic theory of motivation stems from Freud’s recognition of the pleasure principle, which stipulates that motivation is stimulated by pleasure and inhibited by pain. Laboratory experiments with rats demonstrated unequivocally that, given a choice, rats work harder to get food that tastes good to them than to get food that is nutritious. Indeed, laboratory animals will take in empty calories to the point of emaciation as long as the food that contains such calories tastes good. It is thought that hedonistic motivation is directly related to pleasure centers in the brain, so that organisms work both consciously and unconsciously toward stimulating and satisfying these pleasure centers. The Incentive Theory of Motivation Alfred Adler (1870-1937), the Austrian psychologist who founded the school of individual psychology, rejected Freud’s emphases on sex and aggression as fundamental aspects of motivation. Breaking from Freud, who had been among his earliest professional associates, Adler contended that childhood feelings of helplessness led to later feelings of inferiority. His means of treating the inferiority complex, as this condition came to be known, was to engage his patients in positive social interaction. To do this, he developed an incentive theory of motivation, as articulated in his two major works, Praxis und Theorie der Individual psychologie (1920; The Practice and Theory of Individual Psychology, 1924) and Menschenkenntnis (1927; Understanding Human Nature, 1927). Adler’s theory focused on helping people to realize the satisfaction involved in achieving superiority and competence in areas in which they had some aptitude. The motivation to do so is strictly personal and individual. Adler’s entire system was based on the satisfactions to be derived from achieving a modicum of superiority. The incentive approach views competence as a basic motivation activated by people’s wish to avoid failure. This is a reward/punishment approach, although it is quite different from that of the behaviorists and is, in essence, humanistic. The reward is competence; the punishment is failure. Both factors stimulate subjects’ motivation. The Activation Theory of Motivation Drive reductionists believed that if all of an organism’s needs are fulfilled, that organism will lapse into a lethargic state. They conclude that increasing needs will cause the organism to have an increased drive to fulfill those needs. Their view is that the inevitable course that individual organisms select is that of least resistance. Donald O. Hebb, however, takes a more sanguine view of motivation, particularly in humans. In his activation theory, he contends that a middle ground between lethargy at one extreme and incapacitating anxiety at the other produces the most desirable level of motivation. This theory accounts 555
Psychology Basics for states of desired arousal such as that found in such pursuits as competitive sports. The drive reductionists ascribe to the reward/punishment views of most of the behaviorists, who essentially consider organisms to be entities in need of direction, possibly of manipulation. The drive inductionists, on the other hand, have faith in the innate need of organisms to be self-directive and to work individually toward gaining competence. Essentially they accept the Greek ideal of the golden mean as a guiding principle, which has also been influential in the thinking of such humanistic psychologists. The Humanistic Approach to Motivation Abraham Maslow (1908-1970) devised a useful though controversial hierarchy of needs required to satisfy human potential. These needs proceed from low-level physiological needs such as hunger, thirst, sex, and comfort, through such other needs as safety, love, and esteem, finally reaching the highest level, self-actualization. According to Maslow, human beings progress sequentially through this hierarchy as they develop. Each category of needs proceeds from the preceding category, and no category is omitted as the human develops, although the final and highest category, self-actualization, which includes curiosity, creative living, and fulfilling work, is not necessarily attained or attainable by all humans. The humanists stipulate that people’s primary motives are those that lead toward self-actualization, those that capitalize on the unique potential of each individual. In educational terms, this means that for education to be effective, it must emphasize exploration and discovery over memorization and the rote learning of a set body of material. It must also be highly individualized, although this does not imply a one-on-one relationship between students and their teachers. Rather than acting as fonts of knowledge, teachers become facilitators of learning, directing their students individually to achieve the actualization of the personal goals that best suit them. Carl Rogers (1902-1987) traced much psychopathology to conflicts between people’s inherent understanding of what they require to move toward self-actualization and society’s expectations, which may run counter to individual needs. In other words, as many people develop and pass through the educational system, they may be encouraged or required to adopt goals that are opposed to those that are most realistic for them. Humanistic views of human development run counter to the views of most of the psychodynamic and behaviorist psychologists concerned with learning theory and motivation as it relates to such theory. Cognitive Approaches to Motivation Research of Kurt Lewin (1890-1947) in the subjective tension systems that work toward resolution of problems in humans, along with his research done in collaboration with Edward C. Tolman (1886-1959) that emphasizes expectancies and the subjective value of the results of actions, has led to a 556
Motivation cognitive approach to motivation. Related to this research is that of Leon Festinger (1919-1989), whose theory of cognitive dissonance stipulates that if a person’s beliefs are not in harmony with one another, the person will experience a discomfort that he or she will attempt to eliminate by altering his or her beliefs. People ultimately realize that certain specific behaviors will lead to anticipated results. Behavior, therefore, has a purpose, but the number of goals related to specific behaviors is virtually infinite. People learn to behave in ways that make it most likely to achieve expected results. Robert Rosenthal and Lenore Jacobson demonstrated that teacher expectations have a great deal to do with the success of the students with whom they work. Their experiment, detailed fully in Pygmalion in the Classroom (1968), relates how they selected preadolescent and adolescent students randomly and then told the teachers of those students that they had devised a way of determining which students were likely to show spurts of unusual mental growth in the coming year. Each teacher was given the names of two or three students who were identified as being on the brink of rapid intellectual development. The researchers tested the students at the end of the school year and found that those who had been designated as poised on the brink of unusual mental development tested above the norm, even though they had been selected randomly from all the students in the classes involved. In this experiment, teacher motivation to help certain students succeed appears to have been central to those students’ achieving goals beyond those of other students in the class. Sources for Further Study Boekaerts, Monique, Paul R. Pintrich, and Moshe Zeidner. Handbook of SelfRegulation. San Diego, Calif.: Academic Press, 2000. Chapters 5 and 15 deal specifically with motivation, offering unique perspectives that are both physiological and social. The approach of this volume is essentially humanistic. Ferguson, Eva Dreikurs. Motivation: A Biosocial and Cognitive Integration of Motivation and Emotion. New York: Oxford University Press, 2000. This book requires some background in the field of motivation. It is carefully researched and accurately presented. Its focus is more on the physiological aspects of motivation than on the social. Glover, John A., Royce R. Ronning, and Cecil R. Reynolds, eds. Handbook of Creativity. New York: Plenum Press, 1989. Of special interest to those seeking information about motivation will be chapter 7, “Cognitive Processes in Creativity,” and those parts of chapter 5, “The Nature-Nurture Problem in Creativity,” that deal with cognitive and motivational processes. Greenwood, Gordon E., and H. Thompson Fillmer. Educational Psychology: Cases for Teacher Decision-Making. Columbus, Ohio: Merrill, 1999. Of particular value in this book of case studies is part 5, which deals with motivation and classroom management. In this section, chapter 25, “Motivation 557
Psychology Basics or Control?,” is particularly relevant to readers interested in motivation. The approach in this book is eminently practical. The writing is easily accessible to beginners in the field. Kendrick, Douglas T., Steven L. Neuberg, and Robert B. Cialdini. Social Psychology: Unraveling the Mystery. Boston: Allyn & Bacon, 1999. This is one of the best-written, most accessible books in introductory psychology. It is replete with examples to illustrate what is being said. The prose style is enticing, and the intellectual content is exceptional. The chapter titled “The Motivational Systems: Motives and Goals” is particularly relevant to those studying motivation. Strongly recommended for those unfamiliar with the field. Lawler, Edward E., III. Rewarding Excellence: Pay Strategies for the New Economy. San Francisco: Jossey-Bass, 2000. Approached from the standpoint of a professor of management, this book discusses various motivational protocols employed by industry. Some of them are easily transferable to broader contexts. The tactics suggested are largely behavioral. They deal extensively with reward/punishment scenarios. Lesko, Wayne A., ed. Readings in Social Psychology: General, Classic, and Contemporary Selections. Boston: Allyn & Bacon, 2000. This entire collection is worth reading. Nearly every selection in it relates in some way to motivation. Rosenthal, Robert, and Lenore Jacobson. Pygmalion in the Classroom. 1968. Reprint. New York: Irvington, 1992. This report of an experiment that deals with teacher expectations and their relation to student achievement is compelling and provocative. Wagner, Hugh. The Psychobiology of Human Motivation. New York: Routledge, 1999. Demonstrates how humans can adapt to complex social environments by controlling and channeling their basic physiological drives. Wagner points out the fallacy of attempting to explain human motivation in terms of models based on animal physiology. He also questions Abraham Maslow’s hierarchy of needs. Wagner’s skepticism is at once challenging, thought-provoking, and refreshing. Wong, Roderick. Motivation: A Biobehavioural Approach. New York: Cambridge University Press, 2000. Wong’s focus is sharply on behaviorism and on the physiological aspects of motivation, although chapter 9, “Social Motivation: Attachment and Altruism,” moves into the area of social psychology. This in not a book for beginners, although its ideas are well presented, often with cogent examples. R. Baird Shuman See also: Behaviorism; Conditioning; Drives; Pavlovian Conditioning; S-R Theory: Neal E. Miller and John Dollard.
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Multiple Personality Type of psychology: Psychopathology Fields of study: Coping; models of abnormality; personality disorders Multiple personality is the name of abnormal behavior in which a person behaves as if under the control of distinct and separate parts of the personality at different times. It is caused by severe childhood abuse and responds to long-term psychotherapy that addresses the past abuse and the resulting symptoms of dissociation. Key concepts • alternate personality • dissociation • dissociative identity disorder • integration • repression Multiple personality has had considerable research and clinical attention focused on it since the early 1980’s, and this interest has increased significantly from that point forward. However, multiple personality was known and studied even prior to the work of Sigmund Freud (1856-1939), the Austrian psychiatrist and founder of psychoanalysis. Well-known French psychologists Pierre Janet (1859-1947) and Alfred Binet (1857-1911), among others, had written about it in the late nineteenth century, prior to Freud’s writings. With the rise of psychoanalysis in the early twentieth century, the study of multiple personality and dissociation waned dramatically for many years. Two famous multiple personality cases in the United States were popularized by books and then films: The Three Faces of Eve in 1957 and Sybil in 1973. In 1980, multiple personality disorder (MPD) was officially sanctioned as a legitimate psychiatric disorder by its inclusion in the Diagnostic and Statistical Manual of Mental Disorders (3d ed., 1980, DSM-III) published by the American Psychiatric Association. The official diagnostic label was changed in the fourth edition, DSM-IV (1994), to dissociative identity disorder (DID), though it is still commonly known as multiple personality. Cause Research has shown that multiple personality is most probably caused by severe childhood abuse, usually both physical and sexual. Psychotherapists who specialize in treating disorders caused by trauma hypothesize that the human mind or personality divides to cope with the terror of the trauma. It is as if one part of the mind handles the abuse to protect another part of the mind from the pain. This splitting of consciousness is a psychological defense called dissociation. Instead of memory, bodily sensation, emotions, and thoughts all being associated with an experience (which is the normal process of human experience), these aspects lose their association and seem 559
Psychology Basics to separate. A common example would be that a person who was sexually abused as a child loses the memory of those events and may have no recall of them until later in adulthood. In this case, the whole experience is dissociated. For example, in multiple personality, a so-called alternate personality (“alter” for short) named Ann experienced the abuse, while alter Jane, who deals with normal, everyday living, was not abused. Thus, Jane has no memories of abuse. A variation is that only certain aspects of the experience are dissociated, so that, for instance, the abused person has the memory that the sexual abuse happened but has no emotions regarding the pain and trauma of it. Freud coined the term “repression” to describe the process by which emotions that are too threatening to be admitted into consciousness are pushed into the unconscious. Diagnosis Several well-researched psychological tests and structured interviews aid in diagnosing a client. For a formal diagnosis of DID, the Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000) states that the following four criteria must be present: two or more distinct identities or personality states (each with its own relatively enduring pattern of perceiving, relating to, and thinking about the environment and self); at least two
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Chris Costner Sizemore, the subject of the book and film The Three Faces of Eve about multiple personality disorder. (AP/Wide World Photos) 560
Multiple Personality of these identities or personality states recurrently take control of the person’s behavior; there is an inability to recall important personal information that is too extensive to be explained by ordinary forgetfulness; and the disturbance is not due to the direct physiological effects of a substance (such as blackouts due to alcohol, drugs, or seizures). The central paradox of multiple personality is that it is both real and not real at the same time. It is not real in that the mind or personality does not literally split. There is only one brain and one body. It is a creation of a person’s imagination. At the same time, however, the person with DID experiences very real separations and is not faking them. The perceived separate parts must be dealt with as if they were separate, while teaching them the reality that they must live in the same body and jointly suffer the consequences of the actions of any one part. Multiple personality goes unrecognized too often as a result of several reasons. First, it has only received considerable attention since the early 1980’s. Second, it was wrongly thought to be extremely rare, so psychotherapists were previously taught that they would probably never see a case of it. Third, the trauma that causes DID produces so many symptoms, such as depression, anxiety, hearing voices, and mood changes, that it is wrongly diagnosed as schizophrenia, bipolar disorder, or something else. Fourth, there is skepticism about its validity as a true diagnosis. Alters can be categorized in various ways. Some are victims who took most of the abuse. Some are persecutors who identified with the abuser and try to control other alters internally. Some are functioning alters who handle work or school. Alters may believe they are the opposite sex of the body and can see themselves as almost any age. Some may know a great deal about other alters. Others may only know of themselves and have no knowledge that others even exist. Because at least some alters are usually dissociated from other alters, the person with DID will typically experience time loss when one alter has had control of the body and a different alter, who does not know what has happened previously, takes control. Dissociation is experienced in degrees. When it is present to a lesser degree, DID patients hear voices inside their heads. They are hearing alters talking. This may scare them when they first experience it, or it may be so normal for them that they mistake these voices for their own thoughts. Treatment Clinical experience and research have shown that this disorder is treatable to full remission, and therefore the prognosis is more hopeful than with some other psychiatric disorders. The negative side of treatment is that it takes a long time, usually five to seven years and in some cases longer. The guidelines for treatment established by the International Society for the Study of Dissociation call for psychotherapy two to three times a week for several years. 561
Psychology Basics The initial goal of psychotherapy is stabilization, to stop any destructive behaviors such as suicide or other forms of self-harm. The intermediate goal is to become aware of the alters, counsel their individual needs, and then bring about cooperation and communication between alters to make daily functioning more effective. The long-range goal is to bring about the integration of all split personalities into one unified personality. Integration is the combining of all aspects of the self, even the ones that may seem destructive or feel great pain. The goal is not to get rid of certain alters, as every part is an aspect of the self and needs to be integrated into the self. Part of treatment consists of recounting and processing the memories of abuse. Ignoring past abuse is not helpful. However, this memory work needs to be done slowly and carefully, going at a pace that does not overwhelm the client. One goal is to keep the client functioning as normally as possible in daily life. Mistakes have been made by therapists who go too fast, too far, and who focus on talking about memories without addressing other needs, such as helping clients stabilize, encouraging cooperation and communication of alters, gradually integrating alters, teaching toleration of uncomfortable emotions, and instilling new coping mechanisms other than dissociating. The therapist should not suggest to the client that he or she was abused but should let the client discover this on his or her own. Hypnosis may be used as part of the treatment, but it is not required. Experienced trauma therapists talk easily with the various alters and usually learn to recognize the different parts with little trouble. The switch between alters most often, but not always, is subtle and not dramatic. Psychiatric medications are often used as an adjunct to talking therapy, to help with the symptoms accompanying DID such as depression and anxiety. As DID is a disorder caused by personal experience, it is not cured by medications. What does not work is ignoring or denying the presence of alters, focusing only on the present and ignoring the past, trying to get rid of so-called bad alters, and exorcising alters who are psychological entities. Obviously, a person with DID will succeed best in counseling with a psychotherapist who is experienced and has specialized training in the treatment of trauma disorders. Impact People who suffer from multiple personality are adults who live with a coping mechanism that worked well to survive the horrors of abuse in childhood but is not working as well in a normal adult environment. All patients with DID suffer to some extent, which usually drives them to find relief. Some of these forms of relief are healthy, such as psychotherapy, and some may be unhealthy, such as addictions used to drown the painful feelings. Some people with multiple personality appear to function normally and may not themselves know that they have more than one personality. They may be able to function at a very high level at a job, for instance, while those 562
Multiple Personality close to them sense things are not normal. They may function normally for years and then have a crisis that seems to develop very rapidly. Other people with DID have trouble functioning normally and have a long history of psychological problems. These people may be unable to work to support themselves and need multiple hospitalizations. It is common for someone with DID to function at an extremely high level in one area or at one time and, conversely, to function at a very low level in another area or at another time. This leaves those around them very puzzled and confused. Controversy Unfortunately, there is controversy regarding multiple personality. Some critics inside and outside the mental health profession claim that it is not a legitimate psychiatric disorder, perhaps because the idea of having multiple personality and repressed memories does not make sense to them. They may believe that this disorder is created by people seeking attention through being dramatic, caused by incompetent therapists suggesting this diagnosis to their clients, or used by people wanting an excuse for irresponsible or even criminal behavior. Some of these critics also attack the concept of recovered memories of child sexual abuse. They believe this profound loss of memory is not real and that these recovered memories are actually false memories that serve the same purposes mentioned above. The result is that the trauma field has tended to become polarized into true believers and extreme skeptics. A balanced position has sometimes been lost. Trauma experts with a balanced view will admit that some memories are inaccurate, that some clients labeled as having DID have indeed been misdiagnosed for the reasons the critics offer, and that some therapists do a poor job. However, these experts argue that the research base and clinical evidence supporting the existence of a distinct diagnosis called DID is strong and that the repression of memories of childhood abuse is real. Sources for Further Study Cohen, L., J. Berzhoff, and M. Elin, eds. Dissociative Identity Disorder: Theoretical and Treatment Controversies. Northvale, N.J.: Jason Aronson, 1995. This book gives the differing views regarding the controversies around DID. Each chapter offers both sides of the position on the topic at hand. It is somewhat technical. Hocking, Sandra J. Living with Your Selves: A Survival Manual for People with Multiple Personalities. Rockville, Md.: Launch Press, 1992. This is a selfhelp book written by and for someone who has multiple personality. It contains helpful and accurate information. Putnam, Frank. Diagnosis and Treatment of Multiple Personality Disorder. New York: Guilford Press, 1989. A textbook meant for professionals, written by an expert at the National Institute of Mental Health. Ross, Colin A. Dissociative Identity Disorder: Diagnosis, Clinical Features, and Treatment of Multiple Personality. New York: John Wiley & Sons, 1997. Per563
Psychology Basics haps the leading textbook on DID. Everything you wanted to know and more by an international psychiatric expert. It is written for the professional, though it is very readable. It also contains the author’s psychological test, called the DDIS, to help diagnose DID. __________. The Osiris Complex: Case Studies in Multiple Personality Disorder. Toronto: University of Toronto Press, 1994. An interesting and readable book for both lay and professional audiences, giving specific cases with details that illustrate features of DID. Dennis Bull See also: Personality Disorders.
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Nervous System Type of psychology: Biological bases of behavior; language; learning; memory; sensation and perception Fields of study: Auditory, chemical, cutaneous, and body senses; biological treatments; endocrine system; nervous system; organic disorders; schizophrenias; thought; vision The nervous system represents the interconnections of cells that recognize and coordinate the senses of the body. The nervous system is divided into two major components: the central nervous system, which includes the brain and spinal cord, and the peripheral nervous system, which communicates impulses to and from the regions of the body. Key concepts • central nervous system • endocrine system • endorphins and enkephalins • limbic system • neuron • neurotransmitters • peripheral nervous system The functions of the human nervous system are in many ways analogous to that of a computer. The brain receives information in the form of stimuli from the senses open to the outside world. Within the brain are specific regions, analogous to programs, that interpret the stimuli and allow for a response. More specifically, such responses take the form of physiological or behavioral changes. Some of these stimuli result from activation of tissues or organs within the endocrine system, a network of glands which secrete hormones directly into the bloodstream for regulation of target organs. The functional unit of the nervous system is the neuron, a cell which receives or sends information in the form of electrical impulses. The major component of the neuron is the cell body, the portion which contains the nucleus and most of the internal organelles. Two major forms of neurons are found within the nervous system: sensory neurons, which transmit the impulse toward the central nervous system (brain and spinal cord), and motor neurons, which receive impulses from the brain or spinal cord and transmit the impulse to muscles or other tissues. Depending upon the type of neuron, a variety of processes may emanate from the cell body. Axons transmit the impulse away from the cell body and toward the target cell or tissue. Dendrites receive the impulse from other neurons or other sources of stimuli. The actual nerve consists of bundles of thousands of axons wrapped within a form of connective tissue. The surface of a resting, or unstimulated, neuron has a measurable electrical potential across the membrane. When the nerve is stimulated, whether mechanically such as by pressure or electrically as in the sense of sight, an in565
Psychology Basics flux of electrically charged ions such as sodium occurs; the result is referred to as an action potential. The electrical discharge flows along the axon until it reaches the end of the neuron. Eventually the resting potential is restored, and the neuron may again undergo stimulation. At its tip, the axon divides into numerous terminal branches, each with a structure called a synaptic bulb on the end. Within the bulb are vessels containing chemicals called neurotransmitters, molecules which transmit the electrical signal from one neuron to another, or to target tissues such as those in the endocrine system.
The Nervous System Cerebrum Cerebellum
Medulla oblongata (behind cerebellum)
Brachial plexus Spinal nerves Spinal cord
Sciatic nerves (Hans & Cassidy, Inc.) 566
Nervous System There exist within the nervous system a large number of different forms of neurons, many of which respond to different types of neurotransmitters. Alterations in production of these chemicals, or in the ability of nerves to respond to their stimuli, form the physiological basis for a variety of psychological problems. Central Nervous System The central nervous system is composed of two principal structures: the brain and the spinal cord. The brain is one of the largest organs in the human body, weighing on average about three pounds and consisting of one trillion neurons by early adulthood. The brain is subdivided into four major functional areas. The cerebrum, the largest portion of the brain, regulates sensory and motor functions. The convolutions characteristic of the human brain represent the physical appearance of the cerebrum. The brain stem connects the brain with the spinal cord, carrying out both sensory and motor functions. The diencephalon consists of the thalamus, the relay center for sensory functions entering the cerebrum, and the hypothalamus, which controls much of the peripheral nervous system activity and regulates endocrine processes. The fourth portion of the brain is the cerebellum, the rear of the brain where voluntary muscle activity is controlled. Peripheral Nervous System The peripheral nervous system consists of the sensory receptors such as those that recognize touch or heat in the skin or visual stimuli in the retina of the eye, and the nerves which communicate the stimuli to the brain. The peripheral nervous system is often subdivided into two parts, according to function: the somatic portion, which recognizes stimuli in the external environment such as on the skin, and the autonomic portion, which recognizes changes in the internal environment, such as hormone or mineral concentrations in the bloodstream. The somatic portion of the peripheral nervous system in humans consists of twelve pairs of nerves which originate in the brain and which transmit sensory input from the body. For example, nerve endings in the retina of the eye transmit images to the brain; sensory fibers in the face transmit impulses affecting the skin or teeth. An additional thirty-one pairs of nerves emerge from the spinal cord, subdivide into branches, and innervate various regions of the body. The autonomic nervous system maintains homeostasis, or constancy, within the body. For example, receptors measure heart rate, body temperature, and the activity of hormones within the bloodstream and tissues. Any abnormality or change results in a signal sent to the brain. The most notable of the functions of the autonomic nervous system occur in the sympathetic and parasympathetic systems. The sympathetic arm of the system is primarily associated with the stimulation tissues and organs. 567
Psychology Basics For example, during times of stress, hormones are released that increase the heart rate, constrict blood vessels, and stimulate the sweat glands, a phenomenon often referred to as “fight or flight.” By contrast, the parasympathetic system counteracts these effects, decreasing the heart rate, dilating blood vessels, and decreasing the rate of sweating. Role of Neurotransmitters Neurons communicate with one another through the release of neurotransmitters, chemical substances that transmit nerve impulses between nerve cells. Numerous types of neurotransmitters have been identified. Some of these transmitters act to excite neurons, while others inhibit neuronal activity. The particular type of transmitter is synthesized within the cell body of the neuron, travels along the axon, and is released into the space between neurons, known as the synapse. Among the most prominent neurotransmitters involved in the excitation of neurons is acetylcholine. The same transmitter bridges the junctions between nerves and skeletal muscles as well as glandular tissues in the body. In the brain, acetylcholine bridges the synapses between neurons throughout the central nervous system. The amino acids glutamic acid and aspartic acid are also known to be involved in excitation of some neurons within the brain. The neurotransmitter serotonin is released mainly within the brain stem, where it appears to regulate activities such as sleep, moods, and body temperature. Certain neurotransmitters serve in the inhibition of neuronal activity. The most common of these is gamma-aminobutyric acid (GABA), found primarily in the diencephalon region of the brain. Here GABA acts to reduce the activity within the region. Antianxiety drugs such as valium or librium appear to work by enhancing the activity of GABA, resulting in the relaxation of skeletal muscles. Antidepression compounds such as Prozac and Zoloft appear to function through blockage of serotonin uptake by neurons. Endorphins and the Placebo Effect Persons who receive treatments with agents that possess no pharmacological activity for various illnesses or conditions have often been known to show improvement. Such a reaction is called the placebo effect. Whether the placebo effect is real has long been controversial. A 1955 study published in the prestigious Journal of the American Medical Association was the first significant report that the effect was real. More recent work has suggested the placebo effect may be sometimes more myth than reality. Nevertheless, there is evidence that such an effect may indeed occur and may be associated with forms of neurotransmitters called endorphins (endogenous morphines) and enkephalins. Endorphins and enkephalins represent a class of neurotransmitter-like chemicals called neuropeptides, small molecules which consist of between two and forty amino acids. 568
Nervous System Enkephalins, discovered in 1975, block pain impulses within the central nervous system in ways similar to the drug morphine. The second class of molecules, subsequently called endorphins, was discovered soon afterward. They appear to act through suppression of pain impulses through suppression of a chemical called substance P. Substance P is released by neurons in the brain, the result of pain impulses from receptors in the peripheral nervous system. By inhibiting the release of substance P, these neuropeptides suppress sensory pain mechanisms. In support of a physiological basis for the placebo effect, patients treated with the endorphin antagonist naloxon produced no discernable response to placebo treatment. Endorphins have been shown to play a role in a wide variety of body functions, including memory and learning and the control of sexual impulses. Abnormal activity of endorphins has been shown to play a role in organic psychiatric dysfunctions such as schizophrenia and depression. Deficits in endorphin levels have been observed to correlate with aggressiveness; endorphin replacement therapy results in the diminishment of such behavior. Abnormal levels of endorphins in the blood have also been found in individuals suffering from behavioral disorders such as anorexia or obesity. Limbic System and Emotions The limbic system is the label that applies to regions of the diencephalon such as the thalamus and hypothalamus that are associated with behaviors such as emotions, learning, and sexual behavior. Stimulation of various areas within the limbic system during surgery has resulted in the patient feeling a variety of conflicting emotions, such as happiness and pleasure or fear and depression, depending upon the area being tested. Some of these emotions or behaviors are associated with survival. For example, stimulation of certain areas results in feelings of rage or sexual excitement. Such patterns of behavior, accompanied by increased heart rate and blood pressure, have suggested that the limbic system plays a role in the “fight or flight” phenomenon. Neurotransmitters such as serotonin and dopamine are believed to play roles in these behaviors. The effects of recreational drugs on behaviors and emotions may in part be due to the similarity of action between these drugs and neurotransmitters. For example, the high associated with amphetamine use or abuse may result from stimulation of these neurotransmitters. Cocaine blocks the movement of dopamine, resulting in the continual activation of neurons which use dopamine as a neurotransmitter. The addiction associated with cocaine results from alterations in the affected neurons, resulting in an increase in need for stimulation by these pathways. The disorder schizophrenia may also be the result of impaired transmission of dopamine. The symptoms of schizophrenia—hallucinations or delusions—may be decreased through the use of drugs which inhibit dopamine release. Likewise, drugs which stimulate dopamine activity increase the severity of symptoms. 569
Psychology Basics Sources for Further Study Becker, J., S. Breedlove, and D. Crews. Behavioral Endocrinology. Cambridge, Mass.: MIT Press, 2000. Emphasis is on the role of the endocrine system and neurotransmitters on physiology of the nervous system, as well as effect on behaviors. “The Brain.” Scientific American 241 (September, 1979). The issue was devoted entirely to the nervous system. Though new information has subsequently become available, the issue remains an excellent general source for the subject. Excellent photographs and diagrams are included in the articles. Kolb, Bryan, and Ian Whishaw. An Introduction to Brain and Behavior. New York: Worth, 2001. Textbook on the subject. In addition to thorough coverage of brain structure and function, the authors describe the role of neurophysiology and behavior. Sherwood, Lauralee. Human Physiology: From Cells to Systems. Pacific Grove, Calif.: Brooks/Cole, 2001. Drawing on recent experimentation, the author provides extensive background material for those chapters which explain the function of the nervous system. The text includes extensive details, but tables and diagrams clarify the material and provide numerous examples. Richard Adler See also: Brain Structure; Endocrine System; Hormones and Behavior; Neuropsychology; Sensation and Perception; Senses.
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Neuropsychology Type of psychology: Biological bases of behavior Fields of study: Behavioral and cognitive models; cognitive processes; nervous system; organic disorders Neuropsychology is the study of the relationship between the brain and behavior. It has provided insights into the workings of the normal brain as well as innovations for diagnosing and assisting individuals with an injury to or disease of the brain. Key concepts • assessment • cognition • lesion • norm • rehabilitation Neuropsychology is the study of the relationships between the brain and behavior. More fully, it is the study of both human and animal cerebral organization as it relates to behavior. Considerable attention is directed toward investigating the workings of both healthy and damaged neural systems; specifically, there is interest in obtaining a more complete understanding of disorders of language, perception, and motor action. The field of neuropsychology can be divided into a number of specialty areas. The discussion which follows will concentrate on experimental neuropsychology and clinical neuropsychology. While this distinction is not absolute, it serves to classify the types of work in which neuropsychologists are involved. Brain Lesions Clinical neuropsychology refers to the study of individuals who have lesions of the brain. These lesions are often produced by tumors, cerebral vascular accidents (strokes), or trauma (for example, an automobile crash). The clinical neuropsychologist is heavily involved in the assessment of cognitive deficits brought on by these brain lesions. By evaluating the patient’s performance on a variety of paper-and-pencil tests, the neuropsychologist can make valuable diagnostic inferences. The clinician can begin to develop hypotheses concerning the location, extent, and severity of the lesion. Similarly, an attempt is made to discern the functional significance of the brain lesion on the patient. Damage to the same part of the brain may affect two individuals very differently. Because of this fact, it is vital that the clinical neuropsychologist assess the effect of the lesion on the patient’s daily functioning at work, at home, and in social contexts as well as the relatively artificial environment of the testing room. Furthermore, it is important that evaluation consider the patient’s current strengths in addition to weaknesses or impairments. Intact abilities can assist the patient in coping and compensating for the loss of some other function. 571
Psychology Basics Brain Batteries A comprehensive neuropsychological test battery should assess the integrity of the entire brain. To assure the thoroughness of the evaluation, the neuropsychologist generally administers a large number of diverse tests to the patient. The tests typically demand different mental or cognitive abilities, which are subserved by different regions of the brain. These different cognitive abilities are commonly referred to as cognitive domains and include functions such as attention, memory, perception, movement, language, and problem solving. A number of comprehensive test batteries have been created to assess the various cognitive domains. The Halstead-Reitan and Luria-Nebraska are two such batteries that have been used to diagnose the location and severity of brain damage in neurological patients. These batteries consist of a variety of subtests that are believed to tap into different cognitive abilities. For example, the Halstead-Reitan contains subtests that have proved to be helpful in localizing brain damage. This is done by first administering the Halstead-Reitan to a large number of patients with previously diagnosed brain damage. The researcher then looks at those patients with damage to a particular region of the brain (for example, right frontal) and observes which subtests gave them difficulty. By repeating this process on each patient group (left frontal, right posterior, and so on), the researcher can establish norms. When a patient with suspected damage is tested with the battery, his or her scores can be compared to those in each patient group. Thus, if he or she performs similarly to the right-frontal norms, damage may be diagnosed to this region. While this is an oversimplification, it provides a general model of how test batteries are used in neuropsychology to evaluate patients with suspected brain damage. Experimental Neuropsychology Experimental neuropsychology focuses on answering theoretical questions rather than solving clinical or practical ones. Because of the invasive nature of these questions, experimental neuropsychologists often use animals rather than humans in their research. Typically, animals are used in the initial stages of a line of research. After the research procedure has been proved to be safe and effective, however, it is then confirmed on a human sample. Experimental neuropsychologists have shed light on a number of cognitive functions and the parts of the brain involved in those functions. The methods that experimental neuropsychologists use to study cognitive abilities in humans can be quite creative. The tachistoscope is a device that projects a visual image to either the right or the left half of the visual field very quickly, so that the right or left hemisphere of the brain has preferential access to the visual image. Thus, the importance of the left or right hemisphere of the brain in a given task can be identified. While the daily routines of clinical and experimental neuropsychologists are quite different, their work can be considerably intertwined. For exam572
Neuropsychology ple, the insights of experimental neuropsychologists often improve clinicians’ ability to assess and treat individuals with neurological impairment. Similarly, clinicians’ descriptions of interesting patients can often open the road for further theoretical investigation by experimental neuropsychologists. Practice and Theory The fields of clinical and experimental neuropsychology have been useful in solving a number of practical problems as well as more theoretical ones. For example, clinical neuropsychological procedures have been applied in the assessment and treatment of individuals suspected of having Alzheimer’s disease. This disease is difficult to confirm unless a sample of brain is removed and inspected microscopically, a procedure that is quite invasive and is rarely attempted until after the patient’s death. Neuropsychological test procedures have contributed dramatically to the accurate diagnosis of Alzheimer’s disease without the use of invasive measures such as surgery. Typically, a series of memory, language, perceptual, and problem-solving tasks are given to the individual when the disease is first suspected. The patient is then tested serially at six-month intervals, and the overall pattern of test scores across time is evaluated. If the patient tends to display a decremental pattern of performance across two or more cognitive domains (for example, memory and language), a diagnosis of dementia is supported. Along with the measurement of various cognitive functions, neuropsychology also seems particularly equipped to investigate other aspects of the disease. While a patient’s performance on a test battery is helpful, other features must be examined in diagnosing the disorder. For example, depression, hallucinations, delusions, and verbal or physical outbursts are often common with the disease. Conversely, the appearance of certain other signs or symptoms make a diagnosis of Alzheimer’s disease unlikely. Because of this diverse collection of psychological and behavioral symptoms, clinical neuropsychology may be the best manager of services for these patients. A second application of neuropsychological techniques concerns the recent surge in rehabilitation efforts with the brain-injured. Many individuals who have sustained an injury to or have a disease of the brain have great difficulty returning to their premorbid jobs or avocations. Neuropsychological rehabilitation attempts to assist these patients with ongoing cognitive difficulties as they reenter the work and home settings. Very often, people who have brain injuries do not have problems with all cognitive domains but rather with a select few (for example, attention or language). Because of this selective impairment, clinical neuropsychologists can focus their efforts on improving an individual’s attentional abilities or use of language. A specific example of neuropsychological rehabilitation can be seen in the case of an individual who has been involved in a motor vehicle accident. These patients tend to sustain primary damage to the frontal aspects of the brain because they withstand the initial impact. Damage to the frontal re573
Psychology Basics gions normally produces individuals who are very unaware of their surroundings. Furthermore, they typically lack appropriate social skills as well as planning and organizational abilities. These abilities can be improved, however, if the patient works with a neuropsychologist who knows what to expect, based on the exact area of damage. Generally, rehabilitation involves intensive exposure to the problematic cognitive task. In the case of a patient with damage to the frontal area of the brain, this might entail placement in a group situation in which the patient practices social skills. Specific activities might include working on conversation skills, role-playing a job interview or asking for a date, or working on a group project. Individual sessions with the patient might be better suited for the treatment of the organizational and planning deficits experienced by frontal patients. Here, the neuropsychologist might teach the patient to use a diary to plan the week’s activities and learn to solve problems to get things done. While neuropsychologists often assist patients in acquiring compensation strategies to work around their particular difficulties, there are other rationales for rehabilitative efforts. Many researchers and psychologists believe that practicing the impaired function assists the repairing brain in doing that task. There appears to be a six- to twelve-month period immediately after a brain injury when the brain is developing pathways around the damaged tissue. Many believe that during this critical period, it is important to engage the patient in activities that were most compromised by the injury. Thus, if the injury took a major toll on memory abilities, the patient should be exposed to exercises and activities that demand he or she remember things. In general, neuropsychology has tremendous applied value for persons who have sustained a neurological insult such as a stroke or brain injury. Furthermore, it is useful in the initial assessment and accurate diagnosis of a given neurological disorder, as well as in the continued care and treatment of individuals with known brain pathology. Brain Study Neuropsychology rapidly emerged as a separate branch of the neurosciences in the 1970’s and 1980’s. During that time, there was an explosion of training programs for neuropsychologists and scientific research concerning the relationships between the brain and behavior. While the field has only recently evolved, however, the discipline’s underpinnings can be traced back thousands of years. Egyptian writings dating to 2500 b.c.e. describe trauma to the brain and the behavior of the patient sustaining this damage. A second early milestone occurred with the anatomical studies and illustrations of the 1800’s. In 1861, Paul Broca demonstrated that a lesion of the left frontal lobe of the brain caused a disruption of the production of speech. Soon after this revelation, researchers became quite consumed with localizing all cognitive functions to some discrete part of the brain. 574
Neuropsychology Those who believed that each function could be neatly contained in a small region of the brain came to be known as localizationists. Those who believed that all areas of the brain were equally involved in all cognitive abilities were labeled equipotentialists. A third group known as interactionists suggests that more basic cognitive functions are relatively localized but interact to allow for more complex cognitive processes. This perspective was derived from the late nineteenth century research of Hughlings Jackson in his clinical work as a neurologist. In many ways, Jackson’s ideas were quite advanced for his time and the available research methodology. The twentieth century witnessed a steady accumulation of knowledge concerning the relationships between the brain and behavior. These developments occurred primarily because of the need to assist soldiers who had sustained wartime brain injuries. In the process of treating these individuals, much was learned about the role of various brain regions in carrying out various behaviors. The systematic study of brain-injured persons by Aleksandr Luria contributed tremendously to the process of assessing and localizing brain dysfunction. This new awareness provided psychology with a better understanding of how the physical brain can produce very atypical behaviors. Before this time, it was believed that behavioral disturbance was universally caused by disruption of the nonphysical “mind.” The new knowledge has given clinical psychologists much more sophisticated answers about how best to treat patients with behavioral difficulties. It has also served to remove some of the stigma attached to mental illness or dysfunction. The lay public seems more willing to tolerate atypical behavior from an individual with physical damage to the brain than from a patient labeled as being mentally ill. The future of neuropsychology appears to be full of promise. It is expected that investigators will continue to conduct research that sheds light on the workings of the healthy brain as well as assisting those with neurological damage. Furthermore, it appears that neuropsychology will continue to advance the larger field of psychology by providing physiological explanations for behaviors and disorders that now have only hypothetical ones. Sources for Further Study Beaumont, J. Graham. Introduction to Neuropsychology. New York: Guilford Press, 1983. An accessible reference for the student who is new to the field. Particularly helpful in describing the methods used to investigate experimental neuropsychological phenomena. Ellis, Andrew W., and Andrew W. Young. Human Cognitive Neuropsychology. Rev. ed. Hillsdale, N.J.: Lawrence Erlbaum, 1996. Presents ideas and research from the mid-1980’s on the integrated workings of the brain. Particularly helpful in establishing a theoretical framework that assists the student in integrating the often divergent research findings in a more holistic manner. Kolb, Bryan, and Ian Q. Whishaw. Fundamentals of Human Neuropsychology. 575
Psychology Basics 4th ed. New York: W. H. Freeman, 1996. A comprehensive textbook that fully covers the fields of clinical and experimental neuropsychology. Lengthy but clear and well written. Best suited to the student who has read an introductory work on the topic. Ledoux, Joseph. Synaptic Self: How Our Brains Become Who We Are. New York: Viking Press, 2002. Written for a lay audience, explains the neuroscience of personality and the brain. Focuses on the working of the synapses in the brain’s communication system. Luria, Aleksandr Romanovich. The Working Brain: An Introduction to Neuropsychology. New York: Basic Books, 1973. Considered by many to be the seminal work in the field. Presents many of Luria’s most dramatic insights about normal and damaged brains. Although the title suggests this is an introduction, the ideas presented in this source are often highly complex. Sacks, Oliver. The Man Who Mistook His Wife for a Hat. New York: HarperPerennial Library, 1990. Sacks is a gifted writer as well as successful neurologist, and he displays the best of both these talents in this work. Reads more like a novel than a textbook. Based on actual neurological cases seen by Sacks. Jeffery B. Allen See also: Alzheimer’s Disease; Brain Structure; Cognitive Psychology; Dementia; Nervous System; Parkinson’s Disease.
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Obsessive-Compulsive Disorder Type of psychology: Psychopathology Field of study: Anxiety disorders Obsessions and compulsions are the cardinal features of a chronic anxiety disorder known as obessive-compulsive disorder. The identification of repetitive, anxietyprovoking thoughts known as obsessions and of associated compulsive, ritualistic behaviors is critical in the diagnosis and assessment of this debilitating condition. Key concepts • anxiety • checking ritual • cleaning ritual • compulsions • fear of contamination • obsessions • response prevention Obsessive thinking and urges to engage in ritualistic compulsive behaviors are common phenomena that most individuals experience to some extent throughout their lives. It is not uncommon, for example, for a person to reexperience in his or her mind involuntary, anxiety-provoking images of circumstances surrounding a traumatic accident or embarrassing moment. Similarly, behaviors such as returning home to make sure the iron is turned off or refusing to eat from a spoon that falls on a clean floor represent mild compelling rituals in which many persons engage from time to time. It is when these patterns of obsessive thinking and behaving become either too frequent or too intense that they may escalate into a distressing clinical condition known as obsessive-compulsive disorder. According to the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000), the primary feature of this disorder is the presence of distressing obsessions or severe compulsive behaviors that interfere significantly with a person’s daily functioning. Although diagnosis requires only the presence of either obsessions or compulsions, they typically are both present in obsessive-compulsive disorder. In most cases, persons with this diagnosis spend more time, on a daily basis, experiencing obsessive thinking and engaging in ritualistic behaviors than other constructive activities, including those pertaining to occupational, social, and family responsibilities. Therefore, it is not uncommon for obsessive-compulsive patients also to experience severe vocational impairment and distraught interpersonal relationships. Obsessions The word “obsession” comes from the Latin word obsidere (“to besiege”) and can be defined as a recurrent thought, impulse, idea, or image that is intru577
Psychology Basics sive, disturbing, and senseless. Among the most common types are themes of violence (for example, images of killing a loved one), contamination (for example, thoughts of catching a disease from a doorknob), and personal injury or harm (for example, impulses to leap from a bridge). Obsessional doubting is also characteristic of most patients with obsessive-compulsive disorder, which leads to indecisiveness in even the most simple matters such as selecting a shirt to wear or deciding what to order at a restaurant. The basic content of obsessive thinking distinguishes it from simple worrying. Worrying involves thinking about an event or occurrence that may realistically result in discomfort, embarrassment, or harm and has a probability of occurring; obsessive thinking is typically recognized by the patient as being senseless and not likely to occur. An example of a worry is thinking about an event that possesses a strong likelihood of occurring, such as failing a test when one has not studied. Repeatedly imagining that one might leap from the third-floor classroom during the exam, a highly unlikely event, is considered an obsession. Furthermore, because the obsessive-compulsive patient is aware that these intrusive thoughts are senseless and continuously attempts to rid the thought from his or her mind, obsessive thinking is not delusional or psychotic in nature. Although both delusional and obsessive patients may experience a similar thought (for example, that they have ingested tainted food), the obsessive patient recognizes that the thought is unlikely and is a product of his or her mind and struggles to get rid of the thought. The delusional patient adheres to the belief with little to no struggle to test its validity. Compulsions Most obsessive-compulsive patients also exhibit a series of repetitive, intentional, stereotyped behaviors known as compulsions, which serve to reduce the anxiety experienced from severe obsessive thinking. The most common forms include counting (for example, tapping a pencil three times before laying it down), cleaning (for example, hand washing after shaking another person’s hand), checking (for example, checking pilot lights several times a day), and ordering (for example, arranging pencils from longest to shortest before doing homework). Compulsions are different from simple habits in that attempts to resist urges to engage in them result in a substantial increase in anxiety, eventually forcing the patient to engage in the compelling behavior to reduce the tension. Urges to engage in simple habits, on the other hand, can often be resisted with minimal discomfort. Furthermore, most habits result in deriving some degree of pleasure from the activity (for example, shopping, gambling, drinking), while engaging in compulsive behaviors is rarely enjoyable for the patient. Compulsions must also be distinguished from superstitious behaviors, such as an athlete’s warm-up ritual or wearing the same “lucky” shoes for each sporting event. In contrast to superstitious people, who employ their rituals to enhance confidence, obsessivecompulsive patients are never certain their rituals will result in anxiety reduction. This typically forces these patients continually to expand their rep578
Obsessive-Compulsive Disorder ertoire of ritualistic behaviors, searching for new and better ways to eliminate the anxiety produced by obsessive thinking. It is estimated that approximately 2 percent of the adult population in the United States—a larger percentage than was once believed—has at some time experienced obsessive-compulsive symptoms severe enough to warrant diagnosis. Typically, obsessive-compulsive symptoms begin in adolescence or early adulthood, although most patients report symptoms of anxiety and nervousness as children. Regarding early developmental histories, many obsessive-compulsive patients report being raised in very strict, puritanical homes. The disorder occurs equally in males and females, although cleaning rituals occur more frequently among women. While the course of the disorder is chronic, the intensity of symptoms fluctuates throughout life and occasionally has been reported to remit spontaneously. Because of the unusual nature of the symptoms, obsessive-compulsive patients often keep their rituals hidden and become introverted and withdrawn; as a result, the clinical picture becomes complicated by a coexisting depressive disorder. It is typically the depression which forces the patient to seek psychological help. Etiology and Treatments Because of the distressing yet fascinating nature of the symptoms, several theoretical positions have attempted to explain how obsessive-compulsive disorder develops. From an applied perspective, each theoretical position has evolved into a treatment or intervention strategy for eliminating the problems caused by obsessions and compulsions. According to psychoanalytic theory, as outlined by Sigmund Freud in 1909, obsessive-compulsive rituals are the product of overly harsh toilet training which leaves the patient with considerable unconscious hostility, primarily directed toward an authoritarian caregiver. In a sense, as uncomfortable and disconcerting as the obsessions and compulsive behaviors are, they are preferable to experiencing the intense emotions left from these childhood incidents. Obsessions and compulsions permit the patient to avoid experiencing these emotions. Furthermore, obsessive-compulsive symptoms force the patient to become preoccupied with anxiety-reduction strategies which prevent them from dealing with other hidden impulses, such as sexual urges and desires. Based upon the psychoanalytic formulation, treatment involves identifying the original unconscious thoughts, ideas, or impulses and allowing the patient to experience them consciously. In his classic case report of an obsessive patient, Freud analyzed a patient known as the “rat man,” who was plagued by recurrent, horrifying images of a bucket of hungry rats strapped to the buttocks of his girlfriend and his father. Although periodic case reports of psychoanalytic treatments for obsessive-compulsive disorder exist, there is very little controlled empirical work suggesting the effectiveness of this treatment approach. Behavioral theorists, differing from the psychoanalytic tradition, have 579
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DSM-IV-TR Criteria for Obsessive-Compulsive Disorder (DSM code 300.3) Either obsessions or compulsions Obsessions defined by all of the following: • recurrent and persistent thoughts, impulses, or images experienced, at some time during disturbance, as intrusive and inappropriate and cause marked anxiety or distress • thoughts, impulses, or images not simply excessive worries about reallife problems • attempts made to ignore or suppress thoughts, impulses, or images, or to neutralize them with some other thought or action • recognition that thoughts, impulses, or images are product of his or her own mind (not imposed from without, as in thought insertion) Compulsions defined by both of the following: • repetitive behaviors (hand washing, ordering, checking) or mental acts (praying, counting, repeating words silently) that individual feels driven to perform in response to an obsession or according to rules that must be applied rigidly • behaviors or mental acts aimed at preventing or reducing distress or preventing some dreaded event or situation; behaviors or mental acts either are not connected in a realistic way with what they are designed to neutralize or prevent or are clearly excessive At some point, individual recognizes obsessions or compulsions as excessive or unreasonable; this does not apply to children Obsessions or compulsions cause marked distress, are time-consuming, or interfere significantly with normal routine, occupational or academic functioning, or usual social activities or relationships If another Axis I disorder is present, content of obsessions or compulsions not restricted to it Disturbance not due to direct physiological effects of a substance or general medical condition Specify if with Poor Insight (most of the time during current episode, obsessions and compulsions not recognized as excessive or unreasonable)
proposed that obsessive-compulsive disorder represents a learned habit that is maintained by the reinforcing properties of the anxiety reduction that occurs following ritualistic behaviors. It is well established that behaviors that are reinforced occur more frequently in the future. In the case of compulsive behaviors, the ritual is always followed by a significant reduction in anxiety, therefore reinforcing the compulsive behavior as well as the preceding obsessive activity. Based upon the behavioral perspective, an intervention strategy called response prevention, or flooding, was developed to facilitate 580
Obsessive-Compulsive Disorder the interruption of this habitually reinforcing cycle. Response prevention involves exposing the patient to the feared stimulus (for example, a doorknob) or obsession (for example, an image of leaping from a bridge) in order to create anxiety. Rather than allowing the patient to engage in the subsequent compulsive activity, however, the therapist prevents the response (for example, the patient is not permitted to wash his or her hands). The patient endures a period of intense anxiety but eventually experiences habituation of the anxiety response. Although treatments of this nature are anxiety provoking for the patient, well-controlled investigations have reported significant reductions in obsessive thinking and ritualistic behavior following intervention. Some estimates of success rates with response prevention are as high as 80 percent, and treatment gains are maintained for several years. Theories emphasizing the cognitive aspects of the obsessive-compulsive disorder have focused on information-processing impairments of the patient. Specifically, obsessive-compulsive patients tend to perceive harm (for example, contamination) when in fact it may not be present and to perceive a loss of control over their environment. While most individuals perceive a given situation as safe until proved harmful, the obsessive-compulsive patient perceives situations as harmful until proved safe. These perceptions of harm and lack of control lead to increased anxiety; the belief that the patient controls his or her life or the perception of safety leads to decreased anxiety. Accordingly, compulsive rituals represent a patient’s efforts to gain control over his or her environment. Cognitive interventions aim to increase the patient’s perception of control over the environment and to evaluate realistically environmental threats of harm. While cognitive approaches may serve as a useful adjunct to behavioral treatments such as response prevention, evidence for their effectiveness when used in treating obsessions and compulsions is lacking. Finally, biological models of obsessive-compulsive disorder have also been examined. There is some indication that brain electrical activity during information processing, particularly in the frontal lobes, is somewhat slower for obsessive-compulsive patients in comparison to other people. For example, metabolic activity of the frontal brain regions measured using positron emission tomography (PET) scans differentiates obsessive-compulsive patients both from normal people and depressive patients. Further, a deficiency in certain neurotransmitters (for example, serotonin, and norepinephrine) has been implicated in the etiology of the disorder. Several interventions based upon the biological model have been employed as well. Pharmacotherapy, using antidepressant medications that primarily act to facilitate neurotransmitter functioning (for example, clomipramine), has been shown to be effective in treating from 20 percent to 50 percent of obsessivecompulsive patients. More drastic interventions such as frontal lobotomies have been reported in the most intractable cases, with very limited success. Among the interventions employed to rid patients of troublesome obsessions and compulsions, response prevention holds the most promise. Be581
Psychology Basics cause of the intensity of this treatment approach, however, the cost may be substantial, and many patients may not immediately respond. A number of predictors of poor treatment response to behavioral interventions (characteristic of those most refractory to treatment) have been identified. These include a coexisting depression, poor compliance with exposure/responseprevention instructions, the presence of fears that the patient views as realistic, and eccentric superstition. In these cases, alternative forms of treatment are typically considered (for example, pharmacotherapy). Prevalence and Research Obsessions and compulsions represent human phenomena that have been a topic of interest for several centuries; for example, William Shakespeare’s characterization of the hand-washing Lady Macbeth has entertained audiences for hundreds of years. Prior to the first therapeutic analysis of obsessive-compulsive disorder, then called a neurosis—Freud’s description of the “rat man”—obsessive thoughts were commonly attributed to demoniac influence and treated with exorcism. Freud’s major contribution was delivering the phenomenon from the spiritual into the psychological realm. Although initial case reports employing psychoanalysis were promising, subsequent developments using behavioral and pharmacological formulations have more rapidly advanced the understanding of the phenomenology and treatment of this unusual condition. In addition, with the public revelation that certain prominent individuals, such as the aircraft designer and film producer Howard Hughes, suffered from this condition, the prevalence estimates of this disorder have steadily increased. Although a number of patients have sought help for this debilitating disorder since the time it was first clinically described, it has been confirmed that this problem is far more prevalent than initially thought. The increase is probably related not to an actual increase in incidence but to individuals becoming more willing to seek help for the problem. Because of the increasing number of individuals requesting help for problems relating to obsessions and compulsions, it is becoming more and more important to foster the maturation of appropriate treatment strategies to deal with this disorder. Further, it has become increasingly important to understand the manifestation of obsessions and compulsions from a biological, psychological, and socio-occupational level. Ongoing investigations are examining the biological makeup of the nervous systems peculiar to this disorder. Research examining the specific information-processing styles and cognitive vulnerabilities of obsessive-compulsive patients is also being conducted. Both responseprevention and biochemical-intervention strategies (for example, clomipramine) are deserving of continued research, primarily in the examining characteristics of obsessive-compulsive patients that predict treatment efficacy with either form of intervention. Finally, early markers for this condition, including childhood environments, early learning experiences, and biological predispositions, require further investigation so that prevention 582
Obsessive-Compulsive Disorder efforts can be provided for individuals who may be at risk for developing obsessive-compulsive disorder. With these advances, psychologists will be in a better position to reduce the chronic nature of obsessive-compulsive disorder and to prevent these distressing symptoms in forthcoming generations. Sources for Further Study American Psychiatric Association. Diagnostic and Statistical Manual of Disorders: DSM-IV-TR. Rev. 4th ed. Washington, D.C.: Author, 2000. The DSMIV-TR provides specific criteria for making psychiatric diagnoses of obsessive-compulsive disorder and other anxiety disorders. Brief summaries of research findings regarding each condition are also provided. Emmelkamp, Paul M. G. Phobic and Obsessive Compulsive Disorders: Theory, Research, and Practice. New York: Plenum Press, 1982. A somewhat dated but classic work outlining the importance of behavioral strategies in overcoming obsessive-compulsive, as well as phobic, conditions. Jenike, Michael A., Lee Baer, and William E. Minichiello. Obsessive-Compulsive Disorders: Theory and Management. 3d ed. St. Louis: Mosby, 1998. A comprehensive overview of the topic that does not burden the reader with intricate details of analysis. Readable by the layperson. Covers the topic thoroughly. Mavissakalian, Matig, Samuel M. Turner, and Larry Michelson. ObsessiveCompulsive Disorders: Psychological and Pharmacological Treatment. New York: Plenum Press, 1985. An exceptionally well written text based upon a symposium held at the University of Pittsburgh. Issues pertaining to etiology, assessment, diagnosis, and treatment are covered in detail. Rachman, S. J. “Obsessional-Compulsive Disorders.” In International Handbook of Behavior Modification and Therapy, edited by Alan S. Bellack, Michel Hersen, and Alan E. Kazdin. 2d ed. New York: Plenum Press, 1990. Rachman’s work using behavioral strategies with obsessive-compulsive patients is unparalleled. No bibliography would be complete without a contribution from Rachman, one of the most respected authorities in the field. Steketee, Gail, and Andrew Ellis. Treatment of Obsessive-Compulsive Disorder. New York: Guilford Press, 1996. A comprehensive resource for mental health professionals. Covers behavioral and cognitive approaches, biological models, and pharmacological therapies. Turner, S. M., and L. Michelson. “Obsessive-Compulsive Disorders.” In Behavioral Theories and Treatment of Anxiety, edited by Samuel M. Turner. New York: Plenum Press, 1984. Summarizes information regarding diagnostic issues, assessment strategies, and treatment interventions for obsessivecompulsive disorder. Provides an excellent review of intervention efforts employing response prevention and clomipramine. Kevin T. Larkin and Virginia L. Goetsch See also: Anxiety Disorders; Cognitive Therapy; Drug Therapies. 583
Parkinson’s Disease Type of psychology: Psychopathology Fields of study: Nervous system; organic disorders Parkinson’s disease is a chronic, progressive, neurodegenerative disorder of the nervous system. Patients are typically in their sixties when they experiences the onset of the disease. Characteristic symptoms include tremor, rigidity, and slowness of movement. Although the exact causes are not known, both genetic and environmental factors are implicated. Key concepts • akinesia • bradykinesia • dementia • depression • dopamine • levodopa • rigidity • substantia nigra • transplantation of dopamine neurons • tremor Parkinson’s disease is one of the most common neurological disorders, affecting one person in every thousand. James Parkinson, in 1817, aptly described some of the classic symptoms in his book An Essay on the Shaking Palsy. Parkinson reported the patients as having a chronic and progressive disorder of the nervous system that had a late-age onset, with the first mild symptoms not appearing until middle age. He also noted a tremor or shaking which typically appeared in the hand or one side and later spread to the other side. The disease progressed for a variable number of years, eventually leading to disability and death. A significant contribution was his ability to recognize the disorder as a disease distinct from previously described diseases. Although Parkinson’s disease is thought of as a disease with its onset in middle age, there is a considerable variation in the age of onset, and there are other forms of the disease in addition to the classical form. The average age of onset is somewhere in the sixties. About 15 percent of patients develop symptoms between the ages of twenty-one and forty years of age. An extremely rare form of the disease, juvenile Parkinsonism, begins before the age of twenty-one. In addition to the severe neuromuscular symptoms, dementia may occur in some patients. In addition to tremors, other major symptoms are muscle stiffness or rigidity and bradykinesia, or slow movement, and even a difficulty in starting movement. Akinesia, an impairment of voluntary activity of a muscle, also occurs. A number of other symptoms 584
Parkinson’s Disease may appear as a consequence of the major symptoms, such as difficulties with speech, bowel and bladder problems, and a vacant, masklike facial expression. There are striking variations among patients in the number and severity of the symptoms and the timing of the progression. Clinical Features The disease that subsequently became known as Parkinson’s disease was called “shaking palsy” by Parkinson. The shaking refers to the tremor which, although it is thought by many people to be invariably associated with Parkinson’s disease, may be completely absent, or present to a minor degree, in some patients. Four symptoms which are present in many patients are a progressive tremor, bradykinesia and even akinesia, muscular rigidity, and loss of postural reflexes. There still is no specific test that can be used to diagnose Parkinson’s disease. No biochemical, electrophysiologic, or radiologic test has been found to be completely reliable. As a result, misdiagnosis and underdiagnosis have been common with the disease. The situation is complicated further as a number of other diseases and conditions share some of the same symptoms, including Wilson’s disease, familial Alzheimer’s disease, Huntington’s disease, and encephalitis, as well as responses to certain drugs. Symptoms of Parkinson’s disease may also develop consequent to trauma to the brain. A slight tremor in the hands may indicate the first symptoms of Parkinson’s disease, and the tremor may or may not also be found in the legs, jaws, and neck. An interesting symptom that may appear in later stages of the disease is seborrhea, or acne. Intellectual functioning usually remains normal, but approximately 20 percent of the patients experience dementia and have a progressive loss of intellectual abilities and impairment of memory. It is not yet clear how the dementia of Parkinson’s disease is related to the dementia associated with Alzheimer’s disease. Depression also may occur in patients, with approximately one-third of them having depression at any one time. The depression may be directly related to the disease, or it may be a reaction to some of the medication. It has been convenient to divide the progression of symptoms of Parkinson’s disease into five stages, according to the severity of the symptoms and the degree of disability associated with them. Stage 1 is marked by mild symptoms. In this stage, the symptom that brings the patient to a physician is likely to be a mild tremor, usually limited to one hand or arm. The tremor usually is reduced or disappears during activity, but it may increase during periods of emotional stress. During this early stage of the disease, mild akinesia of the affected side and mild rigidity may be evident. Overall, many of these changes are subtle enough that the patient is not aware of them or does not complain of them. Usually, symptoms are confined to one side, but as the disease progresses, it becomes bilateral in most patients in one or two years. In Stage 2, there is bilateral involvement. Postural changes lead to the patient having a stooped posture and a shuffling walk, with little extension 585
Psychology Basics of the legs. All body movements become slower and slower (bradykinesia). The difficulty and slowness of movements may cause patients to curtail many of their normal activities and, in many cases, may lead to depression. Stage 3 is characterized by an increase in the postural changes and movements, leading to retropulsion, a tendency to walk backward, and to propulsion, a tendency when walking forward to walk faster and faster with shorter and shorter steps. As the disease progresses, movements occur more and more slowly, and there are fewer total movements. By Stage 4, symptoms have become so severe as to lead to significant disability, and the patient usually needs constant supervision. The course of the disease leads to Stage 5, a period of complete disability in which the patient is confined to a chair or bed. Interestingly, the tremor which is so characteristic of the initial onset of Parkinson’s disease tends to lessen considerably during the later stages of the disorder. In addition to the dementia associated with aging, patients with Parkinson’s disease show an increased risk of dementia, occurring six to seven times more frequently compared to age-matched controls. Causes The most striking pathological change noted in Parkinson’s disease is a loss of nerve cells in a region of the brain known as the substantia nigra, a layer of deeply pigmented gray matter located in the midbrain. The region contains nerve cells that produce dopamine, a neurotransmitter associated with the control of movement. The levels of dopamine are normally in balance with another neurotransmitter, acetylcholine. In Parkinson’s disease, the loss of dopamine-producing cells causes a decrease in the levels of dopamine, with a consequent imbalance with acetylcholine. This leads to the symptoms of Parkinson’s disease. The factors that lead to an upset of the dopaminergic system in the disease are complex. The disease is found throughout the world and occurs in nearly equal frequency in men and women, with slightly more men being affected than women. Parkinson’s disease is found in all ethnic groups, although there are some striking ethnic differences. The disease is relatively high among whites and relatively low among African blacks and Asians. Ethnic differences may reflect genetic and environmental differences. American blacks have a higher incidence than African blacks, indicating a likely role of local environmental factors. The role of genetics in Parkinson’s disease has been difficult to establish. A family history of Parkinson’s disease appears to be a strong indicator of an increased risk of the disease. As part of its comprehensive genetic profiling of its entire population, Iceland has gathered an immense amount of data on genetic diseases, including Parkinson’s disease. In the study of late-onset Parkinson’s disease, the risk ratio increased with degree of relatedness, with a 2.7 greater probability of developing the disease for nephews and nieces of patients, 3.2 for children of patients, and 6.7 for brothers and sisters of patients. Much research remains to be done to determine whether single 586
Parkinson’s Disease genes are playing a major causative role or whether the disorder is multifactorial, involving genetic and environmental factors. Treatment Once it became known that dopamine was depleted in patients with Parkinson’s disease, a rationale opened for a potential treatment. Levodopa was the first drug to be used to treat Parkinson’s disease successfully and is still the most effective treatment available. Dopamine can pass from the blood into the brain, and levodopa increases the synthesis of dopamine. The drug does not cure the disease, but it is used in the attempt to control the symptoms. Although the effectiveness of levodopa may diminish somewhat after several years, most patients continue to benefit from its use. It is necessary to monitor patients closely to maintain proper dose levels as well as to register the appearance of new symptoms, side effects, and other complications. A number of other drugs, alone or in combination, are being used or being tested. Drugs that enhance the action of dopamine are dopaminergic medications. Such drugs may increase dopamine release or may inhibit the breakdown of dopamine. Other drugs are known as anticholinergic medications, and these inhibit the action of acetylcholine. Surgery has also been used to treat symptoms of Parkinson’s disease, but results have been somewhat mixed. Surgical techniques include thalamotomy, a procedure producing a lesions in the thalamus gland for relief of severe unilateral tremor, and pallidotomy, the removal of part of the globus palledus region of the brain, which is used to treat severe rigidity and akinesia. More recently, transplantation of dopamine neurons from human embryos directly into the brain of a patient with Parkinson’s disease has been used. More trials are required, but results seem to indicate some improvement in symptoms, including bradykinesia and rigidity. The use of human tissue has raised many ethical issues because the tissue is taken from aborted human fetuses. Attempts to use tissues from cultured cells are in progress. None of the current treatments involving medication or surgery have produced a complete reversal of the symptoms of Parkinson’s disease. Sources for Further Study Cram, David L. Understanding Parkinson’s Disease: A Self-Help Guide. Omaha, Nebr.: Addicus Books, 1999. A physician, Cram provides a well-written account of the symptoms and progression of the disease from his personal perspective and also discusses present and future treatments. Jahanshahi, Marian, and C. David Marsden. Parkinson’s Disease: A Self-Help Guide. New York: Demos Medical Publishing, 2000. This book is an excellent self-help guide. In addition to chapters on the basic medical facts about Parkinson’s disease, there are chapters dealing with living and coping with the disease from the personal and family point of view. Kondracks, Morton. Saving Milly: Love, Politics, and Parkinson’s Disease. New York: Public Affairs, 2001. The author provides a moving memoir of his 587
Psychology Basics life with his wife, Milly, and the development and impact of Parkinson’s disease. Lanad, Anthony E., and Andres M. Lozano. “Parkinson’s Disease: The First of Two Parts.” The New England Journal of Medicine 339, no. 15 (1998): 1044-1052. Comprehensive review of Parkinson’s disease includes information on diagnosis and clinical features, pathology, epidemiology, genetics, and a list of ninety-three references. __________. “Parkinson’s Disease: The Second of Two Parts.” The New England Journal of Medicine 339, no. 16 (1998): 1130-1143. The second part of a two-part review on Parkinson’s disease. The article covers the pathophysiology and various types of treatment and includes a list of 199 references. Weiner, William J., Lisa M. Shulman, and Anthony E. Land. Parkinson’s Disease: A Complete Guide for Patients and Families. Baltimore: Johns Hopkins University Press, 2001. This book does an excellent job of giving current information on the features and management of Parkinson’s disease and also of providing valuable information on how families and patients can deal with the practical and emotional aspects. Donald J. Nash See also: Alzheimer’s Disease; Brain Structure; Neuropsychology; Stress.
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Pavlovian Conditioning Date: 1890’s forward Type of psychology: Learning Field of study: Pavlovian conditioning Pavlovian conditioning is a basic process of learning that relates especially to reflexes and emotional behavior. Interest in this form of learning has been long-standing and continues to the present day. Pavlovian principles apply to a wide range of organisms, situations, and events. Key concepts • conditioned emotional reaction (CER) • conditioned response (CR) • conditioned stimulus (CS) • discrimination • extinction • flooding • second-signal system • spontaneous recovery • stimulus generalization • systematic desensitization • unconditioned response (UR) • unconditioned stimulus (US) Pavlovian conditioning, also known as respondent conditioning and classical conditioning (as distinguished from instrumental or operant conditioning), is an elementary learning process and has been of major interest to psychologists ever since the Russian physiologist Ivan Petrovich Pavlov (1849-1936) discovered that a dog could learn to salivate to a neutral stimulus after the stimulus was paired repeatedly with food. Pavlov’s early career focused on the study of heart circulation and digestion in animals (usually dogs), for which he received the Nobel Prize in Physiology or Medicine in 1904. By that time Pavlov had already turned his attention to experiments on conditioned reflexes, from which flowed a new psychological nomenclature. Conditioning The core of Pavlovian conditioning is the pairing (association) of stimuli to elicit responses. Food (meat powder) placed in a dog’s mouth naturally produces salivation. Pavlov called the food an unconditioned stimulus (US) and salivation, elicited by the food, the unconditioned response (UR). When a neutral stimulus—for example, a tone that does not naturally elicit salivation—is repeatedly followed by presentation of food, the tone alone eventually evokes salivation. Pavlov labeled the tone a conditioned stimulus (CS) and the response (salivation) elicited by it the conditioned response (CR). 589
Psychology Basics Pavlov’s formulation can be summarized as follows: Before conditioning: Food (US) elicits Salivation (UR) Conditioning procedure: Neutral Stimulus (Tone) plus Food (US) elicits Salivation (UR) After conditioning: Tone (CS) elicits Salivation (CR)
Pavlov believed that conditioned responses were identical to unconditioned responses. That is usually not the case. For example, conditioned responses may be less pronounced (weaker) or a bit more lethargic than unconditioned responses. Several phenomena turn up in studies of Pavlovian conditioning. Extinction, generalization, and discrimination are among the most important. Extinction refers to the procedure as well the elimination of a CR. If the CS is repeatedly presented without the US, extinction occurs: The dog stops salivating to the tone. During the course of extinction, the CR may return from time to time until it is finally extinguished. Pavlov called the occasional return of the CR “spontaneous recovery.”
Ivan Pavlov. (The Nobel Foundation) 590
Pavlovian Conditioning Stimulus generalization refers to responding not only to a particular CS but also to different but similar stimuli. Further, the magnitude (amount of salivation) of a generalized response tends to decline as stimuli become less and less like the CS. For example, a dog trained to salivate to a 5,000-cycleper-second (cps) tone is likely to salivate also to 5,300 cps and 4,700 cps tones without specific training to do so (stimulus generalization). Responses tend to weaken in an orderly way as tones become more and more unlike the CS. As the tones move away from the CS in both directions, say, to 4,400 cps from 4,100 cps, and 5,600 cps to 5,900 cps, the flow of salivation becomes less and less. Stimulus generalization in effect extends the number of stimuli that elicit a conditioned response. Discrimination procedures restrict that number by conditioning a subject not to generalize across stimuli. The procedure involves two processes: acquisition and extinction. The CS is paired repeatedly with the US (acquisition) while the US is withheld as generalized stimuli are presented repeatedly (extinction). If the dog now salivates to the CS and not to the generalized stimuli, the dog has learned to discriminate or to act discriminatingly. Pavlov reported that some dogs displayed a general breakdown in behavior patterns (experimental neurosis) when called upon to make discriminations that were too difficult. Pavlov’s work on what he called the second-signal system implies that conditioning principles are relevant to human as well as to animal learning. Once, say, a tone is established as a CS in first-order conditioning, the tone can be paired with a neutral stimulus to establish a second-order CS. Thus, in the absence of food, a light might precede the tone (CS) several times until the light itself begins to function as a CS. Second-order conditioning appears to follow many of the same rules as first-order conditioning. Pavlov’s work has clearly provided one way to study the learning process in great detail. It has also provided the kind of data and theory that have affected research in other areas of learning, such as instrumental conditioning and, subsequently, cognitive science and neuroscience. Range of Pavlovian Conditioning Pavlovian phenomena have been demonstrated with different kinds of organisms and a wide variety of stimuli and responses far beyond those studied by Pavlov. Stimuli that precede such unconditioned stimuli as sudden loud noises (leading to rapid heart rate), a puff of air delivered to the eye (evoking blinking), or a large temperature increase (eliciting sweating) may become conditioned stimuli, capable of eliciting conditioned responses on their own. The idea of second-order (higher-order) conditioning is profoundly important because it suggests how rewards such as money or words of praise are established apart from primary (biologically necessary) rewards, such as food and water. It also may, in part, explain the power of films, plays, novels, and advertisements to evoke strong emotion in the absence of direct experience with primary (unconditioned) stimuli. Studies con591
Psychology Basics cerned with conditioned emotional reactions (CER), especially fear and anxiety in people—a subject much more complex than simple reflexes— have been of special interest to researchers and therapists for many years. Additional Research Findings Studies of conditioning essentially look at how various unconditioned and conditioned stimuli influence responses under different arrangements of time and space. Following are a few general findings. Pavlovian conditioning tends to be readily established when stimuli or responses or both are strong rather than weak. For example, in response to a near-drowning experience, some people promptly learn to fear such conditioned stimuli as the sights of water, boats, palm trees, bathing suits, and so on. In such cases, relevant stimuli and responses (panic) are presumably quite strong. Conditioned stimuli are most likely to elicit conditioned responses when unconditioned and conditioned stimuli are paired consistently. If a mother always hums when she rocks her infant daughter to sleep, humming is likely to become a potent and reliable CS which soothes and comforts her daughter. This outcome is less likely if mother hums only occasionally. When several stimuli precede a US, the one most often paired with the US will likely emerge as the strongest CS. If, for example, both parents threaten to punish their young son, but only father always carries out the threats, father’s threats are more likely than mother’s to evoke apprehension in the child. For some responses, such as eye blinking, conditioned stimuli tend to be strongest when they precede the US by about one-half second. The optimal interval for other responses varies from seconds to fractions of seconds: A neighbor’s dog barks immediately before little Sophie falls from her swing, bumping her nose very hard. She cries. If the dog’s bark subsequently makes Sophie feel uneasy, the bark is functioning as a CS. This outcome becomes less and less likely as the bark and fall increasingly separate in time. Conditioned responses are usually not established if a US and CS occur together (simultaneous conditioning)—the potency of the UC overshadows the potential CS—or when a neutral stimulus follows the US (backward conditioning). Some Practical Applications In a widely cited study reported in 1920, American researchers John B. Watson and Rosalie Rayner conditioned a phobic reaction in an eleven-monthold infant named Albert. The researchers discovered that Albert feared loud noises but seemed unafraid of a number of other things, including small animals. Watson and Rayner subsequently placed a white rat in Albert’s crib. When Albert reached for it, the researchers struck a piece of resonate metal with a hammer, making a “loud sound.” After a few such presentations, pre592
Pavlovian Conditioning senting the rat alone elicited crying and various avoidance reactions. Albert also showed signs of fear to similar things, such as a rabbit, a furry object, and fluffy clumps of cotton (stimulus generalization). Thus, Watson and Rayner provided early experimental evidence that Pavlovian principles are involved in the acquisition of human emotional reactions. While this study induced a phobic reaction in the subject, systematic desensitization is a procedure designed to eliminate phobias and anxieties. The procedure was largely developed and named by South African-born therapist Joseph Wolpe. Noting that it is very difficult to have pleasant and anxious feelings simultaneously, Wolpe fashioned a systematic technique to teach clients to engage in behavior (relaxation) that competes with anxiety. Therapy typically begins with an interview designed to identify specific sources of the client’s fears. The therapist helps the client assemble a list of items that elicit fear. Items associated with the least amount of fear are positioned at the bottom of the list; most feared items are placed near the top. For example, if a client has a strong fear of dogs, the therapist and client would develop a list of scenes that make the client fearful. Situations may vary from hearing the word “dog” to seeing pictures of dogs, being in the vicinity of a dog, hearing a dog bark, being close to dogs, and patting a dog. The client is next taught to relax by tensing and releasing various groups of muscles—shoulders, face, arms, neck, and so on. This phase of treatment ends when the client has learned to relax fully on his or her own in a matter of minutes. The client and therapist now move on to the next phase of therapy. While remaining fully relaxed, the client is asked to imagine being in the first situation at the bottom of the list. The image is held for several seconds. The client then relaxes for about twenty seconds before imagining the same situation again for several seconds. When the client is able to imagine an item and remain fully relaxed, the therapist presents a slightly more fearful situation to imagine. This procedure continues until an image causes distress, at which time the session ends. The next session begins with relaxation, followed by the client slowly moving up the list. As before, the client stops at the point of distress. Therapy is successful when the client can imagine all the items on the list while remaining fully relaxed. The technique is less helpful when clients have difficulty identifying fearful situations or calling up vivid images. In the hands of a skillful therapist, systematic desensitization is an effective technique for reducing a wide variety of fears. Its Pavlovian features involve pairing imagined fearful scenes with relaxation. When relaxation successfully competes with fear, it becomes a new CR to the imagined scenes. As relaxation becomes sufficiently strong as a CR, anxiety is replaced by calmness in the face of earlier aversive stimuli. Extinction offers a more direct route to the reduction of fear than systematic desensitization. The technique called flooding makes use of extinction. Flooding exposes the client to fear-arousing stimuli for a prolonged period of time. Suppose a child is afraid of snakes. Although likely to increase the 593
Psychology Basics fear initially, flooding would require the child to confront the snake directly and continuously—to be “flooded” by various stimuli associated with the snake—until the conditioned stimuli lose their power to elicit fear. Some therapists think that the application of this technique is best left to professionals. Some Everyday Examples Pavlovian principles may be plausibly applied to daily life, as the following examples illustrate. Couples sometimes refer to a certain tune as “our song.” A plausible interpretation is that Pavlovian conditioning has been at work. The favored tune may have been popular and repeated often at the time of the couple’s courtship and marriage. The tune has since become a CS that evokes a variety of pleasant feelings associated with initial love. A baby-sitter notes that giving a young child a blue blanket in the absence of his mother markedly reduces his irritability. Most likely, the blanket has been sufficiently associated with the soothing actions of his mother (US) and now functions as a calming stimulus (CS). An adolescent steadfastly avoids the location where he was seriously injured in an automobile crash. He says that just thinking about the highway makes him nervous. The location doubtless contains a number of conditioned aversive stimuli that now trigger unpleasant feelings (CR) and avoidance. After a bitter divorce, a woman finds that the sight of household items (CS) associated with her former husband is terribly upsetting (CR). She reduces her resentment by getting rid of the offending items. A wife often places flower arrangements in her husband’s den. The flowers (CS) now bring him a measure of comfort (CR) when she is away on trips. Respondent Conditioning and Reinforcement Pavlovian behaviors are principally elicited by antecedent events (just as low temperatures elicit shivering), while many behaviors are strengthened (in reinforcement) or weakened (in punishment) by what follows behavior. In Pavlovian conditioning, two stimuli are presented, one following another, regardless of what a subject does. What follows behavior is usually not important in this form of conditioning. In studying the role of reinforcement on behavior (instrumental or operant conditioning), the consequences that follow a person’s actions often determine what the person is likely to do under similar circumstances in the future. What follows is important in this type of conditioning. The topic of reinforcement is introduced here because Pavlovian conditioning and reinforcement are intricately related in that any Pavlovian conditioning is likely to contain elements of instrumental conditioning and vice versa. For example, if someone has a near-drowning experience and now avoids bodies of water, it is plausible to say that conditioned stimuli associ594
Pavlovian Conditioning ated with the experience evoke unsettling feelings. The person reduces the unpleasant feelings by avoiding bodies of water. In this example, negative feelings are conditioned according to Pavlovian principles. The avoidance reaction is maintained by (negative) reinforcement and involves instrumental learning. Virtually all the previous examples can be analyzed similarly. Sources for Further Study Baldwin, John D., and Janice I. Baldwin. Behavior Principles in Everyday Life. 4th ed. Upper Saddle River, N.J.: Prentice-Hall, 2001. Written by two sociologists, this book provides an overview of psychological principles of behavior, including many details about Pavlovian conditioning. The authors provide hundreds of plausible and interesting examples of how behavior principles show up in everyday life. Hergenhahn, B. R., and Matthew Olson. Introduction to Theories of Learning. 6th ed. Upper Saddle River, N.J.: Prentice-Hall, 2001. This book describes the work of fifteen major figures in the area of learning. There are chapters about associative theorists such as Ivan Pavlov and functionalist theorists such as B. F. Skinner. A useful elementary survey of learning research and theory, spanning one hundred years of development. Rescorla, Robert A. “Pavlovian Conditioning: It’s Not What You Think It Is.” American Psychologist 43, no. 3 (May, 1988): 151-160. A critical analysis of Pavlovian conditioning by a leading researcher in the field. The author questions orthodox descriptions of conditioning because they imply that organisms form associations blindly. His view is that organisms actually seek out information using logic and perception to form sophisticated representations of the environment. Rescorla provides a sophisticated examination of the intricacies of conditioning, concentrating on the various outcomes of conditioning and on the circumstances that create them, while citing some of his own work in support of his position. Watson, John B., and Rosalie Rayner. “Conditioned Emotional Reactions.” Journal of Experimental Psychology 3 (1920): 1-14. Although this research has been questioned on methodological and ethical grounds—for example, concerns have been raised about the deliberate creation of a phobic reaction in a young child—it is nonetheless a historically important experiment that provided information about how human emotions are learned. Wolpe, Joseph. The Practice of Behavior Therapy. 4th ed. New York: Pergamon, 1990. A significant book by the behavior therapist largely responsible for the development of systematic desensitization. Wolpe discusses behavior therapy as it applies to simple and complex cases of fear and anxiety. He is highly critical of the view that therapy consists of little more than information processing and cognitive correction. Frank J. Sparzo See also: Behaviorism; Conditioning; Habituation and Sensitization; Learned Helplessness; Learning; Phobias; Reflexes. 595
Personal Constructs George A. Kelly Type of psychology: Personality Field of study: Behavioral and cognitive models Personal construct theory examines the way each person thinks about the world; it attempts to provide avenues for understanding and making use of one’s subjective experiences. It demonstrates how cognitions change when one incorrectly predicts the future on the basis of those cognitions. Key concepts • construct • constructive alternativism • dichotomy • fixed role therapy • fundamental postulate • role • Role Construct Repertory Test Personal construct theory maintains that all people are motivated to reduce uncertainty in their lives. In this manner, each person is like a scientist who is attempting to solve complex problems. Instead of dealing with complex equations in chemistry and physics, however, one is attempting to unravel the complexities of one’s own life and the relationships that one has developed. Just as scientists are constantly making changes in their theories and research claims based on the availability of new evidence, people change the way they look at their subjective worlds on the basis of new evidence. That evidence appears in the form of new interactions with significant others in people’s lives, such as spouses, children, parents, and bosses. When new evidence is made available, a person will alter his or her thought patterns in order to reduce uncertainty in the future. This view forms the basis of George A. Kelly’s principle of constructive alternativism—the view that people are entitled to their own views of the world and that they will make use of those views in order to reduce uncertainty in the future. Kelly became involved in personal constructs theory late in his career. Ironically, his early experiences as a psychologist did not even involve the study of personality. It was only in 1955, twelve years prior to his death, that he published The Psychology of Personal Constructs: A Theory of Personality. In this work, he defined and discussed the concept of a construct. For Kelly, a construct is a thought that a person has for the purpose of attempting to interpret events; these interpretations may prove to be accurate or inaccurate. In those situations in which a construct leads to an incorrect prediction of an event, the person is likely to change the construct. All of Kelly’s con596
Personal Constructs: George A. Kelly structs are dichotomous in nature; that is, they are made of pairs of polar opposites that cannot be simultaneously correct when referring to the same person. For example, one cannot view one’s boss as both intelligent and unintelligent at the same time. Similarly, one’s boyfriend or girlfriend cannot be seen as cruel and kind at the same moment. Fundamental Postulate and Corollaries Kelly claimed that constructs operate according to a fundamental postulate. This postulate maintains that each person directs thoughts and cognitions in a way that permits the most accurate prediction of future events. If a woman has a personal construct which states that her boyfriend is a thoughtful person, and he sends her flowers while she is in bed with the flu, her construct would be regarded as an accurate one. If, however, that same boyfriend used her illness as an opportunity to date other women and ignored her illness in the process, it would be necessary to adjust her construction system because it does not accurately predict her boyfriend’s behavior. This process of changing one’s construction system in order to predict future events more accurately is an ongoing one, designed to decrease uncertainty in the future. While the fundamental postulate is critical to Kelly’s attempts to predict and explain behavior, it is not sufficient to cover all aspects of a person’s behavior and the choices that are made which cause that behavior. In order to address this additional detail, Kelly provided a series of eleven corollaries to his fundamental postulate. These corollaries are supporting statements that provide a detailed analysis of thoughts and behaviors which cannot be directly derived from the fundamental postulate. The construction corollary maintains that people continue to learn as they are presented with similar events in life. For example, if a man’s mother has given him a birthday present for the last thirty years, his prediction that he will receive another present from her on his next birthday makes sense. Similarly, if one has watched a particular television program at 11:30 p.m. on weeknights for the past several years, one’s prediction that it will again be on television at the same time next Monday night is a reasonable one. Another important corollary to Kelly’s fundamental postulate is the dichotomy corollary. This states that all constructs consist of pairs of opposites. That is, a college course may be either interesting or uninteresting, but it cannot be both at the same time. One important aspect of the dichotomy corollary is that each construct must include three members or items, with two of the members having the same characteristic and the third member having the opposite characteristic. For example, breathing and not breathing would not be a legitimate construct in evaluating three friends. Because all of them breathe, the proposed construct would not tell how the three individuals are different as well as alike. Therefore, it would not reduce uncertainty in the future. A third corollary to Kelly’s system which is particularly important is the 597
Psychology Basics range corollary. This maintains that a construct is only relevant in dealing with a finite number of events. The events for which a construct is deemed applicable is called its range of convenience. Terms such as “happy” and “sad” would not be within the range of convenience in depicting the characteristics of a tree or a book, while they might be critical in evaluating one’s relatives. Varying degrees of applicability can be found within a series of constructs. For example, the construct “kind versus cruel” would be more relevant in evaluating a relative or girlfriend than it would be in considering the qualities of an elevator operator one occasionally encounters. Kelly’s fundamental postulate and supporting corollaries provide considerable information. The theory also provides some interesting applications in terms of personality assessment and therapeutic intervention. Use with Career Goals Kelly’s personal construct theory has been used to explain, predict, and attempt to modify behavior in a wide range of circumstances. One interesting application involves the use of personal constructs in formulating career goals. A high school student, for example, may establish a goal of becoming a successful surgeon in the future. The nature of her constructs can then be examined to determine whether her constructs (as they relate to her own characteristics) are likely to lead to a medical career. She currently views herself as unintelligent rather than intelligent, dedicated to immediate gratification rather than delayed gratification, and lazy rather than hardworking. If she is eventually to become a successful physician, she must reject those constructs and develop a new construction system which is consistent with her career goals. The application of Kelly’s theory to career choice is important. While one does not expect first-grade children to examine their own characteristics realistically in considering career options, much more is required of high school and college students. It is not sufficient to state that one wants to pursue a given career: The nature of one’s constructs must be evaluated to determine if they are consistent with one’s career goals. In those circumstances in which inconsistencies exist, either the constructs or the career goals must change. Role Construct Repertory Test One of the most interesting applications of Kelly’s personal construct theory involves the development of an assessment device, the Role Construct Repertory Test. This test defines a role as a set of behaviors that are performed by a person in response to the construction systems and behaviors of others. The test itself determines the nature of a person’s system of constructs as it is related to the significant others in that person’s life. The test can be used as a means of evaluating progress during psychotherapy or as a vehicle for detecting changes in interpersonal relationships. The test involves the creation of a grid in which the person’s significant 598
Personal Constructs: George A. Kelly others are listed. Examples would be self, mother, spouse, boss, friend, and successful person. The client then considers these individuals in groups of three provided by the therapist. The client comes up with a word that typifies two of these individuals, and a second word that is the opposite of the first word but typifies the third person. This procedure is followed for a group of twenty sorts, or sets of comparisons. This enables the therapist to determine the behaviors and thoughts of the client concerning the significant others in her life. One of the determinations that can be made involves the flexibility of the client in dealing with others. That is, in listing those individuals on the grid who possess certain positive characteristics, the therapist would examine whether the same individuals on the grid are given credit for all the positive characteristics listed, while a second group is always viewed negatively. This would indicate a lack of flexibility in the client and might offer an area for needed change in the future. Fixed Role Therapy As an application of Kelly’s theory, the Role Construct Repertory Test is an initial step in the therapeutic process. An interesting follow-up provided by Kelly is fixed role therapy. This technique begins by asking the client to develop an in-depth description of himself or herself, written in the third person. This is called a self-characterization sketch. The third-person style is used to produce greater objectivity than would be achieved with first-person narratives. This gives the therapist a clear look at the client from the client’s own perspective. The therapist then establishes a role for the client which is directly opposite many of the characteristics in the self-characterization sketch. The client is asked to act out that new role for a period of time. The role would include positive characteristics not found in the self-characterization sketch. The ultimate goal of the technique is to have the client maintain many of those new positive characteristics on a long-term basis. In evaluating applications of Kelly’s work, the emphasis must be placed on the importance of knowing one’s own construction system and, when appropriate, taking steps to change that system. While this may be handled through formal techniques such as fixed role therapy, many therapists make use of Kelly’s emphasis upon cognitive change without strictly employing his terminology. To this extent, the influence of Kelly’s work should increase in the future. Kelly’s Career Kelly did not begin his career with the intention of developing personal construct theory. In fact, his initial training was not even in the field of personality psychology. Kelly’s original specialty in graduate school was physiological psychology, and his dissertation was concerned with the areas of speech and reading disabilities. Having received his degree around the time of the Great Depression, however, Kelly came to the conclusion that the principles 599
Psychology Basics and concepts contained within his areas of specialization offered little solace to those who were emotionally and financially devastated in the aftermath of the Depression. He turned to clinical psychology, with an initial emphasis on the psychoanalytic approach. He noted that concepts such as the id and the libido seemed of no use in dealing with victims of the Depression. Kelly’s initial academic position was at Fort Hays State College in Kansas. While at Fort Hays, he developed a series of traveling psychological clinics designed to treat the emotional and behavioral problems of students. This experience was crucial in the eventual formulation of personal construct theory. Kelly tried numerous forms of treatment with the students and determined that the optimal technique varied across cases. This led him to conclude that any clinical technique that is successful should be retained, while techniques that result in repeated treatment failure should be discarded. This flexibility, reflected in his later theoretical claims regarding constructive alternativism and his fundamental postulate, has made Kelly unique among personality theorists. His willingness to respect subjective reality as determined by each human being is reflective of his unwillingness to commit himself totally to any one theoretical perspective. Although Kelly was influenced by many theorists, he clearly traveled his own path in the development of his psychology of personal constructs. Sources for Further Study Bannister, Donald, and Fay Fransella. Inquiring Man: The Theory of Personal Constructs. 3d ed. New York: Routledge, 1986. Provides an excellent introduction to George A. Kelly’s theory. In addition, a wide range of applications are provided within the overall field of clinical psychology as well as social psychology. The authors are dedicated advocates of Kelly’s perspective. Bannister, Donald, and J. M. M. Mair, eds. The Evaluation of Personal Constructs. New York: Academic Press, 1968. This excellent work provides insights into the types of theoretical and research efforts that have been undertaken as a result of George A. Kelly’s contributions. Particularly relevant because it was published shortly after Kelly’s death and therefore provides an interesting analysis of his influence at that time. Kelly, George Alexander. Clinical Psychology and Personality: The Selected Papers of George Kelly. Edited by Brendan Maher. New York: John Wiley & Sons, 1969. This offering is unique in that it contains many of Kelly’s last papers. Includes papers that account for the origins of the theory and depicts Kelly’s analysis of his work shortly before his death. The presentation is accurate, and it faithfully depicts the essence of Kelly’s work. __________. The Psychology of Personal Constructs: A Theory of Personality. New York: W. W. Norton, 1955. This two-volume series, still in print after almost half a century, provides the essence of Kelly’s theory. Covers the theoretical basis for the theory by presenting an analysis of personal constructs, constructive alternativism, and the fundamental postulate as well 600
Personal Constructs: George A. Kelly as the Role Construct Repertory Test and fixed role therapy. Kelly’s views of the appropriate place of assessment in the therapeutic process are particularly interesting. Neimeyer, Robert A. The Development of Personal Construct Psychology. Lincoln: University of Nebraska Press, 1985. Looks at the origins, development, and impact of George A. Kelly’s theory. Includes many relevant insights into his early work, while including applications of the theory in areas such as personality, clinical psychology, and social psychology. Lawrence A. Fehr See also: Abnormality: Psychological Models; Cognitive Psychology; Cognitive Social Learning: Walter Mischel; Cognitive Therapy.
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Personality Disorders Type of psychology: Psychopathology Fields of study: Personality assessment; personality disorders The personality disorders are a cluster of psychological disorders characterized by inflexible and long-standing patterns of relating to others and the environment that create significant impairment in functioning. Key concepts • antisocial personality disorder • avoidant personality disorder • borderline personality disorder • dependent personality disorder • histrionic personality disorder • narcissistic personality disorder • paranoid personality disorder • personality • obsessive-compulsive disorder • schizoid personality disorder • schizotypal personality disorder Personality is a term used to describe long-standing patterns of thinking, behaving, and feeling. A group of traits which are consistently displayed are considered to be part of a person’s personality. A person’s mood, for example, is considered to be a more fleeting expression of one’s overall personality. Personality comprises traits, attitudes, behaviors, and coping styles which develop throughout childhood and adolescence. Developmental theorist Erik Erikson (1902-1981) proposed that personality unfolds over the entire life cycle according to a predetermined plan. Personality can be thought of as a relatively consistent style of relating to others and the environment, developing as a result of genetic and environmental influences. Psychologists have developed several theories to explain personality development. Austrian psychoanalyst Sigmund Freud (1856-1939) believed that personality development originates in early childhood. Freud proposed that personality emerges as a result of unconscious conflicts between unacceptable aggressive and hedonistic instincts and societal mores. According to Freud, unresolved unconscious conflicts from childhood later influence personality development. In contrast to Freud’s psychoanalytic theories about personality, other researchers focused on specific traits as the building blocks of personality development. Many classification systems have been developed in an attempt to organize and categorize personality traits and styles. The Big Five system proposes that five basic trait dimensions underlie personality structure: extroversion versus introversion, agreeableness versus disagreeableness, conscientiousness versus impulsiveness, emotional stability versus neu602
Personality Disorders roticism, and openness to experience versus rigidity. Personality disorders may reflect extreme variants of these basic personality dimensions. The personality disorders are a group of psychological disorders characterized by inflexible and maladaptive patterns of relating to others that result in impairments in day-to-day functioning. The personality disorders are reflected by personality traits which are significantly extreme or exaggerated, making it difficult to establish functional relationships with others. According to the Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000), the personality disorders are defined by an enduring pattern of inner experience and behavior which is consistently dysfunctional and creates impairment in functioning. Symptoms of personality disorders are usually evident by early adulthood, coinciding with the developmental period when personality patterns have become established in most people. The DSM-IV-TR identifies ten major personality disorders: paranoid personality disorder, schizoid personality disorder, schizotypal personality disorder, borderline personality disorder, antisocial personality disorder, narcissistic personality disorder, histrionic personality disorder, avoidant personality disorder, dependent personality disorder, and obsessive-compulsive personality disorder. The personality disorders are broken down into three groups, or clusters, based upon similar symptomatology. Cluster A The personality disorders in Cluster A consist of paranoid personality disorder, schizoid personality disorder, and schizotypal personality disorder. The behavior of people with a cluster A personality disorder is described as odd or eccentric. Paranoid personality disorder is characterized by a pervasive distrust of others, chronic suspicion about others’ motives, and paranoid thinking. Others often avoid individuals with paranoid personality disorder, which reinforces the individual’s mistrust of others. The suspicion is chronic and creates a difficulty in establishing and maintaining interpersonal relationships. Paranoid personality disorder is more prevalent in males than females. Schizoid personality disorder is characterized by a pervasive and longlasting indifference toward others. The term “schizoid” was initially chosen to refer to the preliminary symptoms, or latent symptoms of schizophrenia. A person with this disorder has little or no interest in interacting with others and is viewed as a loner. People with schizoid personality disorder have little interest in intimacy and tend to display a limited range of emotions. These individuals often are dull and lack a sense of humor. They are perceived by others as being aloof or apathetic and may appear disheveled or unkempt. Schizotypal personality disorder is characterized by peculiar patterns of behaving and thinking. A person with this disorder may express superstitious beliefs or may engage in fantasy-based thinking. Although their thought processes might be unusual, their beliefs are not considered to be of delusional proportions. Because the symptoms of cluster A personality 603
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DSM-IV-TR General Criteria for a Personality Disorder Enduring pattern of inner experience and behavior deviating markedly from expectations of individual’s culture Manifested in two or more of the following areas: • cognition (ways of perceiving and interpreting self, other people, and events) • affectivity (range, intensity, lability, and appropriateness of emotional response) • interpersonal functioning • impulse control Enduring pattern inflexible and pervasive across a broad range of personal and social situations Enduring pattern leads to clinically significant distress or impairment in social, occupational, or other important areas of functioning Pattern stable and of long duration, and its onset can be traced back at least to adolescence or early adulthood Enduring pattern not better accounted for as manifestation or consequence of another mental disorder Enduring pattern not due to direct physiological effects of a substance or general medical condition DSM-IV-TR personality disorders: • Cluster A: Paranoid; Schizoid; Schizotypal • Cluster B: Antisocial; Borderline; Histrionic; Narcissistic • Cluster C: Avoidant; Dependent; Obsessive-Compulsive
disorders resemble symptoms of schizophrenia, researchers believe these disorders may be genetically related to schizophrenia. Cluster B The personality disorders of cluster B are borderline personality disorder, antisocial personality disorder, narcissistic personality disorder, and histrionic personality disorder. The cluster B personality disorders are described as dramatic, erratic, and emotional. The behavior of people with such a disorder creates significant impairment in establishing and maintaining interpersonal relationships. Borderline personality disorder (BPD) is the most prevalent personality disorder. It is diagnosed twice as often among women as men and is characterized by a long-standing and inflexible pattern of emotional instability and unstable personal relationships. Individuals with BPD have an intense fear of abandonment and tend to form intense and unstable relationships with others. They tend to fluctuate between having posi604
Personality Disorders tive and negative feelings about significant people in their lives. This behavior is referred to as splitting and may contribute to the emotional instability displayed by these people. People with BPD often engage in self-destructive behavior, such as self-mutilation, suicidal acts, or drug abuse. Those with BPD report chronic feelings of emptiness. Antisocial personality disorder is exemplified by an enduring pattern of behavior that disregards and violates the rights of others. The term “antisocial” refers to behaviors that are antisociety. Antisocial personality disorder is preceded by conduct disorder in the adolescent stages of development. People with antisocial personality disorder often appear initially to be charming and intelligent yet are also manipulative and grandiose. They lack a moral code which would disallow unacceptable or hurtful behaviors. Therefore, an individual with antisocial personality disorder is likely to engage in criminal acts, manipulative behavior, and the exploitation of others. Freud coined the term “narcissistic personality disorder” in reference to the Greek myth of Narcissus, who fell in love with his own reflection in a pool of water, preventing him from forming relationships with others. The essential feature of narcissistic personality disorder is an exaggerated sense of self-importance. This disorder is characterized by a need to be the center of attention and a preoccupation with fantasies of one’s success or power. A person with narcissistic personality disorder has difficulty understanding the feelings of others and constantly is demanding of attention. These grandiose behaviors typically mask feelings of insecurity. Symptoms of histrionic personality disorder include excessive emotionality and attention-seeking behavior. A person with histrionic personality disorder is overly dramatic and emotional and inappropriately seductive in order to gain the attention of others. Histrionic personality disorder is more prevalent among females than males. Cluster C Cluster C disorders include avoidant personality disorder, dependent personality disorder, and obsessive-compulsive personality disorder. The behavior of people with a cluster C personality disorder is described as anxious or fearful. People with avoidant personality disorder display a pervasive pattern of social discomfort and a fear of being disliked by others. Because of these feelings, a person with this disorder avoids social interactions with others. People with avoidant personality disorder are extremely shy and have great difficulty establishing interpersonal relationships. They want to be liked by others, but their social discomfort and insecurities prevent them from engaging in interpersonal relationships. Dependent personality disorder is characterized by a chronic pattern of dependent and needy behavior, with an intense fear of being alone. People with this disorder attempt to please other people in order to avoid potential 605
Psychology Basics abandonment. They may say certain things just to be liked by others. They have difficulty making their own decisions and are submissive with others. Individuals with this disorder have difficulty separating from others. Obsessive-compulsive personality disorder is characterized by an inflexible and enduring need for control and order. People who suffer from obsessivecompulsive personality disorder are so preoccupied with order and organization that they may lose sight of the main objective of an activity. People with this disorder are usually excessively work-oriented and have little patience for leisure time. They are intolerant of indecisiveness or emotionality in others and favor intellect over affect. People with this disorder are perceived as difficult to get along with and unwilling to be a team player. Obsessive-compulsive personality disorder is different from obsessive-compulsive disorder (OCD), which is categorized as an anxiety disorder and involves obsessive thoughts and compulsive behaviors. Diagnosis A number of issues have created debate related to the difficulty in and reliability of the diagnosis of personality disorders. The distinction between “normal” personality characteristics and a personality disorder is not necessarily clear in the clinical definition of a personality disorder. The DSM-IVTR notes that when personality traits are inflexible and create distress or impairment in functioning, they constitute a personality disorder. Some argue that there is considerable room for debate about the point at which a trait is considered to create impairment. The personality disorders have been the subject of criticism by researchers because of the difficulty in diagnosing them reliably. Individuals with a personality disorder often display symptoms of other personality disorders. For example, researchers have debated about the distinction between schizoid personality disorder and avoidant personality disorder, as both disorders are characterized by an extreme in social isolation. Individuals with personality disorders are more likely than the general population to suffer from other psychological disorders, such as depression, bulimia, or substance abuse. This overlap of symptoms may lead to difficulty with diagnostic reliability. The personality disorders occur so frequently with other types of psychological disorders that it is challenging to sort through symptoms to determine what is evidence of each disorder. It is difficult to estimate the prevalence of personality disorders in the United States, as individuals with these disorders do not recognize that they are dysfunctional and are therefore less likely to seek treatment. Researchers have explored the problem of gender bias in the diagnosis of personality disorders. It is believed that some of the symptoms of certain personality disorders are more characteristic of one gender than the other. For example, the aggression and hostility associated with antisocial personality disorder may be traits associated more frequently with the average male population, thus affecting the diagnosis among men compared to women. 606
Personality Disorders This supposed gender bias is theorized to be related to the greater prevalence of borderline personality disorder and histrionic personality disorder among women compared to men. Perhaps some of the diagnostic symptoms of this disorder, such as emotionality or fears of abandonment, have been behaviors more often associated with the female population than the male population. Causes Various theories have been developed to explain the etiology of personality disorders. The biological perspective examines the roles of genetics and brain functioning in the development of personality disorders. Evidence suggests that the cluster A disorders (paranoid, schizoid, and schizotypal personality disorders) are more prevalent among first-degree relatives of individuals suffering from schizophrenia, suggesting a possible genetic commonality among those disorders. The underlying symptoms of borderline personality disorder (impulsivity and emotionality) are inherited. Much research confirms that borderline patients are more likely to report a childhood family history that included sexual abuse, domestic violence, and the early loss (either through death or abandonment) of a parental figure. It is believed that this history may be related to the later development of borderline personality disorder. According to Erikson, a sense of basic trust during childhood is an essential component of normal personality development. Erikson stated that a basic sense of trust or mistrust in the self and the world develops in the first year of life. The experience of being abandoned by a parent, then, would foster a sense of mistrust in the world and would affect personality development. In the 1950’s, University of Wisconsin psychologist Harry Harlow (1905-1981) explored the effects of attachment on later personality development. Harlow concluded that rhesus monkeys who were separated from their mothers shortly after birth displayed abnormal behaviors later in life, such as unusual fear or aggression, difficulty engaging in mating behaviors, and difficulty with parenting their offspring. Maternally deprived animals, therefore, were more likely to display dysfunction, as is seen in individuals with disorders associated with maternal deprivation, such as borderline and antisocial personality disorders. Genetic factors may be influential in the development of antisocial personality disorder, as children of biological parents who engage in criminal behavior are more likely to engage in criminal behavior themselves. Learning theorists propose that antisocial behaviors may be learned by mimicking parents with similar behaviors. Individuals with antisocial personality disorder have displayed an abnormally low arousal level, which might enable them to ignore physiological cues that indicate danger or punishment. Research has also suggested that the unusually low level of arousal may cause the antisocial individual to engage in behaviors which increase physiological arousal, or create a “rush.” 607
Psychology Basics Treatment Treatment of a personality disorder is difficult because of certain key issues related to these disorders. People with personality disorders tend to lack insight about their dysfunctional ways of interacting with others. Because they do not see themselves as having a problem, they are unlikely to pursue treatment. When a person with a personality disorder does seek treatment, it is usually for some secondary issue, such as alcoholism or depression. People suffering from personality disorders tend to end therapy prematurely, a result of their perception that their behavior is not the source of problems. One of the central features of the personality disorders is an impaired ability to maintain relationships with others; therefore, developing a relationship with a therapist is difficult. When the opportunity for treatment does arise, treatment approaches differ depending on the unique characteristics of each of the personality disorders. The treatment of borderline personality disorder has received much research attention. American psychologist Marsha M. Linehan is credited with the development of dialectical behavior therapy (DBT), a treatment approach for borderline personality disorder which integrates cognitive, behavioral, and Zen principles to help the patient to develop essential coping skills. One of the basic tenets of DBT is that individuals with borderline personality disorder may react abnormally to a normal stimulus (such as an interaction with another person) because of negative or traumatic past experiences (such as sexual abuse). Such individuals may quickly display an increase in emotion and may take a longer period of time to reduce their emotional arousal. Treatment focuses on decreasing self-destructive behaviors and helping individual to regulate their emotions. People with antisocial personality disorder who participate in treatment usually are made to do so by the legal system. Efficacy of treatment interventions for the person with antisocial personality disorder is often measured in terms of the number of crimes committed by the person after treatment, rather than by any significant change in personality characteristics. Treating any substance abuse issues is an integral component of treatment of antisocial personality disorder. Some believe that prevention is the most important part of managing antisocial behavior. Researchers have found that low levels of antipsychotic medications are effective in alleviating some symptoms of schizotypal personality disorder. Several studies suggest that antipsychotic medications such as haloperidol may decrease symptoms of depression and impulsivity in the schizotypal individual. People with narcissistic personality disorder are more apt than those with other personality disorders to seek out treatment, using the therapist’s office as yet another stage to be the center of attention. Sources for Further Study Claridge, Gordon. Origins of Mental Illness. 2d ed. Cambridge, Mass.: Malor Books, 1996. The author explores the basic dimensions of personality, 608
Personality Disorders personality theories, and basic research and treatment of mental disorders. Erikson, Erik H. Identity: Youth and Crisis. New York: W. W. Norton, 1968. A compilation of Erikson’s notable essays about adolescent identity crisis. Articles explore theories of personality development and intrapersonal conflict. Linehan, Marsha M. Cognitive-Behavioral Treatment of Borderline Personality Disorder. New York: Guilford Press, 1993. The author provides an overview of the symptoms of borderline personality disorder followed by an extensive description of an exploration of the foundations of dialectical behavioral therapy. Specific treatment strategies are clearly described, and the book contains several helpful charts and checklists. Livesley, W. John, Marsha L. Schroeder, Douglas Jackson, and Kerry L. Jang. “Categorical Distinctions in the Study of Personality Disorder—Implications for Classification.” Journal of Abnormal Psychology 103, no. 1 (1994): 617. This article focuses on the foundation of the classification of personality disorders and challenges some of the empirical evidence regarding the effectiveness of classification. Maxmen, Jerrold S., and Nicholas G. Ward. Essential Psychopathology and Its Treatment. New York: W. W. Norton, 1995. The authors provide a comprehensive overview of the various forms of psychopathology and treatment approaches. Nathan, Peter E., Jack M. Gorman, and Neil J. Salkind. Treating Mental Disorders: A Guide to What Works. New York: Oxford University Press, 1999. Outlines current standards of care for mental illnesses in a question-andanswer format. Offers guides for further information. Paris, Joel. “A Diathesis-Stress Model of Personality Disorders.” Psychiatric Annals 29, no. 12 (1999): 692-697. The author explores the possible relationship between life stressors and the development of personality disorders. Widiger, Thomas A., and Paul T. Costa. “Personality and Personality Disorders.” Journal of Abnormal Psychology 103, no. 1 (1994): 78-91. The authors review the belief that personality disorders are representative of extreme variants of normal personality traits. Using the five-factor model, the authors explore the correlation between personality and personality disorders. Janine T. Ogden See also: Obsessive-Compulsive Disorder; Schizophrenia: Background, Types, and Symptoms.
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Personality Psychophysiological Measures Type of psychology: Personality Field of study: Personality assessment Psychophysiological studies comparing individuals with different personality traits have sought to determine the physical characteristics of particular behavioral characteristics. Such research can provide information that helps clarify the importance of various personality types with regard to risk of psychological and physical disorders. Key concepts • anxiety sensitivity • locus of control • personality • psychophysiology • Type A behavior pattern A broad definition of personality typically includes the dimensions of stability, determinism, and uniqueness. That is, personality changes little over time, is determined by internal processes and external factors, and reflects an individual’s distinctive qualities. Personality also can be thought of as unique, relatively stable patterns of behavior, multiply determined over the course of an individual’s life. There are many theories for understanding the development of these patterns of behavior. Twin studies have provided evidence that biological factors help to shape personality; such studies support Hans Eysenck’s theory that personality is inherited. The psychodynamic perspective holds that personality is determined primarily by early childhood experiences. Some of the most influential contributions to this perspective came from Sigmund Freud. He argued that unconscious forces govern behavior and that childhood experiences strongly shape adult personality via coping strategies people use to deal with sexual urges. B. F. Skinner, founder of modern behavioral psychology, assumed that personality (or behavior) is determined solely by environmental factors. More specifically, he believed that consequences of behavior are instrumental in the development of unique, relatively stable patterns of behavior in individuals. According to Albert Bandura’s social learning perspective, models have a great impact on personality development. That is, patterns of behavior in individuals are influenced by the observation of others. Finally, the humanistic perspective of Carl Rogers suggests that personality is largely determined by the individual’s unique perception of reality in comparison to his or her self-concept. Personality Assessment Assessment of personality can be accomplished from three domains: subjec610
Personality: Psychophysiological Measures tive experience, behavior, and physiology. Traditional means for assessing personality have included objective and projective paper-and-pencil or interview measurements that tap the domain of subjective experience. Behavioral assessment techniques such as direct observation of behavior, selfmonitoring (having the individual record occurrences of his or her own behavior), self-report questionnaires, role-play scenarios, and behavioral avoidance tests (systematic, controlled determination of how close an individual can approach a feared object or situation) tap the domains of subjective experience and objective behavior. These techniques have been used in clinical settings to aid in the diagnosis and treatment of deviant or abnormal behavior patterns. Although psychophysiological measurement of personality has not gained popular use in clinical settings, it complements the techniques mentioned above and contributes to understanding the nature and development of psychological and physical disorders. Just as patterns of responding on traditional personality tests can indicate the possibility of aberrant behavior, so too can tests of physiological patterns. Typical measures taken during this type of assessment include heart rate, blood pressure, muscle tension (measured via electromyography), brain-wave activity (measured via electroencephalography), skin temperature, and palmar sweat gland or electrodermal activity. These measures of physiological activity are sensitive to “emotional” responses to various stimuli and have been instrumental in clarifying the nature of certain psychological and physical conditions. One of the fundamental assumptions of psychophysiology is that the responses of the body can help reveal the mechanisms underlying human behavior and personality. Physiological responsivity can be assessed in a number of different ways. Two primary methodologies are used in the study of the relations between personality and physiology. The first method simply looks at resting or baseline differences of various physiological measures across individuals who either possess or do not possess the personality characteristic of interest. The second method also assesses individuals with or without the characteristic of interest but does this under specific stimulus or situational conditions rather than during rest. This is often referred to as measuring reactivity to the stimulus or situational condition. Resting physiological measures are referred to as tonic activity (activity evident in the absence of any known stimulus event). It is postulated that tonic activity is relatively enduring and stable within the individual while at rest, although it can be influenced by external factors. It is both of interest in its own right and important in determining the magnitude of response to a stimulus. On the other hand, phasic activity is a discrete response to a specific stimulus. This type of activity is suspected to be influenced to a much greater extent by external factors and tends to be less stable than tonic activity. Both types of activity, tonic and phasic, are important in the study of personality and physiology. Standard laboratory procedures are typically employed to investigate 611
Psychology Basics tonic activity and phasic responses to environmental stimuli. For example, a typical assessment incorporating both methodologies might include the following phases: a five-minute baseline to collect resting physiological measures, a five-minute presentation of a task or other stimulus suspected to differentiate individuals in each group based on their physiological response or change from baseline, and a five-minute recovery to assess the nature and rate of physiological recovery from the task or stimulus condition. Investigations focusing on the last phase attempt to understand variations in recovery as a response pattern in certain individuals. For example, highly anxious individuals tend to take much longer to recover physiologically from stimulus presentations that influence heart rate and electrodermal activity than individuals who report low levels of anxiety. Studies of physiological habituation—the decline or disappearance of response to a discrete stimulus—also have been used to investigate personality differences. Physiological responses to a standard tone, for example, eventually disappear with repeated presentations of the tone. The rate at which they disappear varies across individuals; the disappearance generally takes longer in individuals who tend to be anxious. Thus, individuals who tend to have anxious traits may be more physiologically responsive, recover from the response less rapidly, and habituate to repeated stimulation more slowly than those who tend to be less anxious. Such physiological differences may be an important characteristic that determines anxious behavior or results from subjective feelings of anxiousness. Relationship to Physiology and Health Research has demonstrated that there is considerable variability across individuals in their physiological response patterns, both at rest and in response to various situational stimuli or laboratory manipulations. Evidence indicates that part of this variability across individuals may, in some cases, be attributable to certain personality traits or characteristic patterns of behavior. Furthermore, research suggests that these personality traits may also be related to the development of psychological or physical disorders. Although the causal links are not well understood, a growing body of research points to relations among personality, physiological measures, and psychopathology/ health. Examples of these relationships are evident in the field of psychopathology, or the study of abnormal behavior. Hans Eysenck proposed that the general characteristics of introversion and extroversion lead individuals to interact very differently with their environment. Some psychophysiological studies support this notion and suggest that the behaviors characteristic of these traits may be driven by physiological differences. Anxiety sensitivity and locus of control are two personality traits that some suggest are related to the development of anxiety disorders and depression, respectively. To varying degrees, anxiety disorders and depression have been investigated in the psychophysiology laboratory and have been found to differentiate indi612
Personality: Psychophysiological Measures viduals with high and low levels of the personality trait, based on their physiological responses. Introversion describes the tendency to minimize interaction with the environment; extroversion is characterized by the opposite behaviors, or the tendency to interact more with the environment. Eysenck proposed that such traits reflect physiological differences that are genetically determined and reflected in the individual’s physiology. Introverted individuals are thought to be chronically physiologically hyperaroused and thus to seek to minimize their arousal by minimizing external stimulation. Extroverted individuals are believed to be chronically physiologically underaroused and to seek a more optimal level of arousal through increased environmental stimulation. It should be easy to confirm or disprove such a theory with psychophysiological studies of resting physiological activity in introverts and extroverts. Electroencephalograph (EEG) studies have produced contradictory evidence about the validity of Eysenck’s theory, however; problems in EEG methodology, experimental design, and measurement of the traits themselves have led to considerable confusion about whether the traits actually do have a physiological basis. Anxiety Sensitivity Anxiety sensitivity describes the tendency for individuals to fear sensations they associate with anxiety because of beliefs that anxiety may result in harmful consequences. Research in the development and assessment of this construct was pioneered by Steven Reiss and his associates in the late 1980’s. They developed a sixteen-item questionnaire, the Anxiety Sensitivity Index (ASI), to measure anxiety sensitivity and found it to be both reliable and valid. Anxiety sensitivity has been most closely related to panic disorder, an anxiety disorder characterized by frequent, incapacitating episodes of extreme fear or discomfort. In fact, as a group, individuals with panic disorder score higher on the ASI than individuals with any other anxiety disorder. Furthermore, some researchers have demonstrated that individuals scoring high on the ASI are five times more likely to develop an anxiety disorder after a three-year follow-up. Research investigating responses to arithmetic, caffeine, and hyperventilation challenges in the laboratory has demonstrated that individual differences in anxiety sensitivity levels are probably more closely related to the subjective experience of anxiousness than to actual physiological changes. Individuals high and low on anxiety sensitivity, however, have exhibited differential heart-rate reactivity to a mental arithmetic stressor. That is, individuals high on anxiety sensitivity show a greater acceleration in heart rate than individuals low on anxiety sensitivity when engaging in an arithmetic challenge. Individuals scoring high on the ASI also more accurately perceive actual changes in their physiology when compared with their low-scoring counterparts. Such heightened reactivity and sensitivity to physiological change may partially explain how anxiety sensitivity influences the develop613
Psychology Basics ment of anxiety disorders. Individuals high in anxiety sensitivity may be more reactive to environmental threat; therefore, their increased sensitivity may have a physiological basis. They also may be more likely to detect changes in their physiology, which they are then more likely to attribute to threat or danger. On a more general note, cardiovascular and electrodermal measures can differentiate between anxiety patients and other people at rest. The differences become greater under conditions of stimulation. Delayed habituation rates in anxiety patients are also part of the pattern of physiological overarousal typically seen in individuals with heightened anxiety. Indeed, heightened physiological arousal is one of the hallmark characteristics of anxiety. Locus of Control Locus of control, made popular by Julian Rotter in the 1960’s, refers to individuals’ perceptions of whether they have control over what happens to them across situations. This personality construct has been related to the development of depression. Specifically, it is believed that individuals who attribute failures to internal factors (self-blame) and successes to external factors (to other people or to luck) are more susceptible to developing feelings of helplessness, often followed by despair and depression. Locus of control also is hypothesized to have implications in the management of chronic health-related problems. In oversimplified categorizations, individuals are labeled to have an “internal” or “external” locus of control. “External” individuals, who believe they have little control over what happens to them, are said to be more reactive to threat, more emotionally labile, more hostile, and lower in self-esteem and self-control. Psychophysiological assessment studies have revealed heart-rate acceleration and longer electrodermal habituation for “externals” in response to the presentation of tones under passive conditions. When faced with no-control conditions in stress situations such as inescapable shock, “internals” show elevated physiological arousal, while findings for “externals” are mixed. Thus, the locus of control has varying effects on physiology, depending on the circumstances. Such effects may play a role in psychological disorders such as depression and anxiety. Heightened physiological reactivity may also inhibit recovery from acute illness or affect the course of chronic health problems such as hypertension. In addition to the relevance of personality to physiological reactivity and psychopathology, research has demonstrated that certain personality types may be risk factors or serve protective functions with regard to physical health. Type A behavior pattern and hardiness are two examples. Type A behavior pattern is characterized by competitiveness, time urgency, and hostility. It has been identified as a potential risk factor for the development of coronary heart disease. Psychophysiological studies have suggested that, under certain laboratory conditions, males who exhibit the Type A pattern are more cardiovascularly responsive. This reactivity is the proposed mecha614
Personality: Psychophysiological Measures nism by which Type A behavior affects the heart. More recent research has suggested that not all components of the Type A pattern are significantly associated with heightened cardiovascular reactivity. Hostility seems to be the most critical factor in determining heightened reactivity. Males who respond to stress with hostility tend to show greater heart-rate and blood-pressure increases than individuals low in hostility. Some research suggests that hostility is also a risk factor for heart disease in women. In contrast to hostility, hardiness is proposed to buffer the effects of stress on physiology. Hardy individuals respond to stressors as challenges and believe that they have control over the impact of stressors. They also feel commitment to their life, including work and family. Psychophysiological studies have supported the buffering effect of hardiness. Individuals who are more hardy tend to be less physiologically responsive to stressors and to recover from stressors more rapidly. Again, the construct of hardiness seems to be more relevant for males, partially because males have been studied more often. These studies show that various personality types can be distinguished to varying degrees by psychophysiological measurement. The implications of such findings include possible physiological contributions to the development of various psychological problems as well as personality contributions to the development or course of physical disease. Evolution of Research Although the sophisticated techniques and instruments that have enabled psychologists to study physiological events were not developed until the twentieth century, the notion that physiology and psychology (body and mind) are linked dates back as far as ancient Greece. Hippocrates, for example, described four bodily humors or fluids thought to influence various psychological states such as melancholy and mania. Although the link between mind and body has received varying degrees of emphasis in scientific thinking across the centuries, it regained prominence in the mid-1900’s with the development of the field of psychosomatic medicine, along with the widespread influence of Sigmund Freud’s theories of personality. Psychosomatic medicine embraced the notion that personality and physiology are intertwined. Psychosomatic theorists believed that certain diseases, such as diabetes, asthma, and hypertension, were associated with particular personality characteristics. They suggested that personality influenced the development of specific diseases. Although much of this theorizing has been disproved, these theorists did return the focus to investigating the interactive nature of a person’s psychological and physiological makeup. Psychophysiologists acknowledge the influence of personality characteristics on physiology and vice versa, and they are working to characterize these relationships. Future work will better measure particular personality constructs and will clarify the interaction of gender with personality and 615
Psychology Basics physiology. Psychophysiologists also must be concerned with the external validity of the data they obtain in the laboratory. It has not been satisfactorily demonstrated that physiological responses measured in a given individual in the laboratory are at all related to that individual’s response in the natural environment. Thus, in order to establish fully the usefulness of laboratory findings, psychophysiologists must also study individuals in their natural environments. Recent technological advances will enable ongoing physiological measurement, which should achieve this goal and further establish the relations among personality, physiology, and behavior. Sources for Further Study Cacioppo, John T., Louis G. Tassinary, and Gary G. Berntson, eds. Handbook of Psychophysiology. 2d ed. New York: Cambridge University Press, 2000. A general guidebook, aimed at advanced students and professionals. Eysenck, Hans J. The Biological Basis of Personality. Springfield, Ill.: Charles C Thomas, 1967. This older book provides a thorough, in-depth discussion of Eysenck’s theories of the relations between neuroticism, introversion, and extroversion with physiology. Stern, Robert Morris, William J. Ray, and Karen S. Quigley. Psychophysiological Recording. 2d ed. New York: Oxford University Press, 2001. The authors provide an excellent, readable introduction to basic principles of psychophysiology. Part 2, the main body of the text, covers physiology of and recording procedures for the brain, muscles, eyes, respiratory system, gastrointestinal system, cardiovascular system, and skin. Illustrations depicting typical recordings and a glossary of psychophysiological terms are helpful additions. Surwillo, Walter W. Psychophysiology for Clinical Psychologists. Norwood, N.J.: Ablex, 1990. This text provides basic knowledge of psychophysiology and highlights some areas of application. Surwillo also incorporates helpful diagrams and relevant references for research in the area. Weiten, Wayne, Margaret A. Lloyd, and R. L. Lashley. “Theories of Personality.” In Psychology Applied to Modern Life: Adjustment at the Turn of the Century. 6th ed. Belmont, Calif.: Wadsworth, 1999. This text, written for undergraduate students, contains a very readable chapter on personality and theories of personality development. Other chapters highlight the dynamics of adjustment, interpersonal factors, developmental transitions, and the impact that personality and styles of coping can have on psychological and physical health. Virginia L. Goetsch and Lois Veltum See also: Emotions; Nervous System; Neuropsychology.
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Personality Theory Type of psychology: Personality Field of study: Personality theory Personality theories seek to describe and explain the characteristics of thought, feeling, and behavior that differ among individuals and the coherence of these characteristics within a single individual. Personality theories describe approaches to human nature and provide the foundation for psychological therapies. Key concepts • attribution theory • humanistic theory • personality trait • psychoanalytic theory • social learning theory Psychologists who study personality are interested in explaining both the coherence of an individual’s behavior, attitudes, and emotions, and how that individual may change over time. To paraphrase Clyde Kluckhohn, personality theorists seek to describe and explain how each individual is unique, how groups of people meaningfully differ from one another, and how all people share some attributes. In developing answers to these questions, theorists use widely varying definitions of personality that may differ from the way the term “personality” is used in everyday language. Indeed, if there is a single overriding basic issue in personality theory, it is: What is personality? Personality and Essence Theorists agree that people have an internal “essence” that determines who they are and that guides their behavior, but the nature of that essence differs from theory to theory. Psychoanalytic theory such as Sigmund Freud’s see the essence of personality as arising from conflict among internal psychic processes. For Freud, the conflict is viewed as occurring among the urges for instinctual gratification (called the id), the urges for perfection (the superego), and the demands of reality (the ego). Humanistic theories such as those of Carl Rogers and Abraham Maslow also see people as often engaged in conflict. For these theorists, however, the conflicts are between an internal self, which is striving for positive expression, and the constraints of a restrictive external social world. In general, the humanists have a much more optimistic outlook on human nature than do psychoanalytic theorists. Still other theorists are more neutral with respect to human nature. George A. Kelly’s cognitive personality theory, for example, views people as scientists, developing and testing hypotheses to understand themselves 617
Psychology Basics better and to predict events in their world. Social learning theorists such as Walter Mischel, Albert Bandura, and Julian Rotter see people as developing expectations and behavioral tendencies based on their histories of rewards and punishments and their observations of others. To some extent, the question of “essence” is also the question of motivation. Psychoanalytic theorists view people as trying to achieve a balance between instinctual urges and the demands of reality. In contrast, humanistic theorists view people as motivated toward personal growth rather than homeostatic balance. Social learning theorists view people as motivated to avoid punishments and obtain rewards. Related to the question of the “essence” of personality is the notion of whether part, or all, of the personality can be hidden from the individual. Psychoanalytic theorists believe that the driving forces of the personality are in the unconscious and thus are not directly accessible to the person except under exceptional circumstances such as those which arise in therapy. Humanists are much more optimistic about the possibility of people coming to know their inner selves. According to Rogers, parts of the self which were once hidden can, when the individual receives acceptance from others, become expressed and incorporated into self-awareness. Social learning theories do not place much weight on hidden personality dynamics. From the social learning perspective, people are viewed as unable to verbalize easily some of their expectations, but no special unconscious processes are hypothesized. Personality Change Theories also differ in the degree to which a person’s personality is seen as changing over time. Most personality theories address the development of personality in childhood and the possibility for change in adulthood. Psychoanalytic theorists believe that the most basic personality characteristics are established by the age of five or six, although there are some minor further developments in adolescence. While the person may change in adulthood in the course of psychotherapy and become better able to cope with the conflicts and traumas experienced during the early years, major personality transformations are not expected. Again, humanists are more optimistic than psychoanalytic theorists about personality change, although humanists, too, see the childhood years as important. For example, Rogers suggests that during childhood the parents may communicate their approval of some of the child’s feelings and their disapproval of others, leaving the child with a distorted self-concept. Yet, from the humanistic point of view, the person’s true inner self will constantly strive for expression. Thus, positive personality change is always seen as possible. Social learning theorists also see personality as changeable. Behaviors learned in childhood may later be changed by direct training, by altering the environment, or by revising one’s expectations. A final issue is the relationship between personality and behavior. For so618
Personality Theory cial learning theorists, behaviors and related expectations are personality. A person’s behaviors are taken as a sample of a full behavioral repertoire which forms who the person is. Both psychoanalytic and humanistic theorists view behavior as a symptom or sign of underlying, internal personality dynamics rather than a sample of the personality itself. According to this viewpoint, a person’s behaviors reflect personality only when interpreted in the light of the underlying traits they reveal. Diverse behaviors may thus be related to a single internal characteristic. Personality Measures The study of personality is a scientific discipline, with roots in empirical research; a philosophical discipline, seeking to understand the nature of people; and the foundation for the applied discipline of psychological therapy. While these three aspects of personality often support and enrich one another, there are also tensions as the field accommodates specialists in each of these three areas. The approach which focuses on personality as a scientific discipline has produced an array of methods to measure personality characteristics. They range from projective tests, such as having people tell stories inspired by ambiguous pictures, to more standardized paper-and-pencil personality tests in which people respond on bipolar numerical or multiple-choice scales to questions about their attitudes or behaviors. Methodologically, personality testing is quite sophisticated; however, people’s scores on personality tests often are rather poor predictors of behavior. The poor record of behavioral prediction based on personality traits, coupled with evidence that suggests that behavior does not have the cross-situational consistency that one might expect, has led Walter Mischel and many other personality specialists to question the utility of most traditional personality theories. Social learning approaches, which emphasize the power of the situation in determining a person’s behavior, tend to fare better in these analyses. Predicting Behavior Research has found circumstances under which people’s behavior can be predicted from knowledge of their underlying personality characteristics. If one classifies personality characteristics and behaviors at a very general level, combining observations and predicting to a group of behaviors, prediction improves. For example, predictions would be more accurate if several measures of a person’s conscientiousness were combined, and then used to predict an overall level of conscientious behavior in a variety of situations, than if one measured conscientiousness with a single scale and then attempted to predict behavior in one specific situation. Prediction on the basis of personality traits also improves when the situations in which one seeks to predict behaviors allow for individual variation, as opposed to being highly constrained by social norms. Five basic personality traits often emerge in investigations: extroversion, agreeableness, conscientiousness, 619
Psychology Basics emotional stability, and culture (high scores on culture reflect characteristics such as intelligence and refinement). Some researchers view these trait terms as accurately describing consistent personality differences among people, while others view them as reflecting the “eye of the beholder” more than the core of personality. Ultimately, people’s personality traits and situations interact to produce behavior. Situations may often determine behavior, but people choose to place themselves in specific situations that elicit their traits. A child with a predisposition to aggression may provoke others and thus set the stage for the expression of aggression; one who is highly sociable may seek out others in cooperative situations. The relation between personality and behavior is very complex, and it is difficult to describe fully using standard research methods. Research is highly unlikely to answer philosophical questions concerning human nature; however, considering people from the different points of view offered by various theories can be an enriching experience in itself. For example, a Freudian perspective on former United States president Lyndon Johnson might see his leadership during the Vietnam War as guided by aggressive instincts or even sublimated sexual instincts. On the other hand, a humanist might look at Johnson’s presidency and find his decisions to be guided by the need for self-fulfillment, perhaps citing his vision of himself as the leader of the “Great Society” as an example of selfactualization. Social learning theorists would view Johnson’s actions as president as determined by the rewards, punishments, and observational learning of his personal learning history, including growing up relatively poor in Texas and accruing power and respect during his years in the U.S. Senate, as well as by the reinforcements and punishments Johnson perceived to be available in the situations in which he found himself during his presidency. In the final analysis, none of these interpretations could be shown to be blatantly false or absolutely true. Historians, biographers, and others might find each to be an enriching viewpoint from which to consider this complex individual. Therapy Multiple points of view also characterize the therapies derived from theories of personality. Most therapists take an eclectic approach, sampling from the ideas of various theories to tailor their treatment to a specific client. Each therapist, however, also may have her or his own biases, based on a particular theoretical orientation. For example, a client who often feels anxious and seeks help from a psychoanalytic therapist may find that the therapist encourages the client to explore memories of childhood experiences to discover the unconscious roots of the anxiety. Slips of the tongue, dreams, and difficulty remembering or accepting therapeutic interpretations would be viewed as important clues to unconscious processes. The same client seeking treatment from a humanistic therapist would have a different experi620
Personality Theory ence. There, the emphasis would be on current experiences, with the therapist providing a warm and supportive atmosphere for the client to explore feelings. A behavioral therapist, from the social learning orientation, would help the client pinpoint situations in which anxiety occurs and teach the client alternative responses to those situations. Again, no one form of therapy is superior for all clients. Successes or failures in therapy depend on the combination of client, therapist, and mode of treatment. Theories and Experimentation While people have long speculated on the causes and types of individual differences in personality, the theory of Sigmund Freud was the first and most influential psychological personality theory. All subsequent theories have directly or indirectly addressed the central concerns of motivation, development, and personality organization first proposed by Freud. Psychoanalytic theorists such as Carl Jung and Alfred Adler, while trained by Freud, disagreed with Freud’s emphasis on sexual instincts and developed their own theories, emphasizing different motivations. Similarly, Karen Horney, Erich Fromm, and others developed theories placing greater emphasis on the ego and its interaction with society than did Freud’s. Psychoanalytic theory has had somewhat less of an influence in the United States than it did in Europe. Personality psychology in the United States is relatively more research-oriented, practical, and optimistic. In the United States, Gordon Allport developed one of the first trait approaches to personality. The humanistic theories of Carl Rogers and Abraham Maslow, social learning theories of Albert Bandura and Julian Rotter, and cognitive theory of George A. Kelly flourished in the 1950’s and 1960’s and continue to have their advocates. Modern personality psychologists, however, are much more likely to confine themselves to personality measurement and research than to propose broad theories of personality. Many have questioned personality’s status as a scientific subdiscipline of psychology. In 1968, Walter Mischel’s Personality and Assessment, arguing that the consistency and behavior-prediction assumptions inherent in all personality theories are unsupported by the evidence, was published. At the same time, attribution theories in social psychology were suggesting that personality traits are largely in the “eye of the beholder” rather than in the person being observed. For example, Edward Jones and Richard Nisbett argued that people are more inclined to see others as possessing personality traits than they are to attribute traits to themselves. The continued existence of personality as a subdiscipline of scientific psychology was debated. The result has been a refined approach to measurement and personality analysis. Current research on personality does not boldly assert the influence of internal personality characteristics on behavior. There are no new theories purporting to explain all of personality or the nature of all people. Rather, attention is paid to careful assessment of personality and to the complex interactions of persons and situations. For example, research on loneli621
Psychology Basics ness has found that people who describe themselves as lonely often lack social skills and avoid interactions with others, thus perpetuating their feelings of loneliness. All personality characteristics, including loneliness, are most meaningfully seen as the product of a complex interrelationship between the person and the environment. Sources for Further Study Hall, Calvin Springer, Gardner Lindzey, and John Campbell. Theories of Personality. 4th ed. New York: John Wiley & Sons, 1998. A classic textbook describing personality theories. Personality research is mentioned but not discussed in detail. Includes particularly readable, thorough, and accurate descriptions of psychoanalytic theories. Chapter 1 introduces the topic of personality theories and describes many dimensions upon which theories can be contrasted. Hampden-Turner, Charles. Maps of the Mind. New York: Collier Books, 1982. Presents brief descriptions and pictorial representations (termed “maps”) of basic psychological and philosophical concepts. The organization and presentation are a bit idiosyncratic; the summaries are very good and the diagrams helpful in synthesizing complex information. Descriptions and maps relevant to the theories of Sigmund Freud, Carl Jung, Erich Fromm, Rollo May, Hans Eysenck, Carl Rogers, Harry Stack Sullivan, and Erik Erikson are particularly relevant to basic issues in personality theory. Mischel, Walter. Introduction to Personality. 6th ed. Fort Worth, Tex.: Harcourt Brace Jovanovich, 1999. A college-level personality textbook with an emphasis on modern issues and research. Each major orientation to personality—psychodynamic, trait, phenomenological (humanistic), and behavioral—is presented with thorough discussions of measurement and research. The reader may find that this text alone is incomplete in its description of personality theories per se, but it makes an excellent companion reading to Hall, Lindzey, and Campbell’s Theories of Personality (above). Mischel’s approach to social learning theory is presented. __________. Personality and Assessment. 1968. Reprint. Hillsdale, N.J.: Analytic Press, 1996. The text that inspired debate about the utility of traditional personality theories. Readable but detailed; primarily of historical importance. Pervin, Lawrence A., and Oliver John, eds. Handbook of Personality: Theory and Research. 2d ed. New York: Guilford Press, 2001. A compilation of personality theory and research for the sophisticated reader. Chapters by Walter Mischel (“Personality Dispositions Revisited and Revised: A View After Three Decades”), David Magnusson (“Personality Development from an Interactional Perspective”), and Bernard Weiner (“Attribution in Personality Psychology”) may be of particular interest. Storr, Anthony. Churchill’s Black Dog, Kafka’s Mice, and Other Phenomena of the Human Mind. New York: Grove Press, 1988. This fascinating book demon622
Personality Theory strates how personality theories can be used to interpret lives. Storr describes the creative process in general and the lives of Winston Churchill, Franz Kafka, and others from his psychological point of view, primarily psychoanalytic in orientation. The perspectives of Sigmund Freud, Carl Jung, and Erik Erikson are featured. Susan E. Beers See also: Analytical Psychology: Carl Jung; Cognitive Social Learning: Walter Mischel; Humanistic Trait Models: Gordon Allport; Psychoanalytic Psychology; Psychoanalytic Psychology and Personality: Sigmund Freud; Social Learning: Albert Bandura.
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Personology Henry A. Murray Type of psychology: Personality Fields of study: Humanistic-phenomenological models; personality theory Murray’s study of personality, or personology, as he preferred to call it, highlights the uniqueness of the individual and the interaction between individual needs and environmental constraints. His theory precipitated the in-depth study of human needs and provided an instrument for assessing human personality. Key concepts • alpha press • beta press • need • need for achievement • press • thematic apperception test (TAT) Henry A. Murray was born into a wealthy family in New York City in 1893. His early life was unremarkable, and unlike numerous other personality theorists, he experienced no major traumas that obviously influenced his theory. He was not trained in psychology (in fact, he greatly disliked psychology classes); rather, he studied biology and later received his Ph.D. in biochemistry from the University of Cambridge. His interest in psychology and personality processes was ignited during a three-week stay with Carl Jung, the eminent Swiss psychoanalyst. This meeting led to a change in career aspirations, whereupon Murray was brought to Harvard University to engage in personality research and establish the Harvard Psychological Clinic. Murray’s biomedical training is reflected in his belief that personality processes are dependent on brain functioning. He did not believe that personality actually existed; he believed that descriptions of personality were shorthand methods of describing various aspects of individuals and their behaviors. He thought that personality helped explain and predict an individual’s actions, drives, needs, goals, and plans. He stated that his system of personality, “personology,” was a tentative theory, as psychologists did not yet know enough to capture completely the essence of each individual. As opposed to personality theorists who developed their ideas in the clinic, working with emotionally disturbed individuals, Murray believed that the best way to investigate personality was to study normal individuals in their natural environments. While at Harvard, he undertook an intensive study of fifty-one male undergraduates during a six-month period. The undergraduates were examined by a council of twenty-eight specialists of vari624
Personology: Henry A. Murray ous training and expertise so that the personalities of the students might be fully understood. From these studies, Murray developed his ideas about human needs. He believed that these needs helped individuals focus their attention on certain events and guided their behaviors to meet those needs. There are primary needs that originate from internal bodily processes (for example, air, water, food, and sex) and secondary needs that are concerned with mental and emotional satisfaction (for example, achievement, dominance, understanding, and affiliation). He proposed a hierarchy of needs, a concept later elaborated on by Abraham Maslow, in which the most basic needs, such as that for food, must be met before others can be addressed. Murray originally proposed a list of twenty basic human needs, although this list was later revised and expanded by his students and followers. “Press” Concept Although Murray’s elaboration and description of human needs was one of his major contributions to psychology, his focus on the situational context for behavior foreshadowed psychology’s future emphasis on environmental events. He proposed the concept of “press,” or forces provided by situations or events in the environment. These forces may help or hinder individuals in reaching their goals. For example, a student may have a need for achievement that would result in her attending college and receiving a degree. Environmental conditions such as poverty, however, may hinder her progress or pressure her away from these goals and necessitate that she take a job to support her family. In this situation, Murray also distinguished between “alpha press,” or actual pressure resulting from environmental situations, and “beta press,” or subjective pressure that results from individual interpretation of the events. In the example of going to college given above, alpha press might be the college board scores or the money necessary to go to certain colleges. These are real, and they involve little interpretation. Beta press might be the interpretation that if the student does not get into a certain college, she will be viewed as an embarrassment and a failure. This type of pressure comes from an internal evaluation of environmental events. Use of the TAT A final major contribution of Murray’s personology theory comes from the device he used to determine individual needs and more generally measure personality. Along with Christiana Morgan, Murray developed the Thematic Apperception Test (TAT), which continues to be a widely used instrument for assessing human personality. The TAT consists of thirty ambiguous black-and-white pictures for which an individual is instructed to make up a story. The test subject is asked to tell what led up to the event in the picture, what is happening in the picture, including how the characters are thinking and feeling, and what will happen to the characters in the future. Murray’s idea was that test subjects will project their needs into the picture, much as 625
Psychology Basics individuals who are on a diet will notice food in most situations that they encounter. It is similar to the children’s game of identifying the shapes of clouds. Children may identify clouds with children’s themes of dragons, monsters, or dinosaurs. Adolescents may view these same clouds as other boys and girls, cars, or sports figures. Murray hypothesized that certain themes would emerge from individuals’ responses to the figures and that themes and expectations for the future would become evident. Mental health professionals continue to use the TAT for this purpose. Achievement Need Henry A. Murray’s theoretical focus was to catalog all possible human needs. This led to a wide range of understanding; however, it was left to later researchers to add depth to the understanding of needs. One of the best researched of the secondary needs is the need for achievement. This need of individuals to overcome obstacles and accomplish what often are very difficult tasks has been investigated in detail by David McClelland and his colleague John Atkinson. They developed a system for scoring individuals’ responses to TAT cards to abstract achievement-oriented themes. They observed that individuals who had a high need for achievement completed more tasks under competitive conditions, were more productive in their jobs, and tended to get better grades. They used this information and measuring system to develop a training program for industry that has been shown to increase employees’ need for achievement and job productivity. Their system was found to be working even two years after the program was begun. Interesting questions remain, however; for example, at what level does the need for achievement become unproductive? At some point it will lead to unrealistic expectations, unnecessary stress, and related health problems. One of the fascinating things about the McClelland and Atkinson method of assessing an individual’s need for achievement is that it is not restricted to measuring responses from TAT cards. Their scoring system can be used with any written material; therefore, it can be adapted to a vast amount of literary, historical, and biographical information. McClelland conjectured that he could predict the economic growth and decline of a country from the number of achievement themes evident in its children’s stories. He looked at the economic conditions of twenty-three nations from 1929 to 1950 and scored their children’s stories from the prior decade (1920-1929). While it is apparent that children’s stories are not the only factor related to economic well-being, McClelland did discover that those countries with a higher number of achievement themes in the children’s stories experienced the most economic growth. Gender Differences in Achievement Another example of the importance of Murray’s pioneering work on the need for achievement comes from research on how this need is demonstrated differently by men and women. It had been evident for many years 626
Personology: Henry A. Murray that the expression of achievement was more acceptable for men than for women. It has only been in recent years that the issues surrounding the achievement of women have been investigated. It is clear that these issues, in general, have been experienced much differently by women from the way they have been experienced by men. The paths for understanding and expressing ideas of achievement for men and women clearly differ very early in life. A series of studies supports the idea that women with a high need for achievement come from relatively stressful and difficult home lives, whereas men with a similar level of achievement strivings come from supportive, nonstressful homes. Additionally, girls tend to evidence their needs for achievement because of a desire for adult approval, while boys do not demonstrate this motivation. One of the more interesting, as well as distressing, findings regarding sex differences in the need for achievement comes from the research of Matina Horner. She found that women experience considerable conflict and distress when faced with their need to achieve, whereas men do not experience a similar state. She proposed that the “smart girl” faced the prospect of considerable loss of social status and peer rejection as a result of her strivings to achieve. This may result in the behavior of acting “dumb” in order to prosper socially. Horner elaborated on Sigmund Freud’s original idea that women actually may fear success because of its social consequences. In a famous study by Horner, she had men and women write a story after being given an opening line. The women were to write a story about a woman who found herself at the top of her medical school class after the first semester. The men had the same story, except that it was a man who was at the top of the class. Far more women wrote stories of the unappealing and sometimes tragic consequences for the smart woman in class. They wrote about possible rejections and losses of friends and indicated that she would have a poorer chance of getting married. Many of the women came up with situations related to removing the student from the conflict situation, such as dropping out of medical school or settling for becoming a nurse. Finally, some of the students even indicated that she might receive bodily harm as a result of her stellar performance. The conflicting messages of society regarding achievement for women are clearly shown by this study. It is apparent that women face considerable struggles in their attempts to compete and achieve equally with men. The factors that will alleviate this internal distress and aid women in the full expression of their abilities await further investigation. It was Murray’s pioneering study of human needs that laid the groundwork for these types of investigation, which have the potential to inspire long-overdue social changes. Theoretical Contributions Murray’s theory of personology was a unique contribution to the early years of personality theorizing. His system differed from those before it (for ex627
Psychology Basics ample, Freud’s psychoanalytic theory) in that it was not developed in a clinic as a result of working with clients. Murray studied normal individuals in great detail and gained knowledge from experts in a number of disciplines. This gave personality theory a certain degree of academic respectability it had not had previously acquired. Murray was also a highly influential teacher, with many students who made significant contributions to psychology. Murray’s description of “needs” was a major contribution to the psychological study of motivation. His research spurred many investigations of individual human needs. Additionally, his complementary emphasis on environmental events (that is, “press”) was later to become a major shift in American psychology. The behavioral school of psychology, with its leaders John B. Watson and B. F. Skinner, was to become the dominant force for many years. Their focus on the manipulation of environmental events (for example, rewards and punishments) was to have a major influence on education, therapy, and childrearing. The subjective interpretation of environmental events (that is, “beta press”) also was a precursor to a major shift in theory. The cognitive school of psychology now focuses on these mental rearrangements of events and makes predictions based on individuals’ expectations and fears. Murray’s emphasis on the fact that the idiosyncratic perception of an event is not always the same as what actually happened is the foundation for this approach. Finally, Murray’s development of the TAT (with Christiana Morgan) was an early and influential contribution to the area of personality assessment. It and similar tests, such as the Rorschach inkblot test and the incomplete sentences blank, are frequently used for gathering personality information in the clinic. Even the weaknesses of the TAT (for example, different investigators may score it very differently) led to the development of more objective personality tests with standardized questions and scoring. Murray’s influence, both in the classroom and in the clinic, was substantial. Sources for Further Study Anderson, James W. “Henry A. Murray’s Early Career: A Psychobiographical Exploration.” Journal of Personality 56, no. 1 (1988): 139-171. An interesting presentation of the factors that led Henry Murray to become a psychologist and of how his experiences interacted with his theory. An excellent example of how one’s life cannot be extricated from one’s beliefs about human nature. Boring, Edwin G., and Gardner Lindzey, eds. A History of Psychology in Autobiography. Vol. 5. New York: Appleton-Century-Crofts, 1967. In an autobiographical essay in volume 5 of this survey, Henry Murray presents a detailed view of his concepts and the influence of his work. Hall, Calvin Springer, Gardner Lindzey, and John Campbell. Theories of Personality. 4th ed. New York: John Wiley & Sons, 1998. A definitive reference for information on most personality theorists. A thorough book that gives 628
Personology: Henry A. Murray a detailed explanation of most of Murray’s concepts. Not recommended for the casual reader. Schultz, Duane P. Theories of Personality. 5th ed. Belmont, Calif.: Brooks/ Cole, 1994. A review of the major aspects of Henry Murray’s theory in an easy-to-read format. Provides substantial biographical information about Murray and how this influenced his theory. Smith, M. B., and J. W. Anderson. “Henry A. Murray (1893-1988).” American Psychologist 44 (1989): 1153-1154. This obituary is a personal account of Murray’s career and his impact on his students as well as on psychology. Covers not only the facts of Murray’s work but also his perceptions of his work. Brett L. Beck See also: Aggression; Psychoanalytic Psychology.
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Phobias Type of psychology: Psychopathology Field of study: Anxiety disorders Phobias are exaggerated, unjustified fears of everyday objects or situations, such as fear of certain types of animals or fears of doing things in front of other people. Though many people experience irrational fears or phobias, few seek treatment; as a result, they suffer emotional pain and may find their lives limited by their phobias. Key concepts • conditioned response (CR) • conditioned stimulus (CS) • instrumental conditioning • Pavlovian conditioning • unconditioned response (UR) • unconditioned stimulus (US) Phobias are a type of anxiety disorder characterized by a persistent, exaggerated, irrational fear of certain objects or situations and by efforts to avoid the object or situation. In many cases, the distress and the avoidance efforts significantly interfere with an individual’s daily life. Phobias are common in the general population; approximately one person in ten suffers from mild phobias, and severe, disabling phobias are found in one person in five hundred. The three major types of phobias are agoraphobia (a fear of situations in which escape is perceived to be difficult or assistance unavailable), social phobias, and specific (or “simple”) phobias. In social phobias, being observed by others may elicit anxiety and the desire to avoid such situations. The person fears doing something which will lead to embarrassment or humiliation, such as being unable to speak or showing nervousness through trembling hands or other signs. Persons with specific phobias avoid a certain type of object or situation or suffer extreme anxiety when in the presence of these objects or situations. Some examples of common specific phobias are acrophobia, fear of heights; arachnophobia, fear of spiders; claustrophobia, fear of being in small, enclosed spaces; pathophobia, fear of diseases and germs; and xenophobia, fear of strangers. In the presence of the feared object or situation, the severely phobic person’s experience and reaction differ dramatically from the average person’s. Physiologically, changes in the body cause an increase in heart rate and blood pressure, tensing of muscles, and feelings of fear. In many cases, a panic state develops, characterized by muscular trembling and shaking, rapid, shallow breathing, and feelings of unbearable anxiety and dizziness. Behaviorally, the person will stop or redirect whatever activity in which he or she is engaged, then try to escape from or avoid the phobic object or situation. Cognitively, a phobic person at a distance from the object or situation 630
Phobias can recognize it as posing little actual danger; but upon approaching it, fear rises, and the estimation of risk increases. Theoretical Explanations The many theories which attempt to explain how phobias develop can be grouped under three general headings: those which stress unconscious emotional conflicts, those which explain phobias based on the principles of learning, and those which consider biological factors. For Sigmund Freud, phobias represented the external manifestation of unconscious internal emotional conflicts which had their origin in early childhood. These conflicts typically involved the inhibition of primitive sexual feelings. Learning-theory explanations of phobias are based on Pavlovian conditioning, instrumental conditioning, and social learning theory. According to a Pavlovian conditioning model, phobias result when a neutral stimulus—a dog, for example—is paired with an unconditioned stimulus (US), for example, a painful bite to the leg. After this event, the sight of the dog has become a conditioned stimulus (CS) which elicits a conditioned response (CR), fear; thus, a dog phobia has been learned. Instrumental conditioning (the modification of behavior as a result of its consequences) has been combined with Pavlovian conditioning in the two-factor model of phobias. After the establishment of the phobia by Pavlovian conditioning, as above, a person will attempt to escape from or avoid the phobic object or situation whenever it is encountered. When this is successful, the fear subsides. The reduction in fear is a desirable consequence which increases the likelihood of escape/avoidance behavior in the future (that is, the escape/avoidance behavior is reinforced). The two-factor model thus accounts for both the development and maintenance of phobias. Social learning theory suggests that human learning is based primarily on the observation and imitation of others; thus, fears and phobias would be acquired by observing others who show fearful behavior toward certain objects or situations. This learning occurs primarily during childhood, when children learn many behaviors and attitudes by modeling those of others. Two theories suggest that inherited biological factors contribute to the development of phobias. The preparedness theory suggests that those stimuli which are most easily conditioned are objects or situations which may have posed a particular threat to humans’ early ancestors, such as spiders, heights, small spaces, thunder, and strangers. Thus, people are genetically prepared to acquire fear of them quickly. Similarly, people vary in susceptibility to phobias, and this is also thought to be based at least partly on an inherited predisposition. A phobia-prone person may be physiologically highly arousable; thus, many more events would reach a threshold of fear necessary for conditioning. Stressful life situations, including extreme conflict or frustration, may also predispose a person to develop a phobia or exacerbate an existing phobia. Further, a sense of powerlessness or lack of control over one’s situation 631
Psychology Basics
DSM-IV-TR Criteria for Phobias Specific Phobia (DSM code 300.29) Marked and persistent fear that is excessive or unreasonable and cued by presence or anticipation of specific object or situation (flying, heights, animals, receiving an injection, seeing blood) Exposure to phobic stimulus almost invariably provokes immediate anxiety response, which may take the form of situationally bound or situationally predisposed panic attack; in children, anxiety may be expressed by crying, tantrums, freezing, or clinging Person recognizes fear as excessive or unreasonable; in children, this feature may be absent
Phobic situation(s) avoided or endured with intense anxiety or distress Avoidance, anxious anticipation, or distress in feared situation(s) interferes significantly with normal routines, occupational (or academic) functioning, or social activities or relationships, or marked distress about phobia present In individuals under age eighteen, duration of at least six months Anxiety, panic attacks, or phobic avoidance associated with specific object or situation not better accounted for by another mental disorder, such as ObsessiveCompulsive Disorder, Post-traumatic Stress Disorder, Separation Anxiety Disorder, Social Phobia, Panic Disorder with Agoraphobia, or Agoraphobia Without History of Panic Disorder Specify: • Animal Type • Natural Environment Type (such as heights, storms, water) • Blood-Injection-Injury Type • Situational Type (such as airplanes, elevators, enclosed places) • Other Type (such as phobic avoidance of situations that may lead to choking, vomiting, or contracting an illness; in children, avoidance of loud sounds or costumed characters)
may increase susceptibility; this may partly explain why phobias are more common in women than in men, as these feelings are reported more often by women than by men. Once initiated, phobias tend to persist and even worsen over time, and the fear may spread to other, similar objects or situations. Even phobias which have been successfully treated may recur if the person is exposed to the original US, or even to another US which produces extreme anxiety. Thus, many factors—unconscious, learned, and biological—may be involved in the onset and maintenance of phobias. As every person is unique in terms of biology and life experience, each phobia is also unique and represents a particular interaction of the factors above and possibly other, unknown factors. 632
Phobias Social Phobia (DSM code 300.23) Marked and persistent fear of one or more social or performance situations involving exposure to unfamiliar people or to possible scrutiny by others; individual fears that he or she will act in a way (or show anxiety symptoms) that will be humiliating or embarrassing In children, evidence requires the capacity for age-appropriate social relationships with familiar people and anxiety must occur in peer settings, not just in interactions with adults Exposure to feared social situation almost invariably provokes anxiety, which may take the form of situationally bound or situationally predisposed panic attack; in children, anxiety may be expressed by crying, tantrums, freezing, or shrinking from social situations with unfamiliar people Person recognizes fear as excessive or unreasonable; in children, this feature may be absent Feared social or performance situations avoided or endured with intense anxiety or distress Avoidance, anxious anticipation, or distress in feared social or performance situation(s) interferes significantly with normal routines, occupational (academic) functioning, or social activities or relationships, or marked distress about phobia present In individuals under age eighteen, duration of at least six months Fear or avoidance not due to direct physiological effects of a substance or general medical condition Not better accounted for by another mental disorder such as Panic Disorder with or Without Agoraphobia, Separation Anxiety Disorder, Body Dysmorphic Disorder, a Pervasive Developmental Disorder, or Schizoid Personality Disorder If general medical condition or another mental disorder present, fear unrelated to it Specify if Generalized (fears include most social situations)
Case Studies and Therapy Techniques The following two case studies of phobias illustrate their onset, development, and the various treatment approaches typically used. These studies are fictionalized composites of the experiences of actual clients. Ellen P. entered an anxiety disorders clinic requesting large amounts of tranquilizers. She revealed that she wanted them to enable her to fly on airplanes; if she could not fly, she would probably lose her job as a sales representative. Ellen described an eight-year history of a fear of flying, during which she had simply avoided all airplane flights and had driven or taken a train to distant sales appointments. She would sometimes drive through the night, keep her appointments during the day, then again drive through the 633
Psychology Basics night back to the home office. As these trips occurred more often, she became increasingly exhausted, and her work performance began to decline noticeably. A review of major childhood and adolescent experiences revealed only that Ellen was a chronic worrier. She also reported flying comfortably on many occasions prior to the onset of her phobia but remembered her last flight in vivid detail. She was flying to meet her husband for a honeymoon cruise, but the plane was far behind schedule because of poor weather. She began to worry that she would miss the boat and that her honeymoon, and possibly her marriage, would be ruined. The plane then encountered some minor turbulence, and brief images of a crash raced through Ellen’s mind. She rapidly became increasingly anxious, tense, and uncomfortable. She grasped her seat cushion; her heart seemed to be pounding in her throat; she felt dizzy and was beginning to perspire. Hoping no one would notice her distress, she closed her eyes, pretending to sleep for the remainder of the flight. After returning from the cruise, she convinced her husband to cancel their plane reservations and thus began her eight years of avoiding flying. Ellen’s psychologist began exposure therapy for her phobia. First she was trained to relax deeply. Then she was gradually exposed to her feared stimuli, progressing from visiting an airport to sitting on a taxiing plane to weekly flights of increasing length in a small plane. After ten weeks of therapy and practice at home and the airport, Ellen was able to fly on a commercial airliner. Two years after the conclusion of therapy, Ellen met her psychologist by chance and informed her that she now had her own pilot’s license. In the second case, Steve R. was a high school junior who was referred by his father because of his refusal to attend school. Steve was described as a loner who avoided other people and suffered fears of storms, cats, and now, apparently, school. He was of above-average intelligence and was pressured by his father to excel academically and attend a prestigious college. Steve’s mother was described as being shy, like Steve. Steve was her only child, and she doted on him, claiming she knew what it felt like to be in his situation. When interviewed, Steve sat rigidly in his chair, spoke in clipped sentences, and offered answers only to direct questions. Questioning revealed that Steve’s refusal to attend school was based on a fear of ridicule by his classmates. He would not eat or do any written work in front of them for fear he was being watched and would do something clumsy, thus embarrassing himself. He never volunteered answers to teachers’ questions, but in one class, the teacher had begun to call on Steve regularly for the correct answer whenever other students had missed the question. Steve would sit in a nearpanic state, fearing he would be called on. After two weeks of this, he refused to return to school. Steve was diagnosed as having a severe social phobia. His therapy included a contract with his teachers in which it was agreed that he would not 634
Phobias be called upon in class until therapy had made it possible for him to answer with only moderate anxiety. In return, he was expected to attend all his classes. To help make this transition, a psychiatrist prescribed an antianxiety drug to help reduce the panic symptoms. A psychologist began relaxation training for use in exposure therapy, which would include Steve volunteering answers in class and seeking social interactions with his peers. Steve finished high school, though he left the state university at the end of his first semester because of a worsening of his phobias. His therapy was resumed, and he graduated from a local community college, though his phobias continued to recur during stressful periods in his life. These cases illustrate many of the concepts related to the study of phobias. In both cases, it is possible that a high emotional reactivity predisposed the person to a phobia. In Ellen’s case, the onset of the phobia was sudden and appeared to be the result of Pavlovian conditioning, whereas in Steve’s case, the phobia likely developed over time and involved social learning: modeling of his mother’s behavior. Steve’s phobia may also have been inadvertently reinforced by his mother’s attention; thus, instrumental conditioning may have been involved as well. Ellen’s phobia could be seen to involve a sense of lack of control, combined with a possibly inherited predisposition to fear enclosed spaces. Steve’s phobia illustrated both a spreading of the phobia and recurrence of the phobia under stress. Historical Variations in Perspectives As comprehensive psychological theories of human behavior began to emerge in the early 1900’s, each was faced with the challenge of explaining the distinct symptoms, but apparently irrational nature, of phobias. For example, in 1909, Sigmund Freud published his account of the case of “Little Hans,” a young boy with a horse phobia. Freud hypothesized that Hans had an unconscious fear of his father which was transferred to a more appropriate object: the horse. Freud’s treatment of phobias involved analyzing the unconscious conflicts (through psychoanalysis) and giving patients insight into the “true” nature of their fears. An alternative explanation of phobias based on the principles of Pavlovian conditioning was proposed by John B. Watson and Rosalie Rayner in 1920. They conditioned a fear of a white rat in an infant nicknamed “Little Albert” by pairing presentation of the rat with a frightening noise (an unconditioned stimulus). After a few such trials, simply presenting the rat (now a conditioned stimulus) produced fear and crying (the conditioned response). Experimental Models As B. F. Skinner’s laboratory discoveries of the principles of instrumental conditioning began to be applied to humans in the 1940’s and 1950’s, experimental models of phobias in animals were developed. In the 1950’s, Joseph Wolpe created phobia-like responses in cats by shocking them in ex635
Psychology Basics perimental cages. He was later able to decrease their fear by feeding them in the cages where they had previously been shocked. Based on this counterconditioning model, Wolpe developed the therapy procedure of systematic desensitization, which paired mental images of the feared stimulus with bodily relaxation. Social learning theory as advanced by Albert Bandura in the 1960’s was also applied to phobias. Bandura conducted experiments showing that someone might develop a phobia by observing another person behaving fearfully. It was later demonstrated that some phobias could be treated by having the patient observe and imitate a nonfearful model. Cognitive approaches to phobias were also developed in the 1970’s and 1980’s by therapists such as Albert Ellis and Aaron T. Beck. These theories focus on the role of disturbing thoughts in creating bodily arousal and associated fear. Therapy then consists of altering these thought patterns. Applications to Psychology Phobias can thus be seen as providing a testing ground for the major theories of psychology. Whether the theorist adopts a psychodynamic, learning/ behavioral, or cognitive perspective, some account of the development and treatment of phobias must be made. No one theory has been shown to be completely adequate, so research continues in each area. The study of phobias also illustrates the importance to psychology of animal research in helping psychologists to understand and treat human problems. For example, Susan Mineka has used monkeys to demonstrate the relative importance of social learning versus biology in the development of phobias. Future research will also likely consider the interactions among the various models of phobias and the conditions that might predict which models would be most effective in explaining and treating specific cases of phobias. As the models mature and are integrated into a comprehensive theory of phobias, this knowledge can then be applied to the prevention of phobias. Sources for Further Study Beck, Aaron T., and Gary Emery. Anxiety Disorders and Phobias: A Cognitive Perspective. Reprint. New York: Basic Books, 1990. Though cognitive explanations and treatments for phobias are stressed, this book considers other perspectives as well, and it could serve as an introduction to the topic for the interested high school or college student. Bourne, Edmund. The Anxiety and Phobia Workbook. 3d ed. Oakland, Calif.: New Harbinger, 2000. An excellent self-help book for those who suffer from an anxiety disorder. Also an accessible introduction to the causes and treatments of phobias for high school and college students. Contains self-diagnostic and therapy exercises as well as other resources for the phobia sufferer. Gold, Mark S. The Good News About Panic, Anxiety, and Phobias. New York: Random House, 1989. For a general audience. Outlines many biological fac636
Phobias tors which may be associated with phobias. Presents a one-sided approach, heavily promoting a biopsychiatric view of phobias and their treatment. Marks, Issac Meyer. Fears, Phobias, and Rituals. New York: Oxford University Press, 1987. With more than five hundred pages and a bibliography with more than two thousand references, this text provides comprehensive coverage of all aspects of phobias. Written for the professional and researcher but accessible to college students who are interested in pursuing some aspect of phobias in detail. Mineka, Susan. “Animal Models of Anxiety-Based Disorders: Their Usefulness and Limitations.” In Anxiety and the Anxiety Disorders, edited by A. Hussain Tuma and Jack Maser. Hillsdale, N.J.: Lawrence Erlbaum, 1985. The phobia portion of this chapter reviews the major experiments done with animals which demonstrate the many similarities between human phobias and experimental phobias in animals. Clearly illustrates the relevance of animal research to human behavior. Difficult yet indispensable for a thorough understanding of phobias. Wilson, R. Reid. Breaking the Panic Cycle: Self-Help for People with Phobias. Rockville, Md.: Anxiety Disorders Association of America, 1987. A publication of a nonprofit organization which is dedicated to disseminating information and providing help to phobia sufferers. The ADAA also publishes the National Treatment Directory, which lists treatment programs throughout the country. David S. McDougal See also: Anxiety Disorders; Conditioning; Learning; Nervous System; Pavlovian Conditioning; Reflexes.
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Psychoanalysis Date: The 1880’s forward Type of psychology: Developmental psychology; psychological methodologies; psychotherapy Fields of study: Classic analytic themes and issues; general constructs and issues; humanistic-phenomenological models; humanistic therapies; models of abnormality; motivation theory; personality theory; psychodynamic and neoanalytic models; psychodynamic therapies; thought Psychoanalysis is a form of intensive psychotherapy to treat emotional suffering, based on the concept that people are often unaware of what determines their emotions and behavior. By talking freely, while in an intensive relationship with the psychoanalyst, a person is able to overcome worries that may have limited his or her choices in life. Psychoanalysis is also a comprehensive theory of the mind and a method for understanding everyday behavior. Key concepts • anxiety • certification • countertransference • depression • free association • inhibitions • psychoanalyst • psychoanalytic institutes • psychoanalytic psychotherapy • psychotherapy • symptoms • transference • unconscious Psychoanalysis began as a method for treating emotional suffering. Sigmund Freud (1856-1939), the founder of psychoanalysis, made many discoveries by studying patients with symptoms such as excessive anxiety (fear that is not realistic) or paralysis for which no physical cause could be found. He became the first psychoanalyst (often called analyst) when he developed the method of free association, in which he encouraged his patients to say whatever came to mind about their symptoms and their lives. He found that by talking in this way, his patients discovered feelings and thoughts they had not known they had. When they became aware of these unconscious thoughts and feelings, their symptoms lessened or disappeared. Psychoanalysis as a form of psychotherapy continues to be an effective method for treating certain forms of emotional suffering, such as anxieties and inhibitions (inner constraints) that interfere with success in school, 638
Psychoanalysis work, or relationships. It is based on the understanding that each individual is unique, that the past shapes the present, and that factors outside people’s awareness influence their thoughts, feelings, and actions. As a comprehensive treatment, it has the potential to change many areas of a person’s functioning. Although modern psychoanalysis is different in many ways from what was practiced in Freud’s era, talking and listening remain important. Psychoanalytic psychotherapy is a modified form of psychoanalysis, usually with less frequent meetings and more modest goals. From the beginning, psychoanalysis was more than just a treatment. It was, and continues to be, a method for investigating the mind and a theory to explain both everyday adult behavior and child development. Many of Freud’s insights, which seemed so revolutionary at the beginning of the twentieth century, are now widely accepted by various schools of psychological thought and form the basis for several theories of psychological motivation, most theories of child development, and all forms of psychodynamic psychotherapy. Some of Freud’s ideas, such as his theories about women, turned out to be wrong and were revised by other psychoanalysts during the 1970’s and 1980’s. Other ideas, such as those about the nature of dreams, although rejected by some scientists during the 1980’s and 1990’s, were revisited by other scientists by the beginning of the twenty-first century. Psychoanalytic ideas and concepts are used in communities to solve problems such as bullying in schools and can be applied in many other fields of study. In the early years of psychoanalysis, Freud trained most psychoanalysts. Later, different schools of psychoanalytic thought branched out from this original source. Groups of psychoanalysts joined together in organizations, and each organization developed its own standards for training psychoanalysts. There were no nationally accepted standards for psychoanalytic training in the United States until the beginning of the twenty-first century, when several of these groups joined together to establish an Accreditation Council of Psychoanalytic Education. This council agreed to core standards for psychoanalytic institutes (schools that train psychoanalysts). Psychoanalytic psychotherapy, while practiced by trained psychoanalysts, is also practiced by psychotherapists, who are not trained as psychoanalysts. Psychoanalytic Treatment Psychoanalysis is a method for helping people with symptoms that result from emotional conflict. Common symptoms in the modern era include anxiety (fear that is not realistic), depression (excessive sadness that is not due to a current loss), frequent unhealthy choices in relationships, and trouble getting along well with peers or family members. For example, some people may feel continuously insecure and worried about doing well in school or work despite getting good grades or reviews. Other people may be attracted to sexual and emotional partners who treat them poorly. Others may experience loneliness and isolation because of fears about close relationships. Others may sabotage their success by always changing direction 639
Psychology Basics before reaching their goals. Children may have tantrums beyond the age when these are normal or be afraid of going to sleep every night or feel unhappy with their maleness or femaleness. The same symptom can have several different causes, an etiology Freud termed overdetermination. For example, depression may be caused by inner emotional constraints that prevent success, by biological vulnerability, or by upsetting events (such as the death of a loved one), or it may result from a combination of these. Therefore, most psychoanalysts believe in meeting with a person several times before deciding upon the best treatment. Psychoanalysis is not for everyone who has a symptom. Sometimes psychoanalysis is not needed because the problems can be easily helped using other, less intensive forms of therapy. Sometimes biological problems or early childhood experiences leave a person too vulnerable to undertake the hard work of psychoanalysis. When psychoanalysis is not necessary, or not the best treatment for a particular person, a psychoanalyst may recommend psychoanalytic psychotherapy, a treatment that is based on the same principles as psychoanalysis but with less ambitious goals and, usually, less frequent sessions. Psychoanalysis can treat specific emotional disorders, as described in the Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000) and can also help with multiple sets of problematic symptoms, behaviors, and personality traits (such as being too perfectionistic or rigid). Because psychoanalysis affects the whole person rather than just treating symptoms, it has the potential to promote personal growth and development. For adults, this can mean better relationships or marriages, jobs that feel more satisfying, or the ability to enjoy free time when this was difficult before. Children may do better in school after fears about competition and success diminish, or they may have more friends and get along better with parents after they begin to feel better about themselves. Because psychoanalysis is a very individual treatment, the best way to determine whether it would be beneficial for an individual is through consulting an experienced psychoanalyst. In general, people who benefit from psychoanalysis have some emotional sturdiness. They tend to be capable of understanding themselves and learning how to help themselves. Usually, they have had important accomplishments in one or more areas of their life before seeking psychoanalytic treatment. Often, they have tried other forms of treatment that may have been helpful but have not been sufficient to deal with all their difficulties. Sometimes they are people who work with others (therapists, rabbis, teachers) whose emotions have been interfering with their ability to do their jobs as well as possible. Psychoanalysts understand such problems in the context of each individual’s strengths, vulnerabilities, and life situation. Method of Treatment in Psychoanalysis A person who goes to a psychoanalyst for consultation usually meets with the analyst at least three times face-to-face before the analyst recommends psy640
Psychoanalysis choanalysis. Sometimes the patient and analyst meet for several weeks, months, or years in psychoanalytic psychotherapy; they decide upon psychoanalysis if they identify problems that are unlikely to be solved by less intensive treatment. Once they begin psychoanalysis, the analyst and patient usually meet four or five times per week for fifty-minute sessions, as this creates the intensive personal relationship that plays an important role in the therapeutic process. The frequent sessions do not mean that the patient is very sick; they are necessary to help the patient reach deeper levels of awareness. (People with the severest forms of mental illness, such as schizophrenia, are not usually treated with psychoanalysis.) Often the adult patient lies on a couch, as this may make it easier to speak freely. The couch is not essential, and some patients feel more comfortable sitting up. By working together to diminish obstacles to free expression in the treatment sessions, the analyst and patient come to understand the patient’s worries and learn how the patient’s mind works. The patient learns about thoughts and feelings he or she has kept out of awareness or isolated from one another. Through the intensity that comes from frequent meetings with the analyst, the patient often experiences the analyst as if the analyst were a parent or other important person from the past. This is called transference. Eventually, the patient has a chance to see these feelings from a more mature point of view. Although the patient may experience intense emotions within the analytic sessions, the anxieties and behaviors that brought him or her to treatment gradually diminish and feel more under control. The patient feels freer and less restricted by worries and patterns that belong to the past. For example, a patient may be very fearful of angry feelings and avoid telling the analyst about them, expecting punishment or rejection. As a result, the patient may turn the anger on himself or herself in a form of selfsabotage. Often this is the way the patient dealt with angry feelings toward significant people while growing up. Over time, as the patient and analyst understand this behavior, the patient feels freer to express angry feelings directly and eventually feels less need to sabotage or self-punish. Gradually, in the course of the intensive analytic relationship, the patient learns more about his or her maladaptive ways of dealing with distressing thoughts and feelings that have developed during childhood. By understanding them in adulthood or (for a child) at a later age, the patient gains a different perspective and is able to react in a more adaptive way. Rigid personality traits that had been used to keep the childhood feelings at a distance are no longer necessary, and the patient is able to react to people and situations in a more flexible way. During the course of the treatment, the analyst will often have strong feelings toward the patient, called countertransference. Well-trained analysts are required to undergo psychoanalysis themselves before treating patients. In their own analysis, they learn how to cope with their countertransference feelings in ways that will not hurt the patient. For example, they learn not to 641
Psychology Basics take the patient’s expressions of anger personally but to help the patient express the emotion more fully and understand where it originates. Children and adolescents can be treated with psychoanalysis or psychoanalytic psychotherapy by using methods suitable for their ages. Most children play with toys, draw, or explore the room, in addition to talking, during their sessions with the analyst, and these activities provide ways to explore inner thoughts and feelings. The analyst meets with the parents before the treatment starts and continues to do so regularly during the course of the child’s therapy or analysis. Adolescents usually sit face-to-face or draw or write about their feelings and worries. Occasionally, older adolescents want to lie on the couch. Adolescents often prefer that the analyst not meet with the parents on a regular basis. Instead, the analyst and adolescent usually develop some way to keep the parents informed about what they might need to know about the treatment. Psychoanalytic Psychotherapy Psychoanalytic psychotherapy is more varied than psychoanalysis. It may be very intensive, or it may be focused on a specific problem, such as a recent loss or trouble deciding about a job. In psychoanalytic psychotherapy, the patient and therapist usually sit face-to-face and approach the patient’s problems, whatever they are, in a more interactive way. Most often, patient and therapist meet twice per week in fifty-minute sessions. Once per week is also common but not considered to be as helpful. More frequent meetings (three to five times per week) may be necessary if the patient is in crisis or has chronic problems that are not treatable with psychoanalysis. Although psychoanalysts are well trained to practice psychoanalytic psychotherapy, this treatment is also practiced by psychotherapists who are not psychoanalysts. Some of these therapists have taken courses at psychoanalytic institutes. Medication and Confidentiality Issues In the early days of psychoanalysis, analysts believed that treatment with medication would interfere with psychoanalysis. Most modern psychoanalysts believe that, although medicine can sometimes interfere, there are times when it can be used in a helpful way in combination with psychoanalytic psychotherapy or even with psychoanalysis. “Confidentiality” is the term used to describe the privacy necessary for individuals to be able to speak freely about all their thoughts and feelings. Responsible psychoanalysts and psychotherapists agree to keep private everything about their patients, including the fact that the patient has come for treatment, unless the patient gives permission to release some specific information. One exception is when patients are at risk for hurting themselves or someone else. In Jaffe v. Redmond, an important case decided by the U.S. Supreme Court in 1995, the Supreme Court confirmed that confidentiality is necessary for the patient to speak freely in psychotherapy. 642
Psychoanalysis Training and Qualifications for Psychoanalysts The International Psychoanalytic Association (IPA), formed during Freud’s lifetime, is a worldwide organization of psychoanalysts that remained in place throughout the twentieth century. The American Psychoanalytic Association (APsA) was founded in 1911 and grew to three thousand members during the course of the twentieth century. All its members also belonged to the IPA. Many schools for psychoanalysts, or psychoanalytic institutes, were accredited (examined and found to meet a set of standards) by APsA over the years. APsA also developed an examination called certification to test graduate psychoanalysts. Because the first psychoanalysts in the United States believed that psychoanalysis would be more highly valued if connected with the medical profession, the APsA initially only accepted psychiatrists (who are medical doctors) as members. Exceptions were made for professionals who applied to train as researchers. This contrasted with the practice in Europe, where many nonmedical psychoanalysts became members of the IPA. Nonmedical professionals, such as psychologists and social workers, who wanted to become psychoanalysts in the United States often trained in psychoanalytic institutes not recognized by the APsA. Some were recognized by the IPA and later banded together under the name of the International Psychoanalytic Societies (IPS). Other institutes developed outside both organizations, sometimes creating their own standards for training. By the last quarter of the twentieth century, nonmedical mental health professionals (such as psychologists and social workers) were accepted as members of APsA and grew in numbers, becoming a large proportion of the membership. Because the title “psychoanalyst” was not protected by federal or state law in the twentieth century, anyone, even untrained persons, could call themselves a psychoanalyst in the United States. Many institutes developed in large cities, such as New York and Los Angeles, that were not connected with APsA or IPS and admitted trainees with varying backgrounds and qualifications. Some of these defined psychoanalysis in their own way, so that arguments developed about the dividing line between psychoanalysis and psychoanalytic psychotherapy. The American Psychological Association eventually developed its own examination to qualify a psychologist as a psychoanalyst. Training in the Twenty-first Century Because, by the beginning of the twenty-first century, no laws were yet in place in the United States to define who could practice psychoanalysis, it remained difficult for the public to tell who was qualified. In the late 1990’s, several national organizations of the core mental health disciplines came together in a coalition called the Consortium for Psychoanalysis. By the turn of the century, they had agreed upon baseline standards that would be used to develop a national organization to accredit psychoanalytic institutes. These organizations were the American Psychoanalytic Association, the divi643
Psychology Basics sion of psychoanalysis of the American Psychological Association, the National Membership Committee on Psychoanalysis in Clinical Social Work, and the American Academy of Psychoanalysis. Trained psychoanalysts in the twenty-first century who meet these standards already have a mental health degree, except in unusual cases, before becoming psychoanalysts. Once accepted for training at a psychoanalytic institute, these mental health professionals study many more years to become qualified psychoanalysts. They take courses and treat patients while supervised by experienced psychoanalysts. In addition, they are required to undergo psychoanalysis themselves in order to gain enough self-knowledge to keep their own problems from interfering with the treatment of patients. Psychoanalysis as a Theory All psychoanalytic theories are based on the idea that people are motivated by thoughts and feelings outside their awareness, that the past influences the present, and that each individual is unique. Because so much change and growth has occurred since Freud’s era, psychoanalysis is no longer a single theory but encompasses many different theories. All psychoanalytic theories are theories of motivation (what makes people do what they do), theories of development (how people get to be the way they are), and theories of change (how psychoanalytic treatment works). Psychoanalytic theories are usually also theories of personality development (who people are) and personality disturbance. Most theories emphasize the complexity of each person’s symptoms and behavior and take into account many different influences. For example, the psychoanalytic theory called ego psychology describes development as a complex interaction of biology (inborn factors) and experience over time. Early childhood experiences are especially important because they influence the way a person’s ability to cope with the world (ego functioning) develops. Each person adapts to the environment in a unique way that gradually becomes more consistent by the time the person grows to adulthood. Psychoanalytic theories are comprehensive theories of mental functioning and disorder. For this reason, they originally formed the basis for the diagnosis and classification of mental disorders in the United States. The American Psychiatric Association published its Diagnostic and Statistical Manual of Mental Disorders (DSM) in 1952 and the second edition (DSM-II) in 1968. Many changes and developments took place in psychoanalytic theory during the second half of the twentieth century. The greatest changes took place in theories about psychotic illness, female psychology, homosexuality, and the nature of the patient/analyst relationship. By the turn of the twentyfirst century, it was unusual to find, in real life, the silent analysts who were still sometimes depicted in films and cartoons. Because of their complexity, psychoanalytic theories are more difficult to study and test than other theories. For example, Freud believed that dreams 644
Psychoanalysis have meaning and are based on the fulfillment of unconscious wishes. Neuroscientists dismissed this theory for many years because it could not be demonstrated. Behavioral psychologists, who based their theories on observable behavior, did not consider thoughts and feelings outside a person’s awareness to be important. Because of the emphasis on experimental testing and the increasing public expectation for quick cures during the last quarter of the twentieth century, psychoanalytic theories became less popular. The DSM-III, the third edition of the diagnostic manual for mental disorders which came out in 1980, was based on categories of symptoms and behaviors, without any reference to underlying theory. The categories of mental disturbance in DSM-III (and in later editions) were described in a way that would be easy to test in controlled experiments. People, and particularly insurance companies, became more interested in medicines and short-term treatments for symptoms and were less willing to pay for treatments like psychoanalysis that address the whole person. Toward the end of the twentieth century and the beginning of the twentyfirst, cognitive scientists (scientists who study the way people think) and neuroscientists (scientists who study the way the brain works) began to make discoveries that proved psychoanalytic theory to be correct in some important areas. For example, cognitive scientists proved that much of mental functioning goes on outside a person’s awareness. Mark Solms, a neuroscientist, proved that dreams are formed in the part of the brain that deals with motivation and emotional meaning. Psychoanalysts began a dialogue with neuroscientists and cognitive scientists. Although some psychoanalysts thought psychoanalysis could not be studied experimentally in the same way as shorter-term therapies, others began to publicize studies demonstrating the effectiveness of psychoanalysis and psychoanalytic psychotherapy. Others began to develop further ways to study psychoanalytic theory and treatment. Psychoanalytic Theory Applications Psychoanalytic ideas have been applied in many fields of study. For example, psychoanalytic theories about loss and mourning have been used to help inner-city children cope with their reactions to losses in mourning groups. Psychoanalytic ideas about power and helplessness have been used in schools to decrease violence by changing the atmosphere in which bullies can thrive. Psychoanalytic ideas led to the concept of social and emotional learning whereby educators have demonstrated that intelligence is not just based on the ability to think but includes emotions and social abilities. Psychoanalytic ideas have been used in the study of literature to understand characters such as Hamlet or Othello. They have been used in the study of culture to understand terrorists and the societies that support them. Psychoanalysts apply psychoanalytic theories in the help they offer to day-care centers, businesses, diplomats, police officers, firefighters, rabbis, priests, and others. 645
Psychology Basics Sources for Further Study Brenner, Charles. An Elementary Textbook of Psychoanalysis. Rev. ed. Garden City, N.Y.: Doubleday, 1974. This book introduces interested readers to the fundamentals of psychoanalysis, explaining core psychoanalytic concepts in clear language. Although originally written in 1955 (so it does not deal with some modern developments), it remains a good resource for understanding the basics from the point of view of ego psychology. Gabbard Glenn. Psychodynamic Psychiatry in Clinical Practice. 3d ed. Washington, D.C.: American Psychiatric Press, 2000. A textbook that approaches the Diagnostic and Statistical Manual of Mental Disorders (rev. 4th ed., 2000) from a psychoanalytic point of view. It includes an introductory section describing psychodynamic principles and sections describing Axis I and Axis II disorders from a psychodynamic perspective. Gay, Peter. Freud: A Life for Our Times. New York: W. W. Norton, 1988. This is a biography of Sigmund Freud, written by his physician. It describes the history of psychoanalysis during Freud’s lifetime. Vaughan, Susan. The Talking Cure: The Science Behind Psychotherapy. New York: Henry Holt, 1998. This book is written for people who may want to visit a psychoanalyst or who want to learn about models of mind and brain that integrate psychoanalytic theories with other scientific theories. It includes several descriptions of what happens when patients visit psychoanalysts. Wallerstein, R. S. The Talking Cures: The Psychoanalyses and the Psychotherapies. New Haven, Conn.: Yale University Press, 1995. This book provides a comprehensive history of psychoanalytic thought, including a detailed view of trends and developments in psychoanalysis from the 1940’s onward. It describes conflicting and compatible psychoanalytic theories and the debate about the dividing line between psychoanalysis and psychotherapy. Judith M. Chertoff See also: Analytic Psychology: Jacques Lacan; Analytical Psychology: Carl Jung; Analytical Psychotherapy; Ego Psychology: Erik Erikson; Individual Psychology: Alfred Adler; Personality Theory; Psychoanalytic Psychology; Psychoanalytic Psychology and Personality: Sigmund Freud; Social Psychological Models: Erich Fromm; Social Psychological Models: Karen Horney; Women’s Psychology: Sigmund Freud.
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Psychoanalytic Psychology Type of psychology: Origin and definition of psychology Fields of study: Psychodynamic and neoanalytic models; psychodynamic therapies Psychoanalytic and neoanalytic schools of thought provide explanations of human and neurotic behavior. Each of these models contributes to the understanding of personality development and psychological conflict by presenting unique theoretical conceptualizations, assessment techniques, research methodologies, and psychotherapeutic strategies for personality change. Key concepts • analytic psychology • dynamic cultural schools of psychoanalysis • individual psychology • neoanalytic psychology • psychoanalytic psychology • psychosocial theory One grand theory in psychology that dramatically revolutionized the way in which personality and its formation were viewed is psychoanalysis. Orthodox psychoanalysis and later versions of this model offer several unique perspectives of personality development, assessment, and change. The genius of Sigmund Freud (1856-1939), the founder of psychoanalysis, is revealed in the magnitude of his achievements and the monumental scope of his works. Over the course of his lifetime, Freud developed a theory of personality and psychopathology (disorders of psychological functioning that include major as well as minor mental disorders and behavior disorders), a method for probing the realm of the unconscious mind, and a therapy for dealing with personality disorders. He posited that an individual is motivated by unconscious forces that are instinctual in nature. The two major instinctual forces are the life instincts, or eros, and the death instinct, or thanatos. Their source is biological tension whose aim is tension reduction through a variety of objects. Freud viewed personality as a closed system composed of three structures: the id, ego, and superego. The irrational id consists of the biological drives and libido, or psychic energy. It operates according to the pleasure principle, which seeks the immediate gratification of needs. The rational ego serves as the executive component of personality and the mediator between the demands of the id, superego, and environment. Governed by the reality principle, it seeks to postpone the gratification of needs. The superego, or moral arm of personality, consists of the conscience (internalized values) and ego ideal (that which the person aspires to be). According to Freud, the origins of personality are embedded in the first seven years of life. Personality develops through a sequence of psychosexual 647
Psychology Basics stages which each focus upon an area of the body (erogenous zone) that gives pleasure to the individual; they are the oral, anal, phallic, latency, and genital stages. The frustration or overindulgence of needs contributes to a fixation, or arrest in development at a particular stage. Freud also developed a therapy for treating individuals experiencing personality disturbances. Psychoanalysis has shown how physical disorders have psychological roots, how unbearable anxiety generates conflict, and how problems in adulthood result from early childhood experiences. In therapy, Freud surmounted his challenge to reveal the hidden nature of the unconscious by exposing the resistances and transferences of his patients. His method for probing a patient’s unconscious thoughts, motives, and feelings was based upon the use of many clinical techniques. Free association, dream interpretation, analyses of slips of the tongue, misplaced objects, and humor enabled him to discover the contents of an individual’s unconscious mind and open the doors to a new and grand psychology of personality. Responses to Freudian Theory The theory of psychosocial development of Erik Erikson (1902-1994) occupies a position between orthodox psychoanalysis and neoanalytic schools of thought. His theory builds upon the basic concepts and tenets of Freudian psychology by illustrating the influential role of social and cultural forces in personality development. Erikson’s observations of infants and investigations of the parent-child relationship in various societies contributed to his development of the model of the eight stages of human development. He proposes that personality unfolds over the entire life cycle according to a predetermined plan. As an individual moves through this series of stages, he or she encounters periods of vulnerability that require him or her to resolve crises of a social nature and develop new abilities and patterns of behavior. Erikson’s eight psychosocial stages not only parallel Freud’s psychosexual ones but, more important, have contributed immensely to recent thought in developmental psychology. Several other schools of thought arose in opposition to Freudian orthodoxy. Among the proponents of these new psychoanalytic models were Carl Jung (1875-1961), Alfred Adler (1870-1937), Karen Horney (1885-1952), and Harry Stack Sullivan (1892-1949). These theorists advocated revised versions of Freud’s psychoanalytic model and became known as the neoanalysts. Jung’s Approach Carl Jung’s analytical psychology stresses the complex interaction of opposing forces within the total personality (psyche) and the manner in which these inner conflicts influence development. Personality is driven by general life process energy, called libido. It operates according to the principle of opposites, for example, a contrast between conscious and unconscious. An individual’s behavior is seen as a means to some end, whose goal is to 648
Psychoanalytic Psychology create a balance between these polar opposites through a process of selfrealization. Personality is composed of several regions, including the ego (a unifying force at the center of consciousness), the personal unconscious (experiences blocked from consciousness), and the collective unconscious (inherited predispositions of ancestral experiences). The major focus of Jung’s theory is the collective unconscious, with its archetypes (primordial thoughts and images), persona (public self), anima/animus (feminine and masculine components), shadow (repulsive side of the personality), and self (an archetype reflecting a person’s striving for personality integration). Jung further proposed two psychological attitudes that the personality could use in relating to the world: introversion and extroversion. He also identified four functions of thought: sensing, thinking, feeling, and intuiting. Eight different personality types emerge when one combines these attitudes and functions. Like Freud, Jung proposed developmental stages: childhood, young adulthood, and middle age. Through the process of individuation, a person seeks to create an inner harmony that results in selfrealization. In conjunction with dream analysis, Jung used painting therapy and a word-association test to disclose underlying conflicts in patients. Therapy helped patients to reconcile the conflicting sides of their personalities and experience self-realization. Adler’s Approach The individual psychology of Alfred Adler illustrates the significance of social variables in personality development and the uniqueness of the individual. Adler proposed that an individual seeks to compensate for inborn feelings of inferiority by striving for superiority. It is lifestyle that helps a person achieve future goals, ideals, and superiority. Adler extended this theme of perfection to society by using the concept of social interest to depict the human tendency to create a productive society. He maintained that early childhood experiences play a crucial role in the development of a person’s unique lifestyle. An individual lacking in social interest develops a mistaken lifestyle (for example, an inferiority complex). Physical inferiority, as well as spoiling or pampering and neglecting children, contributes to the development of faulty lifestyles. Adler examined dreams, birth order, and first memories to trace the origins of lifestyle and goals. These data were used in psychotherapy to help the patient create a new lifestyle oriented toward social interest. Horney’s Approach Karen Horney’s social and cultural psychoanalysis considers the influence of social and cultural forces upon the development and maintenance of neurosis. Her theory focuses upon disturbed human relationships, especially between parents and children. She discussed several negative factors, such as parental indifference, erratic behavior, and unkept promises, which contributed to basic anxiety in children. This basic anxiety led to certain defenses or neurotic needs. Horney proposed ten neurotic needs that are used 649
Psychology Basics to reestablish safety. She further summarized these needs into three categories that depicted the individual’s adjustment to others: moving toward people (compliant person), moving against people (aggressive person), and moving away from people (detached person). Horney believed that neurosis occurs when an individual lives according to his or her ideal rather than real self. She also wrote a number of articles on feminine psychology that stressed the importance of cultural rather than biological factors in personality formation. Like Freud, she used the techniques of transference, dream analysis, and free association in her psychotherapy; however, the goal of therapy was to help an individual overcome his or her idealized neurotic self and become more real as he or she experienced self-realization. Sullivan’s Approach Harry Stack Sullivan’s interpersonal theory examines personality from the perspective of the interpersonal relationships that have influenced it, especially the mother-infant relationship. Sullivan believed that this relationship contributed to an individual’s development of a “good me,” “bad me,” or “not me” personification of self. He also proposed six stages of development: infancy, childhood, juvenile epoch, preadolescence, early adolescence, and late adolescence. These stages illustrate an individual’s experiences and need for intimacy with significant others. Overall, his theory emphasizes the importance of interpersonal relations, the appraisals of others toward an individual, and the need to achieve interpersonal security and avoid anxiety. Use of Case Studies Psychoanalytic psychology and its later versions have been used to explain normal and abnormal personality development. Regardless of their perspectives, psychologists in all these schools have relied upon the case study methodology to communicate their theoretical insights and discoveries. The theoretical roots of orthodox psychoanalysis may be traced to the famous case of “Anna O.,” a patient under the care of Josef Breuer, Freud’s friend and colleague. Fascinated with the hysterical symptoms of this young girl and with Breuer’s success in using catharsis (the talking cure) with her, Freud asked Breuer to collaborate on a work titled Studien über Hysterie (1895; Studies in Hysteria, 1950) and discuss his findings. It was the world’s first book on psychoanalysis, containing information on the unconscious, defenses, sexual cause of neurosis, resistance, and transference. Freud’s own self-analysis and analyses of family members and other patients further contributed to the changing nature of his theory. Among his great case histories are “Dora” (hysteria), “Little Hans” (phobia), the “Rat Man” (obsessional neurosis), the “Schreiber” case (paranoia), and the “Wolf Man” (infantile neurosis). His method of treatment, psychoanalysis, is also well documented in later cases, such as the treatment for multiple personality described in the book Sybil (1974). 650
Psychoanalytic Psychology
Josef Breuer, Sigmund Freud’s close associate. (Library of Congress)
In his classic work Childhood and Society (1950), Erikson discussed the applicability of the clinical method of psychoanalysis and the case-history technique to normal development in children. His case analyses of the Sioux and Yurok Indians and his observations of children led to the creation of a psychosocial theory of development that emphasized the significant role played by one’s culture. Moreover, Erikson’s psychohistorical accounts, Young Man Luther: A Study in Psychoanalysis and History (1958) and Gandhi’s Truth on the Origins of Militant Nonviolence (1969), illustrated the applications of clinical analyses to historical and biographical research so prominent today. The founders of other psychoanalytic schools of thought have similarly shown that their theories can best be understood in the context of the therapeutic situations and in the writings of case histories. Harold Greenwald’s Great Cases in Psychoanalysis (1959) is an excellent source of original case histories written by Freud, Jung, Adler, Horney, and Sullivan. Jung’s case of “The Anxious Young Woman and the Retired Business Man” clarifies the differences and similarities between his theory and Freud’s psychoanalytic model. In “The Drive for Superiority,” Adler uses material from several cases 651
Psychology Basics to illustrate the themes of lifestyle, feelings of inferiority, and striving for superiority. Horney’s case of “The Ever Tired Editor” portrays her use of the character analysis method; that is, she concentrates upon the way in which a patient characteristically functions. Sullivan’s case of “The Inefficient Wife” sheds some light on the manner in which professional advice may be given to another (student) practitioner. In retrospect, all these prominent theorists have exposed their independent schools of thought through case histories. Even today, this method continues to be used to explain human behavior and to enhance understanding of personality functioning. Evolution of Study Historically, the evolution of psychoanalytic psychology originated with Freud’s clinical observations of the work conducted by the famous French neurologist Jean-Martin Charcot and his collaborations on the treatment of hysteria neurosis with Breuer. The publication of Studies in Hysteria marked the birth of psychoanalysis because it illustrated a theory of hysteria, a therapy of catharsis, and an analysis of unconscious motivation. Between 1900 and 1920, Freud made innumerable contributions to the field. His major clinical discoveries were contained in the publications Die Traumdeutung (1900; The Interpretation of Dreams, 1913) and Drei Abhandlungen zur Sexualtheorie (1905; Three Contributions to the Sexual Theory, 1910; also translated as Three Essays on the Theory of Sexuality, 1949) as well as in various papers on therapy, case histories, and applications to everyday life. During this time, Freud began his international correspondence with people such as Jung. He also invited a select group of individuals to his home for evening discussions; these meetings were known as the psychological Wednesday society. Eventually, these meetings led to the establishment of the Vienna Psychoanalytical Society, with Adler as its president, and the First International Psychoanalytical Congress, with Jung as its president. In 1909, Freud, Jung, and others were invited by President G. Stanley Hall of Clark University to come to the United States to deliver a series of introductory lectures on psychoanalysis. This momentous occasion acknowledged Freud’s achievements and gave him international recognition. In subsequent years, Freud reformulated his theory and demonstrated how psychoanalysis could be applied to larger social issues. Trained in psychoanalysis by Anna Freud, Erikson followed in Sigmund Freud’s footsteps by supporting and extending his psychosexual theory of development with eight stages of psychosocial identity. Among the members of the original psychoanalytic group, Adler was the first to defect from the Freudian school, in 1911. Protesting Freud’s theory of the Oedipus complex, Adler founded what he called individual psychology. Two years later, in 1913, Jung parted company with Freud to establish analytical psychology; he objected to Freud’s belief that all human behavior stems from sex. With Horney’s publications New Ways in Psychoanalysis (1939) and Our Inner Conflicts: A Constructive Theory of Neurosis (1945), it became quite clear that her 652
Psychoanalytic Psychology ideas only remotely resembled Freud’s. Objecting to a number of Freud’s major tenets, she attributed the development of neurosis and the psychology of being feminine to social, cultural, and interpersonal influences. Similarly, Sullivan extended psychoanalytic psychology to interpersonal phenomena, arguing that the foundations of human nature and development are not biological but rather cultural and social. Accomplishments and Influence The accomplishments of Freud and his followers are truly remarkable. The creative genius of each theorist spans a lifetime of effort and work. The magnitude of their achievements is shown in their efforts to provide new perspectives on personality development and psychopathology, theories of motivation, psychotherapeutic methods of treatment, and methods for describing the nature of human behavior. Clearly, these independent schools of thought have had a profound influence not only upon the field of psychology but also upon art, religion, anthropology, sociology, and literature. Undoubtedly, they will continue to serve as the foundations of personality theory and provide the basis for new and challenging theories of tomorrow—theories that seek to discover the true nature of what it means to be human. Sources for Further Study Adler, Alfred. Social Interest: A Challenge to Mankind. Translated by John Linton and Edward Vaughan. New York: Capricorn Books, 1964. An excellent summary of Adler’s theories of human nature and social education, incorporating his ideas on lifestyle, inferiority and superiority complexes, neurosis, childhood memories, and social feelings. Also contains a chapter on the consultant and patient relationship and a questionnaire for understanding and treating difficult children. Erikson, Erik Homburger. Identity, Youth, and Crisis. New York: W. W. Norton, 1968. An impressive summation of Erikson’s theories of human nature and development and the importance of societal forces. Erikson discusses his clinical observations, the life cycle and the formation of identity, and case histories to illustrate identity confusion and other relevant issues. This book carries forward concepts expressed in Childhood and Society (1963). Freud, Sigmund. A General Introduction to Psychoanalysis. New York: W. W. Norton, 1977. An easy-to-read account of Freud’s complete theory of psychoanalysis. Freud presents twenty-eight lectures to reveal major aspects of his theory, essential details in his method of psychoanalysis, and the results of his work. He also examines the psychology of errors, dream analysis technique, and general theory of neurosis. Greenwald, Harold, ed. Great Cases in Psychoanalysis. Reprint. New York: Aronson, 1973. An outstanding source of case histories written by the theorists themselves. Greenwald uses these case histories to portray the his653
Psychology Basics torical context of the psychoanalytic movement. These original case studies provide insight into therapeutic methods used by the great analysts as well as their assessments. Included are Sigmund Freud, Alfred Adler, Carl Jung, Karen Horney, and Harry Stack Sullivan. Horney, Karen. The Neurotic Personality of Our Time. New York: W. W. Norton, 1937. This classic work contains Horney’s portrayal of the neurotic personality and the relevance of cultural forces in the etiology of psychological disturbances. This post-Freudian document examines Horney’s theoretical conceptualizations, including basic anxiety, neurotic trends, methods of adjustment, and the role played by culture. Mitchell, Stephen A. Freud and Beyond: A History of Modern Psychoanalytic Thought. New York: Basic Books, 1996. A short overview of psychoanalysis, with chapters devoted to Sigmund Freud, Harry Stack Sullivan, Melanie Klein, and other important thinkers. Sullivan, Harry Stack. The Interpersonal Theory of Psychiatry. New York: W. W. Norton, 1953. A classic work on human development from an interpersonal perspective. Sullivan provides a comprehensive overview of his theory by describing his key concepts and developmental stages. He further illustrates the application of his theory by focusing upon inappropriate interpersonal relationships. Joan Bartczak Cannon See also: Analytical Psychology: Carl Jung; Dreams; Ego Psychology: Erik Erikson; Individual Psychology: Alfred Adler; Psychoanalysis; Psychoanalytic Psychology and Personality: Sigmund Freud; Social Psychological Models: Erich Fromm; Social Psychological Models: Karen Horney; Women’s Psychology: Karen Horney; Women’s Psychology: Sigmund Freud.
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Psychoanalytic Psychology and Personality Sigmund Freud Type of psychology: Personality Fields of study: Classic analytic themes and issues; personality theory; psychodynamic and neoanalytic models Freud’s theory of personality, emphasizing unconscious motivation, sexual instincts, and psychological conflict, is one of the most profound and unique contributions in psychology. Freud described both the normal and abnormal personality, and he proposed a therapy for the treatment of mental problems. Key concepts • anal stage • ego • genital stage • id • instincts • latency • Oedipal conflict • oral stage • phallic stage • superego Sigmund Freud (1856-1939) saw people as engaged in a personal struggle between their instinctual urges and the requirements of society. According to Freud, this conflict often takes place outside one’s awareness, in the unconscious, and affects all aspects of people’s lives. The instinctual energy which fuels the mind has its source in the unconscious. It is highly mobile and once engaged must achieve expression, however disguised the expression might be. Freud said that most of the mind is below the level of awareness—in the unconscious—just as most of the mass of an iceberg is below the surface of the water. The id, the most primitive structure in the mind, is in the unconscious. The id is composed of the instincts (psychological representations of biological needs and the source of all psychological energy), including the sexual and other life instincts and the aggressive and other death instincts. For Freud, the sexual instincts were particularly important. They take a long time to develop, and society has a large investment in their regulation. The instincts press for gratification, but the id itself cannot satisfy them, because it has no contact with reality. Therefore, the ego, which contacts the id in the unconscious but also is partly conscious, develops. The ego can perceive reality and direct behavior to satisfy the id’s urges. To the extent that 655
Psychology Basics the ego can satisfy the id’s instincts, it gains strength, which it can then use to energize its own processes, perceiving and thinking. It is important that the ego can also use its energy to restrict or delay the expression of the id. The ego uses psychological defense mechanisms to protect the individual from awareness of threatening events and to regulate the expression of the instincts. For example, a strong ego can use the defense mechanism of sublimation to direct some sexual energy into productive work rather than sexual activity itself. In the course of a child’s development, the superego develops from the ego. The ego attaches energy to the significant people in the child’s world— the caregivers—and their values are then adopted as the child’s own ideal and conscience. This process becomes particularly significant during the phallic stage, between the ages of four and six. At that time, the child becomes sexually attracted to the opposite-sex parent. In giving up that passion, the child adopts the characteristics of the same-sex parent; this process shapes the child’s superego. The superego is mostly unconscious, and it strives for perfection. Throughout life, the id will strive for instinctual gratification, and the superego will strive for perfection. It is the task of the ego to mediate between the two, when necessary, and to chart a realistic life course. Importance of Childhood Years Freud considered the childhood years particularly significant, not only because during these years the ego and superego develop from energy cap-
Sigmund Freud, shown here with his daughter, psychiatrist Anna Freud. (Library of Congress) 656
Psychoanalytic Psychology and Personality: Sigmund Freud tured from the id but also because during this time the sexual instincts manifest themselves in a variety of forms. The sexual instincts become focused on particular erogenous zones of the child’s body in a set order. This produces a series of psychosexual stages, each characterized by instinctual urges, societal response, conflict, and resolution. During the course of this process, lasting personality traits and defenses develop. At first, the sexual energy is focused on the mouth. In this, the oral stage, conflicts may surround feeding. At approximately age two, the anal stage begins. The sexual instincts focus on the anus, and conflicts may occur around toilet training. The phallic stage, in which the child is attracted to the opposite-sex parent, follows. According to Freud, for boys this Oedipal conflict can be severe, as they fear castration from their father in retribution for their attraction to their mother. For girls, the conflict is somewhat less severe; in Freudian psychology, this less severe conflict means that in adulthood women will have less mature personalities than men. At approximately age six, the sexual instincts go into abeyance, and the child enters a period of latency. In adolescence, the sexual instincts again come to the fore, in the genital stage, and the adolescent has the task of integrating the impulses from all the erogenous zones into mature genital sexuality. Psychological problems occur when the psychosexual stages have left the instinctual urges strongly overgratified or undergratified, when the instincts are overly strong, when the superego is overly tyrannical, or when the ego has dealt with childhood traumas by severe repression of its experiences into the unconscious. Undergratification or overgratification of the instincts during childhood can result in fixations, incomplete resolutions of childhood conflicts. For example, a person who is severely toilet trained can develop an “anal character,” becoming either excessively neat, miserly, or otherwise “holding things inside.” If the id urges are too strong, they may overwhelm the ego, resulting in psychosis. An overly strong superego can lead to excessive guilt. If the ego represses childhood trauma, relegating it to the unconscious, that trauma will persist, outside awareness, in affecting a person’s thoughts and behaviors. Freud believed that no one could escape the conflicts inherent in the mind but that one could gain greater familiarity with one’s unconscious and learn to direct instinctual energies in socially appropriate ways. This was the task of psychoanalysis, a form of therapy in which a client’s unconscious conflicts are explored to allow the individual to develop better ways of coping. Impact on Western Society Freud’s theory has had a dramatic impact on Western society, strongly influencing the ways people view themselves and their interactions with others. Terms such as “Freudian slip,” “Oedipus complex,” and “unconscious” are part of everyday language. Emotions may be seen as “buried deep,” and emotional expression may be called therapeutic. Assumptions about the un657
Psychology Basics conscious influence both popular and professional conceptions of mental life. The assumption that the expression of emotion is healthy and the repression of emotion is unhealthy may be traced to Freud. To some extent, this idea has received support from research which suggests that unresolved anger may contribute to physical health problems. Unfortunately, the release of anger in verbal or physical aggression may cause those aggressive behaviors to increase rather than decrease. The vicarious experience of aggression via watching television or films may also teach aggression rather than reduce the urge to act aggressively. Role of Dreams Freud believed that dreams were one vehicle of unconscious expression. He viewed dreams as expressing the fulfillment of a wish, generally of a sexual nature. During sleep, the ego relaxes its restrictions on the id; instinctual wishes from the id, or repressed material from the unconscious, may be manifested in a dream. The bizarre sense of time and the confusing combinations of people and odd incidents in dreams reflect that the unconscious is without a sense of time, logic, or morality. In dreams, the ego transforms material from the id to make it less threatening. Once one awakens, the ego disguises the true meaning of the dream further. Important points will be repressed and forgotten, and distortions will occur as the dream is remembered or told. For this reason, it is virtually impossible, according to Freud, to interpret one’s own dreams accurately. A psychoanalyst interprets dreams by asking a patient to free associate—to say whatever comes to mind—about the dream content. In this fashion, the censoring of the ego may be relaxed, and the true meaning will be revealed to the therapist. Revealing unconscious material is at the center of Freudian psychotherapy. Since Freud, many have viewed psychological problems as the result of childhood conflicts or traumas. Once the source is revealed, the patient is expected to improve. The nature of treatment is considerably more complicated than this might suggest, because the patient’s ego may actively defend against acknowledging painful unconscious material. One of the few cases that Freud reported in detail was that of “Dora.” Dora was referred to Freud because of a persistent cough that was assumed to be of psychological origin. According to Freud, such physical symptoms often are the result of childhood sexual conflict. Dora’s cough and other psychosomatic complaints were found to be rooted in her sexual attraction to her father and to other men who were seen as resembling him—including a family friend, and even Freud himself. Her attraction was accompanied by jealousy of her mother and the family friend’s wife. The situation was complicated, because Dora’s father was having an affair with the family friend’s wife, to whom Dora was also attracted, and the family friend had expressed his attraction for Dora. 658
Psychoanalytic Psychology and Personality: Sigmund Freud All this and more is revealed in two dreams of Dora’s that Freud analyzes in detail. The first is a dream of being awakened by her father, dressing quickly, and escaping a house that is on fire. The dream does its work by equating her father with the family friend, who once really was beside her bed as she awoke from a nap. This caused her to decide to “dress quickly” in the mornings, lest the friend come upon her unclothed. Her unconscious attraction for the friend, however, is belied by the symbol of fire, which might be likened to consuming passion. In her second dream, Dora dreamed that her father was dead and that a man said “Two and a half hours more.” The dream symbolizes both Dora’s turning away from her father as an object of her sexual interest and her intention (not evident to Freud at the time) of leaving therapy after two more sessions. If Dora had not stopped therapy prematurely, Freud would have continued to bring his interpretation of her unconscious conflicts to the fore. In particular, he would have used her transference of childhood emotions to Freud himself as a vehicle for making the material revealed by her dreams, free associations, and behaviors evident to consciousness. The use of such transference is a key element of psychoanalysis. While this would not have completely resolved Dora’s strong instinctual urges, it would have allowed her to come to terms with them in more mature ways, perhaps by choosing an appropriate marriage partner. Indeed, Freud reveals at the end of his report of this case that Dora married a young man she mentioned near the end of her time in therapy. Impact and Criticisms Freud was a unique, seminal thinker. His theory was controversial from its inception. At the same time, however, it is such a powerful theory that, while many have criticized it, no subsequent personality theorist has been able to ignore the ideas Freud advanced. Psychoanalytic theory has also provided an interpretive framework for literary critics, historians, philosophers, and others. Freud’s theory was a product of his personal history, his training in science and medicine, and the Viennese culture in which he lived. Freud’s early training was as a neurologist. As he turned from neurology to psychology, he continued to apply the skills of careful observation to this new discipline and to assume that the human mind followed natural laws that could be discovered. Viennese society at the time of Freud was one of restrictive social attitudes, particularly for women, and of covert practices that fell far short of public ideals. Thus it was relatively easy to see the psychological problems of the middle-class Viennese women who often were Freud’s patients as being attributable to sexual conflicts. Although Freud himself was dedicated to developing a science of mental life, his methods are open to criticism on scientific grounds. His theory is based upon his experiences as a therapist and his own self-analysis. His conclusions may therefore be restricted to the particular people or time his 659
Psychology Basics work encompassed. He did not seek to corroborate what his patients told him by checking with others outside the therapy room. Freud was not interested in the external “truth” of a report as much as its inner psychological meaning. He did not make details of his cases available to scrutiny, perhaps because of confidentiality. Although he wrote extensively about his theory, only five case histories were published. In all, these difficulties make the assessment of Freudian theory in terms of traditional scientific criteria problematic. Freud’s theory has had strong adherents as well as critics. Although theorists such as Alfred Adler and Carl Jung eventually broke with Freud, arguing against the primacy of the sexual instincts, his influence can be seen in their theories. Similarly, the important work of Erik Erikson describing human development through the life span has its roots in psychoanalytic theory. Many modern psychoanalytic theorists place a greater emphasis on the ego than did Freud, seeing it as commanding its own source of energy, independent of and equal to the id. Much literature and social criticism also possess a Freudian flavor. Sources for Further Study Freud, Sigmund. General Psychological Theory: Papers on Metapsychology. New York: Macmillan, 1997. A collection of Freud’s papers about the practice of psychoanalysis. __________. An Outline of Psychoanalysis. Translated by Helena Ragg-Kirkby . New York: Penguin Books, 2003. A brief introduction to Freudian theory. Beginning students of Freud may find the tone too didactic and the treatment too abbreviated; however, it is valuable when read in conjunction with a good summary of Freud from a secondary source. Gay, Peter. Freud: A Life for Our Time. 1988. Reprint. New York: W. W. Norton, 1998. Well-written biography of Freud places his work in historical and psychological context. Accessible to the reader who may only have a passing familiarity with Freudian theory. __________, ed. The Freud Reader. Reprint. New York: W. W. Norton, 1995. A well-edited volume of selections of Freud’s work. The Interpretation of Dreams, Fragment of an Analysis of a Case of Hysteria (“Dora”), and Three Essays on the Theory of Sexuality are particularly important in defining the basics of Freud’s theory. Hall, Calvin Springer, Gardner Lindzey, and John Campbell. “Freud’s Classical Psychoanalytical Theory.” In Theories of Personality. 4th ed. New York: John Wiley & Sons, 1998. This chapter is the classic textbook summary of Freud’s theory. Readable, thorough, and accurate. Also presents a brief discussion of psychoanalytic research methods and criticisms of the theory. Jones, Ernest. The Life and Work of Sigmund Freud. Edited and abridged by Lionel Trilling and Steven Marcus.3 vols. New York: Basic Books, 1981. Jones was a confidant of Freud and his official biographer. Interesting as an insider’s account of Freud’s life. 660
Psychoanalytic Psychology and Personality: Sigmund Freud Kardiner, Abram. My Analysis with Freud. New York: W. W. Norton, 1977. Kardiner is a well-known analyst. This brief volume is a personal account of his own analysis, with Freud as the therapist. A fascinating insider’s account of Freudian analysis and the forces that shaped the psychoanalytic movement. Susan E. Beers See also: Abnormality: Psychological Models; Dreams; Psychoanalysis; Psychoanalytic Psychology; Psychotherapy: Goals and Techniques; Women’s Psychology: Karen Horney; Women’s Psychology: Sigmund Freud.
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Psychology Definition Type of psychology: Origin and definition of psychology Fields of study: Classic analytic themes and issues; methodological issues The term “psychology” first appeared in written form during the early sixteenth century and meant the systematic study of the soul and mind. The meaning of the concept changed gradually during the following three centuries, until psychology emerged in the 1880’s as a separate field of study. Defined as the scientific study of mind and consciousness, the discipline was by the 1920’s redefined as the scientific study of behavior and mental processes, creating some significant problems. In spite of definitional ambiguities, modern psychology is a vigorous and broad field of study. Key concepts • act psychology • behaviorism • functionalism • psychological domain • structuralism The term “psyche,” while personified by the ancient Greeks as a goddess, essentially means “breath,” which was equated with soul or mind. The suffix “ology” means “science” or “study of.” Psychology, as originally defined, then, means the scientific study of soul or mind. The term “scientific,” as used here, means systematic; scientific fields of study did not emerge until the seventeenth century. Apparently, the concept of psychology was not formulated until the early to middle sixteenth century, appearing first in 1530 as part of the title of a series of academic lectures given by Philipp Melanchthon, a German scholar. The first book with the Latin word psychologia (psychological) as part of the title was published in 1594. When used by philosophers and theologians during the following three centuries, the term had a gradually changing meaning, with the focus being much more on the study of mind and consciousness than on the soul. Psychology, as a separate field of study, came into being in Germany in 1879 and, during the 1880’s, in many other European countries and the United States. The field was defined as the scientific or systematic study of mind and consciousness and was largely modeled after physics and chemistry. Wilhelm Wundt (1832-1920), the acknowledged founder of the new discipline, believed that psychologists should be concerned primarily with investigating the structure of mind and consciousness using rigorous introspective techniques. Psychology was, according to Wundt, to focus on identifying the properties of simple mental elements and the laws by which these elements combined to form the more complex structures of mind and con662
Psychology: Definition sciousness, for example, percepts and ideas. This approach, and a derivative of it developed in the United States by Edward Titchener, became known as structuralism. Animal research, the study of infants and children, the study of people with psychological problems, and concern with individual differences were not seen as central to psychology. Some of Wundt’s European contemporaries, however, such as Franz Brentano and Oswald Külpe, argued that psychology should focus on processes associated with mind and consciousness, such as perceiving, thinking, and intending, rather than attempting to divide the mental domain into simple elements. Brentano’s approach became known as act psychology, in contrast to Wundt’s mental-content psychology, and the two perspectives generated some interesting controversies. They did agree, though, that psychology should be concerned primarily with the study of mind and consciousness in normal adult human beings; animals, children, and people with mental and emotional problems were not of particular interest to them as subjects of research. Also emphasizing conceptions of mind and consciousness as process rather than content were prominent early American psychologists such as William James, John Dewey, James Rowland Angell, and Harvey Carr. In contrast to Brentano and Külpe, however, these psychologists were primarily interested in the functions served by the processes. It was generally assumed that each of these capabilities evolved to help humans survive and that it was the job of psychologists to determine how seeing, hearing, feeling, thinking, willing, planning, and so forth contributed to individuals’ survival. Because not everyone adapts equally well to the challenges of life, this approach to psychology, which became known as functionalism, as emphasized the study of individuals differences in intelligence, personality, social skills, and so forth, as well as applied psychology and animal research. Psychology, however, was still defined as the systematic study of mind and consciousness. Functionalism has its foundations in Charles Darwin’s theory of evolution and in late nineteenth century British psychology and applied statistics. With the introduction of animal research into psychology and continuing controversies over the meanings of the concepts of mind, consciousness, and terms referring to the varying aspects of private experience, some psychologists increasingly believed that a scientific psychology could only be created if research centered on behavior (responses) and environmental features (stimuli), both of which are observable. Therefore, when American psychologist John B. Watson proclaimed, in 1913, that psychology should abandon attempts to study mind and consciousness introspectively and redefine itself as the scientific study of behavior, many of his peers were ready to follow his call; behaviorism had its formal beginning. The behavioral orientation had its greatest influence on American psychology from about the 1920’s until the early 1970’s, undergoing a number of transformations. During that time, most textbooks defined psychology as the scientific study of behavior, or of behavior and mental and affective pro663
Psychology Basics cesses. Even as the limits of behavioral psychology, in its various forms, became apparent by the late 1960’s, definitions of psychology changed very little. According to most modern psychologists in the United States and in many other countries, psychology is primarily the study of behavior, and only secondarily—and sometimes grudgingly—the study of such difficultto-define mental and affective states and processes as thoughts, percepts, images, and feelings. Nevertheless, even the concepts of mind and consciousness, the original concerns of psychology, have somewhat reluctantly been readmitted to the field as necessary research concerns. Definitional Problems There are a number of serious problems associated with defining psychology as the scientific study of behavior and mental and affective states. Not only is the definition imprecise, but it also has apparently made it very difficult to generate an integrated body of psychological knowledge. While impressive research on the behavior of animals and humans has been conducted, and some progress has been made in understanding mental and affective processes and states, the knowledge generated is fragmented and therefore of limited value. One could argue, in fact, that psychology is not the study of behavior at all but is rather the study of the information each person or animal has available that makes behavior—that is, directed and controlled actions—possible. While this information has traditionally been referred to as mind and consciousness, there might be some virtue in calling it “the psychological domain” in order to avoid long-standing arguments. Behavior is a methodological concept because it refers to something researchers must study in order to make inferences about the psychological domain. On the other hand, researchers can also investigate the products of human actions, such as the languages people develop, the buildings they construct, and the art and music they share, to the same end. Some psychologists perform research on the physiological processes associated with seeing, hearing, feeling, and thinking. Definitions of psychology should include the terms “culture” and “physiological and biochemical correlates” as well as the concept of behavior. A better approach might be to define psychology as the systematic study of the psychological domain, this domain being the personal information that makes it possible for individual human beings and other life-forms to move with direction and control. To go beyond this definition is to describe how psychologists do research rather than what the field is about. Another problem associated with standard definitions of psychology is the assumption that there is general agreement concerning the meaning of the concept of behavior. As has been pointed out by many analysts, that is not the case. The term has been used to refer to sensory responses, cognitive and affective processes, muscle movements, glandular secretions, activity taking place in various parts of the nervous system, and the outcomes or consequences of particular complex actions. Behavior, in other words, is an 664
Psychology: Definition ambiguous concept. In a strict sense, the only actions or changes relevant to the psychological level of analysis are those that are self-initiated and unique to the total-life-form level of organization in nature, because it is these changes that depend on the psychological domain. Changes in the individual cells or subsystems of life-forms, on the other hand, do not constitute behavior in the psychological sense. The Development of a Field Even though a clear and generally agreed-upon definition of psychology has not emerged, psychology today is a vigorous and broad scholarly field and profession, extending from biological subdisciplines and animal research laboratories to the study of humans in social, political, economic, industrial, educational, clinical, and religious contexts. It is not surprising, therefore, that psychologists have made contributions in a wide variety of areas. Among the most notable are those having to do with cognitive and emotional development, child rearing, formulating new ways to view and treat psychological problems, devising ways to deal with the crises of life associated with each stage of human experience from infancy to old age, consumer research and marketing, group dynamics, and the development of tests and educational procedures. Psychology is one of the most popular majors in American colleges, and the discipline has experienced dramatic growth since the 1940’s. There were about 4,000 psychologists in the United States during the 1940’s; by the early 1990’s, there were approximately 100,000. Since the mid-1970’s, the number of women majoring in psychology has held steady, while the number of men has decreased significantly; as a consequence, by the late 1980’s, more women than men were earning Ph.D.’s in psychology. One of the most challenging new areas of study is health psychology, which emerged during the 1980’s in response to the health care crisis, brought about by increasing costs associated with an aging population, expensive high-technology medical techniques, the acquired immunodeficiency syndrome (AIDS) epidemic, economic restructuring and stagnation, and a variety of other factors. Pressures have also been emerging for people to reexamine their values and roles and, in a sense, their personal and national identities. These pressures derive from such powerful forces and dynamics as the women’s and multicultural movements, the emergence of nontraditional social and child-rearing arrangements, and the change from a production to a service society. A mass identity crisis may, in fact, provide the psychologists of the twenty-first century with their major challenge. Sources for Further Study Carr, Harvey A. Psychology: A Study of Mental Activity. New York: Longmans, Green, 1925. Presents a clear picture of the functionalist view of psychology. Carr was one of the American psychologists who formalized functionalism. 665
Psychology Basics Gilgen, Albert R. American Psychology Since World War II: A Profile of the Discipline. Westport, Conn.: Greenwood, 1982. Presents an overview of the major developments and trends in American psychology during World War II, which ended in 1945, and from the postwar period through the 1970’s. __________. “The Psychological Level of Organization in Nature and Interdependencies Among Major Psychological Concepts.” In Annals of Theoretical Psychology. Vol. 5, edited by Arthur W. Staats and Leendert P. Mos. New York: Plenum Press, 1987. Presents a detailed rationale for defining psychology as the systematic study of the information available to each person that allows each individual to move with direction and control. Lapointe, Franois H. “Who Originated the Term ‘Psychology’?” Journal of the History of the Behavioral Sciences 8, no. 3 (1972): 328-335. A thorough analysis of the origination of the term “psychology.” An essential reference for anyone interested in the history of the concept. Murray, David J. A History of Western Psychology. 2d ed. Englewood Cliffs, N.J.: Prentice-Hall, 1988. Includes clear discussions of the origins of the term “psychology” and the meaning of the concept for the act psychologists, the structuralists, the functionalists, and the behaviorists. Porter, Roy. Madness: A Brief History. New York: Oxford University Press, 2002. A history of Western ideas about mental illness by one of the most respected historians of medicine. Changing ideas about “madness” help trace the evolution of the definition of psychology. Titchener, Edward Bradford. A Primer of Psychology. 1899. Reprint. New York: Macmillan, 1925. Presents a clear and detailed analysis of psychology from the structuralist perspective and in the process identifies many of the challenges involved in attempting to decipher the structure of mind and consciousness. Albert R. Gilgen See also: Behaviorism; Cognitive Psychology; Psychoanalytic Psychology; Psychology: Fields of Specialization; Structuralism and Functionalism.
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Psychology Fields of Specialization Type of psychology: Origin and definition of psychology Fields of study: Behavioral therapies; cognitive development; experimental methodologies; general constructs and issues; psychodynamic and neoanalytic models Psychology is both a theoretical and an applied science. Psychologists use observational and experimental methods to reach a greater understanding of the human mind and human behavior. They then use this knowledge in a variety of settings to help people in their daily lives. Key concepts • behaviorism • cognitive psychology • Gestalt psychology • social psychology • structuralism Because the fields of specialization within psychology are so numerous, one must first examine the science as an entity unto itself. This involves defining psychology, exploring the reasons for its existence, reviewing its history, and surveying the diverse specialists who assist various populations. Although the semantics of defining psychology differ from text to text, the actual explanation remains constant: It is the science of human behavior as it relates to the functions of the mind. More specifically, it provides evidence for why people experience a gamut of emotions, think rationally or irrationally, and act either predictably or unpredictably. The discipline’s very existence reflects humankind’s need to plumb the depths of its interior to search for the self, to process conflict, to solve problems, and to think critically as well as act pragmatically. Its challenge is to assist people in understanding themselves. Humans have a natural curiosity; it moves them to try to determine their relationship to the world in which they live. With this comes the inclination to observe and compare other people: their ideas, behavior patterns, and abilities. These analyses and comparisons, which people cannot help but make, involve the self as well as others. People may be either overly harsh or selectively blind when examining themselves; both these situations can be handicaps, and both can be helped by psychology. At times, one’s anxiety level may peak uncontrollably. Through the science of the mind, one seeks to temper one’s agitation by becoming familiar with and acknowledging vague fears and uncomfortable feelings. Thus, the person learns about the source of his or her tension. From this, experts learn how behavior originates. They assist an individual in learning to cope 667
Psychology Basics with change; the person discovers how to make adequate adjustments in daily living. The fast pace that humans in industrialized society keep requires them now, more than ever before, to have a working knowledge of people—their thought processes and behavior patterns. From all of this, experts are able to arrive at reasonable predictions and logical conclusions about humankind’s future behavior. History and Systems of Psychology Psychology did not become accepted as a formal discipline until the late nineteenth century. Prior to that time, even back to antiquity, questions were directed to philosophers. Though they were versed in reasoning, logic, and scholarship, only a few of these thinkers could deal with the complexities of the human mind. Their answers were profound and lengthy, but these scholars frequently left their audiences bewildered and without the solutions they sought. Some of these logicians used the Socratic method of reasoning; they often frustrated those who questioned them and expected realistic replies. Inquires were redirected to the questioner, whose burden it was to arrive at his or her own solutions. Gustav Fechner, a nineteenth century philosopher and physicist, postulated that the scientific method should be applied to the study of mental processes. It was his contention that experimentation and mathematical procedures should be used to study the human mind. From the middle of the nineteenth century onward, many disciplines contributed to what was to become the science of psychology. Wilhelm Wundt and Edward Titchener were the leaders of the structuralist school, which identified the elements and principles of consciousness. Other early giants of the field included William James and John Dewey. They inaugurated the study of functionalism, which taught that psychological knowledge should be applied to practical knowledge in fields such as education, business law, and daily living. A champion of behaviorism, John B. Watson, advocated that the study of psychology should concentrate on observable behavior; he urged that objective methods be adopted. The Gestalt movement was originated by Max Wertheimer. In concert with Kurt Koffka and Wolfgang Köhler, he embraced the premise that the whole may be different from its parts studied in isolation. Psychoanalysis was developed by Sigmund Freud. He studied the unconscious using techniques of free association, hypnosis, and body language. The neobehaviorist model, in contrast, defended the behaviorist position that complicated phenomena such as mental and emotional activities cannot be observed. Love, stress, empathy, trust, and personality cannot be observed in and of themselves. Their effects, however, are readily apparent. Carl Rogers and Abraham Maslow pioneered the area known as humanism in the 1950’s and 1960’s. Areas of interest to humanistic psychologists are self-actualization, creativity and transcendence, the search for meaning, and social change. The humanists’ goals are to expand and to enrich human 668
Psychology: Fields of Specialization lives through service to others and an increased understanding of the complexity of people, as individuals, in groups, organizations, and communities. In the mid-twentieth century, with the development of cognitive psychology, mental processes such as attention, memory, and reasoning became the focus of direct study. This approach to understanding human thought analyzes cognitive processes into a sequence of ordered stages; each stage reflects an important step in the processing of information. In the 1980’s and 1990’s, the fields of cognitive science and cognitive neuroscience emerged. Psychologists began working with computer scientists, linguists, neurobiologists, and others to develop detailed models of brain and mind relationships. Major Fields in Psychology Psychology is both a theoretical and an applied science with over a dozen major fields. In 2004, the American Psychological Association listed fifty-five divisions, representing psychologists working in settings as diverse as community mental health clinics and large corporations and with interests ranging from the adult development and aging to the study of peace, conflict, and violence. Academic and research psychologists use observational and experimental methods to reach a greater understanding of the human mind and human behavior. Psychologists in the clinical specialties then use this knowledge to help people in their daily lives. For example, children who are abused or neglected, or who suffer as a result of being members of dysfunctional families, require the services of child psychologists, who evaluate, diagnose, and treat youngsters. This usually occurs in a clinical setting. Thus, child psychologist are considered clinical practitioners. More than one-half of the Ph.D.’s awarded in 1999 were in either clinical or counseling psychology. Many psychologists also work in the area of education. Educational psychologists develop and analyze materials and strategies for effective educational curricula. School psychologists design instructive programs, consult with teachers, and assist students with problems. Genetic psychologists study the activities of the human organism in relation to the hereditary and evolutionary factors involved; functions and origin play a central role. Physiological psychologists examine the biological bases of behavior. They are often interested in the biochemical reactions underlying memory and learning. Engineering psychologists design and evaluate equipment, training devices, and systems. The goal is to facilitate relationships between people and their environment. Industrial/organizational (I/O) psychologists research and develop programs that promote on-thejob efficiency, effectiveness, challenge, and positive disposition. They study ability and personality factors, special training and experience, and work and environment variables as well as organizational changes. Personality psychologists study the many ways in which people differ from one another; they are instrumental in analyzing how those differences 669
Psychology Basics
Degree Fields of Psychology Ph.D.’s Arranged in descending order by number of degrees awarded in 1999: • Clinical • Counseling • Developmental • All other subfields (such as community psychology, sport psychology) • Experimental/Physiological • General • Social and Personality • Industrial/Organizational • Cognitive • School • Educational
may be assessed and what their impact is. Criminal psychologists study the complexities of a perpetrator’s thought process. They are keenly interested in a criminal’s habits, idiosyncrasies, and possible motives. Developmental psychologists study changes in people as they age and mature. Their work may be protracted over the span of an individual’s life; their theories may be advanced several years after they were first conceived. Social psychologists study how people influence one another. They may be interested, for example, in the concept of leaders and followers. Environmental psychologists monitor the physical and social effects of the environment on behavior. They are interested in how elements such as heat, noise, health, and activity affect the human condition. Their contributions are in the areas of urban planning, architecture, and transportation. Consumer psychologists determine factors that influence consumer decisions, exploring such issues as the effect of advertising on purchasing decisions, brand loyalty, and the rejection or acceptance of new products. Experimental psychologists design and conduct basic and applied research in a variety of areas, including learning, sensation, attention and memory, language, motivation, and the physiological and neural bases of behavior. Comparative psychologists study the behavior, cognition, perception, and social relationships of diverse animal species. Their research can be descriptive as well as experimental and is conducted in the field or with animals in captivity. Tests and Measures of Individual Differences The scope of psychology’s fields of specialization is great. The professionals who work in these areas strive to help humans know, understand, and help themselves. To accomplish this, psychologists use numerous tests to help them ascertain specific information about an individual, a group of people, or a particular population. Ability tests measure multiple aptitudes, creativ670
Psychology: Fields of Specialization ity, achievement, and intelligence levels. Psychologists may perform occupational and clinical assessments. Also included in the area of assessment are personality tests, which encompass self-report inventories, measures of interests, attitudes and values, projective techniques, and performance and situational evaluations. An example of a multiple-aptitude test is the Differential Aptitude Test (DAT), first published in 1947, then revised in 1963, 1973, and 1991. Its primary purpose is to counsel students in grades eight through twelve in educational and vocational matters. Creativity tests have received much attention from researchers and practitioners alike. The Aptitudes Research Project (ARP) was developed by the University of Southern California. It is a structureof-intellect (SI) model, which encompasses all intellectual functions. Although its initial platform was reasoning, creativity, and problem solving, its base was expanded to divergent production. Until the ARP, research resources in this area were very limited. Achievement tests, which differ from aptitude tests, measure the effects of specific instruction or training. Some of the most respected tests are the California Achievement Tests, the Iowa Tests of Basic Skills, the Metropolitan Achievement Test, and the Stanford Achievement Test. Their significance lies in reporting what the individual can do at the time of test administration. Aptitude instruments, on the other hand, make recommendations about future skills. Intelligence tests speak their own language; it is unfortunate, though, that so much importance is placed upon the results they yield. One should always remember that the scores identified in the StanfordBinet test and in the various Wechsler intelligence scales are only part of a big picture about any given human being and should be evaluated accordingly. Personality tests measure the emotional, motivational, interpersonal, and attitudinal characteristics of an individual. The Kuder Interest Inventories list occupations according to a person’s interest area. The Rorschach Inkblot Projective Technique investigates the personality as a whole. The Thematic Apperception Test (TAT) researches personality and attitude. The Myers-Briggs Type Indicator is a widely used measure of personality dispositions and interests based on Carl Jung’s theory of types. Psychology and Society Psychology as a formal discipline is still relatively new; of its many specializations, some have found their way to maturity, while others are still in their early stages. The development of diverse fields has been justified by the changing nature of social and psychological problems as well as by changing perceptions as to how best to approach those problems. For example, because more people live closer together than ever before, they must interact with one another to a greater degree; finding ways to deal with issues such as aggression, racism, and prejudice therefore becomes crucial. Several divisions of the American Psychological Association reflect the diverse groups 671
Psychology Basics that interest psychologists: the Society of Pediatric Psychology, the Society for the Psychological Study of Ethnic Minority Issues, and the Society for the Psychological Study of Lesbian, Gay, and Bisexual Issues. Economic conditions require most parents to work—whether they are single parents or parents in a two-parent family—thus depriving children of time with their parents. This has created a need for day-care centers; the care and nurturing of young people is being transferred, to a significant degree, to external agents. Moreover, older children may be expected to assume adult responsibilities before they are ready. All these issues point to an increasing need for family counseling. Educational institutions demand achievement from students; this can daunt students who have emotional or family problems that interfere with their ability to learn. The availability of school counselors or psychologists can make a difference in whether such children succeed or fail. Businesses and organizations use psychologists and psychological testing to avoid hiring employees who would be ineffective or incompatible with the organization’s approach and to maximize employee productivity on the job. The specialized fields of psychology have played both a facilitative and a reflective role. Therapists and counselors, for example, have enabled individuals to look at what they have previously accomplished, to assess the present, and to come to terms with themselves and the realities of the future. The future of psychology itself will hold further developments both in the refining of specializations that already exist and in the development of new ones as inevitable societal changes require them. Sources for Further Study Butler, Gillian, and Freda McManus. Psychology: A Very Short Introduction. New York: Oxford University Press, 2000. Provides an understanding of some of psychology’s leading ideas and their practical relevance. The authors answer some of the most frequently asked questions about psychology: What is psychology? How do humans use what is in the mind? How does psychology work? How do people influence one another? What can a psychologist do to help? Colman, Andrew M. What Is Psychology? 2d ed. New York: Routledge, 1999. Extensively revised and updated, this introduction to psychology as a discipline assumes no prior knowledge of the subject. Examples are used throughout to illustrate fundamental ideas, with a self-assessment quiz focusing readers on a number of intriguing psychological problems. The book explains the differences between psychology, psychiatry, and psychoanalysis and offers an exploration of the professions and careers associated with psychology. Koch, Sigmund, and David E. Leary, eds. A Century of Psychology as Science. Washington, D.C.: APA Books, 1992. This reissued edition, originally published in 1985, comprehensively accesses the accomplishments, status, and prospects of psychology at the end of its first century as a science, 672
Psychology: Fields of Specialization while offering a new postscript. The forty-three contributors are among psychology’s foremost authorities. Among the fields addressed are sensory processes and perception, learning, motivation, emotion, cognition, development, personality, and social psychology. Rieber, Robert W., and Kurt Salzinger, eds. Psychology: Theoretical-Historical Perspectives. 2d ed. Washington, D.C.: APA Books, 1998. The approach to theory and history adapted by the contributors is to focus on some of the central figures in the development of the discipline. Within this approach, the authors offer analyses of three major theoretical currents in psychology: psychoanalysis, behaviorism, and the Geneva school. Other chapters focus on psychophysics (the oldest incarnation of experimental psychology) and on Gestalt, cognitive, and evolutionary psychology. Provides the reader with a broad overview of the development of a continually evolving field. Simonton, Dean Keith. Great Psychologists and Their Times: Scientific Insights into Psychology’s History. Washington, D.C.: APA Books, 2002. Integrates relevant research on the psychology of eminent psychologists, from the pioneering work of Francis Galton to work published in the twenty-first century. Of particular interest are chapters exploring what aspects of the sociocultural context are most conducive to the emergence of illustrious psychologists and how these sociocultural conditions—including political events, economic disturbances, or cultural values—affect not only the magnitude of achievement but also the nature of that achievement. Denise S. St. Cyr; updated by Allyson Washburn See also: Behaviorism; Cognitive Psychology; Development; Industrial and Organizational Psychology; Neuropsychology; Psychoanalytic Psychology; Psychology: Definition.
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Psychopathology Type of psychology: Psychopathology Fields of study: Behavioral therapies; general constructs and issues; models of abnormality; organic disorders; personality disorders As a field of study, psychopathology has as its focus the description and causes of abnormal behavior and of psychological and emotional problems. Models or approaches to psychopathology differ with respect to the assumed causes of psychological problems. Many clinicians integrate different models to understand the basis of a client’s problems and combine different treatment approaches to maximize effectiveness. Key concepts • behavior therapy • biological approach • biopsychosocial approach • cognitive approach • cognitive therapy • culture and psychopathology • learning approach • mental illness • somatic therapy Psychopathology refers to psychological dysfunctions that either create distress for the person or interfere with day-to-day functioning in relationships or at the workplace. “Psychological disorders,” “abnormal behavior,” “mental illness,” and “behavior and emotional disorders” are terms often used in place of psychopathology. As a topic of interest, psychopathology does not have an identifiable, historical beginning. From the writings of ancient Egyptians, Hebrews, and Greeks it is clear, however, that ancient societies believed that abnormal behavior had its roots in supernatural phenomena, such as the vengeance of God and evil spirits. Although modern scientists have opposed that view, in the twenty-first century many people who hold fundamentalist religious beliefs or live in isolated societies still maintain that abnormal behavior can be caused by demoniac possession. The Greek physician Hippocrates (460-377 b.c.e.) rejected demoniac possession and believed that psychological disorders had many natural causes, including heredity, head trauma, brain disease, and even family stress. Hippocrates was wrong when it came to specific details, but it is remarkable how accurate he was in identifying broad categories of factors that do influence the development of psychopathology. The Roman physician Galen (c. 129-198 c.e.) adopted the ideas of Hippocrates and expanded upon them. His school of thought held that diseases, including psychological disorders, were due to an imbalance among four bodily fluids, which he called humors: blood, black bile, yellow bile, and phlegm. For example, too 674
Psychopathology much black bile, called melancholer, was believed to cause depression. Galen’s beliefs have been discredited, but many of the terms he used have lived on. For instance, a specific subtype of depression is named after Galen’s melancholer: Major Depression with Melancholic Features. A major figure in the history of psychopathology is the German psychiatrist Emil Kraepelin (1856-1926). He claimed that mental illnesses, like physical illnesses, could be classified into distinct disorders, each having its own biological causes. Each disorder could be recognized by a cluster of symptoms, called a syndrome. The way in which he classified mental disorders continues to exert a strong influence on approaches to categorizing mental illnesses. The official classification system in the United States is published by the American Psychiatric Association in the Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000). Many features of this manual can be traced directly to the writings of Kraepelin in the early years of the twentieth century. Examples of Psychopathology There is a very broad range of psychological disorders. The DSM-IV-TR lists more than two hundred psychological disorders that differ in symptoms and the degree to which they affect a person’s ability to function. It is normal for someone to feel anxious on occasion. Generalized anxiety disorder is diagnosed when a person engages in excessive worry about all sorts of things and feels anxious and tense much of the time. Most people who have this disorder function quite well. They can do well at work, have good relationships, and be good parents. It is the fact that they suffer so much from their anxiety that leads to a diagnosis. In contrast, schizophrenia can be completely debilitating. Many people with schizophrenia cannot hold a job, are hospitalized frequently, have difficulty in relationships, and are incapable of good parenting. Common symptoms of schizophrenia include delusions (a system of false beliefs, such as believing there is a vast conspiracy among extraterrestrrial beings to control the government); hallucinations (seeing things that are not there or hearing voices that other people cannot hear); incoherence (talking in a way that no one can understand); or emotions that are expressed out of context (laughing when telling a sad story). The symptoms of schizophrenia make it difficult or impossible for the person to function normally. Many disorders are marked by both subjective distress and impaired functioning. One such disorder is obsessive-compulsive disorder (OCD). An obsession is a recurrent, usually unpleasant thought, image, or impulse that intrudes into a person’s awareness. Some examples are believing that one is contaminated by germs, picturing oneself stabbing one’s children, or thinking that every bump hit in the road while driving could have been a person struck by the car. Obsessions cause a great deal of distress. Obsessions typically lead to the development of compulsions. A compulsion is a repetitive act that is used by the person to stop the obsession and decrease the anxiety 675
Psychology Basics caused by the obsession. People who believe they have been contaminated may wash themselves for hours on end; those who believe that they have hit another person while driving may not be able to resist the urge to stop and look for someone injured. Behavioral compulsions can sometimes occupy so much time that the person cannot meet the demands of everyday life. Causes of Psychopathology The most important goal of researchers in the field of psychopathology is to discover the causes (etiology) of each disorder. If the causes for disorders were known, then psychologists could design effective treatments and, it would be hoped, be able to prevent the development of many disorders. Unfortunately, theories of psychological disorders are in their infancy, and there are many more questions than there are answers. There is no general agreement among psychologists as to where to look for answers to the question of etiology. Consequently, some researchers stress the importance of biological causes, other researchers focus on psychological processes in the development of disorders, while still others emphasize the crucial role of learning experiences in the development of behavior disorders. All these approaches are important, and each supplies a piece of the puzzle of psychopathology, but all approaches have their limitations. the learning approach. Psychologists who work within this model of psychopathology believe that abnormal behavior is learned through past experiences. The same principles that are used to explain the development of normal behavior are used to explain the development of abnormal behavior. For example, a child can learn to be a conscientious student by observing role models who are conscientious in their work. Another child may learn to break the rules of society by watching a parent break the same rules. In each case, observational learning is at work, but the outcome is very different. In another example of a learning principle, a person who is hungry and hears someone preparing food in the kitchen may begin to salivate because the sounds of food preparation have, in the past, preceded eating food and food makes the person salivate. Those sounds from the kitchen are stimuli that have become conditioned so that the person learns to have the same reaction to the sounds as to food (salivation). This learning process is called classical conditioning. In a different example, experiencing pain and having one’s life threatened causes fear. A person who is attacked and bitten by a dog might well develop a fear response to all dogs that is severe enough to lead to a diagnosis of a phobia. Just as the sounds in the kitchen elicit salivation, the sight of a dog elicits an emotional response. The same underlying principle of classical conditioning can account for the development of normal behavior as well as a disorder. There are many other principles of learning besides observational learning and classical conditioning. Together, psychologists use them to account for forms of psychopathology more complex than are exemplified here. Nonetheless, there are many disorders in which a learning approach to etiology seems farfetched. For exam676
Psychopathology ple, no one believes that mental retardation, childhood autism, or schizophrenia can be explained by learning principles alone. the psychological approach. This model, sometimes called the cognitive approach, holds that many forms of psychopathology are best understood by studying the mind. Some psychologists within this tradition believe that the most important aspect of the mind is the unconscious. The Austrian psychoanalyst Sigmund Freud (1856-1939) believed that many forms of psychopathology are due to intense conflicts of which the person is unaware but which, nevertheless, produce symptoms of disorders. Many psychological disorders are associated with obvious problems in thinking. Schizophrenics, people with attention-deficit hyperactivity disorder (ADHD), and those who suffer from depression all show difficulties in concentration. Memory problems are central in people who develop amnesia in response to psychological trauma. People who are paranoid show abnormalities in the way they interpret the behavior of others. Indeed, it is difficult to find examples of psychopathology in which thinking is not disordered in some way, be it mild or severe. Within the cognitive approach, depression is one of the disorders that receives the most attention. People who are depressed often show problems in emotion (feeling sad), behavior (withdrawing from people), and thinking. The cognitive formulation assumes that thinking is central, specifically the way depressed people think about the world, themselves, and the future. Dysfunctional thinking is believed to give rise to the other aspects of depression. Most of the research in the field of psychopathology derives from the cognitive perspective. One of the major challenges to this approach is determining whether thinking patterns cause disorders or whether they are aspects of disorders that, themselves, are caused by nonpsychological factors. For example, depressed people have a pessimistic view of their futures. Does pessimism figure into the cause of the depression, or might depression be caused by biological factors and pessimism is just one of the symptoms of depression? the biological approach. The biological (biogenic) approach assumes that many forms of psychopathology are caused by abnormalities of the body, usually the brain. These abnormalities can be inherited or can occur for other reasons. What these “other reasons” are is unclear, but they may include birth complications, environmental toxins, or illness of the mother during pregnancy. Schizophrenia is one disorder that receives much attention among those researchers who follow the biogenic approach. A great deal of research has been conducted on the importance of neurotransmitters. Nerve cells in the brain are not connected; there is a small space between them. A nerve impulse travels this space by the release of chemicals in one nerve cell, called neurotransmitters, which carry the impulse to the receptors of the next cell. There are a large number of neurotransmitters, and new ones are discovered periodically. Early research on the relationship between neurotransmitters and psychopathology tended to view the problem as “too much” or 677
Psychology Basics “too little” of the amount of neurotransmitters. It is now known that the situation is much more complicated. In schizophrenia, the neurotransmitter dopamine has received most of the attention, with many studies suggesting that excessive amounts of dopamine cause some of the symptoms of schizophrenia. In fact, drugs that reduce the availability of dopamine to the cells are successful in alleviating some symptoms of the disorder. However, not all people with schizophrenia are helped by these drugs, and some people are helped by drugs that one would not prescribe if the sole cause of schizophrenia is too much dopamine. Researchers are finding that the way in which dopamine and another neurotransmitter, serotonin, work together may lead to a better biological theory of schizophrenia than the excessive dopamine hypothesis. The biological approach is a highly technical field, and it relies heavily on advances in technologies for studying the brain. Powerful new tools for studying the brain are invented at a rapid pace. For example, researchers are now able to use neuroimaging techniques to watch how the brain responds and changes from second to second. Heredity appears to be important in understanding who develops what kind of psychological disorder, but it is often unknown exactly what is inherited that causes the disorder. The fact that schizophrenia runs in families does not reveal what is being passed on from generation to generation. The fact that inheritance works at the level of gene transmission places hereditary research squarely within the biological approach. One method for addressing the question of whether a disorder can be inherited is by studying twins. Some twins are identical; each twin has the same genes as the other. Other twins share only half of their genes; these are fraternal twins. If one identical twin has schizophrenia and the disorder is entirely inherited, the other twin should also develop schizophrenia. Among identical twins, if one twin is schizophrenic, the other twin has a 48 percent chance of having the same disorder, not a 100 percent chance. For fraternal twins, if one is schizophrenic, there is a 17 percent chance that the other twin will have the disorder. If neither twin has schizophrenia, and no one else in the immediate family has the disorder, there is only a 1 percent chance of developing this form of psychopathology. Two important points can be made. First, genes matter in the transmission of schizophrenia. Second, the disorder is not entirely due to heredity. Researchers who focus on heredity have found that some other disorders seem to have a genetic component, but no mental illness has been found to be entirely due to heredity. Clearly, there are other factors operating, and the biological approach must be integrated with other approaches to gain a full picture of the etiology of psychopathology. the biopsychosocial approach. As its name suggests, the biopsychosocial approach seeks to understand psychopathology by examining the interactive influences of biology, cognitive processes, and learning. This is the most popular model of psychopathology and, in its most basic form, is also 678
Psychopathology referred to as the diathesis-stress model. A diathesis is a predisposing factor, and the diathesis may be biological or psychological. When discussing biological diatheses, most theories assume that the diathesis is present at birth. A problem with the regulation of neurotransmitters, which may lead to schizophrenia or depression, is one example. An example of a psychological diathesis is when a person’s style of thinking predisposes him or her to a disorder. For instance, pessimism—minimizing good things that happen, maximizing negative events, and attributing failures to personal defects—may predispose a person to depression. The stress aspect of the diathesis-stress model refers to the negative life experiences of the person. An early, chaotic family environment, child abuse, and being raised or living in a high-crime neighborhood are examples of stressful environments. From this perspective, a person will develop a disorder who has a predisposition for the disorder, in combination with certain life experiences that trigger the disorder. Because the biological, learning, and psychological approaches have all contributed to the understanding of psychopathology, it is no surprise that most psychologists want to combine the best of each approach—hence, the biopsychosocial model. Given the present state of knowledge, each model represents more of an assumption about how psychopathology develops rather than a single theory with widespread scientific support. For virtually every psychological disorder, psychologists debate the causes of the disorder. Culture and Psychopathology The importance of understanding the cultural context of psychopathology cannot be overstated. To be sure, some disorders that span populations— depression, mental retardation, and schizophrenia are examples—but a population both defines what should be considered abnormal behavior and determines how psychopathology is expressed. “Cultural relativism” refers to the fact that abnormality is relative to its cultural context; the same behavior or set of beliefs can be viewed as abnormal in one population and perfectly familiar and normal in another population. When viewed from an American perspective, the remedies, rituals, and beliefs of a witch doctor may seem to reflect some disorder within the witch doctor rather than a valued and culturally sanctioned means of treatment within that culture. No doubt members of a given tribal population in South America may regard the behavior of North American adolescents on prom night as grossly abnormal. Some disorders only exist in certain cultures. A disorder known as pibloktoq occurs in Eskimo communities. The symptoms include tearing off one’s clothes, shouting obscenities, breaking furniture, and performing other irrational and dangerous acts. The afflicted individual often follows this brief period of excited behavior by having a seizure, falling into a coma for twelve hours, and, upon awakening, having no memory of his or her behavior. Some disorders may be very similar across two populations but contain a 679
Psychology Basics cultural twist. For instance, in the United States, the essential feature of social anxiety disorder is a fear of performance situations that could lead to embarrassment and disapproval. In Japan and Korea, the main concern of people with social anxiety disorder is the fear that one’s blushing, eye contact, or body odor will be offensive to others. There are numerous examples of culturally based psychopathologies; the DSM-IV-TR lists twenty-five of them in an appendix. Moreover, throughout the manual, a brief statement accompanies the description of most disorders on the roles of ethnic and cultural factors that are relevant for the given disorder, which can help the clinician arrive at an accurate diagnosis. Treatment The major forms of treatment for psychological disorders can be grouped according to the most popular models of psychopathology. Thus, there exists behavior therapy (learning approach), cognitive therapy and psychoanalysis (psychological approach), and somatic treatment, such as the use of medications (biological approach). Consistent with the biopsychosocial model, many therapists practice cognitive behavior therapy while their clients are taking medication for their disorders. These treatments, as well as the models from which they derive, represent common and popular viewpoints, but the list is not exhaustive (for instance, family systems is a model of disorders, and the treatment is family therapy). The link between models of psychopathology and treatment is not as strong as it appears. Therapists tend to adopt the treatment belief of “whatever works,” despite the fact that all therapists would prefer to know why the person is suffering from a disorder and why a specific treatment is helpful. In addition, even if the therapist is sure that the problem is a consequence of learning, he or she might have the client take medication for symptom relief during therapy. In other words, psychologists who are aligned with a specific model of psychopathology will still employ an array of treatment techniques, some of which are more closely associated with other models. behavior therapy. Based on learning theory, behavior therapy attempts to provide new learning experiences for the client. Those with problems that are fear-based, such as phobias, may benefit from gradual exposure to the feared situation. If social anxiety is determined to be caused by a deficit in social skills, a behavior therapist can help the person learn new ways of relating to others. If the disorder is one of excess, as in substance abuse, the behavior therapist will provide training in self-control strategies. The parents of children who show conduct disorders will be taught behavior modification techniques that they could use in the home. Behavior therapy focuses on the client’s present and future. Little time is spent discussing childhood experiences, except as they clearly and directly bear on the client’s presenting problem. The therapist adopts a problem-solving approach, and sessions are focused on a learning-theory-based conceptualization of the client’s problems and discussions of strategies for change. Homework assignments are 680
Psychopathology common, which leads behavior therapists to believe that therapy takes place between sessions. cognitive therapy. The basic tenet of cognitive therapy is that psychological problems stem from the way people view and think about the events that happen to them. Consequently, therapy focuses on helping patients change their viewpoints. For example, with a patient who becomes depressed after the breakup of a relationship, the cognitive therapist will assess the meaning that the breakup has for the person. Perhaps he or she holds irrational beliefs such as, “If my partner does not want me, no one will,” or “I am a complete failure for losing this relationship.” The assumption is that the patient’s extreme, negative thinking is contributing to the depression. The therapist will challenge these beliefs and help the patient substitute a more rational perspective; for example, “Just because one person left me does not mean that the next person will,” and “Even if this relationship ended, it does not mean that I am a failure in everything I do.” Cognitive therapy has some similarity to behavior therapy. There is a focus on the present, history-taking is selective and related to the presenting problem, and homework assignments are routine. Indeed, because the two approaches have many things in common, many therapists use both forms of treatment and refer to themselves as cognitive-behavioral therapists. somatic therapy. Somatic therapy is the domain of physicians (psychiatrists) because this form of treatment requires medical training. By far the most common example of somatic therapy is the use of psychotropic medications, medicine that will relieve psychological symptoms. Less common examples are electroconvulsive shock treatment, in which the client is tranquilized and administered a brief electric current to the brain to induce a convulsion, and brain surgery, such as leucotomy and lobotomy (rarely practiced). The use of medications for psychological disorders has become enormously popular since 1970. Three main reasons are that the biological approach to understanding psychopathology is becoming more prominent; new drugs are being released each year that have fewer side effects; and a great deal of research is being conducted to show that an ever-increasing number of disorders are helped by medication. The use of medication for psychological disorders is not viewed as a cure. Sometimes drugs are used to help a person through a difficult period. At other times they are an important adjunct to psychotherapy. Only in the most severe forms of psychopathology would a person be medicated for the rest of his or her life. Which Therapy Is Best? Researchers approach the question of which therapy is best in the context of specific disorders. No one therapy is recommended for every disorder. For instance, behavior therapy has proven to be highly successful with phobias, cognitive therapy shows good results with depression, and a trial of medication is usual for schizophrenia and bipolar disorder. 681
Psychology Basics No matter what the presumed cause is of a specific disorder, a common practice is to provide medication for symptom relief, along with some form of psychotherapy to improve the person’s condition over the long run. Sources for Further Study American Psychiatric Association. Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR. Rev. 4th ed. Washington, D.C.: Author, 2000. The manual is the official listing of psychological disorders and their diagnostic criteria. Some of the technical words are not defined, theories are not discussed, and treatment is ignored. Nonetheless, the reader can gain a great deal of knowledge about the different forms of psychopathology and how therapists arrive at diagnoses. Barlow, David H., and Vincent M. Durand. Abnormal Psychology. 3d ed. Belmont, Calif.: Wadsworth/Thomson, 2002. This undergraduate textbook is written for an audience with little or no background in psychology. The book covers a broad range of psychological disorders and is an excellent beginning text to learn about the biopsychosocial model of psychopathology. Hundreds of references are provided. Kanfer, Frederick, H., and Arnold P. Goldstein, eds. Helping People Change: A Textbook of Methods. New York: Pergamon General Psychology, 1991. This is a classic in the field of clinical psychology. It covers many cognitivebehavioral techniques that are used for an array of psychological disorders. The target audience is undergraduate and graduate students in psychology and practitioners who want to learn about this treatment modality. Each chapter is easy to understand and assumes only a basic knowledge of therapy and psychopathology. Millon, Theodore, Paul H. Blaney, and Roger D. Davis, eds. Oxford Textbook of Psychopathology. New York: Oxford University Press, 1999. An advanced textbook for readers who have, at least, a college background in psychology and basic knowledge of the field of psychopathology. Twenty-seven chapters, authored by experts, span almost seven hundred pages. Theory and assessment of disorders is emphasized. Laurence Grimm and Lindsey L. Henninger See also: Abnormality: Psychological Models; Cognitive Behavior Therapy; Cognitive Therapy; Drug Therapies; Psychotherapy: Goals and Techniques.
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Psychosomatic Disorders Type of psychology: Psychopathology Fields of study: Cognitive processes; organic disorders; stress and illness Psychosomatic disorders are physical disorders produced by psychological factors such as stress, mental states, or personality characteristics. A variety of psychological or psychotherapeutic interventions have been developed to alter the individual’s ability to cope with stressful situations and to change the personality or behavior of the individual. Key concepts • behavior modification • biogenic • biopsychosocial • cognitive • locus of control • psychogenic • psychological factors affecting physical condition • psychosomatic disorders • self-efficacy • Type A behavior pattern The term “psychosomatic” was introduced by physician Flanders Dunbar in the early 1940’s, shortly after Hans Selye presented the concept of “stress.” Psychosomatic disorders are physical disorders which are caused by, or exacerbated by, psychological factors. These psychological factors fall into three major groups: stress resulting from encounters with the environment, personality characteristics, and psychological states. Psychosomatic disorders are different from two other conditions with which they are often confused. Psychosomatic disorders are real—that is, they are actual physical illnesses that have underlying psychological causes or that are made worse by psychological factors. In somatoform disorders (such as hypochondriasis), by contrast, there is no physiological cause; another condition, malingering, is the faking of an illness. Psychosomatic disorders can affect any of the organ systems of the body. Certainly, not all physical disorders or illnesses are psychosomatic disorders; in many cases, an illness or physical disorder is caused entirely by biogenic factors. In many other cases, however, there is no question about the importance of psychogenic factors. The American College of Family Physicians has estimated that 90 percent of the workload of doctors is the result of psychogenic factors. Many familiar and common psychosomatic disorders that can affect the body’s various organ systems. Included among them are skin disorders, such as acne, hives, and rashes; musculoskeletal disorders, such as backaches, rheumatoid arthritis, and tension headaches; respiratory disorders, such as 683
Psychology Basics asthma and hiccups; and cardiovascular disorders, such as hypertension, heart attacks, strokes, and migraine headaches. Other disorders have also been related to psychological factors, including anemia, weakening of the immune system, ulcers, and constipation. Genitourinary disorders such as menstrual problems, vaginismus, male erectile disorder, and premature ejaculation are included among psychosomatic disorders, as are certain endocrine and neurological problems. The relationship between the mind and the body has long been the subject of debate. Early societies saw a clear link between the two. Early Greek and Roman physicians believed that body fluids determined personality types and that people with certain personality types were prone to certain types of diseases. Beginning during the Renaissance, the dominant line of thought held that there was little or no connection between the mind and the body. Illness was seen as the result of organic, cellular pathology. Destruction of body tissue and invasion by “germs,” rather than personality type, were seen as the causes of illness. Sigmund Freud’s work with patients suffering from conversion hysteria began to demonstrate both the importance of psychological factors in the production of physical symptoms of illness and the value of psychological therapy in changing the functioning of the body. Research conducted in the 1930’s and 1940’s suggested that personality factors play a role in the production of a variety of specific illnesses, including ulcers, hypertension, and asthma. The Role of Stress Even though Freud demonstrated the role of psychological factors in illness, the medical field has still focused upon the biological roots of illness and has still largely rejected or ignored the role of emotions and personality. Nevertheless, the ascending line of thought can be described as a biopsychosocial view of illness, which begins with the basic assumption that health and illness result from an interplay of biological, psychological, and social factors. This view provides a conceptual framework for incorporating human elements into the scientific paradigm. A man who suffers a heart attack at age thirty-five is not conceptualized simply as a person who is experiencing the effects of cellular damage caused by purely biological processes that are best treated by surgery or the administration of drugs. The victim, instead, is viewed as a person who also has engaged in practices that adversely affected his health. In addition to drugs and surgery, therefore, treatment for this man might include changing his views on the relative value of work and family as well as emphasizing the importance of daily exercise and diet. If he smokes, he will be encouraged to quit smoking. He might receive training in stress management and relaxation techniques. Few people today would argue with the proposition that stress is a fact of life. Most have far more experience with stressors—those events that humans find stressful—than they would willingly choose for themselves. Stress 684
Psychosomatic Disorders is one of the major causes of psychosomatic disorders. Stressors are often assumed to be external events, probably because stressful external events are so easily identified and recognized. Many stressors, however, come from within oneself. For example, an individual alone often sets strict standards for himself or herself and, in failing to meet those standards, often makes harsher personal judgments than anyone else would make. Especially since the late 1970’s and early 1980’s, cognitive psychologists have focused attention on the internal thinking processes, thoughts, values, beliefs, and expectations that lead people to put unnecessary pressure on themselves that results in the subjective sense of stress. Another contribution made by cognitive psychologists was the realization that a situation can be a stressor only if the individual interprets it as stressful. Any event that people perceive as something with which they can cope will be perceived as less stressful than an event that taxes or exceeds their resources, regardless of the objective seriousness of the two events. In other words, it is the cognitive appraisal of the event, coupled with one’s cognitive appraisal of one’s ability to deal with the event, rather than the objective reality of the event, that determines the degree to which one subjectively experiences stress. Personality Types Continuing the tradition of the early Greek and Roman physicians, modern personality theorists have often noted that certain personality characteristics seem to be associated with a propensity to develop illness, or even specific illnesses. Other personality characteristics appear to reduce vulnerability to illness. One of the best-known examples of a case in which personality characteristics affect health is that of the Type A behavior pattern (or Type A personality). The person identified as a Type A personality typically displays a pattern of behaviors which includes easily aroused hostility, excessive competitiveness, and a pronounced sense of time urgency. Research suggests that hostility is the most damaging of these behaviors. Type A personalities typically display hyperreactivity to stressful situations, with a corresponding slow return to the baseline of arousal. The hostile Type A personality is particularly prone to coronary heart disease. By contrast, the less driven Type B personality does not display the hostility, competitiveness, and time urgency of the Type A personality and is about half as likely to develop coronary heart disease. Studies conducted in the 1970’s and 1980’s led to the suggestion that there is a Type C, or cancer-prone, personality. Although the role of personality characteristics is heavily debated in terms of the development of cancer, various characteristics related to stress have been found to suppress the immune system, thereby making an individual more vulnerable to some cancers. Personality characteristics have therefore also been found to be somewhat influential in the course of the disease. It is well known that many natural and artificial substances produce cancer, but many researchers have 685
Psychology Basics also noted that people with certain personality characteristics are more likely to develop cancer, are more likely to develop fast-growing cancers, and are less likely to survive their cancers, whatever the cause. These personality characteristics include repression of strong negative emotions, acquiescence in the face of stressful life situations, inhibition, depression, and hopelessness. Encounters with uncontrollable stressful events appear to be particularly related to the development or course of cancer. In addition, some research suggests that not having strong social support systems may contribute to the development or affect the outcome of cancer. Research has begun to focus on the possible interaction among risk factors for cancer. For example, depressed smokers are many more times likely to develop smoking-related cancers than are either nondepressed smokers or depressed nonsmokers. One theory suggests that the smoking provides exposure to the carcinogenic substance that initiates the cancer, and depression promotes its development. It has been suggested that hardiness is a broad, positive personality variable that affects one’s propensity for developing stress-related illness. Hardiness is made up of three more specific characteristics: commitment (becoming involved in things that are going on around oneself), challenge (accepting the need for change and seeing new opportunities for growth in what others see as problems), and control (believing that one’s actions determine what happens in life and that one can have an effect on the environment). It has been hypothesized that people who possess these characteristics are less likely to develop stress-related disorders because they view stressful situations more favorably than do other people. Commitment and control seem to be more influential in promoting health. Locus of control is a related concept which has received much attention. Control and Helplessness Locus of control refers to the location where one believes control over life events originates. An external locus of control is outside oneself; an internal locus of control is within oneself. The individual who perceives that life events are the result of luck, or are determined by others, is assuming an external locus of control. The belief that one’s efforts and actions control one’s own destiny reflects an internal locus of control. Internalizers are thought to be more likely to assume responsibility for initiating necessary lifestyle changes, to employ direct coping mechanisms when confronted with stressful situations, and to be more optimistic about the possibility of successfully instituting changes that are needed. This last characteristic is sometimes called self-efficacy. Self-efficacy refers to the belief that one is able to do what is needed and attain the intended effect. The concept of learned helplessness, on the other hand, produces feelings of complete lack of control and a fatalistic acceptance of events. Martin E. P. Seligman began to investigate this phenomenon in 1964. He found that when people are faced with a situation which they can do nothing to prevent 686
Psychosomatic Disorders or escape, they learn the attitude of helplessness. Seligman and colleagues later investigated the question of why some people do not adopt this attitude. They concluded that people who adopt a pessimistic explanatory style become helpless when adversity is encountered, but that an optimistic explanatory style prevents the development of learned helplessness. Seligman has described the chain of events by which the pessimistic explanatory style may lead to illness. Beginning with unfortunate experiences such as a serious loss, defeat, or failure, the person with a pessimistic explanatory style becomes depressed. The depression leads to depletion of a neurotransmitter substance called catecholamine, and the body increases the secretion of endorphins—the body’s naturally produced form of morphine. When receptors in the immune system detect the increased presence of the endorphins, the immune system begins to turn itself down. Any disease agents that are encountered while the immune system is weakened have a much greater likelihood of overwhelming the remaining defenses of the immune system. This process is very similar to the situation faced by the individual who contracts the human immunodeficiency virus (HIV) and develops acquired immunodeficiency syndrome (AIDS). When the immune system of the person with AIDS is unable to function effectively, opportunistic infections against which the body could normally defend itself are able to overtake it. It is those opportunistic infections that kill, rather than the HIV itself. Interventions Because the hyperreactivity of the Type A behavior pattern is thought to be at least partially genetically based, there are probably some limits on what can be done to reduce the incidence of coronary heart disease resulting from physiological hyperreactivity. There is, however, much that can be done in other areas. Persons who are prone to such disorders can be taught to exercise properly, eliminate unhealthy dietary practices, and reduce or quit smoking. Of particular interest to psychologists is the opportunity to help these individuals by teaching effective coping strategies, stress management, values training, behavior modification to control Type A behaviors, and cognitive control of depression and other negative emotions. Studies by psychologists have demonstrated a wide range of interventions that can be helpful in reducing the danger of cardiovascular disease in Type A personalities. Exercise produces positive effects on physiological functioning, appears to improve general psychological functioning, and reduces Type A behaviors. Cognitive behavioral stress management techniques have been shown to reduce behavioral reactivity. Values training focusing on changing the person’s perceptions of the importance of occupational success and competitiveness has enabled the individual to concentrate on more beneficial behaviors. Behavior modification techniques have been used to alter the kinds of behavior that appear to be most dangerous for the Type A person, substituting other behavioral responses in place of explosive speech 687
Psychology Basics and hostility. Cognitive control of emotions produces more rapid physiological recovery after stress. Efforts by psychologists to help the Type C personality might focus on assertiveness training and altering the person’s belief that it is not appropriate to display strong negative emotions, such as anger or frustration. Teaching the Type C person to fight back against stressful life situations, rather than acquiescing to them, might also be of benefit. Imagery therapy appears to be beneficial to some cancer patients, perhaps for that reason, but also because it promotes the development of learned optimism in place of learned pessimism. Promoting the development of effective social support systems is another means for psychologists to have a positive impact in the fight against cancer. Psychosomatics and the Future It is important that a distinction be made between psychosomatic disorders and three other conditions listed in the Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000), which is the official classification system for mental disorders published by the American Psychiatric Association. Psychosomatic disorders, which are covered by the category Psychological Factors Affecting Physical Conditions, are not themselves considered mental disorders. While the psychological factors that cause the physical illness are unhealthy or abnormal from a psychiatric or psychological perspective, the psychosomatic disorder is a real, physical illness or condition controlled by real, physical processes. Somatoform disorders, on the other hand, are mental disorders which manifest themselves through real or imagined physical symptoms for which no physical cause exists. These symptoms are not intentionally produced by the client. Conversion disorder is one of the somatoform disorders that laypeople often confuse with psychosomatic disorders. Unlike the case with psychosomatic disorders, there is no organic or physiological pathology that would account for the presence of the physical symptoms displayed by the person suffering from a conversion disorder. Hypochondriasis is the second somatoform disorder that is often confusing for laypeople. The person suffering from hypochondriasis fears or believes that he or she has the symptoms of a serious disease, but the imagined “symptoms” are actually normal sensations or body reactions which are misinterpreted as symptoms of disease. Malingering is the third condition which is sometimes confused with psychosomatic disorders. The person who is malingering is faking illness and is reporting symptoms that either do not exist at all or are grossly exaggerated. The malingering is motivated by external goals or incentives. By eliminating many of the diseases that used to be epidemic, especially those which killed people early in life, medical science has increased the average life expectancy of Americans by about thirty years since the beginning of the twentieth century. Eliminating the psychological factors that cause 688
Psychosomatic Disorders psychosomatic disorders holds promise for another increase in average life expectancy in the next few decades. Heart disease, cancer, and strokes are the top three killer diseases in the United States, and each has a powerful psychosomatic component. The reduction in human suffering and the economic benefits that can be gained by controlling nonfatal psychosomatic disorders are equally promising. Cognitive and health psychologists have, particularly since the 1970’s, tried to determine the degree to which cognitive psychotherapy interventions can boost immune system functioning in cancer patients. They have also used behavioral and cognitive therapy approaches to alter the attitudes and behaviors of people who are prone to heart disease and strokes, with considerable success. In the near future, they can be expected to focus their efforts on two major fronts. The first will involve further attempts to identify the psychological factors which might increase people’s propensity to develop psychosomatic disorders. The second will involve continuing efforts to develop and refine the therapeutic interventions intended to reduce the damage done by psychosomatic disorders, and possibly to prevent them entirely. Sources for Further Study Chopra, Deepak. Creating Health. Reprint. Boston: Houghton Mifflin, 1991. Chopra is a proponent of meditation, an approach that not all American psychologists feel comfortable advocating. Nevertheless, this book is written by a practicing physician for the layperson. He covers a wide variety of psychosomatic disorders, suggests a variety of healthy habits, and presents the viewpoint that “health is our natural state.” Pert, Candace B. Molecules of Emotion. New York: Simon & Schuster, 1997. This is a highly accessible book written in an engaging style with wit and humor. Pert discusses her research on the scientific bases of mind-body medicine and the difficulties in integrating these concepts into Western medicine. The book contains appendices with a list of resources and practitioners, an extensive glossary, and recommended readings. Seligman, Martin E. P. Learned Optimism. New York: Alfred A. Knopf, 1991. Chapter 2 provides an especially interesting account of how two young graduate students can upset one of the most basic assumptions of a wellentrenched viewpoint and promote the development of a new way of looking at things. Chapter 10 describes how explanatory styles might affect health and the mechanism by which this is thought to occur. A readable book which examines an interesting concept. Simonton, O. Carl, Stephanie Matthews-Simonton, and James L. Creighton. Getting Well Again. New York: Bantam Books, 1980. Cancer researchers and therapists examine the mind-body connection, effects of beliefs, causes of cancer, effects of stress and personality, and effects of expectations on the development and progress of cancer. They describe a holistic approach to treatment, emphasizing relaxation and visual imagery, that 689
Psychology Basics is reported to produce cancer survival rates that are twice the national norm. Taylor, Shelley E. Health Psychology. 5th ed. Boston: McGraw-Hill, 2003. A moderately high-level college textbook that comprehensively covers the general field of health psychology. As could be expected, many research studies are presented, and not all of them corroborate one another. The general reader should have no particular difficulty handling this material; the writing is reader-friendly. Wedding, Danny, ed. Behavior and Medicine. 3d ed. Seattle: Hogrefe & Huber, 2001. This large volume covers an extensive area of behavior and medicine, which include stress and various behaviors which may affect physiological health. The articles cover such behavioral issues as substance abuse, stress management, pain, placebos, AIDS, cardiovascular risk, and adherence to medical regimens. Other behavioral issues are covered which relate to love and work, as well as developmental issues from infancy to death, dying and grief. The book is readable and includes illustrations, bibliographies, summaries, and study questions at the end of each article. John W. Nichols; updated by Martha Oehmke Loustaunau See also: Cognitive Behavior Therapy; Cognitive Therapy; Emotions; Endocrine System; Learned Helplessness; Stress-Related Diseases.
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Psychosurgery Date: The 1930’s forward Type of psychology: Psychological methodologies Fields of study: Anxiety disorders; biological treatments; depression; endocrine system; schizophrenias Psychosurgery is brain surgery in which brain parts are disconnected or removed to do away with psychiatric problems such as aggression, anxiety, and psychoses. It was used most from 1935 to 1965, until psychoactive drugs began to replace it. Psychosurgery is not used to relieve psychiatric symptoms resulting from structural brain disease such as brain tumors. Key concepts • electroconvulsive therapy • psychopharmaceuticals • psychosurgery techniques • somatic theory of insanity In the early twentieth century, the treatment of mental disease was limited to psychotherapy for neurotics and long-term care of psychotics in asylums. In the 1930’s, these methods were supplemented by physical approaches using electroconvulsive therapy (ECT) and brain operations. Psychosurgical operations were in vogue from the mid-1930’s to the middle to late 1960’s. They became, and still are, hugely controversial, although their use had drastically declined by the last quarter of the twentieth century. Controversy arose because, for its first twenty-five years of existence, crude psychosurgery was too often carried out on inappropriate patients. ECT developed after the 1935 discovery that schizophrenia could be treated by convulsions induced through camphor injection. Soon, convulsion production was accomplished by passage of electric current through the brain, as described in 1938 by Italian physicians Ugo Cerletti and Lucio Bini. ECT was most successful in alleviating depression and is still used for that purpose. In contrast, classic psychosurgery by bilateral prefrontal leucotomy (lobotomy) is no longer performed because of its deleterious effects on the physical and mental health of many subjects. These effects included epilepsy and unwanted personality changes such as apathy, passivity, and low emotional responses. It should be remembered, however, that psychosurgery was first planned to quiet chronically tense, delusional, agitated, or violent psychotic patients. History and Context of Psychosurgery Psychosurgery is believed to have originated with the observation by early medical practitioners that severe head injuries could produce extreme changes in behavior patterns. In addition, physicians of the thirteenth to six691
Psychology Basics teenth centuries reported that sword and knife wounds that penetrated the skull could change normal behavior patterns. From the mid-1930’s to the mid-1960’s, reputable physicians performed psychosurgery on both indigent patients in public institutions and on the wealthy at expensive private hospitals and universities. Psychosurgery was imperfect and could cause adverse reactions, but it was performed because of the arguments advanced by powerful physician proponents of the method; the imperfect state of knowledge of the brain at the time; the enthusiasm of the popular press, which lauded the method; and many problems at overcrowded mental hospitals. The last reason is thought to have been the most compelling, as asylums for the incurably mentally ill were hellish places. Patients were beaten and choked by attendants, incarcerated in dark, dank, padded cells, and subjected to many other indignities. At the same time, little could be done to cure them. Egas Moniz Invents Leucotomy The two main figures in psychosurgery were António Egas Moniz, the Portuguese neurologist who invented lobotomy, and the well-known American neuropathologist and neuropsychiatrist Walter Freeman, who roamed the world convincing others to carry out the operations. The imperfect state of knowledge of the brain in relation to insanity was expressed in two theories of mental illness. A somatic (organic) theory of insanity proposed it to be of biological origin. In contrast, a functional theory supposed life experiences to cause the problems. The somatic theory was shaped most by Emil Kraepelin, the foremost authority on psychiatry in the first half of the twentieth century. Kraepelin distinguished twenty types of mental disorder, including dementia praecox (schizophrenia) and manic-depressive (bipolar) disorder. Kraepelin and his colleagues viewed these diseases as genetically determined, and practitioners of psychiatry developed complex physical diagnostic schema that identified people with various types of psychoses. In contrast, Sigmund Freud was the main proponent of the functional theory. Attempts to help mental patients included ECT as well as surgical removal of tonsils, sex organs, and parts of the digestive system. All these methods had widely varied success rates that were often subjective. Further differences depended on which surgeon used them. By the 1930’s, the most widely effective curative procedures were several types of ECT and lobotomy (psychosurgery). The first lobotomy was carried out on November 12, 1935, at a hospital in Lisbon, Portugal. There, Pedro A. Lima, Egas Moniz’s neurosurgeon collaborator, drilled two holes into the skull of a mental patient and injected ethyl alcohol directly into the frontal lobes of her brain to destroy nerve cells. After similar operations on several patients, the tissue-killing procedure was altered to use an instrument called a leucotome. After its insertion into the brain, the knifelike instrument, designed by Egas Moniz, was rotated like an apple corer to destroy chosen lobe areas. 692
Psychosurgery
António Egas Moniz, inventor of the lobotomy. (The Nobel Foundation)
Egas Moniz—already a famous neurologist—named the procedure prefrontal leucotomy. He won a Nobel Prize in Physiology or Medicine in 1949 for his invention of the procedure. Within a year of his first leucotomy, psychosurgery (another term invented by Egas Moniz) spread through Europe. Justification for its wide use was the absence of any other effective somatic treatment and the emerging concept that the cerebral frontal lobes were the site of intellectual activity and mental problems. The selection of leucotomy target sites was based on two considerations using the position in the frontal lobes where nerve fibers—not nerve cells—were most concentrated and avoiding damage to large blood vessels. Thus, Egas Moniz targeted the frontal lobe’s centrum ovale, which contains few blood vessels. After eight operations—50 percent performed on schizophrenics—Egas Moniz and Lima stated that their cure rates were good. Several other psychiatric physicians disagreed strongly. After twenty operations, it became fairly clear that psychosurgery worked best on patients suffering from anxiety and depression, while schizophrenics did not benefit very much. The main effect of the surgery was to calm patients and make them docile. Retrospec693
Psychology Basics tively, it is believed that Egas Moniz’s evidence for serious improvement in many cases was very sketchy. However, many psychiatric and neurological practitioners were impressed, and the stage was set for wide dissemination of psychosurgery. Lobotomy Procedures The second great proponent of leucotomy—the physician who renamed it lobotomy and greatly modified the methodology used—was Freeman, professor of neuropathology at George Washington University Medical School in Washington, D.C. In 1936, he tested the procedure on preserved brains from the medical school morgue and repeated Egas Moniz’s efforts. After six lobotomies, Freeman and his associate James W. Watts became optimistic that the method was useful to treat patients exhibiting apprehension, anxiety, insomnia, and nervous tension, while pointing out that it would be impossible to determine whether the procedure had effected the recovery or cure of mental problems until a five-year period had passed. As Freeman and Watts continued to operate, they noticed problems, including relapses to the original abnormal state, a need for repeated surgery, a lack of ability on the part of patients to resume jobs requiring the use of reason, and death due to postsurgical hemorrhage. This led them to develop a more precise technique, using the landmarks on the skull to identify where to drill entry holes, cannulation to assure that lobe penetration depth was not dangerous to patients, and use of a knifelike spatula to make lobotomy cuts. The extent of surgery also varied, depending upon whether the patient involved was suffering from an affective disorder or from schizophrenia. Their method, the “routine Freeman-Watts lobotomy procedure,” became popular throughout the world. Another method used for prefrontal lobotomy was designed by J. G. Lyerly in 1937. He opened the brain so that psychosurgeons could see exactly what was being done to the frontal lobes. This technique also became popular and was used throughout the United States. Near the same time, in Japan, Mizuho Nakata of Nigata Medical College began to remove from the brain parts of one or both frontal lobes. However, the Freeman-Watts method was most popular as the result of a “do-it-yourself manual” for psychosurgery that Freeman and Watts published in 1942. The book theorized that the brain pathways between cerebral frontal lobes and the thalamus regulate intensity of emotions in ideas, and acceptance of this theory led to better scientific justification of psychosurgery. Another lobotomy procedure that was fairly widespread was Freeman’s transorbital method, designed not only to correct shortcomings in his routine method but also in attempt to aid many more schizophrenics. The simple, rapid, but frightening procedure drove an ice-pick-like transorbital leukotome through the eye socket, above the eyeball, and into the frontal lobe. Subjects were rendered unconscious with ECT, and the procedure was done before they woke up. Use of this method gained many converts and, 694
Psychosurgery gruesome as it sounds, the method caused less brain damage than other psychosurgery procedures. It was widely used at state hospitals for the insane and was lauded by the press as making previously hopeless cases normal immediately. Subsequently developed tereotaxic surgical techniques, such as stereotactic cingulatory, enabled psychosurgeons to create much smaller lesions by means of probes inserted into accurately located brain regions, followed by nerve destruction through the use of radioactive implants or by cryogenics. Currently, psychosurgery is claimed to be an effective treatment for patients with intractable depression, anxiety, or obsessional problems and a method that improves the behavior of very aggressive patients. Opponents say that these therapeutic effects can be attained by means of antipsychotic and antidepressant drugs. The consensus is that psychosurgery can play a small part in psychiatric treatment when long-term use of other treatments is unsuccessful and patients are tormented by mental problems. Mode of Action of Psychosurgery Collectively, the brain’s limbic system is composed of the hippocampus, amygdala, hippocampal and cingulate gyri, limen insulae, and posterior orbital regions of cerebral frontal lobes. This system, its components linked by nerve pathways, controls emotional expression, seizure activity, and memory storage and recall. Moreover, cerebral lobe limbic system connections from the dorsal convexity of a frontal lobe comprise two pathways running to the cingulate gyrus and hippocampus and the hypothalamus and midbrain. The frontal lobe orbital surface also projects to the septal area of the hypothalamus. The limbic brain architecture therefore yields two neurotransport circuits in a frontolimbic-hypothalamic-midbrain axis. These are a medial frontal, cingulate, hippocampus circuit (MFCHC) and an orbital frontal, temporal, amygdala circuit (OFTAC), which control hypothalamic autonomic and endocrine action. The MFCHC and OFTAC connect in the septa, preoptic area, midbrain, and hypothalamus. The original Egas Moniz lobotomy divided the frontolimbic structures, and its bad effects were due to the disabling impairment of frontal lobe function. Psychosurgery on the anterior cingulate gyrus and on the thalamofrontal bundle (bimedial leucotomy) divided different parts of the same main circuit. Orbital undercutting severs red nerve tracts running from the posterior orbital cortex to the limbic system. Although psychosurgery is currently an uncommon procedure, when it is performed, the methods used are lower medial quadrant leucotomy, making lesions just before the fourth ventricle; stereotactic-subcaudate-tractotomy, making lesions with rear halves in the subcaudate area; removal of the anterior two inches of the cingulate gyrus; and stereotactic limbic leucotomy, lesioning the lower medial frontal lobe quadrant. These operations cause varied endocrine and autonomic disconnections and are thus chosen to suit the mental condition being treated. 695
Psychology Basics Diagnosis and Treatment Diagnosis of a need for psychosurgery is based on observation of symptoms supporting abnormal psychological behavior. Examples are extremes of aggression, anxiety, obsession, or compulsiveness as well as psychoses other than schizophrenia. The exclusion of schizophrenics, except for those having marked anxiety and tension, is based on data supporting poor responses by schizophrenics to lobotomy and other leucotomies. Surveys have shown that good surgical outcomes were only obtained in 18 percent of schizophrenics who underwent lobotomy, as compared with 50 percent of depressives. Psychosurgery’s unfavorable record between 1935 and 1965, and its postoperative irreversibility, speak to the need for careful study before suggesting such brain surgery. In addition, many members of the medical community believe that the choice of psychosurgery should be based on the longterm nature of symptoms untreatable by other means, as well as a severe risk of suicide. Before psychosurgery is attempted, other methods must be exhausted, such as repeated ECT, prolonged psychoanalysis, and aggressive pharmaceutical treatments with antipsychotic drugs. Some sources suggest, as criteria for choosing psychosurgery, the persistence of symptoms for more than ten years of treatment under conditions where all possible nonsurgical methodology has been exhausted after its aggressive use. Others believe it inhumane to require a decade of illness before allowing the possibility of a cure. Symptom severity is another hugely important criterion for psychosurgery. Examples of this are the complete inability to work at a job or carry out household chores, as well as long-term and severe endogenous depression. It is also suggested that patients who have strong psychological support from their families and stable environments are the best candidates. Careful assessment of patient symptoms, handicaps, and problems should always be carried out. Formal rating scales, personality assessment via school and work records, and information coming from close relatives or friends are also viewed as crucial. The use of psychosurgery is limited to a very small number of patients not helped by existing chemotherapeutic or psychoanalytical methodology. It is fortunate that a wide variety of new techniques have made psychosurgery capable of destroying smaller and smaller targets. As knowledge of the brain and its functioning increases, it appears possible that modern psychosurgery may yet prove to be useful where other methods fail. Sources for Further Study Feigenbaum, Ernes. Stereotactic Cingulotomy as a Means of Psychosurgery. Rockville, Md.: U.S. Department of Health and Human Services, Public Health Service, 1985. A useful description of one of the newer psychosurgical methods. Fulton, John F. Frontal Lobotomy and Affective Behavior: A Neuropsychological 696
Psychosurgery Analysis. New York: W. W. Norton, 1951. A prominent member of the American medical profession contemporary with António Egas Moniz and Pedro A. Lima discusses human and animal lobotomy. Fulton is strongly for lobotomy and lauds its achievements and prospects. The book has good references and illustrations. Lader, Malcolm H., and Reginald Herrington. Biological Treatments in Psychiatry. 2d ed. New York: Oxford University Press, 1996. Covers the human brain, mental illness and principles of its treatment, neuropharmacology, psychosurgery, and ECT. Contains a good bibliography. Rodgers, Joann Ellison. Psychosurgery: Damaging the Brain to Save the Mind. New York: HarperCollins, 1992. Covers psychosurgery in healing the chronically mentally ill. Describes methods which destroy only a few brain cells and their efficacy compared to drugs. Examines moral and medical pros and cons. Turner, Eric A. Surgery of the Mind. Birmingham, England: Carmen Press, 1982. Answers questions regarding the ethics of carrying out psychosurgery, its consequences, and its justifications. Topics include the brain, its function and operation, selection and management of lobotomy patients, various types of psychosurgery, and follow-up of five hundred psychosurgeries. Valenstein, Elliot S. Great and Desperate Cures: The Rise and Decline of Psychosurgery and Other Radical Treatments for Mental Illness. New York: Basic Books, 1986. Well-thought-out history of psychosurgery. Includes theories of mentation leading to psychosurgery, methodology of its great proponents, and reasons for its replacement and limited use. Illustrated. __________, ed. The Psychosurgery Debate: Scientific, Legal, and Ethical Perspectives. New York: W. F. Freeman, 1980. Includes an overview of the history, rationale for, and extent of psychosurgery; patient selection; evaluation of methods used; description of legal and ethical issues; and an extensive bibliography. Sanford S. Singer See also: Anxiety Disorders; Bipolar Disorder; Brain Structure; Depression; Madness: Historical Concepts; Schizophrenia: Background, Types, and Symptoms; Schizophrenia: Theoretical Explanations.
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Psychotherapy Goals and Techniques Type of psychology: Psychotherapy Field of study: Evaluating psychotherapy The goals to be reached in psychotherapy and the techniques employed to accomplish them vary according to the needs of the patient and the theoretical orientation of the therapist. Key concepts • behavioral therapy • corrective emotional experience • desensitization • eclectic therapy • humanistic therapy • interpretation • psychodynamic therapy • resistance • shaping • therapeutic alliance Psychotherapy involves an interpersonal relationship in which clients present themselves to a psychotherapist in order to gain some relief from distress in their lives. It should be noted that although people who seek psychological help are referred to as “clients” by a wide range of psychotherapists, this term is used interchangeably with the term “patients,” which is traditionally used more often by psychodynamically and medically trained practitioners. In all forms of psychotherapy, patients must tell the psychotherapist about their distress and reveal intimate information in order for the psychotherapist to be helpful. The psychotherapist must aid patients in the difficult task of admitting difficulties and revealing themselves, because a patient’s desire to be liked and to be seen as competent can stand in the way of this work. The patient also wants to find relief from distress at the least possible cost in terms of the effort and personal changes to be made, and, therefore, patients often prevent themselves from making the very changes in which they are interested. This is termed resistance, and much of the work of the psychotherapist involves dealing with such resistance. The goals of the patient are determined by the type of life problems that are being experienced. Traditionally, psychotherapists make a diagnosis of the psychiatric disorder from which the patient suffers, with certain symptoms to be removed in order for the patient to gain relief. The vast majority of patients suffer from some form of anxiety or depression, or from certain failures in personality development which produce deviant behaviors and rigid patterns of relating to others called personality disorders. Relatively 698
Psychotherapy: Goals and Techniques few patients suffer from severe disorders, called psychoses, which are characterized by some degree of loss of contact with reality. Depending on the particular symptoms involved in the patient’s disorder, psychotherapeutic goals will be set, although the patient may not be aware of the necessity of these changes at first. In addition, the diagnosis allows the psychotherapist to anticipate the kinds of goals that would be difficult for the patient to attain. Psychotherapists also consider the length of time they will likely work with the patient. Therefore, psychotherapeutic goals depend on the patient’s wishes, the type of psychiatric disorder from which the patient suffers, and the limitations of time under which the psychotherapy proceeds. Another factor that plays a major role in determining psychotherapeutic goals is the psychotherapist’s theoretical model for treatment. This model is based on a personality theory that explains people’s motivations, how people develop psychologically, and how people differ from one another. It suggests what occurred in life to create the person’s problems and what must be achieved to correct these problems. Associated with each theory is a group of techniques that can be applied to accomplish the goals considered to be crucial within the theory used. There are three main models of personality and treatment: psychodynamic therapies, behavioral therapies, and humanistic therapies. Psychodynamic therapists seek to make patients aware of motives, of which they were previously unconscious or unaware, for their actions. By becoming aware of their motives, patients can better control the balance between desires for pleasure and the need to obey one’s conscience. Behavioral therapists attempt to increase the frequency of certain behaviors and decrease the frequency of others by reducing anxiety associated with certain behavior, teaching new behavior, and rewarding and punishing certain behaviors. Humanistic therapists try to free patients to use their innate abilities by developing relationships with patients in which patients can be assured of acceptance, making the patients more accepting of themselves and more confident in making decisions and expressing themselves. Most psychotherapists use a combination of theories, and therefore of goals and techniques, in their practice. These “eclectic” therapists base their decisions about goals and techniques upon the combined theory they have evolved or upon a choice among other theories given what applies best to a patient or diagnosis. It also appears that this eclectic approach has become popular because virtually all psychotherapy cases demand attention to certain common goals associated with the various stages of treatment, and different types of therapy are well suited to certain goals and related techniques at particular stages. Therapeutic Relationships When patients first come to a psychotherapist, they have in mind some things about their lives that need to be changed. The psychotherapist recognizes that before this can be accomplished, a trusting relationship must be 699
Psychology Basics established with patients. This has been termed the “therapeutic alliance” or a “collaborative relationship.” Establishing this relationship becomes the first goal of therapy. Patients must learn that the therapist understands them and can be trusted with the secrets of their lives. They must also learn about the limits of the therapeutic relationship: that the psychotherapist is to be paid for the service, that the relationship will focus on the patients’ concerns and life experiences rather than the psychotherapist’s, that the psychotherapist is available to patients during the scheduled sessions and emergencies only, and that this relationship will end when the psychotherapeutic goals are met. The therapist looks early for certain recurring patterns in what the patient thinks, feels, and does. These patterns may occur in the therapy sessions, and the patient reports about the way these patterns have occurred in the past and how they continue. These patterns become the focal theme for the therapy and are seen as a basic reason for the patient’s troubles. For example, a patient may complain that he has never had the confidence to think for himself. He reports that his parents always told him what to do, without explanation. In his marriage, he finds himself unable to feel comfortable with making any decisions, and he always looks to his spouse for the final say. This pattern of dependence may not be as clear to the patient as to the psychotherapist, who looks specifically for similarities across past and present relationships. Furthermore, the patient will probably approach the psychotherapist in a similar fashion. For example, the patient might ask for the psychotherapist’s advice, stating that he does not know what to do. When the psychotherapist points out the pattern in the patient’s behavior, or suggests that it may have developed from the way his parents interacted with him, the psychotherapist is using the technique of interpretation. This technique originated in the psychodynamic models of psychotherapy. When patients are confronted with having such patterns or focal themes, they may protest that they are not doing this, that they find it difficult to do anything different, or that they cannot imagine that there may be a different way of living. These tendencies to protest and to find change to be difficult are called “resistance.” Much of the work of psychotherapy involves overcoming this resistance and achieving the understanding of self called insight. One of the techniques the psychotherapist uses to deal with resistance is the continued development of the therapeutic relationship in order to demonstrate that the psychotherapist understands and accepts the patient’s point of view and that these interpretations of patterns of living are done in the interest of the achievement of therapeutic goals by the patient. Humanistic psychotherapists have emphasized this aspect of psychotherapeutic technique. The psychotherapist also responds differently to the patient from the way others have in the past, so that when the patient demonstrates the focal theme in the psychotherapy session, this different outcome to the pattern encourages a new approach to the difficulty. This is called the cor700
Psychotherapy: Goals and Techniques rective emotional experience, a psychotherapeutic technique that originated in psychodynamic psychotherapy and is emphasized in humanistic therapies as well. For example, when the patient asks the psychotherapist for advice, the psychotherapist might respond that they could work together on a solution, building on valuable information and ideas that both may have. In this way, the psychotherapist has avoided keeping the patient dependent in the relationship with the psychotherapist, as the patient has been in relationships with parents, a spouse, or others. This is experienced by the patient emotionally, in that it may produce an increase in self-confidence or trust rather than resentment, because the psychotherapist did not dominate. With the repetition of these responses by the psychotherapist, the patient’s ways of relating are corrected. Such a repetition is often called working through, another term originating in psychodynamic models of therapy. Psychotherapists have recognized that many patients have difficulty with changing their patterns of living because of anxiety or lack of skill and experience in behaving differently. Behavioral therapy techniques are especially useful in such cases. In cases of anxiety, the patient can be taught to relax through relaxation training exercises. The patient gradually imagines performing new, difficult behaviors while relaxing. Eventually, the patient learns to stay relaxed while performing these behaviors with the psychotherapist and other people. This process is called desensitization, and it was originally developed to treat persons with extreme fears of particular objects or situations, termed phobias. New behavior is sometimes taught through modeling techniques in which examples of the behavior are first demonstrated by others. Behavioral psychotherapists have also shown the importance of rewarding small approximations to the new behavior that is the goal. This shaping technique might be used with the dependent patient by praising confident, assertive, or independent behavior reported by the patient or shown in the psychotherapy session, no matter how minor it may be initially. Alleviating Distress The goals and techniques of psychotherapy were first discussed by the psychodynamic theorists who originated the modern practice of psychotherapy. Sigmund Freud and Josef Breuer are generally credited with describing the first modern case treated with psychotherapy, and Freud went on to develop the basis for psychodynamic psychotherapy in his writings between 1895 and his death in 1939. Freud sat behind his patients while they lay upon a couch, so that they could concentrate on saying anything that came to mind in order to reveal themselves to the psychotherapist. This also prevented the patients from seeing the psychotherapist’s reaction, in case they expected the psychotherapist to react to them as their parents had reacted. This transference relationship provided Freud with information about the patient’s relationship with parents, which Freud considered to be 701
Psychology Basics the root of the problems that his patients had. Later psychodynamic psychotherapists sat facing their patients and conversing with them in a more conventional fashion, but they still attended to the transference. Carl Rogers is usually described as the first humanistic psychotherapist, and he published descriptions of his techniques in 1942 and 1951. Rogers concentrated on establishing a warm, accepting, honest relationship with his patients. He established this relationship by attempting to understand the patient from the patient’s point of view. By communicating this “accurate empathy,” patients would feel accepted and therefore would accept themselves and be more confident in living according to their wishes without fear. Behavioral psychotherapists began to play a major role in this field after Joseph Wolpe developed systematic desensitization in the 1950’s. In the 1960’s and 1970’s, Albert Bandura applied his findings on how children learn to be aggressive through observation to the development of modeling techniques for reducing fears and teaching new behaviors. Bandura focused on how people attend to, remember, and decide to perform behavior they observe in others. These thought processes, or “cognitions,” came to be addressed in cognitive psychotherapy by Aaron T. Beck and others in the 1970’s and 1980’s. Cognitive behavioral therapy became a popular hybrid that included emphasis on how thinking and behavior influence each other. In surveys of practicing psychotherapists beginning in the late 1970’s, Sol Garfield showed that the majority of therapists practice some hybrid therapy or eclectic approach. As it became apparent that no one model produced the desired effects in a variety of patients, psychotherapists used techniques from various approaches. An example is Arnold Lazarus’s multimodal behavior therapy, introduced in 1971. It appears that such trends will continue and that, in addition to combining existing psychotherapeutic techniques, new eclectic models will produce additional ways of understanding psychotherapy as well as different techniques for practice. Sources for Further Study Garfield, Sol L. Psychotherapy: An Eclectic Approach. New York: John Wiley & Sons, 1980. Focuses on the patient, the therapist, and their interaction within an eclectic framework. Written for the beginning student of psychotherapy and relatively free of jargon. Goldfried, Marvin R., and Gerald C. Davison. Clinical Behavior Therapy. New York: Holt, Rinehart and Winston, 1976. An elementary, concise description of basic behavioral techniques. Includes clear examples of how these techniques are implemented. Goldman, George D., and Donald S. Milman, eds. Psychoanalytic Psychotherapy. Reading, Mass.: Addison-Wesley, 1978. A very clear, concise treatment of complicated psychodynamic techniques. Explains difficult concepts in language accessible to the layperson. Phares, E. Jerry. Clinical Psychology: Concepts, Methods, and Profession. 3d ed. 702
Psychotherapy: Goals and Techniques Pacific Grove, Calif.: Brooks/Cole, 1988. An overview of clinical psychology that includes excellent chapters summarizing psychodynamic, behavioral, humanistic, and other models of psychotherapy. Written as a college-level text. Rogers, Carl Ransom. Client-Centered Therapy. Boston: Houghton Mifflin, 1965. A classic description of the author’s humanistic psychotherapy that is still useful as a strong statement of the value of the therapeutic relationship. Written for a professional audience, though quite readable. Teyber, Edward. Interpersonal Process in Psychotherapy: A Guide to Clinical Training. 3d ed. Pacific Grove, Calif.: Brooks/Cole, 1997. An extremely clear and readable guide to modern eclectic therapy. Full of practical examples and written as a training manual for beginning psychotherapy students. Wolpe, Joseph. The Practice of Behavior Therapy. 4th ed. Elmsford, N.Y.: Pergamon, 1990. Written by the originator of behavioral psychotherapy. Introduces basic principles, examples of behavioral interventions, and many references to research. Initial chapters are elementary, but later ones tend to be complicated. Richard G. Tedeschi See also: Cognitive Therapy; Drug Therapies; Psychoanalysis; Psychoanalytic Psychology.
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Race and Intelligence Type of psychology: Biological bases of behavior; intelligence and intelligence testing Fields of study: Biological influences on learning; general issues in intelligence; intelligence assessment The relationship between race and intelligence has long been the subject of heated debate among social scientists. At issue is whether intelligence is an inherited trait or is primarily attributable to environmental influences. Key concepts • intelligence quotient (IQ) tests • nature versus nurture • twin studies In 1969, educational psychologist Arthur Jensen published an article in the Harvard Educational Review titled “How Much Can We Boost I.Q. and Scholastic Achievement?” He attempted to explain multiple findings that whites, on the average, outperform blacks by about 15 points on intelligence quotient (IQ) tests. His major conclusion was that racial differences in intelligence are primarily attributable to heredity and that whites, as a racial group, are born with abilities superior to those of blacks. Jensen, as well as William Shockley, presents the hereditarian hypothesis of intelligence. It argues that some people are born smarter than others and that this fact cannot be changed with training, education, or any alteration in the environment. Because they believe that African Americans as a group are not as smart as Caucasians, they suggest that special programs, such as Head Start, which are designed to help disadvantaged children improve in school achievement, are doomed to fail. In contrast to the hereditarians, Urie Bronfenbrenner and Ashley Montagu can be described as environmentalists. They believe that although intelligence has some genetic component, as do all human characteristics, the expression of intelligent behavior is defined, determined, and developed within a specific cultural context. Therefore, what people choose to call intelligence is primarily caused by the interaction of genetics with environmental influences. Environmentalists believe that a person can improve in his or her intellectual functioning with sufficient changes in environment. Richard Herrnstein and Charles Murray’s The Bell Curve (1994) reopened the issue of heredity versus environment in the attainment of intelligence. The authors argue that Caucasians are inherently superior to African Americans in IQ levels, presenting a mass of statistical evidence to support their position. Critics of The Bell Curve attack it on a number of fronts. There is a failure to separate hereditary from genetic variables. The definition of race proves a difficult one. The IQ tests themselves come into the same culture bias category. The statistical tests hide more than they reveal. There is 704
Race and Intelligence difficulty replicating Hernnstein and Murray’s results. The defects mount up rather quickly. Much of the hereditarian argument is based on two types of studies: those comparing IQ test performances of twins and those of adopted children. Because identical twins have the same genetic endowment, it is thought that any differences observed between them should be attributable to the effects of the environment. Hereditarians also suggest that one should observe more similarities in the IQs of parents and their biological children (because they share genes) than between parents and adopted children (who are biologically unrelated and therefore share no genes). Statistical formulas are applied to comparisons between family members’ IQs to determine the relative contributions of heredity and environment. Using this method, Sir Cyril Burt in 1958 reported a heritability estimate of .93. This means that 93 percent of the variability in intelligence could be explained genetically. People have also interpreted this to mean that 93 percent of the intelligence level is inherited. Jensen has more recently reported heritability estimates of .80 and .67, depending on what formula is used. Hereditarians have also pointed out that when they compare African Americans and Caucasians from similar environments (the same educational level, income level, or occupation), the reported IQ differences remain. This, they argue, supports their view that heredity is more important than environment in determining intelligence. The same arguments have been made for the work of Hernnstein and Murray. For environmentalists, it is not so much the reported IQ differences between different racial groups that are in question. Of more concern are the basic assumptions made by the hereditarians and the reasons they give for the reported differences. Not surprisingly, environmentalists challenge the hereditarian arguments on several levels. First, they point out that there is no evidence of the existence of an “intelligence” gene or set of genes. They say that scientists have been unsuccessful in distinguishing the genetic from the environmental contributions to intelligence. Environmentalists also refute the assumption that IQ tests adequately measure intelligence. Although IQ has been noted to be a good predictor of success in school, it turns out to have little relationship to economic success in life. S. E. Luria reports an analysis that shows that the son of a Caucasian businessman with an IQ of 90 has a greater chance of success than an African American boy with an IQ of 120. This example calls into question what actually is being assessed. It is not at all clear that “intelligence” is being measured—especially as there is no generally accepted definition of intelligence among social scientists. The definition of race is also problematic. Although most people may identify several racial groups (such as African, or black; Caucasian, or white; and so on), Montagu and many other social scientists agree that race is a pseudoscientific concept, used as a social or political category to assign social status and to subordinate nonwhite populations. Because of intermin705
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Intelligence, as measured by tests, involves both genetics and environmental factors such as good schools. (CLEO Photography)
gling among different cultural groups, it is also difficult to identify strict biological boundaries for race, which in turn makes genetic interpretations of racial comparisons of IQ differences much less meaningful. In addition to questioning what IQ tests measure, many psychologists have criticized IQ tests as being biased against individuals who are culturally different from the mainstream group (Caucasians) and who have not assimilated the white, middle-class norms upon which the tests were based. Tests developed in one culture may not adequately measure the abilities and aptitude of people from another culture, especially if the two cultures emphasize different skills, ways of solving problems, and ways of understanding the world. Environmentalists have also criticized the research and statistical techniques used by the hereditarians. It is now widely acknowledged that the data reported by Burt, upon which Jensen heavily relied, were false. In many different studies, he came up with the same figures (to the third decimal point) for the similarities between IQ scores for twins. This is statistically impossible. He also did not take into account how other variables, such as age and gender, might have produced higher IQ values in the twins he studied. Rather, he assumed that they shared genes for intelligence. 706
Race and Intelligence It is also charged that the concept of heritability is misunderstood by the hereditarians. This is a statistic that applies to groups, not to individuals. If one states that the heritability estimate of a group of IQ scores is .80, that does not mean that 80 percent of each IQ score is attributable to genetics, but that 80 percent of the difference in the group of scores can be attributed to genetic variation. Therefore, according to the enviromentalists, it is incorrect for hereditarians to establish heritability within one group (such as Caucasian children) and then apply that figure to a different racial group (such as African American children). Consequences of Various Positions Several examples may help clarify the relationships between heredity, environment, and characteristics such as IQ. The first example involves a highly heritable characteristic, height. In this example, a farmer has two fields, one rich in nutrients (field A) and the other barren (field B). The farmer takes seeds from a bag that has considerable genetic variety, plants them in the two fields, and cares for the two fields of crops equally well. After several weeks, the plants are measured. The farmer finds that within field A, some plants are taller than others in the same field. Because all these plants had the same growing environment, the variation could be attributed to the genetic differences in the seeds planted. The same would be the case with the plants in field B. The farmer also finds differences between the two fields. The plants in field A are taller than the plants in field B, because of the richer soil in which they grew. The difference in the average heights of the plants is attributable to the quality of the growing environment, even though the genetic variation (heritability) within field A may be the same as that within field B. This same principle applies to IQ scores of different human groups. Taking the example further, the farmer might call a chemist to test the soil. If the chemist was able to determine all the essential missing nutrients, the farmer could add them to the soil in field B for the next season. The second batch of plants would grow larger, with the average height being similar to the average height of plants in field A. Similarly, if one is comparing African Americans and Caucasians—or any racial groups—on a characteristic such as IQ test scores, it is important to understand that unless the groups have equivalent growing environments (social, political, economic, educational, and so on), differences between them cannot be easily traced to heredity. As another example, one might take a set of identical twins who were born in Chicago, separate them at birth, and place one of the twins in the !Kung desert community in Africa. The life experiences of the twin in Africa would differ significantly from those of his Chicago counterpart because of the differences in diet, climate, and other relevant factors required for existence and survival in the two environments. The twin in Africa would have a different language and number system; drawing and writing would not 707
Psychology Basics likely be an important part of daily life. Therefore, if one were to use existing IQ tests, one would have to translate them from English to the !Kung language so that they could be understood. The translation might not truly capture the meaning of all the questions and tasks, which might interfere with the !Kung twin’s understanding of what was being asked of him. More problems would arise when the !Kung twin is asked to interpret drawings or to copy figures, because he would not be very familiar with these activities. It is likely that the !Kung twin would perform poorly on the translated IQ test, because it does not reflect what is emphasized and valued in his society. Rather, it is based on the schooling in society in which the Chicago twin lives. This does not mean that the !Kung twin is less intelligent than his Chicago twin. Similarly, the Chicago twin would do poorly on a test developed from the experience of !Kung culture, because the !Kung test would emphasize skills such as building shelter, finding water, and other activities that are not important for survival in Chicago. In this case, the !Kung test would not adequately measure the ability of the Chicago twin. Studies done by psychologist Sandra Scarr show that evidence for a genetic basis for racial differences in IQ is far from clear. She looked at the IQ scores of African American children who were born into working-class families but were adopted and raised by white middle-class families. The IQ scores of these children were close to the national average and were almost 10 to 20 points higher than would have been expected had they remained in their birth homes. Change in children’s environments seems to be a critical factor in enhancing their ability to perform on the IQ tests, as seen in the research done by Scarr. Bronfenbrenner found similar results. He examined a dozen studies that looked at early intervention in children’s lives; he found that whenever it was possible to change the environment positively, children’s scores on IQ tests increased. Historical Development of Racial Context The notion of inherited differences is an ancient one; however, the concept of racial classifications is more recent. According to psychologist Wade Nobles, the Western idea of race emerged during the sixteenth century as Europeans began to colonize other parts of the world. As they came into contact with people who looked different from them, many Europeans developed the notion that some races were superior to others. This belief often was given as a justification for slavery and other oppressive activities. Charles Darwin’s theory of evolution was critical in promoting the belief that human differences were a result of heredity and genetics. His notion of “the survival of the fittest” led psychologists to research racial differences in intelligence in order to understand the successes and failures of different human groups. Francis Galton, Darwin’s cousin, was instrumental in furthering the hereditarian perspective in psychology. In his book Hereditary Genius: An Inquiry into Its Laws and Consequences (1869), he attempted to il708
Race and Intelligence lustrate that genius and prominence follow family lines. He also began the eugenics movement, which supported the use of selective mating and forced sterilization to improve racial stock. The Bell Curve is simply a more recent argument along the same lines. Nothing really new is added to the argument. There is a bit more sociobiological jargon and a mass of statistics, but they do not hold up to careful scrutiny. Following Galton’s lead, many psychologists embraced the notions of inherited racial differences in intelligence. The pioneering work of anthropologist Franz Boas, in attacking the popular conception of race, fostered research to attack the myths attached to that concept, including the myth of inherent superiority or inferiority. G. Stanley Hall, the founder of the American Psychological Association, believed that African people were at a lower evolutionary stage than Caucasians. By the beginning of the 1900’s, psychological testing was being widely used to support the view that intelligence was hereditary and was little influenced by the environment. More recently, Burt, Herrnstein, and Jensen have argued in favor of an overriding genetic factor in intelligence. There were also early efforts to challenge the hereditarian perspective in psychology. During the 1920’s and 1930’s, Herman Canady and Howard Long, two of the first African Americans to receive graduate degrees in psychology, produced evidence showing the importance of environmental influences on IQ test performance. They were concerned about increasingly prevalent “scientific” justifications for the inequality and injustice experienced by African Americans, American Indians, and other groups. Fighting racism was a major reason Leon Kamin became involved in the debate about race and intelligence. He gathered the original information that had been reported by scientists and reexamined it; Kamin was responsible for discovering that Burt had reported false information. He also noted that many hereditarians misused and misinterpreted their statistics. Hereditarians maintain that racial differences in IQ test scores are primarily caused by genetics and that these scores do reflect differences in intelligence; environmentalists say no. It has not been proved definitively that IQ tests measure intelligence; however, the evidence does suggest that performance on IQ tests is determined by the interaction between genetic and environmental influences. The quality of the environment will determine how well people will reach their potential. In a society where the history of certain groups includes oppression, discrimination, and exclusion from opportunity, it is difficult to explain differences in achievement as being primarily inherited. Instead, it would seem to be a more important goal to eliminate injustices and to change the conditions of life so that all people could do well. Sources for Further Study Devlin, Bernie, et al., eds. Intelligence, Genes, and Success: Scientists Respond to “The Bell Curve.” New York: Springer, 1997. A number of psychologists 709
Psychology Basics and social scientists respond to the claims of Richard Hernnstein and Charles Murray. Fancher, Raymond E. The Intelligence Men: Makers of the IQ Controversy. New York: W. W. Norton, 1985. Examines the historical contexts of the IQ controversy. The life experiences of the major hereditarians and environmentalists and how these experiences influenced their perspectives are emphasized. This book is easy to read and does an excellent job of making complex statistics understandable. Goldsby, Richard. Race and Races. 2d ed. New York: Macmillan, 1977. Provides straightforward and accurate information about issues of race, racial differences, and racism. There is a balanced discussion of both the hereditarian and environmentalist perspectives of the IQ controversy. Enjoyable and easy to read for high school and college students alike. Gould, Stephen Jay. The Mismeasure of Man. Revised and expanded ed. New York: Norton, 1997. Gould replies to the work of Richard Hernnstein and Charles Murray, questioning both their motives and their methods. Guthrie, Robert V. Even the Rat Was White. 2d ed. Boston: Allyn and Bacon, 2004. Provides an excellent historical view of how psychology has dealt with race as an issue. The first section of the book focuses on methods of study, early psychological testing, and the development of racism in the profession of psychology. Hernnstein, Richard, and Charles Murray. The Bell Curve. New York: Free Press, 1994. This book argues that differences in black and white IQ scores are genetically based. Jensen, Arthur R. Bias in Mental Testing. New York: Free Press, 1980. An attempt to deal comprehensively with the issues of IQ testing and bias. Jensen challenges the criticisms against IQ tests and offers research to support his view that group differences in IQ test scores are not attributable to bias. Kamin, Leon J. The Science and Politics of IQ. New York: Halstead Press, 1974. Discusses the political nature of the role psychologists have played in support of IQ testing. The role of psychologists in the eugenics movement and in education is discussed. Includes strong critiques of the work done by Cyril Burt and Arthur Jensen. Montagu, Ashley, ed. Race and IQ. New York: Oxford University Press, 1975. Written to challenge the interpretations offered by the hereditarians. Most of the articles included were previously published in professional journals or popular magazines. Some of the chapters contain very technical material; however, the authors generally do an effective job translating this into more understandable language. Derise E. Tolliver; updated by Frank A. Salamone See also: Intelligence; Intelligence Tests.
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Radical Behaviorism B. F. Skinner Type of psychology: Personality Fields of study: Behavioral and cognitive models; instrumental conditioning Radical behaviorism describes the views of Skinner, an influential figure in American psychology since the 1930’s. Skinner argued that most behavior is controlled by its consequences; he invented an apparatus for observing the effects of consequences, advocated a technology of behavior control, and believed that everyday views about the causes of behavior were an obstacle to its true understanding. Key concepts • contingency of reinforcement • discriminative stimulus • experimental analysis of behavior • mentalism • operant • private events • rule-governed behavior • shaping According to B. F. Skinner (1904-1990), the behavior of an organism is a product of current and past environmental consequences and genetic endowment. Because little can be done, at least by psychology, about genetic endowment, Skinner focused on those things that could be changed or controlled: the immediate consequences of behavior. By consequences, Skinner meant the results or effects that a particular behavior (a class of responses, or “operant”) produces. There are many ways to open a door, for example, but because each one allows a person to walk to the next room, one would speak of a “door-opening” operant. The consequences not only define the class of responses but also determine how often members of the class are likely to occur in the future. This was termed the Law of Effect by early twentieth century American psychologist Edward L. Thorndike, whose work Skinner refined. Skinner analyzed behavior by examining the antecedents and consequences which control any specific class of responses in the individual organism. From this view, he elaborated a psychology that encompassed all aspects of animal and human behavior, including language. By the late 1970’s, historians of psychology ranked Skinner’s work as the second most significant development in psychology since World War II; the general growth of the field was ranked first. Three journals arose to publish work in the Skinnerian tradition: Journal of the Experimental Analysis of Behavior, Journal of Applied Behavior Analysis, and Behaviorism. Moreover, an international orga711
Psychology Basics nization, the Association for Behavior Analysis, was formed, with its own journal. Controlling Variables Skinner theorized that behavior has several kinds of consequences, or effects. Events that follow behavior and produce an increase in the rate or frequency of the behavior are termed reinforcers. In ordinary language, they might be called rewards, but Skinner avoided this expression because he defined reinforcing events in terms of the effects they produced (their rate of occurrence) rather than the alleged feelings they induced (for example, pleasure). To attribute the increase in rate of response produced by reinforcement to feelings of pleasure would be regarded by Skinner as an instance of mentalism—the attribution of behavior to a feeling rather than an event occurring in the environment. Other consequences which follow a behavior produce a decrease in the rate of behavior. These are termed punishers. Skinner strongly objected to the use of punishment as a means to control behavior because it elicited aggression and produced dysfunctional emotional responses such as striking back and, in a small child, crying. Consequences (reinforcers and punishers) may be presented following a behavior (twenty dollars for building a doghouse, for example, or an electric
B. F. Skinner. (Alfred A. Knopf) 712
Radical Behaviorism: B. F. Skinner shock for touching an exposed wire) or taken away (a fine for speeding, the end of a headache by taking aspirin). Consequences may be natural (tomatoes to eat after a season of careful planting and watering) or contrived (receiving a dollar for earning an A on a test). Reinforcing and punishing consequences are one example of controlling variables. Events that precede behaviors are also controlling variables and determine under what circumstances certain behaviors are likely to appear. Events occurring before a response occurs are called discriminative stimuli because they come to discriminate in favor of a particular piece of behavior. They set the occasion for the behavior and make it more likely to occur. For example, persons trying to control their eating are advised to keep away from the kitchen except at meal times. Being in the kitchen makes it more likely that the person will eat something, not simply because that is where the food is kept but also because being in the kitchen is one of the events which has preceded previous eating and therefore makes eating more likely to occur. This is true even when the person does not intend to eat but goes to the kitchen for other reasons. Being in the kitchen raises the probability of eating. It is a discriminative stimulus (any stimulus in the presence of which a response is reinforced) for eating, as are the table, the refrigerator, or a candy bar on the counter. Any event or stimulus which occurs immediately before a response is reinforced becomes reinforced with the response and makes the response more likely to occur again if the discriminative stimulus occurs again. The discriminative stimulus comes to gain some control over the behavior. Discriminative and Reinforcing Stimuli Discriminative stimuli and reinforcing stimuli are the controlling variables Skinner used to analyze behavior. These events constitute a chain of behavior called a contingency of reinforcement. It is a contingency because reinforcement does not occur unless the response is made in the presence of the discriminative stimuli. Contingencies of reinforcement are encountered every day. For example, a soda drink is purchased from a machine. The machine is brightly colored to act as a discriminative stimulus for dropping coins in a slot, which in turn yields a can or bottle of soft drink. The machine comes to control a small portion of a person’s behavior. If the machine malfunctions, a person may push the selector button several times repeatedly, perhaps even putting in more coins, and still later, strike the machine. By carefully scheduling how many times an organism must respond before reinforcement occurs, the rate of response can be controlled as is done in slot or video machines or gambling devices in general. Responses are made several hundred or thousand times for very little reinforcement—a near win or a small payoff. Schedules of reinforcement are another important set of controlling variables which Skinner explored. Contingencies are relationships among controlling variables. Some of the relationships become abstracted and formulized, that is, put in the form 713
Psychology Basics of rules. When behavior is under the control of a rule, it is termed rulegoverned behavior, as opposed to contingency-shaped behavior. As a person first learns any skill, much of his or her behavior is rule governed, either through written instructions or by the person’s repeating the rule to himself or herself. For example, a novice golfer might review the rules for a good swing, even repeating them aloud. Eventually, though, swing becomes automatic; it seems to become “natural.” The verbal discriminative stimuli have shifted to the very subtle and covert stimuli associated with swing without the golfer’s thinking about it, and the natural consequences of a successful swing take over. Operant Chamber Experiments The operant chamber is a small experimental space or cage that Skinner invented to observe the effects that consequences have on behavior. A fooddeprived organism (Skinner first used rats and later switched to pigeons) is placed in the chamber containing a lever that, when depressed, releases a small piece of food into a cup from which the organism eats. The first barpress response is produced through the process of shaping, or reinforcing approximations to bar pressing (for example, being near the bar, having a paw above the bar, resting a paw on the bar, nearly depressing the bar) until bar pressing is regularly occurring. Once the operant of bar pressing is established, an experimental analysis of the variables which influence it can be done. The schedule of reinforcement can be changed, for example, from one reinforcer for each response to five responses required for each reinforcer. Changes in the rate of response can be observed on a device Skinner invented, a cumulative record, which automatically displays the rate at which the operant is occurring. A discriminative stimulus can be introduced in the form of a small light mounted on the wall of the chamber. If bar presses are reinforced only when the light is turned on, the light will come to have some control over the operant. Turning the light on and off will literally turn bar pressing on and off in a food-deprived rat. Skinner controlled his own behavior in the same fashion that he had learned to control the behavior of laboratory organisms. He arranged a “writing environment,” a desk used only for that purpose; wrote at a set time each day; and would keep careful records of time spent writing. Other examples of self-management may be found in Skinner’s novel of his research, Walden Two (1948). In this fictionalized account, children learn self-control through a set of exercises that teach ways to tolerate increasing delays of reinforcement. Behavioral Analysis of Language Skinner also performed a behavior analysis of language (Verbal Behavior, 1957). For example, a behavioral analysis of the word “want,” “believe,” or “love,” an operational definition in Skinner’s sense, would be all those circumstances and situations which control the use of the word, that is, the 714
Radical Behaviorism: B. F. Skinner discriminative stimuli for the verbal response. Skinner tried to show in Verbal Behavior that speaking and writing could be explained with the same principle he had used to explain animal behavior. Many of Skinner’s works, and much of his private notebooks, are taken up with the recording of how words are used. His purpose was to de-mentalize them, to show that what controls their use is some aspect of the environment or some behavioral practice on the part of the verbal community, rather than some internal or mental event. The earliest uses of the word “to know,” for example, referred to action, something the individual could do, rather than something he or she possessed or had stored inside the mind. Understanding Skinner’s Contributions So much has been written about Skinner, some of it misleading or false, that it is important to clarify what he did not do. He did not raise either of his daughters in a “Skinner box.” His youngest daughter was raised during her infancy with the aid of an “aircrib,” a special enclosed crib Skinner built that allowed control of air temperature and humidity, and in which the infant could sleep and play without the burden of clothes. “Aircribs” were later available commercially. Skinner did not limit his analysis of behavior only to publicly observable events, as did the methodological behaviorists. Part of what made Skinner’s behaviorism radical was his insistence that a science of behavior should be able to account for those private events—events to which only the individual has access, such as the pain of a toothache—to which only the individual has access. He described how the community teaches its members to describe covert events such as toothaches and headaches. He did not regard such events as anything other than behavior. That is, he did not give them a special status by calling them “mental events.” Skinner did not argue that reinforcement explains everything. He allowed, especially in his later works, that genetic endowment plays a role in the determination of behavior, as do rules and antecedent events. He did not reject physiological explanations of behavior when actual physiology was involved. He did object to the use of physiological terms in psychological accounts, unless the physiological mechanisms were known. For Skinner, physiology was one subject matter and behavior was another. Finally, he did not ignore complex behavior. Many of his works, particularly Verbal Behavior and The Technology of Teaching (1968), offered behaviorist analyses of what in other psychologies would be termed cognitive phenomena, such as talking, reading, thinking, problem solving, and remembering. Skinner made many contributions to twentieth century psychology. Among them was his invention of the operant chamber and its associated methodology. Operant equipment and procedures are employed by animal and human experimental psychologists in laboratories around the world. Most of these psychologists do not adhere to Skinner’s radical behaviorism or to all the features of his science of behavior. They have, however, found the techniques that he developed to be productive in exploring a wide variety of 715
Psychology Basics problems, ranging from the fields of psychopharmacology to learning in children and adults to experimental economics. Skinner and his followers developed a technology of behavior that included techniques for working with the developmentally disabled, children in elementary classrooms, and persons with rehabilitation or health care problems. They also considered approaches to public safety, employee motivation and production, and any other field which involved the management of behavior. Although the technology developments never reached the vision described in Walden Two, the efforts are ongoing. Skinner may have exhausted the Law of Effect. The idea which states that consequences influence behavior can be found in many forms in the literature of psychology and philosophy, especially since the middle of the nineteenth century, but it is only in the work of B. F. Skinner that one sees how much of human and animal behavior can be brought within its purview. Because Skinner took behavior as his subject matter, he greatly expanded what could be regarded as being of interest to psychologists. Behavior was everywhere, in the classroom, at the office, in the factory. Nearly any aspect of human activity could become the legitimate object of study by a Skinnerian psychologist, a point well illustrated in Skinner’s description of a utopian community which takes an experimental attitude toward its cultural practices and designs a culture based on a science of behavior (Walden Two). Finally, Skinner conceptualized an epistemology, a way of understanding what it means for humans to know something, that may be a lasting contribution to twentieth century philosophy. Relationship with Darwinism and Pragmatism In placing the radical behaviorism of B. F. Skinner in historical context, two nineteenth century doctrines are often invoked. One view, shared by Skinner, is that operant psychology represents an extension of the principle of natural selection which Charles Darwin described at the level of the species. Natural selection explained the origin of species; contingencies of reinforcement and punishment explain the origin of classes of responses. The environment selects in both cases. In operant psychology, the role of the environment is to reinforce differentially and thereby select from among a pool of responses which the organism is making. The final effect is some one particular operant which has survival or adaptive value for the individual organism. Skinner has suggested that cultural evolution occurs in a similar fashion. It is also observed that Skinner’s psychology resembles nineteenth century pragmatism. The pragmatists held that beliefs are formed by their outcome, or practical effect. To explain why someone does something by reference to a belief would be regarded as mentalism by Skinner; he would substitute behavior for beliefs. Yet he comes to the same doctrine: one in which environmental consequences act in a Darwinian fashion. Finally, Skinner’s philosophy shows the influence of the nineteenth century positiv716
Radical Behaviorism: B. F. Skinner ism of physicist Ernst Mach. Skinner desired a description of behavior and its causes, while avoiding mental states or other cognitive or personality entities that intervene between behavior and the environment. Sources for Further Study Kazdin, Alan E. Behavior Modification in Applied Settings. 6th ed. Belmont, Calif.: Wadsworth/Thomson Learning, 2001. An introduction to behavior modification that can be understood by the high school or college student. Operant techniques are clearly described, with the emphasis on how they are applied in a wide range of settings. Excellent discussion of recent developments in the field. Modgil, Sohan, and Celia Modgil, eds. B. F. Skinner: Consensus and Controversy. New York: Falmer Press, 1987. A collection of essays by psychologists and philosophers. Each topic has a pro and contrary opinion, with replies and rebuttals. Although written at a professional level, this is an excellent volume for a global view of Skinner’s ideas and for the clearest understanding of what is “radical” about Skinner’s behaviorism. O’Donoghue, William, and Kyle Ferguson. The Psychology of B. F. Skinner. Thousand Oaks, Calif.: Sage Publications, 2001. An attempt to clarify Skinner’s psychology through discussion of his life, contributions to psychology, and philosophy of science. Skinner, B. F. About Behaviorism. New York: Vintage Books, 1976. In this work Skinner argues for his radical behaviorism by contrasting it with methodological behaviorism and by illustrating how it treats topics such as perception, memory, verbal behavior, private events, and thinking. __________. Particulars of My Life. New York: New York University Press, 1984. __________. The Shaping of a Behaviorist. New York: New York University Press, 1984. __________. A Matter of Consequences. New York: Alfred A. Knopf, 1983. Skinner published his autobiography in three separate volumes, listed as the three previous titles. The first describes his life from birth, through his college years, to his entering Harvard University for graduate study in psychology. The Shaping of a Behaviorist presents his years at Harvard and his rise to national prominence. A Matter of Consequences begins with his return to Harvard as a professor in the late 1940’s. __________. Science and Human Behavior. Reprint. New York: Classics of Psychiatry & behavioral Sciences Library, 1992. A fine introduction to Skinner’s thought. The principles of operant psychology are described, with numerous examples of the applicability to an individual’s life and the major institutions of society. The chapter on private events illustrates one important way in which Skinner’s radical behaviorism differs from methodological behaviorism. __________. Walden Two. Reprint. New York: Macmillan, 1990. A description of a fictional community based upon experimental practices and behav717
Psychology Basics ioral principles. The book was the source of inspiration for several communes and illustrates how all aspects of culture can be submitted to a behavioral analysis. Contains a lengthy criticism of democracy as a form of government. Vargas, Julie S. “B. F. Skinner, Father, Grandfather, Behavior Modifier.” In About Human Nature: Journeys in Psychological Thought, edited by Terry J. Knapp and Charles T. Rasmussen. Dubuque, Iowa: Kendall/Hunt, 1987. An intimate description of Skinner by his eldest daughter, who is herself a psychologist. Skinner’s home, study, and the activities occurring over a Thanksgiving weekend are described. Terry J. Knapp See also: Behaviorism; Cognitive Behavior Therapy; Conditioning; Learning.
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Reflexes Type of psychology: Biological bases of behavior Field of study: Nervous system A reflex is one of the most basic types of behavior that can be elicited; over the years, psychologists and physiologists have studied the behavioral and biological processes associated with reflex production in the hope of understanding principles and processes involved in generating both simple behaviors and a variety of more complex behaviors such as learning, memory, and voluntary movement. Key concepts • classical (Pavlovian) conditioning • infantile reflexes • monosynaptic reflex • polysynaptic reflex • spinal reflex The reflex is undoubtedly the simplest form of behavior that has been studied widely by psychologists and neuroscientists. Reflexes involve two separate yet highly related events: the occurrence of an eliciting stimulus and the production of a specific response. Most organisms are capable of displaying a variety of complex behaviors; however, because these behaviors are complex, it has been very difficult, if not impossible, to understand biological or psychological processes involved in generating or modifying the variety of behaviors that most organisms can display. In attempts to study these complex behaviors, a number of researchers have adopted a strategy of studying simpler behaviors, such as reflexes, that are thought to make up, contribute to, or serve as a model of the more complex behavior. Spinal Reflex A number of reflexes can be generated in the mammalian spinal cord even after it has been surgically isolated from the brain. The stretch reflex is an example of a spinal reflex. When a muscle is stretched, such as when a tendon is tapped or when an attempt is made to reach for an object, sensory “detectors” or receptors within the muscle are activated to signal the muscle stretch. These receptors are at the end of very long nerve fibers that travel from the muscle receptor to the spinal cord, where they activate spinal motor neurons. The motor neurons control the same muscle on which the stretch receptor that initiated the stretch signal is located. When activated, the spinal motor neurons signal the muscle, causing it to contract. In this manner, when a muscle stretch is detected, the stretch reflex ensures that a contraction is generated in the muscle to counteract and balance the stretch. This type of reflex is referred to as a “monosynaptic reflex” because it involves only one synapse: the synapse between the sensory receptor neuron and the motor neuron (where a synapse is the junction between two neurons). 719
Psychology Basics Another example of a spinal reflex is the flexion or withdrawal reflex. Anyone who has accidentally touched a hot stove has encountered this reflex. Touching a hot stove or applying any aversive stimulus to the skin activates pain receptors in the skin. These receptors are at the end of long sensory fibers that project to neurons in the spinal cord. The spinal neurons that receive input from the sensory fibers are not motor neurons, as in the stretch reflex, but rather very small neurons called spinal interneurons. The interneurons make synaptic contact on other interneurons as well as on motor neurons that innervate flexor muscles. When activated, the flexor muscles typically cause limb withdrawal. The flexor reflex ensures that a relatively rapid withdrawal of one’s hand from a hot stove will occur if the stove is accidentally touched. The flexor reflex is an example of a “polysynaptic reflex” because there are two or more synapses involved in the reflex (the presence of at least one synapse between a sensory neuron and an interneuron and a second synapse between the interneuron and a motor neuron). One functional difference between monosynaptic and polysynaptic reflexes is the amount of information processing that can take place in the two reflex systems. The monosynaptic reflex is somewhat limited, because information flow involves only the synapse between the sensory and motor neurons. This type of reflex is ideal for quick adjustments that must be made in muscle tension. Conversely, polysynaptic reflexes typically involve a number of levels of interneurons. Hence, convergence and divergence of information can occur as information flows from sensory to motor elements. In essence, the polysynaptic system, in addition to having afferent and efferent components, has a “processor” of sorts between the sensory and motor elements. In intact organisms, the integration that takes place within the processor allows information to be shared by other regions of the nervous system. For example, some of the interneurons send information upward to the brain. When a hot stove is touched, the brain is informed. This sensory experience is likely to be evaluated and stored by the brain, therefore making it less likely that the hot stove will be touched a second time. Musculature Reflexes Reflexes are not limited to the spinal cord. Responses involving the musculature of the face and neck can also be reflexive in nature. For example, a puff of air that strikes the cornea of the human eye elicits a brisk, shortlatency eyelid closure. Like the polysynaptic spinal reflexes, this eyeblink reflex appears to involve three elements: a sensory nerve, called the trigeminal nerve, that carries information from receptors in the cornea of the eye to the trigeminal nucleus (a cranial nerve nucleus); interneurons that connect the trigeminal nucleus with several other brain-stem neurons; and a motor nerve that originates from brain-stem motor neurons and contracts the muscles surrounding the eye to produce the eyeblink. This reflex is defensive in nature because it ensures that the eyeball is protected from further stimulation if a stimulus strikes the cornea. 720
Reflexes Use of Autonomic Nervous System Not all reflexes involve activation of skeletal muscles. For example, control of the urinary bladder involves a spinal reflex that activates smooth muscles. Also, temperature regulation is partially the product of a reflexive response to changes in external or internal environments. Many of these types of reflexes engage the autonomic nervous system, a division of the nervous system that is involved in regulating and maintaining the function of internal organs. Not all reflexes involve simple, local, short-latency responses. The maintenance of posture when standing upright is a generally automatic, reflexive system that one does not think about. This system includes neurons in the spinal cord and brain stem. The body’s equilibrium system (the vestibular or balance system) involves receptors in the middle ear, brain-stem structures, and spinal motor neurons, while locomotion requires the patterned activation of several reflex systems. Finally, a number of behavioral situations require a rapid response that integrates the motor system with one of the special senses (such as quickly applying the car brakes when a road hazard is seen). These are generally referred to as reaction-time situations and require considerable nervous system processing, including the involvement of the cerebral cortex, when engaged. Nevertheless, these responses are considered reflexive in nature because they involve an eliciting stimulus and a well-defined, consistent response. Role in Learning and Memory Reflexes have been widely studied by psychologists and biologists interested in learning and memory. Russian physiologists Ivan Sechenov and Ivan Pavlov have generally been credited with the first attempts to study systematically how reflexes could be used to examine relationships between behavior and physiology. Pavlov in particular had a huge influence on the study of behavior. Most students are familiar with the story of Pavlov and his successful demonstration of conditioned salivation in dogs produced by pairing a bell with meat powder. Over the years, the Pavlovian conditioning procedure (also known as classical conditioning) has often been used to study the behavioral principles and neural substrates of learning. The conditioning of a variety of reflexes has been observed, including skeletal muscle responses such as forelimb flexion, hindlimb flexion, and eyelid closure as well as autonomic responses such as respiration, heart rate, and sweat gland activity. One of the most widely studied classical conditioning procedures is classical eyelid conditioning. This reflex conditioning procedure has been studied in a variety of species, including rabbits, rats, cats, dogs, and humans. Mostly because of the research efforts of Isadore Gormezano and his colleagues, which began in the early 1960’s, much is known about behavioral aspects of classical eyelid conditioning in rabbits. In this paradigm, a mild electric shock or air puff is presented to elicit reliably a reflexive blink from the rabbit. The blink is typically measured by means of devices that are at721
Psychology Basics tached to the nictitating membrane, a third eyelid that is present in a variety of species, including the rabbit. During training sessions, a neutral stimulus such as a tone or light is delivered 0.3 to 1.0 second prior to the air puff. After about one hundred of these tone and air-puff pairings, the rabbit learns to blink when the tone or light is presented (the rabbit begins to interpret the tone as a signal of the impending air-puff presentation). This preparation has yielded a wealth of data concerning the parameters of behavioral training that produce the fastest or slowest learning rates (such as stimuli intensities, time between stimuli, and number of trials per day). Furthermore, this simple reflexive learning situation has been used to study how the brain codes simple forms of learning and memory. A number of researchers (most notably Richard F. Thompson) have studied the activity of a variety of brain structures during learning and performance of the classically conditioned eyelid response. These studies have shown that discrete brain regions such as the cerebellum and hippocampus alter their activity to generate or modify the conditioned response. In brief, these researchers have used the conditioning of a very simple reflex to advance the understanding of how the brain might code more complex learning and memory processes. Innate Reflexes The study of reflexes has not been limited to learning and memory. Developmental psychologists have studied a variety of innate reflexes that are generated by newborn infants. Sucking is a very prominent reflex that is readily observed in newborns. Also related to feeding is the rooting reflex, which can be elicited when the cheek of an infant is stroked softly. The skin stimu-
Newborns possess a grasping reflex that allows them to hold tightly to objects. (PhotoDisc) 722
Reflexes lation causes the infant to open his or her mouth and turn toward the point of stimulation. This reflex has obvious applications in helping the infant locate food. The infant’s ability to hold on to objects is, in part, attributable to the presence of the grasp reflex. When an object touches the palm of a newborn’s hand, the newborn’s fist will close immediately around the object, thus allowing the infant to hold the object for a short period of time. The infantile reflexes disappear within a few months after birth and are replaced by voluntary responses. Most developmental researchers believe that the infantile reflexes are temporary substitutes for the voluntary responses. Apparently, the voluntary responses are not present during the first few months of life because various parts of the infant’s nervous system, including the cerebral cortex, have not matured sufficiently to support the behavior. Therefore, the disappearance of the infantile reflexes serves as an important marker of neural and behavioral development. Contributions to Psychology The study of reflexes has played a prominent role in shaping the field of psychology. During the late nineteenth century and early twentieth century, Sir Charles Sherrington, a British physiologist, conducted an extensive series of studies concerned with spinal reflexes. He showed that a number of skin stimulations, such as pinching or brushing, produced simple responses even when a spinal transection separated the spinal cord from the rest of the nervous system. From these experiments, he argued that the basic unit of movement was the reflex, which he defined as a highly stereotyped, unlearned response to external stimuli. This work created a flurry of activity among physiologists and psychologists, who tried to trace reflexes throughout the nervous system and assemble them into more complex behaviors. Early in the twentieth century, many psychologists and physiologists, including Sherrington and Pavlov, adopted the reflex as the basic unit of behavior to study, in part because of the relative simplicity of the behavior and in part because of the ease with which the behavior could be reliably elicited by applying external stimuli. Based on his research, Sherrington believed that complex behaviors were produced by chaining together simple reflexes in some temporal order. This basic idea provided the framework for much of the physiological and behavioral work completed early in the twentieth century. Sechenov and Pavlov also believed that the concept of the reflex could explain more complex behaviors. Pavlov, for example, showed that not all reflexes were innate; rather, new reflexes could be established by associating a “neutral” stimulus (a stimulus that did not initially produce a reflex) with a stimulus that reliably elicited a reflex. As a result of this demonstration, Pavlov proposed an elaborate theory of reflex learning that involved forming associations between stimuli in the cerebral cortex. In the latter half of the twentieth century, many psychologists interested in studying overt behavior and physiologists interested in studying nervous system function adopted the study of reflexes as a means of simplifying be723
Psychology Basics havior or nervous system activity. Psychologists such as Gormezano, Robert Rescorla, and Allan Wagner, who have studied classical conditioning phenomena, hope to develop a comprehensive understanding of the learning process that occurs when simple paradigms such as classical conditioning are used. Behavioral neuroscientists and neurobiologists (such as Thompson and Eric Kandel) who study nervous system function have used reflexes as the basic unit of behavior in hope of catching a glimpse of nervous system function when a fairly simple behavioral response is being generated and modified by learning experiences. In both cases, a major reason for using the reflex as the unit of behavior is to simplify the experimental situation. Indeed, researchers are not likely to understand complex behavioral processes without first understanding how simpler behaviors and nervous system functions are generated, modified, and maintained. The study of reflexes, from both a behavioral and biological standpoint, has provided and should continue to provide a valuable approach for understanding human behavior as well as understanding how the nervous system generates activity to produce the behavior. Sources for Further Study Carlson, Neil R. Foundations of Physiological Psychology. 5th ed. Boston: Allyn & Bacon, 2002. An up-to-date textbook on the neuroscience of behavior. Domjan, Michael, and Barbara Burkhard. The Principles of Learning and Behavior. 5th ed. Belmont, Calif.: Thomson/Wadsworth, 2003. This text is widely used by students interested in learning and behavior. The sections on the history of the reflex and its use in the learning research field is particularly applicable to the present discussion. Fancher, Raymond E. Pioneers of Psychology. 3d ed. New York: W. W. Norton, 1996. This book provides biographies of several prominent psychologists who have had an impact on the field. Included is a chapter detailing the experiments and theories of Ivan Pavlov. Valuable for understanding how the study of the reflex fits into the history of psychology. Gleitman, Henry, Alan J. Fridlund, and Daniel Weisberg. Psychology. 6th ed. New York: W. W. Norton, 2004. This text provides broad coverage of the field of psychology. The chapters on development, learning, and memory should provide the reader with additional information concerning reflexes and other simple behaviors. Joseph E. Steinmetz See also: Brain Structure; Nervous System; Pavlovian Conditioning.
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S-R Theory Neal E. Miller and John Dollard Type of psychology: Personality Fields of study: Behavioral and cognitive models; models of abnormality; personality theory Miller and Dollard developed a personality theory that was based on Clark Hull’s stimulus-response learning theory. They used this theory and a number of psychoanalytic concepts to explain how neurosis developed. They also showed how psychotherapy could be conceptualized as a learning process by using an S-R model of higher mental processes. Key concepts • conflict • cue • cue-producing response • drive • habit • imitation • reinforcement • response • response hierarchy • secondary drive Much, if not most, human behavior is learned. How human beings learn is one of the central and most controversial topics in psychology. Neal E. Miller and John Dollard used principles of learning developed by Clark Hull, who studied how animals learn, and applied them to explain complex human behavior. According to Miller and Dollard, human behavior occurs in response to cues. A red traffic light, for example, is a cue to stop, whereas a green light is a cue to go. A cue is simply any stimulus that is recognized as different from other stimuli. A cue may bring about a variety of responses, but some responses are more likely to occur than others. The response to a cue most likely to occur is called the dominant response. Responses to a cue are arranged in a response hierarchy, from the dominant response to the response least likely to occur. A person’s response hierarchy can change. The hierarchy that a person has originally is called the initial hierarchy. If the initial hierarchy is inborn, it is known as the innate hierarchy. When a hierarchy changes, the result is known as the response hierarchy. Response Hierarchy and Learning Change in a response hierarchy occurs as a result of learning. There are four fundamental considerations in the explanation of how learning occurs: drive, cue, response, and reinforcement. 725
Psychology Basics A drive is an intense stimulus, such as hunger, that motivates a response. The cue is the stimulus that elicits the response. If the dominant response in the hierarchy results in a reduction in the drive, then reinforcement will occur. Reinforcement means that the association, or connection, between the cue (stimulus) and response is strengthened; the next time the cue occurs, therefore, that response will be even more likely to occur. Reinforcement occurs when a person realizes that the response has led to a reward, although such awareness is not always necessary; reinforcement can also occur automatically. In other words, Miller and Dollard’s theory states that for persons to learn, they must want something (drive), must do something (response) in the presence of a distinct stimulus (cue), and must get some reward for their actions (reinforcement). If the dominant response does not result in a reward, the chance that the dominant response will occur again is gradually lessened. This process is called extinction. Eventually, the next response in the hierarchy will occur; in other words, the person will try something else. If that response results in reward, it will be reinforced and may become the dominant response in the hierarchy. In this way, according to Miller and Dollard, humans learn and change their behavior. According to this theory, connections between stimulus and response are learned; these are called habits. Theories that view learning in this way are called stimulus-response, or S-R, theories. The total collection of a person’s habits make up his or her personality. Role of Drives Drives, as previously noted, motivate and reinforce responses. Some drives, such as hunger, thirst, sex, and pain, are inborn and are known as primary drives. These drives are naturally aroused by certain physiological conditions; through learning, however, they may also be aroused by cues to which they are not innately connected. For example, one may feel hungry when one sees a favorite restaurant, even though one has recently eaten. Drives aroused in this way (that is, by previously neutral cues) are called secondary, or learned, drives. The natural reaction to an aversive stimulus is pain. Pain is a primary drive; it motivates a person to act, and any response which reduces pain will be reinforced. Neutral cues associated with pain may also produce a response related to pain called fear (or anxiety). Fear motivates a person to act; a response which reduces fear will be reinforced. Fear is therefore a drive; it is a drive which is especially important for understanding neurotic behavior, according to Miller and Dollard. For example, a fear of a harmless cue such as an elevator (an elevator phobia) will motivate a person to avoid elevators, and such avoidance will be reinforced by reduction of fear. Cue Responses A response to one cue may also occur to cues which are physically similar to that cue; in other words, what one learns to do in one situation will occur in 726
S-R Theory: Neal E. Miller and John Dollard other, similar situations. This phenomenon is called stimulus generalization. Many responses are instrumental responses; that is, they act on and change some aspect of the environment. Other responses are known as cueproducing responses; the cues from these responses serve to bring about other responses. Words are especially important cue-producing responses; someone says a word and another person responds, or one thinks a word and this is a cue for another word. Thinking can be considered as chains of cue-producing responses—that is, as a sequence of associated words; in this way Miller and Dollard sought to describe the higher mental processes such as thinking, reasoning, and planning. Social Role of Learning In their book Social Learning and Imitation (1941), Miller and Dollard pointed out that to understand human behavior one must know not only the process of learning (as described above) but also the social conditions under which learning occurs. Human learning is social—that is, it occurs in a social context, which can range from the societal level to the interpersonal level. The process of imitation is one example of how what an individual learns to do depends on the social context. Imitation involves matching, or copying, the behavior of another person. If the matching behavior is rewarded, it will be reinforced, and the individual will therefore continue to imitate. The cue that elicits the imitating response is the person being imitated (the model), so that the imitative behavior, in Miller and Dollard’s analysis, is dependent on the presence of the model. In this way, Miller and Dollard used S-R theory to explain how individuals learn what to do from others and thereby learn how to conform to society. Psychoanalytic Approach to Neurosis In their best-known work, Personality and Psychotherapy: An Analysis in Terms of Learning, Thinking, and Culture (1950), Dollard and Miller applied S-R theory to explain how neurosis is learned and how it can be treated using learning principles. They pointed out three central characteristics of neurosis that require explanation: misery, stupidity, and symptoms. The misery that neurotics experience is a result of conflict. Conflict exists when incompatible responses are elicited in an individual. An approach-approach conflict exists when a person has to choose between two desirable goals; once a choice is made, the conflict is easily resolved. An avoidance-avoidance conflict exists when an individual must choose between two undesirable goals. An approach-avoidance conflict exists when an individual is motivated both to approach and to avoid the same goal. The last two types of conflicts may be difficult to resolve and under certain conditions may result in a neurosis. Dollard and Miller tried to explain some aspects of psychoanalytic theory in S-R terms; like Sigmund Freud, the founder of psychoanalysis, they em727
Psychology Basics phasized the role of four critical childhood training situations in producing conflicts that can result in neurosis. These are the feeding situation, cleanliness training, sex training, and anger-anxiety conflicts. Unfortunate training experiences during these stages of childhood may result in emotional problems. Childhood conflicts arising from such problems may be repressed and may therefore operate unconsciously. The “stupidity” of the neurotic is related to the fact that conflicts which produce misery are repressed and unconscious. Dollard and Miller explained the psychoanalytic concept of repression in terms of S-R theory in the following manner. Thinking about an experience involves the use of cue-producing responses (that is, the use of words) in thinking. If no words are available to label an experience, then a person is unable to think about it—that is, the experience is unconscious. Some experiences are unconscious because they were never labeled. Early childhood experiences before the development of speech and experiences for which the culture and language do not provide adequate labels are examples of experiences which are unconscious because they are unlabeled. Labeled painful experiences may also become unconscious if a person stops thinking about them. Consciously deciding to stop thinking about an unpleasant topic is called suppression. Repression is similar to suppression except that it is automatic— that is, it occurs without one consciously planning to stop thinking. For Dollard and Miller, therefore, repression is the automatic response of stopping thinking about very painful thoughts; it is reinforced by drive reduction and eventually becomes a very strong habit. The third characteristic of neuroses requiring explanation are symptoms. Phobias, compulsions, hysteria, and alcoholism are examples of symptoms. Symptoms arise when an individual is in a state of conflict-produced misery. This misery is a result of the intense fear, and other intense drives (for example, sexual drives), involved in conflict. Because the conflict is unconscious, the individual cannot learn that the fear is unrealistic. Some symptoms of neurosis are physiological; these are direct effects of the fear and other drives which produce the conflict. Other symptoms, such as avoidance in a phobia, are learned behaviors that reduce the fear or drives of the conflict. These symptoms are reinforced, therefore, by drive reduction. Therapeutic Techniques Dollard and Miller’s explanation of psychotherapy is largely a presentation of key features of psychoanalysis described in S-R terms. Therapy is viewed as a situation in which new learning can occur. Because neurotic conflict is unconscious, new learning is required to remove repression so that conflict can be resolved. One technique for doing this, taken directly from psychoanalysis, is free association; here, neurotic patients are instructed to say whatever comes to their consciousness. Because this can be a painful experience, patients may resist doing this, but, because the therapist rewards patients for free associating, they eventually continue. While free associating, 728
S-R Theory: Neal E. Miller and John Dollard patients become aware of emotions related to their unconscious conflicts and so develop a better understanding of themselves. Another technique borrowed from psychoanalysis involves a phenomenon known as transference. Patients experience and express feelings about the therapist. Such feelings really represent, in S-R terms, emotional reactions to parents, teachers, and other important persons in the patient’s past, which, through stimulus generalization, have been transferred to the therapist. The therapist helps the patient to recognize and label these feelings and to see that they are generalized from significant persons in the patient’s past. The patient in this way learns how she or he really feels. The patient learns much about herself or himself that was previously unconscious and learns how to think more adaptively about everyday life. The patient’s symptoms are thereby alleviated. Extending the Behaviorist Approach The S-R theory used by Miller and Dollard had its intellectual roots in the thinking of the seventeenth century, when human beings were thought of as being complicated machines which were set in motion by external stimuli. At the beginning of the twentieth century, the stimulus-response model was adopted by John B. Watson, the founder of behaviorism. Watson used the S-R model to explain observable behavior, but he avoided applying it to mental processes because he believed that mental processes could not be studied scientifically. Miller and Dollard extended the behaviorism of Watson to the explanation of mental events through their concept of the cue-producing response and its role in the higher mental processes. This was an S-R explanation: Mental processes were seen as arising from associations between words that represent external objects; the words are cues producing responses. Miller and Dollard’s approach, therefore, represented a significant departure from the behaviorism of Watson. Miller and Dollard tried to explain mental events in their book Personality and Psychotherapy, in which they attempted to explain many psychoanalytic concepts in S-R terms. Because psychoanalysis is largely a theory of the mind, it would have been impossible for them not to have attempted to describe mental processes. Contributions to Mental Processes Research The approach to explaining mental processes used by Miller and Dollard, though it represented a theoretical advance in the 1950’s, was gradually replaced by other explanations, beginning in the 1960’s. The drive-reduction theory of learning that Miller and Dollard advocated came under criticism, and the S-R view that humans passively react to external stimuli was criticized by many psychologists. As a result, new theories of learning emphasizing cognitive (mental) concepts were developed. New ways of thinking about mental processes were also suggested by fields outside psychology; one of these was computer science. The computer 729
Psychology Basics and its programs were seen as analogous to human mental processes, which, like computer programs, involve the input, storage, and retrieval of information. The computer and its programs, therefore, suggested new ways of thinking about the human mind. Miller and Dollard’s S-R theory has largely been replaced by concepts of modern cognitive science. Miller and Dollard’s theory still exercises an important influence on modern thinking in psychology. Their analysis of psychoanalysis in terms of learning theory made the important point that neuroses could be unlearned using the principles of learning. Behaviorally oriented treatments of emotional disorders owe a debt to the intellectual legacy of Miller and Dollard. Sources for Further Study Dollard, John, et al. Frustration and Aggression. 1939. Reprint. Westport, Conn.: Greenwood Press, 1980. An early application of S-R theory to complex human behavior. The presentation of the hypothesis that aggression is inevitably caused by frustration is seen here. Dollard, John, and Neal E. Miller. Personality and Psychotherapy: An Analysis in Terms of Learning, Thinking, and Culture. New York: McGraw-Hill, 1950. The best-known of the works of Miller and Dollard. Presents a theory of personality and an S-R presentation of psychoanalytic theory and psychoanalytic therapy. Hall, Calvin Springer, Gardner Lindzey, and John Campbell. Theories of Personality. 4th ed. New York: John Wiley & Sons, 1998. This book has a chapter on S-R theory and presents a detailed overview of the theory of Miller and Dollard. Miller, Neal E. “Studies of Fear as an Acquirable Drive: I. Fear as a Motivator and Fear-Reduction as Reinforcement in the Learning of New Responses.” Journal of Experimental Psychology 38 (1948): 89-101. A classic paper that served as the experimental basis for postulating that fear is a secondary drive. Miller, Neal E., and John Dollard. Social Learning and Imitation. 1949. Reprint. Westport, Conn.: Greenwood Press, 1979. Presents an application of S-R theory to social motivation with a special emphasis on imitation. Sanford Golin See also: Behaviorism; Conditioning; Drives; Learning; Social Learning: Albert Bandura.
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Schizophrenia Background, Types, and Symptoms Type of psychology: Psychopathology Field of study: Schizophrenias Schizophrenia is a severe mental illness that interferes with a person’s ability to think and communicate. Researchers have studied the illness for decades, but the specific genetic mechanisms and how they interact with environmental factors in contributing to the illness remain unknown. Key concepts • affect • antipsychotic medication • delusions • genetic factors • hallucinations • insight • neuroleptics • psychosis • tardive dyskinesia Schizophrenia affects approximately one out of every hundred individuals. It is considered to be one of the most severe mental illnesses because its symptoms can have a devastating impact on the lives of patients and their families. The patient’s thought processes, communication abilities, and emotional expressions are disturbed. As a result, many patients with schizophrenia are dependent on others for assistance with daily life activities. Schizophrenia is often confused, by the layperson, with multiple personality disorder. The latter is an illness which is defined as two or more distinct personalities existing within the person. The personalities tend to be intact, and each is associated with its own style of perceiving the world and relating to others. Schizophrenia, in contrast, does not involve the existence of two or more personalities; rather, it is the presence of psychotic symptoms and characteristic deficits in social interaction that define schizophrenia. The diagnostic criteria for schizophrenia have changed over the years; however, certain key symptoms, including disturbances in thought, perception, and emotional experiences, have remained as defining features. The most widely used criteria for diagnosing schizophrenia are those listed in the Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000). This manual is published by the American Psychiatric Association and is periodically revised to incorporate changes in diagnostic criteria. The DSM-IV-TR contains the following symptoms for diagnosing schizophrenia: delusions, hallucinations, disorganized thought, speech, or behavior, and flattened (less responsive) affect; symptoms must have been present 731
Psychology Basics for at least six months, and the individual must show marked impairment in a major area of functioning such as work or interpersonal relations. Further, the presence of other disorders, such as drug reactions or organic brain disorders associated with aging, must be ruled out. Thus, the diagnosis of schizophrenia typically involves a thorough physical and mental assessment. While no single individual symptom is necessary for a person to receive a diagnosis of schizophrenia, according to the DSM-IV-TR, the persistent and debilitating presence of bizarre hallucinations, which can include a hallucinated voice commenting on the individual or hallucinated conversations between two voices, is a strong indication of schizophrenia. The presence of delusions or hallucinations and loss of contact with reality is referred to as psychosis and is often present in schizophrenia, but psychotic symptoms can be seen in other mental disorders (for example, bipolar disorder or substance-induced psychotic disorder), so the term “psychosis” is not synonymous with the diagnosis of schizophrenia. While not emphasized by the DSM-IV-TR, international and cross-cultural study of the symptoms of schizophrenia has noted that the most frequently observed symptom in schizophrenia is patients’ lack of insight. That is, despite sometimes overwhelming evidence of gross abnormalities in perception and behavior, patients with schizophrenia are likely to deny that those problems are symptomatic of a disorder. Each of these symptoms can take a variety of forms. Delusions are defined as false beliefs based on incorrect inferences about external reality. Delusions are classified based on the nature of their content. For example, grandiose delusions involve false beliefs about one’s importance, power, or knowledge. The patient might express the belief that he or she is the most intelligent person in the world but that these special intellectual powers have gone unrecognized. As another example, persecutory delusions involve beliefs of being persecuted or conspired against by others. The patient might claim, for example, that there is a government plot to poison him or her. Hallucinations are sensory experiences that occur in the absence of real stimuli. In the case of auditory hallucinations, the patient may hear voices calling or conversing when there is no one in physical proximity. Visual hallucinations may involve seeing people who are deceased or seeing inanimate objects move on their own accord. Olfactory (smell) and tactile (touch) hallucinations are also possible. The term “affect” is used to refer to observable behaviors that are the expression of an emotion. Affect is predominantly displayed in facial expressions. “Flat” affect describes a severe reduction in the intensity of emotional expressions, both positive and negative. Patients with flat affect may show no observable sign of emotion, even when experiencing a very joyful or sad event. Among the symptoms of schizophrenia, abnormalities in the expression of thoughts are a central feature. When speech is incoherent, it is difficult for the listener to comprehend because it is illogical or incomplete. As an 732
Schizophrenia: Background, Types, and Symptoms
DSM-IV-TR Criteria for Schizophrenia Characterized by two or more of the following, each present for significant portion of time during one-month period (less if treated successfully): • delusions • hallucinations • disorganized speech (such as frequent derailment or incoherence) • grossly disorganized or catatonic behavior • negative symptoms (affective flattening, alogia, or avolition) Only one criterion symptom required if delusions are bizarre or hallucinations consist of a voice keeping running commentary on person’s behavior or thoughts, or two or more voices conversing with each other For a significant portion of time since onset, one or more major areas of functioning (work, interpersonal relations, self-care) markedly below level achieved prior to onset; when onset in childhood or adolescence, failure to achieve expected level of interpersonal, academic, or occupational achievement Continuous signs of disturbance persist for at least six months, including at least one month of active-phase symptoms (less if treated successfully) and possibly including periods of prodromal or residual symptoms; during prodromal or residual periods, signs of disturbance may be manifested by only negative symptoms or two or more symptoms present in attenuated form (such as odd beliefs, unusual perceptual experiences) Schizoaffective Disorder and Mood Disorder with Psychotic Features ruled out because either no Major Depressive, Manic, or Mixed Episodes have occurred concurrently with active-phase symptoms or mood episodes have occurred during active-phase symptoms, but their total duration brief relative to duration of active and residual periods Disturbance not due to direct physiological effects of a substance or a general medical condition If history of Autistic Disorder or another Pervasive Developmental Disorder present, additional diagnosis of Schizophrenia made only if prominent delusions or hallucinations are also present for at least one month (less if treated successfully) Classification of longitudinal course (applied only after at least one year has elapsed since initial onset of active-phase symptoms): • Episodic with Interepisode Residual Symptoms: Episodes defined by reemergence of prominent psychotic symptoms; also specify if with Prominent Negative Symptoms • Episodic with No Interepisode Residual Symptoms • Continuous: Prominent psychotic symptoms present throughout period of observation; also specify if with Prominent Negative Symptoms • Single Episode in Partial Remission; also specify if with Prominent Negative Symptoms • Single Episode in Full Remission • Other or Unspecified Pattern 733
Psychology Basics example, in response to the question “Where do you live?” one patient replied, “Yes, live! I haven’t had much time in this or that. It is an area. In the same area. Mrs. Smith! If the time comes for a temporary space now or whatever.” The term “loose associations” is applied to speech in which ideas shift from one subject to another subject that is unrelated. If the loosening of associations is severe, speech may be incoherent. As an illustration of loose associations, a patient described the meaning of “A rolling stone gathers no moss” by saying, “Inside your head there’s a brain and it’s round like a stone and when it spins around it can’t make connections the way moss has little filaments.” With regard to speech, a variety of other abnormalities are sometimes shown by patients. They may use neologisms, which are new words invented by the patient to convey a special meaning. Some show clang associations, which involve the use of rhyming words in conversation: “Live and let live, that’s my motto. You live and give and live-give.” Abnormalities in the intonation and pace of speech are also common. In addition to these symptoms, some patients manifest bizarre behaviors, such as odd, repetitive movements or unusual postures. Odd or inappropriate styles of dressing, such as wearing winter coats in the summer, may also occur in some patients. More deteriorated patients frequently show poor hygiene. In order to meet the diagnostic criteria for schizophrenia, the individual must show signs of disturbance for at least six months. Types and Treatment of Schizophrenia Because no one symptom is sufficient for a diagnosis of schizophrenia, patients vary in the numbers and intensity of their symptoms. Four subtypes of schizophrenia are recognized; the differentiation among them is based upon the symptom profile, and the criteria are clearly described in DSM-IV-TR. Catatonic schizophrenia is predominantly characterized by abnormal motor behavior. The patient may be in a “catatonic stupor,” which means that he or she shows a marked reduction in movement and is sometimes mute. Other catatonic schizophrenic patients adopt a rigid posture (catatonic rigidity), which they will maintain despite efforts to move them. In disorganized schizophrenia, the primary symptoms are incoherence, catatonic behavior, and flat or inappropriate affect. In paranoid schizophrenia, the predominant symptom is a preoccupation with a systematized delusion. The label undifferentiated schizophrenia is applied to cases that do not meet the specific criteria for catatonic, disorganized, or paranoid schizophrenia but do show prominent delusions, hallucinations, incoherence, or disorganized behavior. Residual schizophrenia is a diagnosis used to refer to the presence of flattened affect or limited speech and less severe delusions or hallucinations in individuals with a prior history of schizophrenia. In his writings, Eugen Bleuler often used the phrase “the group of schizophrenias,” because he believed the disorder could be caused by a variety of factors. In other words, he believed that schizophrenia may not be a 734
Schizophrenia: Background, Types, and Symptoms single disease entity. Today, some researchers and clinicians who work in the field take the same position. They believe that the differences among patients in symptom patterns and the course of the illness are attributable to differences in etiology. Despite the assumption that there may be different subtypes of schizophrenia, however, each with its own etiology, there is no definitive evidence to support this. In fact, the five subtypes listed in DSM-IVTR show similar courses and receive the same medications and psychotherapeutic treatments. Thus the distinctions among them are purely descriptive at this point. Because schizophrenic symptoms have such a devastating impact on the individual’s ability to function, family members often respond to the onset of symptoms by seeking immediate treatment. Clinicians, in turn, often respond by recommending hospitalization so that tests can be conducted and an appropriate treatment can be determined. Consequently, almost all patients who are diagnosed with schizophrenia are hospitalized at least once in their lives. The majority experience several hospitalizations. Research on the long-term outcome of schizophrenia indicates that the illness is highly variable in its course. A minority of patients have only one episode of illness, then go into remission and experience no further symptoms. Unfortunately, however, the majority of patients have recurring episodes that require periodic rehospitalizations. The most severely ill never experience remission but instead show a chronic course of symptomatology. For these reasons, schizophrenia is viewed as having the poorest prognosis of all the major mental illnesses. Prior to the 1950’s, patients with schizophrenia were hospitalized for extended periods of time and frequently became “institutionalized.” There were only a few available somatic treatments, and those proved to be of little efficacy. Included among them were insulin coma therapy (the administration of large doses of insulin in order to induce coma), electroconvulsive therapy (ECT; the application of electrical current to the temples in order to induce a seizure), and prefrontal lobotomy (a surgical procedure in which the tracts connecting the frontal lobes to other areas of the brain are severed). In the 1950’s, a class of drugs referred to as antipsychotic medications were discovered to be effective in treating schizophrenia. Antipsychotic drugs significantly reduce some of the symptoms of schizophrenia in many patients. The introduction of antipsychotic medications (also called neuroleptics) in combination with changes in public policy led to a dramatic decline in the number of patients in public mental hospitals. Antipsychotic medications have freed many patients from confinement in hospitals and have enhanced their chances for functioning in the community. Not all patients benefit from typical antipsychotic medications, and the discovery of new classes of medications has offered hope to patients and families. Despite the benefits of antipsychotic medications, they can also produce serious side effects, particularly tardive dyskinesia, a movement disorder associated in some patients with chronic use of typical antipsychotic medications. 735
Psychology Basics The public policy that has contributed to the decline in the number of hospitalized patients with schizophrenia is the nationwide policy of deinstitutionalization. This policy, which has been adopted and promoted by most state governments in the years since 1970, emphasizes short-term hospitalizations, and it has involved the release of some patients who had been in institutions for many years. Unfortunately, the support services that were needed to facilitate the transition from hospital to community living were never put in place. Consequently, the number of homeless schizophrenic patients has increased dramatically. Some of these are patients whose family members have died or have simply lost touch with them. Other patients have withdrawn from contact with their families, despite efforts by concerned relatives to provide assistance. The plight of the homeless mentally ill is of great concern to mental health professionals. History and Future Directions Writing in the late 1800’s, the eminent physician Emil Kraepelin was among the first to document the symptoms and course of schizophrenia, referring to it as “dementia praecox” (dementia of early life). Subsequently, Eugen Bleuler applied the term “schizophrenia,” meaning splitting of the mind, to the disorder. Both Kraepelin and Bleuler assumed that organic factors are involved in schizophrenia. Later research confirmed this assumption; brain scans reveal that a significant proportion of schizophrenic patients do have organic abnormalities. The precise nature and cause of these abnormalities remain unknown. In the majority of cases, the onset of schizophrenic symptoms occurs in late adolescence or early adulthood. The major risk period is between twenty and twenty-five years of age, but the period of risk extends well into adult life. For some patients, there are no readily apparent abnormalities prior to the development of illness. For others, however, the onset of schizophrenia is preceded by impairments in social, academic, or occupational functioning. Some are described by their families as having had adjustment problems in childhood. Childhood schizophrenia is relatively rare. It is estimated to occur in about one out of every ten thousand children. When schizophrenia is diagnosed in childhood, the same diagnostic criteria and treatments are applied. Schizophrenia shows no clear pattern in terms of its distribution in the population. It occurs in both males and females, although it tends to have a slightly earlier onset in males than in females. The illness strikes individuals of all social, economic, and ethnic backgrounds. Some patients manifest high levels of intelligence and are excellent students prior to becoming ill; others show poor academic performance and signs of learning disability. While the specific pathophysiology associated with schizophrenia remains obscure, the preponderance of evidence demonstrates a significant role for genetic factors in the risk for developing schizophrenia. Schizophrenia is an illness that has been recognized by medicine for 736
Schizophrenia: Background, Types, and Symptoms more than one hundred years. During this time, only modest progress has been made in research on its etiology. Some significant advances have been achieved in treatment, however, and the prognosis for schizophrenia is better now than ever before. Moreover, there is reason to believe that the availability of new technologies for studying the central nervous system will speed the pace of further discovery. Sources for Further Study Bleuler, Eugen. Dementia Praecox: Or, The Group of Schizophrenias. Translated by Joseph Zinkin. New York: International Universities Press, 1957. Original German first published in 1911. A classic book in the field, this provides excellent descriptions of the symptoms and very interesting discussions of possible causal factors. Gottesman, Irving I. Schizophrenia Genesis: The Origins of Madness. New York: W. H. Freeman, 1991. An accessible overview for both general and professional readers; includes numerous first-person accounts of the experience of schizophrenia from the perspective of patients and family members. Herz, Marvin I., Samuel J. Keith, and John P. Docherty. Psychosocial Treatment of Schizophrenia. New York: Elsevier, 1990. This book, volume 4 in the Handbook of Schizophrenia series, examines psychosocial causes of schizophrenia and psychosocial treatment approaches. Discusses early intervention, behavior therapy and supportive living arrangements. Results of long-term outcome studies are also reviewed. Hirsch, Steven R., and Daniel R. Weinberger. Schizophrenia. Oxford: Blackwell Science, 1995. A comprehensive review by two masters in the field. Kraepelin, Emil. Clinical Psychiatry. Translated by A. Ross Diefendorf. Delmar, N.Y.: Scholars’ Facsimiles & Reprints, 1981. A facsimile reprint of the seventh (1907) edition of Kraepelin’s classic text. Reveals the origins of the study of schizophrenia and other mental disorders. Maj, Mario, and Norman Sartorius. Schizophrenia. New York: John Wiley & Sons, 1999. This book is an integration of the worldwide research literature on schizophrenia. Neale, John M., and Thomas F. Oltmanns. Schizophrenia. New York: John Wiley & Sons, 1980. This book provides a comprehensive overview of the illness and examines many of the research methods for exploring its causes. Walker, Elaine F., ed. Schizophrenia: A Life-Span Developmental Perspective. San Diego, Calif.: Academic Press, 1991. The entire life-course of schizophrenic patients is addressed in this book, from early childhood precursors to geriatric outcome. Elaine F. Walker; updated by Loring J. Ingraham See also: Abnormality: Psychological Models; Diagnosis; Drug Therapies; Madness: Historical Concepts; Psychosurgery; Schizophrenia: Theoretical Explanations. 737
Schizophrenia Theoretical Explanations Type of psychology: Psychopathology Fields of study: Models of abnormality; schizophrenias Schizophrenia is one of the most severe and potentially devastating of all psychological disorders. Over the years, a variety of theoretical explanations, sometimes poorly supported by direct experimental evidence, have been proposed. Current empirical research supports the operation of genetic factors in schizophrenia and suggests that such factors may act in concert with environmental factors during early development to elevate the risk for subsequent illness. Key concepts • environment • genetic factors • interaction • neurodevelopment • neurotransmitter • organic • schizophrenia spectrum • schizotypal Schizophrenia, an illness that strikes one percent of adults, involves changes in all aspects of psychological functioning. Thinking disorders, perceptual distortions and hallucinations, delusions, and emotional changes are the most prominent of such changes. Although some people recover completely, in many others the illness is chronic and deteriorative. For many years, because the causes of schizophrenia were poorly understood, a wide range of theories were proposed to account for the development of schizophrenia. These early theories about schizophrenia can be classified into four types: psychodynamic, family interaction, learning/attention, and organic. Current theories of schizophrenia focus primarily on genetic factors and their interaction with environmental conditions, particularly the environment experienced before birth and during early development. Psychodynamic Theories Psychodynamic theories originated with Sigmund Freud, who believed that schizophrenia results when a child fails to develop an attachment to his or her parent of the opposite sex. This causes a powerful conflict (called an Oedipal conflict in males) in which unconscious homosexual desires threaten to overwhelm the conscious self. To prevent these desires from generating thoughts and feelings that cause painful guilt or behaviors that would be punished, the ego defends itself by regressing to a state in which awareness of the self as a distinct entity is lost. Thus, the person’s behavior becomes so738
Schizophrenia: Theoretical Explanations cially inappropriate; the person mistakes fantasies for reality and experiences hallucinations and delusions. Harry Stack Sullivan, a follower of Freud, believed that failure of maternal attachment creates excessive anxiety and sets the pattern for all future relationships. Unable to cope in a world seen as socially dangerous, the individual retreats into fantasy. Having done so, the individual cannot grow socially or develop a sense of trust in or belonging with others. By late adolescence or early adulthood, the person’s situation has become so hopeless that all pretense of normality collapses, and he or she withdraws totally into a world of fantasy and delusion. Family and Learning Theories Family interaction theories dwell even more intensely on parent-child, especially mother-child, relationships. Theodore Lidz and coworkers, after conducting studies on families with a schizophrenic member, concluded that one or both parents of a future schizophrenic are likely to be nearly, if not overtly, psychotic. They proposed that the psychotogenic influence of these parents on a psychologically vulnerable child is most likely the cause of schizophrenia. Gregory Bateson and colleagues proposed a family interaction theory called the double-bind theory. Bateson suggested that schizophrenia results when parents expose a child to a family atmosphere in which they never effectively communicate their expectations, and therefore the child is unable to discover which behaviors will win approval. Scolded for disobeying, for example, the child changes his or her behavior only to be scolded for being “too obedient.” Subjected to such no-win situations constantly, the child cannot develop an attachment to the family, and this failure generalizes to all subsequent relationships. Learning theories propose that failure of operant conditioning causes the bizarre behavior of schizophrenia. In one version, conditioning fails because mechanisms in the brain that support operant learning, such as reinforcement and attention, are faulty, thus preventing the learning of appropriate, adaptive behaviors. For example, a person who is unable to focus attention on relevant stimuli would be unable to learn the stimulus associations and discriminations necessary for successful day-to-day behavior. Such an individual’s behavior would eventually become chaotic. This learning/attention theory proposes a defect in perceptual filtering, a function of the brain’s reticular formation. This system filters out the innumerable stimuli that impinge upon one’s senses every moment but are unimportant. In schizophrenia, the theory proposes, this filtering system fails, and the individual is overwhelmed by a welter of trivial stimuli. Unable to cope with this confusing overstimulation, the person withdraws, becomes preoccupied with sorting out his or her thoughts, and becomes unable to distinguish internally generated stimuli from external ones. 739
Psychology Basics Organic Theories Organic theories of schizophrenia are influenced by the knowledge that conditions known to have organic causes (that is, causes stemming from biological abnormalities) often produce psychological symptoms that mimic the psychotic symptoms of schizophrenia. Among these are viral encephalitis, vitamin-deficiency diseases, temporal-lobe epilepsy, and neurodegenerative disease such as Huntington’s disease and Wilson’s disease. In contradistinction to historical theories of schizophrenia that have little empirical support, considerable research supports the operation of genetic factors in schizophrenia. Such factors are most often assumed to influence the development of the brain and its resilience to a variety of physiological and psychological stressors. In the diathesis-stress model, such a genetic defect is necessary for the development of chronic schizophrenia but is not sufficient to produce it; stressful life events must also be present. The genetic abnormality then leaves the person unable to cope with life stresses, the result being psychosis. Research demonstrating the operation of genetic factors in schizophrenia in no way implies the absence of environmental factors which operate to influence the course of the disorder. Many brain abnormalities have been proposed as causes of schizophrenia. One suggestion is that schizophrenia results from generalized brain pathology. For example, some researchers suggest that widespread brain deterioration caused by either environmental poisoning or infection by a virus causes schizophrenia. Alternatively, some biochemical abnormality may be at fault. The endogenous psychotogen theory proposes that abnormal production of a chemical substance either inside or outside the brain produces psychotic symptoms by affecting the brain in a druglike fashion. Substances similar to the hallucinogenic drugs lysergic acid diethylamide (LSD) and mescaline are popular candidates for the endogenous psychotogen. The dopamine theory, however, proposes that schizophrenia results when a chemical neurotransmitter system in the brain called the dopamine system becomes abnormally overactive or when dopamine receptors in the brain become abnormally sensitive to normal amounts of dopamine. In addition to dopamine, other neurotransmitters have been proposed as important in the development and maintenance of schizophrenia. Neurological and Genetic Studies Theories of schizophrenia are instrumental in generating experiments that provide definite knowledge of the condition. Experimental support for psychodynamic theories of the development and progression of schizophrenia has not been forthcoming. Therefore, most empirical researchers regard psychodynamic theories of schizophrenia as having little scientific merit. Family interaction theories also have not been supported by subsequent experiments. Although studies have found disturbed family relationships, the evidence suggests that these are most likely the result of, not the 740
Schizophrenia: Theoretical Explanations cause of, having a schizophrenic individual in the family. Family interaction has, however, been shown to be influential in modifying the course of illness and the risk of relapse. Studies consistently fail to find that parent-child interactions are psychotogenic, and the once-popular notion of the schizophrenogenic parent has been discarded. Only learning/attention and organic theories are strongly supported by experimental evidence. The evidence for attentional or learning deficits resulting from a fault in the reticular formation is strong, and it stems from electrophysiological and behavioral studies. The electroencephalogram (EEG) is often found to be abnormal in schizophrenic patients, showing excessive activation that indicates overarousal. Furthermore, studies of evoked potentials, electrical events recorded from the cortex of the brain in response to specific sensory stimuli, often find abnormalities. Significantly, these occur late in the evoked potential, indicating abnormality in the brain’s interpretation of sensory stimuli rather than in initial reception and conduction. Behavioral studies show that schizophrenic patients often overreact to low-intensity stimuli, which corresponds to their complaints that lights are too bright or sounds are too loud. In addition, patients are often unusually distractible—unable to focus attention on the most relevant stimuli. Orienting responses to novel stimuli are deficient in about half of schizophrenic patients. Patient self-reports also indicate that, subjectively, the individual feels overwhelmed by sensory stimulation. Thus, considerable evidence suggests that, at least in many patients, there is an abnormality in the sensory/perceptual functioning in the brain, perhaps in the perceptual filtering mechanism of the reticular formation. Franz J. Kallmann’s twin studies of the 1940’s provided convincing evidence of a genetic factor in schizophrenia. He found that genetically identical monozygotic twins are much more likely to be concordant for schizophrenia (that is, both twins are much more likely to be psychotic) than are dizygotic twins, who are not genetically identical. Studies using genealogical techniques also showed that schizophrenia runs in families. The criticism of these studies was that twins not only are genetically similar but also are exposed to the same family environment, and therefore genetic and environmental factors were confounded. Seymour Kety and colleagues, working with adoption records in Scandinavia, effectively answered this criticism by showing that adoptees with schizophrenia are more likely to have biological relatives with schizophrenia or related illnesses than the biological relatives of unaffected adoptees. These studies showed that schizophrenia is more closely associated with genetic relatedness than with family environment. In addition, these studies showed that the genetic liability is not a liability to psychopathology in general (that is, relatives of individuals with schizophrenia are not at elevated risk for all forms of mental disorder) but that there is a range of severity of illness observed in the relatives of individuals with schizophrenia. The range of less severe schizophrenia-like con741
Psychology Basics ditions observed is called the schizophrenia spectrum of illness; schizotypal personality is the most frequently studied form. Schizotypal personality disorder occurs more frequently than schizophrenia itself among the relatives of individuals with schizophrenia. Presumably, this genetic predisposition works by producing some organic change. Studies using advanced brain-imaging techniques indicate that, in many patients, there is nonlocalized brain degeneration, which is revealed by the increased size of the ventricles, fluid-filled spaces within the brain. What causes this degeneration is unknown, but some researchers suggest that it is caused by a virus and that a genetic factor increases susceptibility to infection and the subsequent damaging effects of a viral disease. Although direct evidence of a virus has been found in a minority of patients, the viral theory is still considered speculative and unproved. There is no evidence that schizophrenia is contagious. Biochemical Studies Experimental evidence of biochemical abnormalities in the brain’s dopamine neurotransmitter systems is, however, impressive. Antipsychotic drugs are effective in relieving the symptoms of schizophrenia, especially positive symptoms such as hallucinations and delusions. These drugs block dopamine receptors in the brain. Furthermore, the more powerfully the drugs bind to and block dopamine receptors, the smaller the effective dose that is necessary to produce a therapeutic result. Further evidence comes from a condition called amphetamine psychosis, which occurs in people who abuse amphetamine and similar stimulants such as cocaine. Amphetamine psychosis so closely mimics some forms of schizophrenia that misdiagnoses have been common. Furthermore, amphetamine psychosis is not an artifact of disturbed personality; experiments show that normal control subjects will develop the condition if they are given high doses of amphetamines every few hours for several days. Amphetamine psychosis, which is believed to result from the overactivation of dopamine systems in the brain, is treated with antipsychotic drugs such as chlorpromazine. Direct evidence of abnormality in the dopamine systems comes from studies using advanced techniques such as positron emission tomography (PET) scanning. These studies show that the brains of schizophrenic patients, even those who have never been treated with antipsychotic medications, may have abnormally large numbers of dopamine receptors in an area called the limbic system, which is responsible for emotional regulation. Dopamine-blocking drugs, however, help only a subset of patients. Studies show that those most likely to benefit from medication are patients who display primarily positive symptoms. Patients who show negative symptoms— such as withdrawal, thought blocking, and catatonia—are less likely to be helped by medication. 742
Schizophrenia: Theoretical Explanations History of the Concept of Schizophrenia The disorders that are now called schizophrenia were first characterized in the nineteenth century. Emil Kraepelin first grouped these disorders, referring to them by the collective name dementia praecox, in 1893. Many early neurologists and psychiatrists thought these dementias were organic conditions. This view changed, however, after Swiss psychiatrist Eugen Bleuler published his classic work on the disorder in 1911. Bleuler proposed that the primary characteristic of the condition was a splitting of intellect from emotions. He introduced the term “schizophrenia” (literally, “split mind”). Bleuler, influenced by the psychodynamic theories of Freud, believed that the bizarre content of schizophrenic thoughts and perceptions represented a breaking away from an external reality that was too painful or frightening. His ideas became especially influential in the United States. Attempts to treat schizophrenia with traditional psychotherapies were, however, unsuccessful. Success rates rarely surpassed the rate of spontaneous recovery, the rate at which patients recover without treatment. Because medical interventions such as lobotomy, insulin shock therapy, and electroconvulsive therapy were also ineffective, psychiatric hospitals were filled with patients for whom little could be done. The discovery of antipsychotic drugs and changing public policy about institutionalization in the 1950’s changed things dramatically. Hospital populations declined. The surprising effectiveness of these medications, in concert with the discovery of amphetamine psychosis in the 1930’s and the genetic studies of the 1940’s, renewed the belief that schizophrenia is an organic condition. Two problems impeded further understanding. First, techniques available for investigating the brain were primitive compared with modern techniques. Therefore, reports of organic changes in schizophrenia, although common, were difficult to confirm. Second, because the routinely administered medications powerfully influenced brain functioning, it became a problem to distinguish organic changes that were important in causing the disorder from those that were merely secondary to the action of antipsychotic drugs in the brain. Eugen Bleuler. 743
Psychology Basics Indeed, it became “common wisdom” among many psychologists that organic factors identified by researchers were not primary to the disorder but were, rather, side effects of medication. Soft neurological signs such as eyemovement dysfunctions, abnormal orienting responses, and unusual movements were considered drug related, even though Kraepelin and others had described them decades before the drugs were discovered. The drugs came to be called “major tranquilizers,” implying that medication allowed patients to function more effectively by relieving the overwhelming anxiety that accompanied the disorder but that the drugs did not influence the schizophrenic process itself. The fact that antipsychotic drugs have little usefulness as antianxiety agents in nonschizophrenics did not shake this opinion. Neither did the discovery of more powerful antianxiety agents such as Librium (chlordiazepoxide) and Valium (diazepam), even after they were shown to be almost useless in treating schizophrenia. The next dramatic change in understanding schizophrenia came in the 1960’s with the discovery of monoamine neurotransmitters, including dopamine, and the discovery that these chemical systems in the brain are strongly affected in opposite ways by psychotogenic drugs, such as cocaine and amphetamine, and antipsychotic drugs, such as chlorpromazine. Carefully conducted twin and adoption studies confirmed the role of genetic factors in schizophrenia and encouraged the search for the mechanism by which genes influenced the risk for developing schizophrenia. In the following decades, evidence that prenatal and perinatal factors are instrumental in the development of schizophrenia has led to the emerging consensus that schizophrenia should be considered from a neurodevelopmental perspective. Sources for Further Study Bowers, Malcolm B. Retreat from Sanity: The Structure of Emerging Psychosis. New York: Human Sciences Press, 1974. A fascinating description, often in the words of patients, of the experiences many people have in the very early stages of psychosis. Especially interesting are descriptions of “peak” and “psychedelic” experiences resulting from sensory alterations during the onset of the disorder. Gottesman, Irving I. Schizophrenia Genesis: The Origins of Madness. New York: W. H. Freeman, 1991. An excellent, well-written book that is easily accessible to the general reader. Highly recommended. Gottesman, Irving I., James Shields, and Daniel R. Hanson. Schizophrenia: The Epigenetic Puzzle. Cambridge, England: Cambridge University Press, 1982. More technical than Schizophrenia Genesis but still accessible to anyone with a solid background in genetics of the type obtained in a good general biology course. Concentrates on genetic studies and gives complete references to original technical articles. Hirsch, Steven R., and Daniel R. Weinberger. Schizophrenia. Malden, Mass.: 744
Schizophrenia: Theoretical Explanations Blackwell Science, 1995. A comprehensive review by two masters in the field. Kraepelin, Emil. Clinical Psychiatry. Translated by A. Ross Diefendorf. Delmar, N.Y.: Scholars’ Facsimiles & Reprints, 1981. A facsimile reprint of the seventh (1907) edition of Kraepelin’s classic text. Reveals the origins of the study of schizophrenia and other mental disorders. Maj, Mario, and Norman Sartorius. Schizophrenia. New York: John Wiley & Sons, 1999. This book is an integration of the worldwide research literature on schizophrenia. Myslobodsky, Michael S., and Ina Weiner. Contemporary Issues in Modeling Psychopathology. Boston: Kluwer Academic, 2000. Presents several theories of schizophrenic psychopathology and empirical approaches to and evidence from tests of those theories. Raine, Adrian, Todd Lencz, and Sarnoff A. Mednick. Schizotypal Personality. New York: Cambridge University Press, 1995. An overview of the less severe schizophrenia-like disorder seen in some relatives of patients with schizophrenia. Discusses links (and differences) between schizotypal personality and schizophrenia. Snyder, Solomon H. Madness and the Brain. New York: McGraw-Hill, 1974. Written in a lively, breezy style, this short volume deals with biomedical factors in many psychological disorders, including schizophrenia. Especially interesting is Snyder’s discussion of drug effects, neurotransmitters, and schizophrenia. Torrey, Edwin Fuller. Surviving Schizophrenia: A Family Manual. Rev. ed. New York: Perennial Library, 1988. One of the best books available for the general reader on schizophrenia. Intended primarily for family members of schizophrenics, this book is appropriate for anyone who is interested in the disorder, including mental health care workers. Torrey writes wonderfully and pulls no punches when dealing with outmoded theories and poorly done experiments. Many libraries have only the first edition; the revised edition is recommended. William B. King; updated by Loring J. Ingraham See also: Abnormality: Psychological Models; Diagnosis; Drug Therapies; Madness: Historical Concepts; Psychosurgery; Schizophrenia: Background, Types, and Symptoms.
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Self Type of psychology: Personality; developmental psychology; social psychology; consciousness Fields of study: Attitudes and behavior; general constructs and issues; personality theory; social perception and cognition The self is a term that is widely used and variously defined. It has been examined by personality theorists as a central structure. Social cognitive psychology has explored the individual and interpersonal processes that influence such dimensions as self-systems, self-concept, self-consciousness, and self-efficacy. Recent research has challenged psychology to rethink its concept of the self. Key concepts • being-in-the-world • identity • identity crisis • narrative • self-awareness • self-concept • self-efficacy • self-in-relation • self-system • subjectivity The concept of the self was invoked in Western thought long before the advent of the discipline of psychology. During the Renaissance and Enlightenment, scholars often depicted humans as having a soul, spirit, or metaphysical essence. The famous argument by French Renaissance philosopher René Descartes (1596-1650), “I think, therefore I am,” placed its fundamental confidence in the assumption that the “I”—an active, unique identity— could be directly experienced through introspection and therefore trusted to exist. Descartes’s dualistic formulation of the mind-body relation set the stage for a number of assumptions about the self: that the self is an active, unitary, core structure of the person which belongs to and is consciously accessible to the individual. During the Enlightenment, empiricist and associationist philosophers retained the mind-body distinction but emphasized the material, objectively observable behaviors of the body, with more stress on observable information, as seen in the rephrasing of Descartes by Scottish philosopher David Hume (1711-1776): “I sense, therefore I am.” William James (1842-1930), philosopher and founder of American scientific psychology, recognized that the personal experience of one’s own stream of consciousness—the sense of “I” or subjectivity—is fleeting and fluid and less measurable than the objective “me” with its body, relationships, and belongings. However, he 746
Self considered the self to be made up of both subjective and objective components, a perspective reflected in the various theories of the self present in modern psychology. Many psychologists believe that there is an internal self in potentia that takes shape and grows as long as an adequate environment is provided. Others emphasize a social component, suggesting that the self develops directly out of interpersonal interactions. Psychoanalytic and Psychodynamic Theories Sigmund Freud (1856-1939), Austrian founder of psychoanalysis at the turn of the twentieth century, had little use in his tripartite theory of the psyche for the idea of self as one’s central identity. He conceptualized the ego as an important but secondary structure that mediates between the instincts of the id and the strictures of the superego. However, other psychodynamic theorists of the first half of the twentieth century returned to the idea of a center of personality. Carl Jung (1875-1961), a Swiss psychiatrist, thought of the self as an important archetype—an energized symbol in the collective unconscious—that organizes and balances the contradictory influences of other archetypes and, in fact, transcends opposing forces within the psyche. The archetype itself is an inborn potential, while its actual development is informed by personal experiences. Karen Horney (1885-1952), a German psychiatrist, believed that each individual is born with a real self, containing healthy intrinsic potentials and capabilities. However, because of basic anxiety and a belief that one is unlovable, some individuals become alienated from their real selves and pursue an unrealistic idealized self. Margaret Mahler (1897-1985), a Hungarian-born pediatrician and psychoanalyst, described the separation-individuation process of the first three years of life, by which a child achieves individual personhood through psychologically separating from other people. In contrast, Harry Stack Sullivan (1892-1949), an American psychiatrist, believed that personality and self can never be fully disconnected from interpersonal relations. His concept of the self-system is thus a set of enduring patterns of relating to others that avoids anxiety by striving for others’ approval (the “good-me”), avoiding their disapproval (the “bad-me”), and dissociating from whatever causes their revulsion (the “not-me”). Heinz Kohut (1931-1981), Austrian founder of self psychology, also stressed that healthy selfhood is only attained through satisfying, empathically attuned interactions between infants and caregivers. Caregivers initially provide the self with a sense of goodness and strength and are therefore termed self-objects. The healthy self then develops its own ambitions, ideals, and skills, while deprivation from self-objects results in an injured self. Developmental Theories While these psychodynamic theorists focused on the emotional and relational dimensions of early development, others, such as German-born Erik 747
Psychology Basics Erikson (1902-1994), also emphasized cognitive and identity development over the entire life span. Erikson’s theory, in which the ego confronts a series of psychosocial crises, recognized such childhood stages as autonomy versus shame and doubt, initiative versus guilt, and industry versus inferiority as important to ego development. However, it was his conceptualization of the identity crisis during adolescence that has been highly influential on modern research on self-concept and self-esteem. By searching out and eventually choosing life strategies, values, and goals, the adolescent establishes a sense of inner assuredness and self-definition, which serve to promote healthy intimacy, productivity, and integration later in life. James Marcia, an American developmental psychologist, demonstrated in the 1960’s, 1970’s, and 1980’s that adolescents who actively explore the question “Who am I?” and achieve their own sense of identity are more likely to have positive outcomes, including high self-esteem, self-direction, and mature relationships. Erikson, Marcia, and other developmental scholars recognize that the task of establishing identity can be facilitated or hampered by the values and traditions presented in families and social structures. Humanistic and Existential/Phenomenological Perspectives Since the 1920’s, humanistic and existential traditions have focused on the human being as a whole, and division into parts or structures is resisted insofar as it leads to dehumanizing the person. Thus, the self as such is often renamed or deemphasized in these theories. Gordon Allport (1897-1967), an American psychologist, used the concept of “proprium” to describe the unique, holistic organization of personality and awareness that develops over the life span, culminating in ownership of one’s own consciousness in adulthood. American psychologist Carl Rogers (1902-1987) also deemphasized the role of self, which he thought was merely one differentiated aspect of one’s phenomenological, conscious experience. Rogers’s self-image was a complex representation of the total organism as perceived through selfreflection. Abraham Maslow (1908-1970), another American psychologist, proposed that one of the most advanced human needs was the pull to be true to one’s own nature. While he called this pull “self-actualization,” he did not theorize the self to be a central structure but a unique range of capacities, talents, and activities. American existentialist psychologist Rollo May (1909-1994) suggested that instead of thinking of a person as having a central, internal self that is separated from the world, a person should be considered to be a being-in-the-world (Dasein in German), who is in all ways related to the physical and especially the social environment. The Self as a Regulator of Individual Processes Beginning in the 1950’s and accelerating through the turn of the twentyfirst century, much research on personality has moved away from extensive personality theories toward empirically testable hypotheses. Models of the self focus on describing and observing the mental mechanisms by which in748
Self dividuals moderate and control their internal processes and their interactions with the world within specific social traditions and expectations. Albert Bandura, the American founder of social cognitive psychology, conceptualizes the person as part of an interactive triad consisting of individual, behavior, and environment. Like radical behaviorism, social cognitive theory assumes that all human behavior is ultimately caused by the external environment. However, Bandura also describes individuals as having cognitions with which they regulate their own behavior, through the establishment of guiding performance standards. His idea of the self-system consists of internal motivations, emotions, plans, and beliefs which are organized into three processes: self-observation, judgmental processes, and selfreaction. In self-observation, the individual consciously monitors his or her own behavior and describes it. Through judgmental processes, values are placed on the observations, according to personal standards internalized from past experience and comparisons to others. The self-reaction is the self-system’s way of punishing, rewarding, changing, or continuing with renewed motivation the behavior that has been self-observed. Bandura’s concept of self-observation has been further refined in research on self-awareness, self-consciousness, and self-monitoring. American social psychologists such as Robert Wicklund, Arnold Buss, Mark Davis, and Stephen Franzoi have defined self-awareness as a state of focusing attention on oneself, while self-consciousness is defined as a traitlike tendency to spend time in the state of such self-awareness. Most such research distinguishes between private self-awareness or self-consciousness, in which a person attends to internal aspects of self, such as thoughts and emotions, and public self-awareness or self-consciousness, in which a person attends to external aspects of self that can be observed by others, such as appearance, physical movements, and spoken words. Private self-awareness and selfconsciousness have been associated with intense emotional responses, clear self-knowledge, and actions that are consistent with one’s own attitudes and values. Self-monitoring is related primarily to public self-consciousness and is described by American psychologist Mark Snyder as the tendency to engage in attempts to control how one is perceived in social interactions. Snyder’s research suggests that high self-monitors use current situations to guide their reactions more than do low self-monitors, which can lead to the relationships of high self-monitors being dependent on situations or activities. Social cognitive theory has also directed research on self-efficacy, the belief that one will be capable of using one’s own behavior, knowledge, and skills to master a situation or overcome an obstacle. For example, Bandura showed in 1986 that people in recovery from a heart attack were more likely to follow an exercise regimen when they learned to see themselves as having physical efficacy. Perceived self-efficacy was demonstrated throughout the 1980’s and 1990’s as contributing to a wide range of behaviors, from weight loss to maternal competence to managerial decision making. 749
Psychology Basics A final theme coming to prominence since the 1970’s relates to identity and self-concept. Self-concept has been defined by American psychologist Roy Baumeister as one’s personal beliefs about oneself, including one’s attributes and traits and one’s self-esteem, which is based on self-evaluations. American developmental psychologists such as Jerome Kagan, Michael Lewis, and Jeanne Brooks-Gunn found that by their second year, children become capable of recognizing and cognitively representing as their own their actions, intentions, states, and competencies. With further development, people appear to form not one unitary self-concept, but a collection of selfschemas or ideas about themselves in relation to specific domains such as school or work. American psychologist Hazel Markus has also found time to be a relevant dimension of self-concept, in that persons develop possible selves: detailed concepts of who they hope and fear to become in the future. Identity is defined as who a person is, including not only the personal ideas in the self-concept but also the public perceptions of a person in his or her social context (for instance, birth name or roles in cultural institutions). Identity consists of two major features: continuity or sameness of the person over time and differentiation of the person as unique compared to others and groups of others. As mentioned with regard to Erikson’s theory and Marcia’s research, adolescence has been demonstrated to be a primary stage for exploring the values, beliefs, and group memberships that constitute identity. However, identity continues to evolve during adulthood with changes in roles (such as student versus parent) and activities (work versus retirement). Neuropsychological Perspectives From a neuropsychological perspective, brain functions underlie all dimensions and activities of the self. Yet an important question is how the functioning of biophysical structures such as the brain and nervous system can give rise to the self, which can be consciously experienced, either directly or through its activity. This question relies on the same mind-body problem that first arose with Descartes. One solution to this mental-physical divide proposed by such neuroscientists as Australian Sir John Eccles and Hungarian-born Michael Polanyi is the concept of emergent systems, or marginal control of lower systems by the organizational rules of higher systems. As the nervous system evolved into a complex set of structures, neural circuitry gained a concomitant complexity of organized functioning such that a new property, consciousness, emerged. This emergent property has capabilities and activities (such as the experience of mental images) that are a result of the organization of neural patterns but are not reducible to its component neural parts, much as water molecules have different qualities from those of hydrogen and oxygen atoms alone. Yet consciousness and thus experience of the self are necessarily embodied in and constrained by these patterned brain and biological processes. Thus, the sense of self as having continuity relies on the capacity of sev750
Self eral structures of the brain (such as the hippocampus and specialized areas of the association cortex) for forming, storing, and retrieving personal memories as well as representations of background bodily and emotional states. A specific self-concept, as explored in social cognitive research, can only be developed through the organizational capacity of the prefrontal cortex to self-observe and construct cognitive schemas. The prefrontal cortex is also involved in carrying out many actions attributed to the self, such as the planned action of self-efficacy, and the techniques of presenting the self in a particular light, as in self-monitoring. Research such as that by Antonio Damasio, an American neurologist, indicates that when normal functioning of specific neural circuits is disturbed, deficits also occur in these experiences of self as knower and owner of mental and physical states. For example, with anasagnosia, damage to the right somatosensory cortices impairs a person’s ability to be aware of damage to the body or associated problems in the functioning of the self. The body itself may become completely disowned by the person, and the unified sense of “me” is fractured. Culture and Gender Differences in the Experience of Self Empirical and theoretical scholarship since the 1970’s has presented alternatives to the universality of the self across culture and gender, and has challenged the utility of the construct as heretofore defined. Humans’ experiences of self have been found to vary substantially across cultures and gender, especially regarding the importance of independence and separation versus interdependence and relationship. For example, American psychologist Hazel Markus, Japanese psychologist Shinobu Kitayama, and their colleagues found in their 1991 and 1997 studies that the concept of an individualized self as uniquely differentiated from others is descriptive of Americans’ psychological experience. In contrast, Japanese personal experience is often more consistent with collective, relational roles, a conclusion that has been replicated with other collectivist cultures. Feminist psychologists working at the Stone Center in Massachusetts have drawn on the developmental psychological work of Americans Nancy Chodorow and Carol Gilligan, observing that many women find the notion of a discrete and individualized self places too much emphasis on separation between people. This research group proposed the concept of self-inrelation to capture the extent to which one’s core sense of being is defined by one’s relationships with and commitments to other individuals. Likewise, as American developmental psychologist Mary Field Belenky and her colleagues interviewed women about their learning processes, they found that the sense of self as an individual, separate knower and speaker is only one stage of development. The individualist stage is often followed by respect for the ways one’s subjectivity is informed by empathy and intimacy with others. These empirical observations suggest that theories of the self should attend more carefully to the interplay of individual and interpersonal or social experience. 751
Psychology Basics Postmodern, Dialogical, and Narrative Theories The advancement since the 1970’s of postmodernism has led many psychologists to recognize that persons construct their own realities through social rules, roles, and structures. Kenneth Gergen, an American social psychologist, proposes that the self gains its unity and identity from the consistency of the social roles a person plays. He points out that the more a person’s roles multiply and conflict, as is common in fast-paced technological societies, the less cohesive and the more obsolete the concept of self becomes. New Zealand-born cognitive psychologist Rom Harré and American psychologists Edward Sampson and Frank Richardson have each advanced alternative theories in which the concept of self is still viable but which emphasize the necessity of recognizing the multiplicity of perspectives within a self. Drawing on the sociological traditions of symbolic interactionism, especially the “looking-glass self” of American sociologists George Herbert Mead and Charles Cooley, these theorists see the self as constructed only through intimate involvement in interpersonal interaction and especially language, which allow one to reflect on oneself and create the social bonds that define one as a self. The unique and specific manner with which one articulates oneself appears to reflect one’s culture and social audience but also one’s beliefs and commitments about identity. American developmental psychologist Dan McAdams has led research on the narratives people tell to describe and explain their lives to themselves and others, concluding that the linguistic construction of the self is a continuous and central task of the entire life span. Jerome Bruner, an American cognitive psychologist, suggests that through narrative, the various dimensions of self—public and private, structure and activity—become interrelated in meaningful stories and serve to promote both the growth of the individual and the survival of human culture. Sources for Further Study Bandura, Albert. “The Self-System in Reciprocal Determinism.” American Psychologist 33 (1978): 344-358. Lays out major concepts of social cognitive theory with respect to the role of the self-system. Theory and research are well elaborated and accessible to nonprofessionals. Damasio, Antonio R. Descartes’ Error: Emotion, Reason, and the Human Brain. New York: Avon Books, 1994. Provides a review of neural circuitry and an overview of modern neurological research on personality and the self, especially regarding the role of the body and emotions in reasonable, planned action. The content is complex but is presented in an engaging and straightforward style. Derlega, Valerian J., Barbara A. Winstead, and Warren H. Jones. Personality: Contemporary Theory and Research. Chicago: Nelson-Hall, 1999. Provides clear overviews of modern research in self-concept, identity, self-awareness, and self-consciousness. Gergen, Kenneth J. The Saturated Self. New York: Basic Books, 1991. This 752
Self influential text is written for nonprofessionals to describe how modern society has undermined traditional concepts of the self. The author’s nontechnical, entertaining style makes this a good introduction to postmodernism and its new theories of self. Hall, Calvin S., Gardner Lindzey, and John B. Campbell. Theories of Personality. 4th ed. New York: John Wiley & Sons, 1998. A popular text used in undergraduate and graduate courses, explaining the major theories’ tenets about the self and personality. Kitayama, Shinobu, Hazel Rose Markus, Hisaya Matsumoto, and Vinai Norasakkunkit. “Individual and Collective Processes in the Construction of the Self: Self-Enhancement in the United States and Self-Criticism in Japan.” Journal of Personality and Social Psychology 72, no. 6 (1997): 12451267. Explores the role of culture in people’s experiences of and formulations of self and describes cross-cultural differences in the maintenance of the self. Lewis, Michael, and Jeanne Brooks-Gunn. Social Cognition and the Acquisition of Self. New York: Plenum Press, 1979. Describes the authors’ classic series of studies on development of self-recognition and other aspects of selfconcept and places the empirical work in the context of self theories and philosophy of science. Snodgrass, Joan Gay, and Robert L. Thompson, eds. The Self Across Psychology. New York: New York Academy of Sciences, 1997. This text is written at a fairly high level of professional conceptualization, yet provides a diverse representation of empirical and theoretical approaches to studying the self. Stevens, Richard. Understanding the Self. Thousand Oaks, Calif.: Sage Publications, 1996. An undergraduate text integrating various perspectives on the self into other topics of psychology, such as phenomenology and biopsychology. Mary L. Wandrei See also: Analytic Psychology: Jacques Lacan; Analytical Psychology: Carl Jung; Cognitive Psychology; Consciousness; Crowd Behavior; Ego Psychology: Erik Erikson; Gender-Identity Formation; Identity Crises; Multiple Personality; Personality Theory; Psychoanalytic Psychology and Personality: Sigmund Freud; Self-Esteem; Social Psychological Models: Erich Fromm; Social Psychological Models: Karen Horney; Thought: Study and Measurement.
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Self-Esteem Type of psychology: Social psychology Fields of study: Childhood and adolescent disorders; cognitive development; social perception and cognition Self-esteem research examines how individuals come to feel as they do about themselves. Psychologists seek to understand how self-esteem develops and what can be done to change negative views of the self once they have been established. Key concepts • attributions • identity negotiation • inheritable traits • self-concept • self-efficacy • self-esteem “Self-esteem” is a term with which almost everyone is familiar, yet it is not necessarily easily understood. Psychologist William James gave the first clear definition in 1892 when he said that self-esteem equals success divided by pretensions. In other words, feelings of self-worth come from the successes an individual achieves tempered by what the person had expected to achieve. If the person expected to do extremely well on an exam (his or her pretensions are quite high) and scores an A, then his or her self-esteem should be high. If, however, the person expected to do well and then scores a D, his or her self-esteem should be low. This important but simplistic view of self-esteem started a movement toward a better understanding of the complex series of factors that come together to create the positive or negative feelings individuals have about who they are. Once a person has developed a self-concept (a global idea of all the things that define who and what a person is), that person is likely to exhibit behaviors that are consistent with that self-concept. If a young woman believes that she is a good tennis player, then she is likely to put herself in situations in which that factor is important. Once she behaves (in this case, plays her game of tennis), she is likely to receive feedback from others as to how she did. This feedback determines how she will feel about her tennis-playing ability. Over time, these specific instances of positive or negative feedback about tennis-playing ability will come together to create the more global feelings of positivity or negativity a person has about the self in general. Even though an individual may believe that she is good at tennis, her ability may not live up to those expectations, and she may receive feedback telling her so (for example, losing in the early rounds of a tournament). In this case, the individual may come to feel somewhat negative about her tennis ability. If this continues to happen, she will adjust her view of her ability and come to believe that she is not a good tennis player after all. To the extent 754
Self-Esteem that the person truly wanted to be good, this realization can cause her to feel quite negative about all aspects of her self. When this happens, the person is said to have developed low self-esteem. Role of Attributions The reality of how self-esteem develops, however, is more complicated than this example demonstrates. People do not always accept the feedback that others offer, and they may believe that their failure means nothing more than having an off day. In order to understand the impact that success and failure will have on self-esteem, it is important to understand the kinds of attributions people make for their successes and failures. When a person succeeds or fails, there are three levels of attributions that can be made for explaining the occurrence. First, the individual must decide if the event occurred because of something internal (something inside caused it to happen) or something external (something in the environment caused it to happen). Second, it must be decided whether the event occurred because of a stable factor (because it happened this time, it will happen again) or a temporary circumstance (it probably will not happen again). Finally, it must be decided whether the event occurred because of something specific (this failure resulted because of poor tennis ability) or something global (failure resulted at this undertaking because of lack of ability to do anything). It is easy to see that the kinds of attributions individuals make for their successes and failures will have a profound impact on how a particular event influences their self-esteem. If a decision is made that a failure at tennis occurred because of something internal (lack of ability), stable (the ability will never be present), and global (lack of any ability), then a failure is going to damage self-esteem severely. Self-esteem is created through the blending of expectations for success, actual levels of success, and the kinds of attributions made for why success or failure occurred. Cyclic Perpetuation Once positive or negative self-esteem has developed, it will perpetuate itself in a cycle. If a person believes that he is a failure, he may put himself into situations in which he is destined to fail. If he does not think he can succeed, he may not put forth the amount of effort that success would require. Similarly, if a person believes that he is a success, he will not let one little failure cause him to change his entire opinion of himself. Self-esteem, once it is created, is very difficult to change. If a person dislikes who she is, yet someone else tries to tell her that she is wonderful, she probably will not believe that person. More likely, she will wonder what this person could possibly want from her that he or she is willing to lie and be so nice to get it. On the other hand, if the person feels positive about herself, a single instance of failure will be written off as bad luck, poor effort, or a simple fluke. A negative selfesteem cycle, once it gets started, is very difficult to change, and learning how to break this cycle is the single greatest challenge to self-esteem therapists. 755
Psychology Basics Understanding Negative Self-Esteem Understanding self-esteem has considerable practical importance in daily life. If it is believed that all successes come from external sources (luck or someone’s pity), then good things coming from others can be seen as an attempt to degrade the individual or offer a bribe. People feeling this way relate to others in a judgmental way and cause them to turn away. When others turn away, the person takes it as a signal that he or she was correct about his or her unworthiness, and the negative self-esteem level is perpetuated. If this negative self-esteem cycle is to be broken, it is important to convince the person of the critical point made by George Herbert Mead. According to Mead, self-esteem is a product of people’s interpretation of the feedback that they receive from others. A person with low self-esteem often misinterprets that feedback. If someone with low self-esteem is told, “You look really nice today,” he or she is likely to misinterpret that to mean, “You usually look terrible; what did you do different today?” Ralph Turner has said that the self is not fixed and that the person with low self-esteem must be convinced that he or she is not at the mercy of a self: He or she can be, and is, the creator of a self. It helps to put the person into a situation in which he or she can succeed with no possibility for the wrong attributions to be made. If a person cannot read, this failure will generalize to other situations and is likely to be considered a stable and global deficiency. If this person is taught to read, however, even a person with low self-esteem would find it difficult to argue that the success was situational. In this way, the person begins to see that he or she can take control and that failures need not be catastrophic for the other self-conceptions he or she might hold. A person with negative self-esteem is extremely difficult to help. It takes more than the providing of positive feedback to assist such a person. Imagine a series of circles, one inside the other, each one getting smaller. Take that smallest, innermost circle and assign it a negative value. This represents an overall negative self-esteem. Then assign negative values to all the outer circles as well. These represent how the person feels about his or her specific attributes. If positive messages are directed toward a person with negative values assigned to all these layers of self-esteem, they will not easily penetrate the negative layers; they will be much more likely to bounce off. Negative messages, on the other hand, will easily enter the circles and will strengthen the negativity. Penetration of all the negative layers can, however, sometimes be achieved by a long-term direction of positive and loving messages toward the person with low self-esteem. In effect, the innermost circle, that of global self-esteem, will eventually be exposed. Self-esteem can then be improved if enough positive, loving messages can be directed at the level of the person’s global self-esteem. This is a difficult process, partly because as soon as the person’s negative self-image comes into serious question, confusion about his or her identity results; living in self-hate, although often painful, is still more secure than suddenly living in doubt. 756
Self-Esteem Once the negative signs have been replaced with positive ones, the new self-esteem level will be as impervious to change as the negative one was. Now, when the person enters a situation, he or she will have more realistic expectations as to what he or she can and cannot do. The person has been taught to make realistic attributions about success and failure. Most important, the individual has been taught that one need not succeed at everything to be a worthy person. William James suggested in 1892 that striving does as much to alleviate self-esteem problems as actual success. Once the individual is convinced that setting a goal and striving, rather than not trying at all, is all it takes to feel good about himself or herself, the person is truly on the way to having high self-esteem. Importance of Childhood and Adolescence An interest in self-esteem developed along with interest in psychological questions in general. Early psychologists such as Sigmund Freud, Carl Jung, William James, and others all realized that an important part of what makes individuals think and act the way they do is determined by the early experiences that create their sense of self and self-esteem. A very important aspect
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Feedback from parents plays a crucial role in the development of a child’s self-esteem. (CLEO Photography) 757
Psychology Basics of psychological inquiry has been asking how and why people perceive and interpret the same event so differently. Self-esteem and self-concept play a big role in these interpretations. Knowing an individual’s self-esteem level helps one to predict how others will be perceived, what kind of other individuals will be chosen for interaction, and the kinds of attitudes and beliefs the person may hold. An understanding of childhood development and adolescence would be impossible without an understanding of the forces that combine to create a person’s sense of self-esteem. Adolescence has often been described as a time of “storm and stress” because the teenager is trying to negotiate an identity (create a sense of self and self-esteem that he or she would like to have). Teenagers’ wishes and desires, however, are not the only things they must consider. They are receiving pressure from parents, peers, and society as a whole to be a certain kind of person and do certain kinds of things. Only when self-esteem development is fully understood will it be known how to alleviate some of the trials and tribulations of adolescence and ensure that teenagers develop a healthy and productive view of their worth. Role in Contemporary Society The role of self-esteem will probably be even greater as psychological inquiry moves ahead. Modern society continues to tell people that if they want to succeed, they have to achieve more. Yet economic downturns and increasing competition to enter colleges and careers make it difficult for young people to live up to those expectations and feel good about who they are. The large role that psychologists with experience in self-esteem enhancement training will play in the future cannot be overemphasized. In order for adults to lead healthy, productive, and satisfied lives, they must feel good about who they are and where they are going. This requires an intimate understanding of the factors that combine to create people’s expectations for success and the likelihood that they will be able to achieve that level of success. Self-esteem development must be kept in mind in helping young people create for themselves a realistic set of expectations for success and an ability to make realistic attributions for why their successes and failures occur. Sources for Further Study Butler, Gillian. Overcoming Social Anxiety and Shyness: A Self-Help Guide Using Cognitive-Behavioral Techniques. New York: New York University Press, 2001. A practical guide to changing negative thought patterns in order to increase self-esteem. Coopersmith, Stanley. The Antecedents of Self-Esteem. Palo Alto, Calif.: Consulting Psychologists Press, 1981. A well written and informative look at the background factors that influence the development of self-esteem. Includes statistics and figures but is fairly nontechnical, and the comprehensiveness of the book is well worth the effort. 758
Self-Esteem Jones, Warren H., Jonathan M. Cheek, and Stephen R. Briggs. Shyness: Perspectives on Research and Treatment. New York: Plenum Press, 1986. Presents a thorough view of the development of shyness and the impact it has on social relationships. Many individuals with low self-esteem suffer from shyness, and it is difficult to understand one without the other. The writing is technical; appropriate for a college audience. Kernis, Michael. Efficacy, Angency, and Self-Esteem. New York: Plenum Press, 1995. A collection of papers that challenge existing notions of self-esteem in modern therapy or offer suggestions for new areas of research. Rosenberg, Morris. Society and the Adolescent Self-Image. Reprint. Collingdale, Pa.: DIANE, 1999. Although written in the mid-1960’s, this is still one of the best books available on self-esteem. Rosenberg’s influence remains strong, and the self-esteem scale he included in this book is still widely used to measure self-esteem. Appropriate for both college and high school students. Randall E. Osborne See also: Affiliation and Friendship; Identity Crises; Self.
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Sensation and Perception Type of psychology: Sensation and perception Fields of study: Auditory, chemical, cutaneous, and body senses; vision The study of sensation and perception examines the relationship between input from the world and the manner in which people react to it. Through the process of sensation, the body receives various stimuli that are transformed into neural messages and transmitted to the brain. Perception is the meaning and interpretation given to these messages. Key concepts • absolute threshold • acuity • attention • sensory deprivation • sensory receptors Although the distinction between sensation and perception is not always clear, psychologists attempt to distinguish between the two concepts. Sensation is generally viewed as the initial contact between organisms and their physical environment. It focuses on the interaction between various forms of sensory stimulation and how these sensations are registered by the sense organs (nose, skin, eyes, ears, and tongue). The process by which an individual then interprets and organizes this information to produce conscious experiences is known as perception. The warmth of the sun, the distinctive sound of a jet airplane rumbling down a runway, the smell of freshly baked bread, and the taste of an ice cream sundae all have an impact on the body’s sensory receptors. The signals received are transmitted to the brain via the nervous system; there, interpretation of the information is performed. The body’s sensory receptors are capable of detecting very low levels of stimulation. Eugene Galanter’s studies indicated that on a clear night, the human eye is capable of viewing a candle at a distance of 30 miles (48 kilometers), while the ears can detect the ticking of a watch 20 feet (6 meters) away in a quiet room. He also demonstrated that the tongue can taste a teaspoon of sugar dissolved in 2 gallons (about 7.5 liters) of water. People can feel a bee wing falling on the cheek and can smell a single drop of perfume in a three-bedroom apartment. Awareness of these faint stimuli demonstrates the absolute thresholds, defined as the minimum amount of stimulus that can be detected 50 percent of the time. Signal Recognition A person’s ability to detect a weak stimulus, often called a signal, depends not only on the strength of the signal or stimulus but also on the person’s 760
Sensation and Perception
The Sense of Touch Skin surface
Epidermis
Merkel’s disk
Free nerve endings
Meissner’s corpuscle Organ of Ruffini Dermis Pacinian corpuscle
Hypodermis
The sensation of touch is produced by special receptors in the skin that respond to temperature and pressure. (Hans & Cassidy, Inc.)
psychological state. For example, a child remaining at home alone for the first time may be startled by an almost imperceptible noise. In a normal setting, with his or her parents at home, the same noise or signal would probably go unnoticed. Scientists who study signal detection seek to explain why people respond differently to a similar signal and why the same person’s reactions vary as circumstances change. Studies have shown that people’s reactions to signals depend on many factors, including the time of day and the type of signal. Much controversy has arisen over the subject of subliminal signals— signals that one’s body receives without one’s conscious awareness. It has long been thought that these subliminal signals could influence a person’s behaviors through persuasion. Many researchers believe that individuals do sense subliminal sensations; however, it is highly unlikely that this information will somehow change an individual’s behaviors. Researchers Anthony Pratkanis and Anthony Greenwald suggest that in the area of advertising, subliminal procedures offer little or nothing of value to the marketing practitioner. Adaptation and Selective Attention An individual’s response to a stimulus may change over time. For example, when a swimmer first enters the cold ocean, the initial response may be to complain about the water’s frigidity; however, after a few minutes, the water feels comfortable. This is an example of sensory adaptation—the body’s ability to diminish sensitivity to stimuli that are unchanging. Sensory receptors are initially alert to the coldness of the water, but prolonged exposure 761
Psychology Basics reduces sensitivity. This is an important benefit to humans in that it allows an individual not to be distracted by constant stimuli that are uninformative. It would be very difficult to function daily if one’s body were constantly aware of the fit of shoes and garments, the rumble of a heating system, or constant street noises. The reception of sensory information by the senses, and the transmission of this information to the brain, is included under the term “sensation.” Of equal importance is the process of perception: the way an individual selects information, organizes it, and makes an interpretation. In this manner, one achieves a grasp of one’s surroundings. People cannot absorb and understand all the available sensory information received from the environment. Thus, they must selectively attend to certain information and disregard other material. Through the process of selective attention, people are able to maximize information gained from the object of focus while at the same time ignoring irrelevant material. To some degree, people are capable of controlling the focus of their attention; in many instances, however, focus can be shifted undesirably. For example, while one is watching a television show, extraneous stimuli such as a car horn blaring may change one’s focus. The fundamental focus of the study of perception is how people come to comprehend the world around them through its objects and events. People are constantly giving meaning to a host of stimuli being received from all their senses. While research suggests that people prize visual stimuli above other forms, information from all other senses must also be processed. More difficult to understand is the concept of extrasensory perception (ESP). More researchers are becoming interested in the possible existence of extrasensory perception—perceptions that are not based on information from the sensory receptors. Often included under the heading of ESP are such questionable abilities as clairvoyance and telepathy. While psychologists generally remain skeptical as to the existence of ESP, some do not deny that evidence may someday be available supporting its existence. Five Laws of Grouping Knowledge of the fields of sensation and perception assists people in understanding their environment. By understanding how and why people respond to various stimuli, scientists have been able to identify important factors which have proved useful in such fields as advertising, industry, and education. Max Wertheimer discussed five laws of grouping that describe why certain elements seem to go together rather than remain independent. The laws include the law of similarity, which states that similar objects tend to be seen as a unit; the law of nearness, which indicates that objects near one another tend to be seen as a unit; the law of closure, which states that when a figure has a gap, the figure still tends to be seen as closed; the law of common fate, which states that when objects move in the same direction, they tend to be seen as a unit; and the law of good continuation, which states that 762
Sensation and Perception objects organized in a straight line or a smooth curve tend to be seen as a unit. These laws are illustrated in the figure on the following page. Use in Advertising and Marketing The laws of grouping are frequently used in the field of advertising. Advertisers attempt to associate their products with various stimuli. For example, David L. Loudon and Albert J. Della Bitta, after studying advertising dealing with menthol cigarettes, noted that the advertisers often show mentholated cigarettes in green, springlike settings to suggest freshness and taste. Similarly, summertime soft-drink advertisements include refreshing outdoor scenes depicting cool, fresh, clean running water, which is meant to be associated with the beverage. Advertisements for rugged four-wheel-drive vehicles use the laws of grouping by placing their vehicles in harsh, rugged climates. The viewer develops a perception of toughness and ruggedness. The overall goal of advertisers is to provide consumers with appropriate sensations that will cause them to perceive the products in a manner that the advertisers desire. By structuring the stimuli that reach the senses, advertisers can build a foundation for perceptions of products, making them seem durable, sensuous, refreshing, or desirable. By using the results of numerous research studies pertaining to perception, subtle yet effective manipulation of the consumer is achieved. Color Studies Another area that has been researched extensively by industry deals with color. If one were in a restaurant ordering dinner and received an orange steak with purple French fries and a blue salad, the meal would be difficult to consume. People’s individual perceptions of color are extremely important. Variations from these expectations can be very difficult to overcome. Researchers have found that people’s perceptions of color also influence their beliefs about products. When reactions to laundry detergents were examined, detergent in a blue box was found to be too weak, while detergent in a yellow box was thought to be too strong. Consumers believed, based on coloration, that the ideal detergent came in a blue box with yellow accentuation. Similarly, when individuals were asked to judge the capsule color of drugs, findings suggested that orange capsules were frequently seen as stimulants, white capsules as having an analgesic action, and lavender capsules as having a hallucinogenic effect. Studies have shown that various colors have proved more satisfactory than others for industrial application. Red has been shown typically to be perceived as a sign of danger and is used to warn individuals of hazardous situations. Yellow is also a sign of warning. It is frequently used on highway signs as a warning indicator because of its high degree of visibility in adverse weather conditions. Instrument panels in both automobiles and airplanes are frequently equipped with orange- and yellow-tipped instrument indicators, because research has demonstrated that these colors are easily distin763
Psychology Basics guished from the dark background of the gauges. Finally, industry has not overlooked the fact that many colors have a calming and soothing effect on people. Thus, soft pastels are often used in the workplace. Use in Education The field of education has also benefited from research in the areas of sensation and perception. Knowing how young children perceive educational materials is important in developing ways to increase their skills and motivation. Textbook publishers have found that materials need to be visually attractive to children in order to help them focus on activities. Graphics and illustrations help the young learner to understand written materials. Size of printed text is also important to accommodate the developmental level of the student. For example, primers and primary-level reading series typically have large print, to assist the student in focusing on the text. As the child’s abilities to discriminate letters and numbers become more efficient with age, the print size diminishes to that of the size of characters in adult books. Similar techniques continue into high school and college; especially in introductory courses, the design of texts use extensive amounts of color, along with variation in page design. The reader’s eyes are attracted by numerous stimuli to pictures, figures, definitions, and charts strategically placed on each page. This technique allows the author to highlight and accent essential points of information. Early Research The study of sensation and perception began more than two thousand years ago with the Greek philosophers and is one of the oldest fields in psychology. There are numerous theories, hypotheses, and facts dealing with how people obtain information about their world, what type of information they obtain, and what they do with this information once it has been obtained. None of this information has been sufficient to account for human perceptual experiences and perceptual behavior, so research in the area of sensation and perception continues. The philosopher Thomas Reed made the original distinction between sensations and perceptions. He proposed that the crucial difference between them is that perceptions always refer to external objects, whereas sensations refer to the experiences within a person that are not linked to external objects. Many psychologists of the nineteenth century proposed that sensations are elementary building blocks of perceptions. According to their ideas, perceptions arise from the addition of numerous sensations. The sum of these sensations thus creates a perception. Other psychologists believed that making a distinction between sensations and perceptions was not useful. The first psychologists saw the importance of perception when they realized that information from the senses was necessary in order to learn, think, and memorize. Thus, research pertaining to the senses was a central re764
Sensation and Perception search component of all the psychological laboratories established in Europe and the United States during the late nineteenth and early twentieth centuries. Applications in Modern Society By studying perceptions, researchers can identify potential environmental hazards that threaten the senses. Studying perception has also enabled people to develop devices that ensure optimal performance of the senses. For example, on a daily basis, one’s senses rely on such manufactured objects as telephones, clocks, televisions, and computers. To be effective, these devices must be tailored to the human sensory systems. The study of sensations and perceptions has also made it possible to build and develop prosthetic devices to aid individuals with impaired sensory function. For example, hearing aids amplify sound for hard-of-hearing individuals; however, when all sounds are amplified to the same degree, it is often difficult for people to discriminate between sounds. From the work of Richard Gregory, a British psychologist, an instrument was developed that would amplify only speech sounds, thus allowing a person to attend more adequately to conversations and tune out background noise. Finally, understanding perception is important for comprehending and appreciating the perceptual experience called art. When knowledge of perception is combined with the process of perceiving artistic works, this understanding adds an additional dimension to one’s ability to view a work of art. Sources for Further Study Goldstein, E. Bruce. Sensation and Perception. 6th ed. Pacific Grove, Calif.: Wadsworth-Thomson Learning, 2002. Excellent overview of the field of sensation and perception study. Chapters focus on subjects dealing with vision, hearing, and touch as well as perceived speech and the chemical senses. Gregory, R. L. Eye and Brain: The Psychology of Seeing. 5th ed. New York: Oxford University Press, 1998. A broad book on vision for the general reader. Beneficial for students in the areas of psychology, biology, and physiology. Includes many illustrations that help to explain complex matters in an understandable fashion. Matlin, M. W. Sensation and Perception. 4th ed. Boston: Allyn & Bacon, 1997. An introductory text covering all general areas of sensation and perception. Themes carried throughout the text are intended to provide additional structure for the material; these themes reflect the author’s eclectic, theoretical orientation. Schiff, William. Perception: An Applied Approach. Boston: Houghton Mifflin, 1980. Schiff’s book is concerned with how people can, and do, use their senses to comprehend their world and their relation to it. Interesting chapters cover such topics as social-event perception, personal perception, and individual differences in perception. 765
Psychology Basics Sekuler, Robert, and Robert R. Blake. Perception. 4th ed. Boston: McGrawHill, 2002. Sekuler and Blake attempt to explain seeing, hearing, smelling, and tasting to students of perception. Extensive use of illustrations allows the reader to understand materials more fully. A series of short illustrations is also used to depict additional concepts. Eugene R. Johnson See also: Nervous System; Senses.
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Senses Type of psychology: Sensation and perception Fields of study: Auditory, chemical, cutaneous, and body senses; vision Humans process information using at least five sensory modalities: sight, sound, taste, smell, and the body senses, which include touch, temperature, balance, and pain. Because people’s sensation and perception of external stimuli define their world, knowledge of these processes is relevant to every aspect of daily life. Key concepts • cutaneous • perception • proximate • receptor • sensation • ultimate studies • Umwelt Humans have five sense organs: the eyes, ears, taste buds, nasal mucosa, and skin. Each sense organ is specialized to intercept a particular kind of environmental energy and then to convert that energy into a message that the brain can interpret. Together, these two processes are called sensation. The first step of sensation, the interception of external energy, is done by the part of the sense organ that is in direct contact with the environment. Each sense organ has a specialized shape and structure designed to intercept a particular form of energy. The second step, conversion of the captured energy into signals the brain can understand, is done by cells inside the sense organ called receptors. Receptors are structures to which physicists and engineers refer as transducers: They convert one form of energy into another. Artificial transducers are common. Hydroelectric plants, for example, intercept flowing water and convert it to electricity; then appliances convert the electricity into heat, moving parts, sound, or light displays. Receptors are biological transducers which convert environmental energy intercepted by the sense organ into neural signals. These signals are then sent to the brain, where they are interpreted through a process called perception. The eye, the best understood of all the sense organs, consists of a lens which focuses light (a kind of electromagnetic energy) through a small hole (the pupil) onto a sheet of cells (the retina). The retina contains the eye’s receptor cells: the rods, which are sensitive to all wavelengths of light in the visible spectrum, and three kinds of cones, which are sensitive to those wavelengths that the brain perceives as blue, green, and yellow. The ear funnels air pressure waves onto the tympanic membrane (more commonly known as the eardrum), where vibrations are transmitted to the inner ear. In the inner ear, receptors called hair cells are stimulated by dif767
Psychology Basics ferent frequency vibrations; they then send signals to the brain, which interprets them as different pitches and harmonics. Taste buds are small bumps on the tongue and parts of the throat which are continuously bathed in liquid. Receptors in the taste buds intercept any chemicals which have been dissolved in the liquid. Molecules of different shapes trigger messages from different receptors. Humans have several kinds of taste receptors which send signals the brain interprets as bitter, at least two kinds of receptors which send signals interpreted as sweet, and one kind of receptor each that sends messages interpreted as salty and sour. The nasal mucosa, the sense organ for smell, is a layer of cells lining parts of the nasal passageways and throat; it intercepts chemicals directly from inhaled air. Apparently, cells in the nasal mucosa can produce receptor cells (called olfactory receptors) throughout life. This way, people can develop the capacity to smell “new” chemicals which they could not smell before. New olfactory receptors seem to be created in response to exposure to novel chemicals, analogous to the production of antibodies when the immune system is exposed to foreign material. Because of this ability to create new olfactory receptors, it is not possible to list and categorize all the different types of smells. The skin is the largest sense organ in the human body; its sense, touch, actually consists of several different senses, collectively referred to as the cutaneous senses. Receptors called mechanoreceptors are triggered by mechan-
Anatomy of the Human Eye
Retina Iris
Choroid layer
Cornea Sclera Pupil
Optic nerve
Lens
Canal of Schlemm
Fovea Central retinal artery and vein Hyaloid canal
Ciliary body Vitreous body
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Senses
Anatomy of the Inner Ear Signals travel to brain’s auditory center Combined input from both ears Pinna
Cochlea
Semicircular canals Incus
Auditory nerve
Malleus
Brain stem
Eustachian tube
Stapes
Eardrum
Inner ear
Middle ear
Outer ear
(Hans & Cassidy, Inc.)
ical movements of the skin and send signals that the brain interprets as vibration, light or deep pressure, and stretching. Thermoreceptors intercept heat passing in or out of the body through the skin; their signals are interpreted by the brain as warmth and cold, respectively. Receptors which are triggered when skin cells are damaged are called nociceptors; their signals to the brain are interpreted as pain. Animal Senses Some animals have sense organs that humans do not and can thereby sense and perceive stimuli that humans cannot. Many birds and probably a variety of marine creatures can detect variations in the earth’s magnetic field; some fish and invertebrates can detect electrical fields. Other animals have sense organs similar to, but more sensitive than, those of humans; they can intercept a broader range of energy or detect it at lower levels. Insects can see ultraviolet light, while pit vipers can sense infrared. Elephants can hear infrasound, and mice can hear ultrasound. The olfactory sensitivity of most animals far surpasses that of humans. Because of differences in sensory apparatus, each animal experiences a different sensory reality; this is termed each animal’s Umwelt. Bioengineering Uses One application of the knowledge of sensory modalities is in the field of bioengineering. Knowing that sense organs are biological transducers allows the possibility of replacing damaged or nonfunctional sense organs with ar769
Psychology Basics tificial transducers, the same way artificial limbs replace missing ones. Today’s most advanced artificial limbs can be connected directly to nerves that send information from the motor (movement) areas of the brain; thus, a person can direct movement of the artificial limb with neural messages via thoughts. Similarly, bioengineers are researching the use of small sensors that can be set up to send electrical signals directly to a person’s sensory nerves or the sensory cortex of the brain. Researchers have already developed the first version of a hearing aid to help people who have nerve deafness in the inner ear but whose auditory processing centers in the brain are still intact. Human-Factors Engineering Another field which applies the findings of experimental sensory psychologists is called human-factors engineering. People who design complicated instrument panels (for example, in jet cockpits or nuclear reactors) must have an understanding of what kinds of stimuli will elicit attention, what will be irritating, and what will fade unnoticed into the background. Using knowledge of how sound is transmitted and how the human brain perceives sound, human-factors engineers have designed police and ambulance sirens which make one type of sound while the vehicle is moving quickly (the air-raid-type wailing sound) and another while the vehicle is moving slowly, as through a crowded intersection (alternating pulses of different pitches). These two types of sounds maximize the likelihood that the siren will be noticed in the different environmental settings. Research by human-factors engineers has also prompted many communities to change the color of fire engines from red to yellow; because red is difficult to see in twilight and darkness, and bright yellow can be seen well at all times of day, yellow makes a better warning color. Research by human-factors engineers and environmental psychologists is also used to improve commercial products and other aspects of day-to-day living, answering questions such as, How loud should the music be in a dentist’s waiting office? What color packaging will attract the most buyers to a product? How much salt does a potato chip need? How much light is necessary to maximize production in a factory? Will noise in a domed stadium cause damage to fans? Research on sensation and perception is applied in almost every setting imaginable. Influencing Animal Behavior Knowledge of sensation and perception can also be used to influence the behavior of other animals. Because people visit zoos during the daytime, nocturnal animals are often housed in areas bathed in only red light. Most nocturnal animals are colorblind, and as red light by itself is so difficult to see, the animals are tricked into perceiving that it is nighttime and become active for the viewers. Knowing that vultures have an exceptionally good sense of smell and that they are attracted to the scent of rotting meat allowed 770
Senses scientists to find an invisible but dangerous leak in a long, geographically isolated pipeline; after adding the aroma of rotting meat into the pipeline fuel, they simply waited to see where the vultures started circling—and knew where they would find the leak. Learning Theory The knowledge that sensation and perception differ across species has also influenced the biggest and perhaps most important field in all of psychology: learning theory. The so-called laws of learning were derived from observations of animals during the acquisition of associations between two previously unassociated stimuli, between a stimulus and a response, or between a behavior and a consequent change in the environment. These laws were originally thought to generalize equally with regard to all species and all stimuli. This belief, along with the prevailing Zeitgeist which held that learning was the basis of all behavior, led to the assumption that studies of any animal could serve as a sufficient model for discovering the principles guiding human learning and behavior. It is now known that such is not the case. Although laws of learning do generalize nicely in the acquisition of associations between biologically neutral stimuli, each animal’s sensory apparatus is designed specifically to sense those stimuli that are relevant for its lifestyle. How it perceives those stimuli will also be related to its lifestyle. Therefore, the meaning of a particular stimulus may be different for different species, so results from studies on one animal cannot be generalized to another; neither can results from studies using one stimulus or stimulus modality be generalized to another. Finally, it is important to note that scientific inquiry itself is dependent upon human understanding of the human senses. Scientific method is based on the philosophy of empiricism, which states that knowledge must be obtained by direct experience using the physical senses (or extensions of them). In short, all scientific data are collected through the physical senses; thus, the entirety of scientific knowledge is ultimately based upon, and limited by, human understanding of, and the limitations of, the human senses. Evolution of Study In the late nineteenth and early twentieth centuries, Wilhelm Wundt, often considered the founder of scientific psychology, aspired to study the most fundamental units (or structures) of the mind. Wundt and other European psychologists (called structuralists) focused much of their attention on the description of mental responses to external stimuli—in other words, on sensation and perception. Around the same time, educational philosopher William James developed functionalism in the United States. Functionalists avoided questions about what was happening in the mind and brain and focused on questions about why people respond the way they do to different stimuli. Today, both the structuralist and the functionalist methodologies have 771
Psychology Basics been replaced, but the fundamental questions they addressed remain. Psychologists who study sensation and perception still conduct research into how sense organs and the brain work together to produce perceptions (proximate studies) and why people and other animals have their own particular Umwelts (ultimate studies). Results from proximate and ultimate studies typically lead to different kinds of insights about the human condition. Proximate studies lead to solutions for real-world problems, while studies of ultimate functions provide enlightenment about the evolution of human nature and humans’ place in the world; they help identify what stimuli were important throughout human evolutionary history. For example, the human ear is fine-tuned so that its greatest sensitivity is in the frequency range that matches sounds produced by the human voice. Clearly, this reflects the importance of communication—and, in turn, cooperation—throughout human evolution. More specifically, hearing sensitivity peaks nearer to the frequencies produced by female voices than male voices. This suggests that human language capacity may have evolved out of mother-infant interactions rather than from the need for communication in some other activity, such as hunting. Stimuli Adaptations for Survival Knowing what kinds and intensities of stimuli the human sense organs can detect suggests what stimuli have been important for human survival; furthermore, the way the brain perceives those stimuli says something about their role. Most stimuli that are perceived positively are, in fact, good for people; food tastes and smells “good” because without some kind of psychological inducement to eat, people would not survive. Stimuli that are perceived negatively are those that people need to avoid; the fact that rotting foods smell “bad” is the brain’s way of keeping one from eating something that might make one sick. To give an example from another sensory modality, most adults find the sound of a crying baby bothersome; in order to stop the sound, they address the needs of the infant. Cooing and laughing are rewards that reinforce good parenting. Sources for Further Study Ackerman, Diane. A Natural History of the Senses. Reprint. New York: Vintage, 1991. A best-selling rumination on the senses, written by a poet. A remarkable mixture of science and art. Brown, Evan L., and Kenneth Deffenbacher. Perception and the Senses. New York: Oxford University Press, 1979. This text differs from most textbooks on sensation in that it integrates ethological, cross-species information with the traditional coverage of human sensory physiology and psychophysics. Although technical, the book is user-friendly. Each chapter has its own outline, glossary, and set of suggested readings. Buddenbrock, Wolfgang von. The Senses. Ann Arbor: University of Michigan Press, 1958. Easy-to-read descriptions of different Umwelts, with many fas772
Senses cinating examples. Because the focus is almost entirely on ultimate explanations rather than sensory mechanisms, new technologies have not made this book outdated. Gescheider, George. Psychophysics: The Fundamentals. 3d ed. Mahwah, N.J.: Lawrence Erlbaum, 1997. A thorough introduction to psychophysics, focusing on measurement techniques and the theory of signal detection. Hall, Edward Twitchell. The Hidden Dimension. 1969. Reprint. Garden City, N.Y.: Anchor Books, 1990. Written by an anthropologist, this book on cross-cultural differences in use of space includes three chapters on the perception of space as influenced by each sensory modality. These provide good examples of using human factors and environmental psychology to address real-world problems, particularly problems in architecture and interpersonal communication. Scharf, Bertram, ed. Experimental Sensory Psychology. Glenview, Ill.: Scott, Foresman, 1975. Includes an introduction, a chapter on psychophysics, a chapter on each sensory modality, and a postscript on the direction of modern studies. Provides excellent detailed descriptions of sensory mechanisms and psychophysical laws. Includes many diagrams, formulas, and technical terms but is still very readable. Seligman, Martin E. P. “On the Generality of the Laws of Learning.” Psychological Review 77, no. 5 (1970): 406-418. The article that triggered the ongoing debate over the generalizability of the results of learning studies across different species and different types of stimuli. Although written for a professional audience, the paper describes the basic assumptions of learning studies, so previous familiarity with learning theory is not necessary. Stone, Herbert, and Joel L. Sidel. Sensory Evaluation Practices. 2d ed. Orlando, Fla.: Academic Press, 1997. Although written for professionals, this text can provide the layperson with insight into the world of product research. Mostly describes techniques for designing studies of the sensory evaluation of food products, but most of the principles are generalizable to other products and industries. Linda Mealey See also: Sensation and Perception.
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Sexual Variants and Paraphilias Type of psychology: Psychopathology Field of study: Sexual disorders Sexual variations, or paraphilias, are unusual sexual activities in that they deviate from what is considered normal at a particular time in a particular society. Paraphilias include behaviors such as exhibitionism, voyeurism, and sadomasochism. It is when they become the prime means of gratification, displacing direct sexual contact with a consenting adult partner, that paraphilias are technically present. Key concepts • exhibitionism • fetishism • frotteurism • sexual masochism • sexual sadism • transvestic fetishism • voyeurism • zoophilia Paraphilias are sexual behaviors that are considered a problem for the person who performs them or a problem for society because they differ from the society’s norms. Psychologist John Money, who has studied sexual attitudes and behaviors extensively, claims to have identified about forty such behaviors. Types of Paraphilias exhibitionism. Exhibitionism is commonly called indecent exposure. The term refers to behavior in which an individual, usually a male, experiences recurrent, intense sexually arousing fantasies or urges about exposing his genitals to an involuntary observer, who is usually a female. A disorder is present if the individual acts on these urges or if the thoughts cause marked distress. The key point in exhibitionistic behavior is that it involves observers who are unwilling. After exposing himself, the exhibitionist often masturbates while fantasizing about the observer’s reaction. Exhibitionists tend to be most aroused by shock and typically flee if the observer responds by laughing or attempts to approach the exhibitionist. Most people who exhibit themselves are males in their twenties or thirties. They tend to be shy, unassertive people who feel inadequate and are afraid of being rejected by another person. People who make obscene telephone calls have similar characteristics to the people who engage in exhibitionism. Typically, they are sexually aroused when their victims react in a shocked manner. Many masturbate during or immediately after placing an obscene call. voyeurism. Voyeurism is the derivation of sexual pleasure through the repetitive seeking or intrusional fantasies of situations that involve looking, 774
Sexual Variants and Paraphilias or “peeping,” at unsuspecting people who are naked, undressing, or engaged in sexual intercourse. Most individuals who act on these urges masturbate during the voyeuristic activity or immediately afterward in response to what they have seen. Further sexual contact with the unsuspecting stranger is rarely sought. Like exhibitionists, voyeurs are usually not physically dangerous. Most voyeurs are not attracted to nude beaches or other places where it is acceptable to look, because they are most aroused when the risk of being discovered is high. Voyeurs tend to be men in their twenties with strong feelings of inadequacy. sadomasochism. Sadomasochistic behavior encompasses both sadism and masochism; it is often abbreviated “SM.” The term “sadism” is derived from name of the Marquis de Sade (1740-1814), a French writer and army officer who was horribly cruel to people for his own erotic purposes. Sexual sadism involves acts in which the psychological or physical suffering of the victim, including his or her humiliation, is deemed sexually exciting. In masochism, sexual excitement is produced in a person by his or her own suffering; preferred means of achieving gratification include verbal humiliation and being bound or whipped. The dynamics of the two behaviors are similar. Sadomasochistic behaviors have the potential to be physically dangerous, but most people involved in these behaviors participate in mild or symbolic acts with a partner they can trust. Most people who engage in SM activities are motivated by a desire for dominance or submission rather than pain. Interestingly, many nonhuman animals participate in pain-inflicting behavior before coitus. Some researchers think that the activity heightens the biological components of sexual arousal, such as blood pressure and muscle tension. It has been suggested that any resistance between partners enhances sex, and SM is a more extreme version of this behavior. It is also thought that SM offers people the temporary opportunity to take on roles that are the opposite of the controlled, restrictive roles they play in everyday life. Both sadism and masochism are considered disorders when the fantasies, sexual urges, or behaviors cause significant distress or impairment in social, occupational, or other important areas. fetishism. Fetishism is a type of behavior in which a person becomes sexually aroused by focusing on an inanimate object or part of the human body. Many people are aroused by looking at undergarments, legs, or breasts, and it is often difficult to distinguish between normal activities and fetishistic ones. It is when a person becomes focused on the objects or body parts, called fetishes, to the point of causing significant distress or impairment that a disorder is present. Fetishists are usually males. Common fetish objects include women’s lingerie, high-heeled shoes, boots, stockings, leather, silk, and rubber goods. Common body parts involved in fetishism are hair, buttocks, breasts, and feet. pedophilia. The term “pedophilia” is from the Greek language and means “love of children.” It is characterized by a preference for sexual activity with prepubescent children and is engaged in primarily by men. The ac775
Psychology Basics tivity varies in intensity and ranges from stroking the child’s hair to holding the child while secretly masturbating, manipulating the child’s genitals, encouraging the child to manipulate his or her own genitals, or, sometimes, engaging in sexual intercourse. Generally, the pedophile, or sexual abuser of children, is related to, or an acquaintance of, the child, rather than a stranger. Studies of imprisoned pedophiles have found that the men typically had poor relationships with their parents, drink heavily, show poor sexual adjustment, and were themselves sexually abused as children. Pedophiles tend to be older than people convicted of other sex offenses. The average age at first conviction is thirty-five. For a diagnosis of pedophilia, the abuser should be at least sixteen years old and at least five years older than the child or children who are abused. transvestic fetishism. Transvestic fetishism involves dressing in clothing of the opposite sex to obtain sexual excitement. In the majority of cases, it is men who are attracted to transvestism. Several studies show that crossdressing occurs primarily among married heterosexuals. The man usually achieves sexual satisfaction simply by putting on the clothing, but sometimes masturbation and intercourse are engaged in while the clothing is being worn. A disorder is diagnosed if the fantasies, sexual urges, or behaviors cause clinically significant distress or impairment. In some cases, gender dysphoria, persistent discomfort with gender role or identity, is also present. frotteurism. Frotteurism encompasses fairly common fantasies, sexual urges, or behaviors of a person, usually a male, obtaining sexual pleasure by pressing or rubbing against a fully clothed female in a crowded public place. Often it involves the clothed penis rubbing against the woman’s buttocks or legs and and thus appear accidental. zoophilia and necrophilia. Zoophilia involves sexual contact between humans and animals as the repeatedly preferred method of achieving sexual excitement. In this disorder, the animal is preferred despite other available sexual outlets. Necrophilia is a rare dysfunction in which a person obtains sexual gratification by looking at or having intercourse with a corpse. Diagnosis and Therapy A problem in the definition and diagnosis of sexual variations is that it is difficult to draw the line between normal and abnormal behavior. Patterns of sexual behavior differ widely across history and within different cultures and communities. It is impossible to lay down the rules of normality; however, attempts are made in order to understand behavior that differs from the majority and in order to help people who find their own atypical behavior to be problematic or to be problematic in the eyes of the law. Unlike most therapeutic techniques in use by psychologists, many of the treatments for paraphilias are painful, and the degree of their effectiveness is questionable. Supposedly, the methods are not aimed at punishing the individual, but perhaps society’s lack of tolerance toward sexual deviations can be seen in the nature of the available treatments. In general, all attempts to 776
Sexual Variants and Paraphilias treat the paraphilias have been hindered by the lack of information available about them and their causes. Traditional counseling and psychotherapy alone have not been very effective in modifying the behavior of paraphiliacs, and it is unclear why the clients are resistant to treatment. Some researchers believe that the behavior might be important for the mental stability of paraphiliacs; if they did not have the paraphilia, they would experience mental deterioration. Another idea is that, although people are punished by society for being sexually deviant, they are also rewarded for it. For the paraphilias that put the person at risk for arrest, the danger of arrest often becomes as arousing and rewarding as the sexual activity itself. Difficulties in treating paraphiliacs may also be related to the emotionally impoverished environments that many of them experienced throughout childhood and adolescence. Convicted sex offenders report more physical and sexual abuse as children than do the people convicted of nonsexual crimes. It is difficult to undo the years of learning involved. Surgical castration for therapeutic purposes involves removal of the testicles. Surgical castration for sexual offenders in North America is very uncommon, but the procedure is sometimes used in northern European countries. The reason castration is used as a treatment for sex offenders is the inaccurate belief that testosterone, is necessary for sexual behavior. The hormone testosterone is produced by the testicles. Unfortunately, reducing the amount of testosterone in the blood system does not always change sexual behavior. Furthermore, contrary to the myth that a sex offender has an abnormally high sex drive, many sex offenders have a low sex drive or are sexually dysfunctional. In the same vein as surgical castration, other treatments use the administration of chemicals to decrease desire in sex offenders without the removal of genitalia. Estrogens have been fairly effective in reducing the sex drive, but they sometimes make the male appear feminine by increasing breast size and simulating other female characteristics. There are also drugs that block the action of testosterone and other androgens but do not feminize the body; these drugs are called antiandrogens. Used together with counseling, antiandrogens do benefit some sex offenders, especially those who are highly motivated to overcome the problem. More research on the effects of chemicals on sexual behavior is needed; the extent of the possible side effects, for example, needs further study. Aversion therapy is another technique that has been used to eliminate inappropriate sexual arousal. In aversion therapy, the behavior that is to be decreased or eliminated is paired with an aversive, or unpleasant, experience. Most approaches use pictures of the object or situation that is problematic. The pictures are then paired with something extremely unpleasant, such as an electric shock or a putrid smell, thereby reducing arousal to the problematic object or situation in the future. Aversion therapy has been found to be fairly effective but is under ethical questioning because of its drastic nature. 777
Psychology Basics For example, chemical aversion therapy involves the administration of a nausea-inducing drug. Electrical aversion therapy involves the use of electric shock. An example of the use of electric shock would be to show a pedophile pictures of young children whom he finds sexually arousing and to give an electric shock immediately after showing the pictures, in an attempt to reverse the pedophile’s tendency to be sexually aroused by children. Other techniques have been developed to help patients learn more socially approved patterns of sexual interaction skills. In general, there has not been a rigorous testing of any of the techniques mentioned. Furthermore, most therapy is conducted while the offenders are imprisoned, providing a less than ideal setting. Disturbances of Courtship Behavior Beliefs regularly change with respect to what sexual activities are considered normal, so most therapists prefer to avoid terms such as “perversion,” instead using “paraphilia.” Basically, “paraphilia” means “love of the unusual.” Aspects of paraphilias are commonly found within the scope of normal behavior; it is when they become the prime means of gratification, replacing direct sexual contact with a consenting adult partner, that paraphilias are technically said to exist. People who show atypical sexual patterns might also have emotional problems, but it is thought that most people who participate in paraphilias also participate in normal sexual behavior with adult partners, without complete reliance on paraphilic behaviors to produce sexual excitement. Many people who are arrested for paraphilic behaviors do not resort to the paraphilia because they lack a socially acceptable sex partner. Instead, they have an unusual opportunity, a desire to experiment, or perhaps an underlying psychological problem. According to the approach of Kurt Freund and his colleagues, some paraphilias are better understood as disturbances in the sequence of courtship behaviors. Freund has described courtship as a sequence of four steps: location and appraisal of a potential partner; interaction that does not involve touch; interaction that does involve touch; and genital contact. Most people engage in behavior that is appropriate for each of these steps, but some do not. The ones who do not can be seen as having exaggerations or distortions in one or more of the steps. For example, Freund says that voyeurism is a disorder in the first step of courtship. The voyeur does not use an acceptable means to locate a potential partner. An exhibitionist and an obscene phone caller would have a problem with the second step: They have interaction with people that occurs before the stage of touch, but the talking and showing of exhibitionistic behaviors are not the normal courtship procedures. Frotteurism would be a disruption at the third step, because there is physical touching that is inappropriate. Finally, rape would be a deviation from the appropriate fourth step. As a result of social and legal restrictions, reliable data on the frequency 778
Sexual Variants and Paraphilias of paraphilic behaviors are limited. Most information about paraphilias comes from people who have been arrested or are in therapy. Because the majority of people who participate in paraphilias do not fall into these two categories, it is not possible to talk about the majority of paraphiliacs in the real world. It is known, however, that males are much more likely to engage in paraphilias than are females. Sources for Further Study Allgeier, E. R., and A. R. Allgeier. “Atypical Sexual Activity.” In Sexual Interactions. Boston: Houghton Mifflin, 1998. A highly readable description of sexual variations. Contains photographs, charts, and tables which help make the material understandable. Provides a multitude of references. An excellent, thorough textbook. Laws, D. Richard, and William O’Donohue, eds. Sexual Deviance. New York: Guilford Press, 1997. Twenty-five essays providing a complete reference on paraphilias such as exhibitionism, fetishism, masochism, voyeurism, and transvestic fetishism. Rosen, Michael A. Sexual Magic: The S/M Photographs. Reprint. San Francisco: Shaynew Press, 1992. Contains essays written by people who engage in sadomasochistic activities. Includes photographs. In general, provides a personal, honest look into the lives of real people, using a case-study approach. Stoller, Robert J. “Sexual Deviations.” In Human Sexuality in Four Perspectives, edited by Frank A. Beach and Milton Diamond. Baltimore: Johns Hopkins University Press, 1977. Provides a review of several common atypical sexual behaviors, along with several case studies. Concise and readable. Part of an interesting, well-rounded book on sexuality in general. Weinberg, Thomas S., and G. W. Levi Kamel, eds. S and M: Studies in Sadomasochism. Rev. ed. Buffalo, N.Y.: Prometheus Books, 1995. Composed of eighteen articles that provide thought-provoking information on a variety of issues relating to sadism and masochism. Deborah R. McDonald See also: Abnormality: Psychological Models; Adolescence: Sexuality; Homosexuality.
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Sleep Type of psychology: Consciousness Field of study: Sleep The study of sleep stages and functions involves descriptions of the electrophysiological, cognitive, motor, and behavioral components of various sleep stages as well as the potential functions served by each. The sleep-wake cycle is one of several human circadian rhythms that regulate human attention, alertness, and performance. Key concepts • circadian rhythms • desynchronized electroencephalogram (EEG) • hypnagogic imagery • myoclonia • nonrapid eye movement (NREM) sleep • paradoxical sleep • rapid eye movement (REM) sleep • synchronized electroencephalogram (EEG) Sleep, one of the most mysterious of human circadian rhythms (biological cycles that fluctuate on a daily basis), can be characterized as a naturally induced alteration in consciousness. Although the sleeper may appear to be unconscious, many complex cognitive, physiological, and behavioral processes occur during sleep. For example, parents may sleep through a nearby police siren yet easily awaken to the sound of their crying infant. Efforts to understand sleep have focused on behavioral and electrical changes that occur each night. During every moment of a person’s life, the brain, eyes, and muscles are generating electrical potentials that can be recorded by a polygraph. In polygraph use, minute electrical signals are conveyed through tiny disk electrodes attached to the scalp and face, which are recorded by the instrument as wave patterns that can be described in terms of frequency, amplitude, and synchronization. Frequency is measured by the number of cycles that occur per second (cps), amplitude by the distance between the peaks and troughs of waves, and synchronization by the regular, repetitive nature of the waves. Measuring Stages of Sleep Use of the polygraph has resulted in the identification of four stages of nonrapid eye movement (NREM) sleep, as well as a special stage referred to as rapid eye movement (REM) sleep. Each stage is described in terms of electrical changes in brain-wave patterns, speed and pattern of eye movements, and muscular activity in the body. Brain-wave activity is measured by the electroencephalogram (EEG), eye movement patterns by the electrooculogram (EOG), and muscle activity by the electromyogram (EMG). Three EEG patterns can be described for NREM sleep. First, as a sleeper 780
Sleep progresses from stages one through four, the waves increase in amplitude or voltage from approximately 50 to 100 microvolts in stage one to about 100 to 200 microvolts in stage four. Second, the frequency of the waves decreases gradually from 4 to 8 cps in stages one and two to 1 to 4 cps in stages three and four. Last, the waves become progressively more synchronized from stages one to four, so that by stage four, the waves assume a slow, regular pattern sometimes called S sleep, for slow-wave sleep or synchronized sleep. Each of these patterns is reflected in the type of brain-wave activity present, with stages one and two consisting predominantly of theta waves and stages three and four of delta waves. In addition to the changes in brain electrical activity, the EMG records a gradual diminution of muscular activity as the sleeper progresses through each stage of NREM sleep. By the onset of stage four, the EMG is relatively flat, revealing a deep state of muscular relaxation. In fact, virtually all physiological activity is at its lowest during stage four, including respiration, heart rate, blood pressure, digestion, and so on. In this sense, stage four is considered to be the deepest stage of sleep. Cognitive Activity Cycles During Sleep As stated previously, the sleeper is not in an unconscious state but is in a different level of consciousness. Cognitive activity is present in all stages of NREM sleep. Hypnagogic imagery, consisting of dreamlike images sometimes indistinguishable from REM dreams, is present in stage one. Subjects are easily awakened during this sleep stage, and regressions to a waking state are quite common. Often, these regressions occur because of myoclonias, which are brief jerking movements of the muscles. Because stage one is sometimes viewed as a transitional state between sleeping and waking, it should not be too surprising that sleep talking occurs primarily in this stage. Stage one sleep lasts for approximately fifteen minutes.
The Sleep Cycle REM Sleep
Depth of sleep (EEG)
Awake 4 3 2 1 1
2
3
4 Hours
5
6
7
8
Over an eight-hour sleep period, the depth of sleep fluctuates and is punctuated by periods of rapid-eye movement (REM). (Hans & Cassidy, Inc.) 781
Psychology Basics The sleeper is somewhat more difficult to arouse during stage two, and the cognitive activity present is more fragmentary than in stage one. If the subject recalls any mental activity, it is rather sparse. Stage two also lasts for approximately fifteen minutes. It was once assumed that dreams only occur in REM sleep, but it is now common knowledge that dreams of a different variety occur in stages three and four. These dreams are not of the narrative or storylike variety found in REM sleep; rather, they resemble nonsequential thoughts, images, sensations, or emotions. As might be expected in the deepest sleep stage, it is quite difficult to awaken the sleeper who is in stage four. Paradoxically, a subject awakened in stage four will often claim not to be sleeping. Finally, sleepwalking, night terrors, and bed-wetting, all of which are developmental disorders, occur predominantly in stage four. Stage three lasts approximately ten minutes, while the first episode of stage four usually lasts about fifty minutes. Suddenly, about ninety minutes after falling asleep, the subject rapidly regresses back through the stages of NREM sleep to a special stage usually called stage one-REM sleep, or sometimes simply REM sleep. Three major changes occur in the electrical activity measured in this stage. First, the EEG pattern becomes highly desynchronized, resembling a combination of waking and stage one-NREM brain-wave activity. For this reason, REM sleep is sometimes called paradoxical sleep, because it is paradoxical that elements of a waking EEG should be present in a sleeping condition. Second, the EMG recordings become almost completely flat for most skeletal muscles, resembling paralysis. Finally, there is an onset of rapid eye movements, as measured by the EOG. Cognitive activity, in the form of narrative or storylike dreams, is rich and varied in REM sleep—hence the term “D sleep,” for dreaming or desynchronized sleep. It is interesting to note that the rapid eye movements correspond closely with dream content. For example, if a person dreams of something running from left to right, the direction of rapid eye movements will also be left to right. Throughout the remainder of the night, a cycle of approximately ninety minutes will be established from one REM episode to the next. All together, the sleeper will experience four to five REM episodes in a typical eight-hour sleep period, with each one lasting for a longer interval than the previous one. The first REM episode may last only five to ten minutes, while the final one may be thirty to forty minutes or longer in duration. In contrast, S sleep episodes decrease in length throughout the evening, and will disappear completely after two to three episodes. Study of Sleep Deprivation Although a description of sleep stages can be provided with relative ease, identifying a clear function for sleep is a more difficult proposition. Yet applications of sleep research are inextricably linked with the functions of 782
Sleep sleep. For the typical layperson, the seemingly obvious function of sleep is to repair and restore the body after daily mental and physical exertion. This commonsense approach has been formalized by science as the repair and restoration theory. One of the most frequently used methods to assess this theory is to examine the mental and physical effects of sleep deprivation. If the primary function of sleep is to repair the body, then loss of sleep should disrupt cognitive, motor, and behavioral processes. Early laboratory research with animals seemed to support this position. If sleep deprivation persisted for a sufficient time, usually between three and twenty days, death ensued in laboratory animals. Unfortunately, to maintain sleep deprivation in animals, it is necessary to keep them active. Perhaps the continuous activity, rather than the sleep deprivation, killed the animals. If it were possible to allow animals to rest and relax but not sleep, would the sleep deprivation still prove fatal? This question was addressed by anecdotal accounts of human sleep deprivation during the Korean War. As a means of extracting confessions from American soldiers, Korean military intelligence operatives commonly subjected prisoners of war to sustained bouts of sleep deprivation. In the face of overwhelming exhaustion and clear signs of personality disintegration, American soldiers were often induced to sign confessions of their alleged war crimes. However, Randy Gardner, a seventeen-year-old high school student, experienced sleep deprivation for 264 hours to get his name in the Guinness Book of World Records with no apparent permanent effects and no profound temporary deficits. Why would people respond in such radically different ways to sleep deprivation? One hypothesis proposes that severe adverse effects arise as a function of stress and inability to rest and relax, rather than from the loss of sleep. Furthermore, laboratory investigations with volunteer subjects suggest that those individuals who exhibit severe reactions to sleep deprivation almost always have some predisposition to abnormal behavior. Sleep researchers would not deny that sleep serves to restore the body; however, rest and relaxation may serve the same restorative functions in the absence of sleep, which would suggest that repair and restoration is not the sole or even primary function of sleep. Adaptive Theory of Sleep To redress the shortcomings of the repair and restoration theory, an alternative theory of a need to sleep has been proposed. The adaptive or evolutionary theory postulates that the need to sleep arose in the course of biological evolution as an adaptive mechanism to conserve energy during the evening hours, when it would be inefficient to search for food and other resources. Sleep, according to this view, serves a function similar to the hibernation observed in several species of mammals. These animals reduce their metabolic processes to barely detectable levels during winter to conserve energy when food resources are scarce. To do otherwise would threaten the survival of these animals. It is important to note that the adaptive theory still considers 783
Psychology Basics sleep to be a real need; in essence, sleep is a remnant of the human evolutionary past when human forebears did not have the convenience of twentyfour-hour supermarkets to acquire their sustenance. Humans deprived of sleep will become just as irritable and ill-tempered as a groundhog prevented from hibernating. Several predictions have been generated from the adaptive theory, most of which have been supported by scientific observations. First, the theory predicts that predators such as large cats and bears, which obtain most of their nutrients in one large meal per day, would sleep much more than grazing animals such as cattle and horses, who must eat frequently to survive. A second prediction of the theory is that predators such as wolves and mountain lions, which have few natural enemies, would sleep more than prey such as rabbits and guinea pigs, which are at risk if they fail to maintain constant vigilance. Finally, animals such as bats, which are well protected by the environment in which they live, would sleep for relatively long periods of time. These predictions are documented by scientific observations, which provide support for the adaptive or evolutionary theory of sleep. Clinical Applications The functions of sleep are extremely important in clinical applications. If the repair and restoration theory lacks strong scientific support, attempting to recover lost sleep time may serve no functional purpose. Indeed, most subjects expect to sleep for several hours longer than normal after staying awake for twenty-four hours, presumably because they believe sleep is required for repair and restoration of the body. In practice, however, most subjects report only four to six total hours of poor-quality sleep following such deprivation. Even after 264 hours of sleep deprivation, Randy Gardner slept for only fourteen hours and forty minutes the first evening, then resumed a normal nocturnal sleep pattern of eight hours per evening. Knowledge of sleep stages may be especially valuable in diagnosing and treating sleep disorders, because the frequency, patterns, and symptoms of these disorders may be associated with specific stages of sleep. For example, knowledge of the muscular paralysis that accompanies REM sleep has been instrumental in diagnosing the cause of male impotence. Partial or total erections are present in about 95 percent of REM periods. Therefore, men who complain of impotence yet demonstrate normal REM erections can be diagnosed as suffering from psychologically based impotence. These patients may benefit from psychotherapy or sexual counseling. In contrast, men who do not achieve REM erections are diagnosed as suffering from organically based impotence and require hormone therapy or surgical implantations. Nocturnal enuresis, or bed-wetting, is a stage four developmental disorder present in about four million to five million children annually in the United States. The exact cause of this disorder is undetermined, although the extreme muscular relaxation during stage four sleep likely contributes to its occurrence. To prevent nocturnal enuresis, the patient must learn to 784
Sleep associate a full bladder with waking up. Typically, a special apparatus is placed under the child, which sounds a loud buzzer when urine contacts it. Eventually, the child will learn to associate the feeling of a full bladder with waking up in the absence of the buzzer. Emergence of Research Because sleep is a universal human experience, it has probably interested people since the dawn of humanity; however, scientific inquiry into sleep is a relatively recent phenomenon. Early interest in sleep arose during the late nineteenth century from a need to isolate the brain structure responsible for lethargy syndromes. Similarly, the electrophysiological study of sleep originated with a discovery in 1875 by the English physiologist Richard Caton that the brain continually produces low-voltage waves. This discovery was largely ignored until 1929, when a German psychiatrist, Hans Berger, found that he could record from large groups of neurons by attaching electrodes to the scalp and the forehead. Berger’s discovery marked the beginning of modern electroencephalography. With the advent of EEG recordings, it was not long before A. L. Loomis, E. N. Harvey, and G. A. Hobart found, in 1937, that EEG recordings could be used to differentiate stages of sleep. In 1952, Nathaniel Kleitman at the University of Chicago gave Eugene Aserinsky, one of his new graduate students, the assignment of watching the eye movements of sleeping subjects. Aserinsky quickly noted the rapid, darting nature of eye movements during certain times of the night, which differed from the usual slow, rolling eye movements observed at other times. William Dement later coined the term “REM sleep”; sleep in which slow, rolling eye movements predominate later came to be known as NREM sleep (for nonrapid eye movement sleep). Finally, in 1957, Dement and Kleitman presented the current system of four NREM sleep stages and stage one-REM sleep. Importance to Psychology of Consciousness As a naturally induced alteration in consciousness that can be studied objectively with electrophysiological recording equipment, sleep has assumed a prominent role in the psychology of consciousness. Electrophysiological recording techniques that were originally developed in sleep research are now widely used to study other aspects of consciousness, such as hemispheric asymmetries, meditation, sensory isolation, biofeedback, dreams, and drug effects on the brain and behavior. In addition, sleep is one of the few alterations in consciousness that plays a central role in several areas of psychological inquiry. For example, physiological psychologists are concerned with the neurobiological mechanisms underlying sleep, as well as the functions of sleep. From their perspective, sleep is simply one of many human behaviors and cognitive processes whose biological basis must be ascertained. Developmental psychologists are interested in age-related changes that occur in sleep and attempt to develop applications of those findings for concerned parents of young children. Finally, physicians and clinical psycholo785
Psychology Basics gists are often presented with patients who suffer from physical or psychological stress as a function of sleep disorders. These professionals are interested in developing effective drug and psychological therapies that can be used to treat sleep-disordered patients. Sleep is a concern in many areas of psychology. Because sleep is universal in humans, it will continue to play a major role in consciousness studies and throughout the discipline of psychology. Future research will likely focus on applications of sleep research to industrial settings that employ shift workers. The emphasis will be on reducing fatigue and improving performance among employees by gradually adjusting them to shift work and by changing employee work schedules infrequently. In addition, research will seek ways to improve diagnostic procedures and treatments for a variety of sleep disorders, including insomnia, hypersomnia, sleep apnea, narcolepsy, and enuresis. The focus will be on developing effective drug and psychological therapies. Finally, pure research will continue to examine the functions of sleep, and to delineate more clearly the adverse effects of sleep, even those of a temporary nature. Sources for Further Study Coren, Stanley. Sleep Thieves. New York: Free Press, 1997. A wide-ranging exploration of sleep research. Coren is one of the major researchers in the relationship between sleep deficit and major industrial accidents, such as the 1989 Exxon Valdez oil spill, the 1986 Chernobyl nuclear plant disaster, and the 1986 Challenger space shuttle explosion. Dement, William C. The Promise of Sleep. New York: Dell, 2000. Dement, founder of the sleep disorders clinic at Stanford University, provides a nontechnical, personal report of current findings in sleep research, drawing a connection between sleep and general health. Offers a guide to remedying sleep deficits and alleviating insomnia. Empson, Jacob, and Michael B. Wang. Sleep and Dreaming. 3d ed. New York: St. Martin’s Press, 2002. An overview of scientific sleep research and popular beliefs about sleep. Hobson, J. Allan. Sleep. Reprint. New York: W. H. Freeman, 1995. A broad and interdisciplinary view of sleep research, combining knowledge drawn from neurology, psychology, and animal behavior studies. The nontechnical language and lavish illustrations are two major advantages of this book. Highly recommended for high school and college students. Jouvet, Michel. The Paradox of Sleep. Translated by Laurence Gary. Cambridge, Mass.: MIT Press, 1999. The scientist who discovered the relationship between REM sleep and dreaming discusses the stages of sleep, the meaning and evolutionary function of dreams, and many other topics. Richard P. Atkinson See also: Brain Structure; Consciousness; Consciousness: Altered States; Dreams. 786
Social Learning Albert Bandura Type of psychology: Personality Fields of study: Behavioral and cognitive models; cognitive learning Bandura’s social learning theory, later called social cognitive theory, provides a theoretical framework for understanding and explaining human behavior; the theory embraces an interactional model of causation and accords central roles to cognitive, vicarious, and self-regulatory processes. Key concepts • determinism • model • observational learning • outcome expectancies • reciprocal determinism • reinforcement • self-efficacy Social learning theory, later amplified as social cognitive theory by its founder, social psychologist Albert Bandura, provides a unified theoretical framework for analyzing the psychological processes that govern human behavior. Its goal is to explain how behavior develops, how it is maintained, and through what processes it can be modified. It seeks to accomplish this task by identifying the determinants of human action and the mechanisms through which they operate. Bandura lays out the conceptual framework of his approach in his book Social Learning Theory (1977). His theory is based on a model of reciprocal determinism. This means that Bandura rejects both the humanist and existentialist position viewing people as free agents and the behaviorist position viewing behavior as controlled by the environment. Rather, external determinants of behavior (such as rewards and punishments) and internal determinants (such as thoughts, expectations, and beliefs) are considered part of a system of interlocking determinants that influence not only behavior but also the various other parts of the system. In other words, each part of the system—behavior, cognition, and environmental influences—affects each of the other parts. People are neither free agents nor passive reactors to external pressures. Instead, through self-regulatory processes, they have the ability to exercise some measure of control over their own actions. They can affect their behavior by setting goals, arranging environmental inducements, generating cognitive strategies, evaluating goal attainment, and mediating consequences for their actions. Bandura accepts that these selfregulatory functions initially are learned as the result of external rewards 787
Psychology Basics and punishments. Their external origin, however, does not invalidate the fact that, once internalized, they in part determine behavior. Cognitive Mediating Factors As self-regulation results from symbolic processing of information, Bandura in his theorizing assigned an increasingly prominent role to cognition. This was reflected in his book Social Foundations of Thought and Action: A Social Cognitive Theory (1986), in which he no longer referred to his approach as social learning but as social cognitive theory. People, unlike lower animals, use verbal and nonverbal symbols (language and images) to process information and preserve experiences in the form of cognitive representations. This encoded information serves as a guide for future behavior. Without the ability to use symbols, people would have to solve problems by enacting various alternative solutions until, by trial and error, they learned which ones resulted in rewards or punishments. Through their cognitive abilities, however, people can think through different options, imagine possible outcomes, and guide their behavior by anticipated consequences. Symbolic capabilities provide people with a powerful tool to regulate their own behavior in the absence of external reinforcements and punishments. According to Bandura, the central mechanism of self-regulation is selfefficacy, defined as the belief that one has the ability, with one’s actions, to bring about a certain outcome. Self-efficacy beliefs function as determinants of behavior by influencing motivation, thought processes, and emotions in ways that may be self-aiding or self-hindering. Specifically, self-efficacy appraisals determine the goals people set for themselves, whether they anticipate and visualize scenarios of success or failure, whether they embark on a course of action, how much effort they expend, and how long they persist in the face of obstacles. Self-efficacy expectations are different from outcome expectations. While outcome expectancies are beliefs that a given behavior will result in a certain outcome, self-efficacy refers to the belief in one’s ability to bring about this outcome. To put it simply, people may believe that something can happen, but whether they embark on a course of action depends on their perceived ability to make it happen. Relevance to Observation and Modeling Perhaps the most important contribution of social learning theory to the understanding of human behavior is the concept of vicarious, or observational, learning, also termed learning through modeling. Before the advent of social learning theory, many psychologists assigned a crucial role to the process of reinforcement in learning. They postulated that without performing responses that are followed by reinforcement or punishment, a person cannot learn. In contrast, Bandura asserted that much of social behavior is not learned from the consequences of trial and error but is acquired through symbolic modeling. People watch what other people do and what happens to them as a result of their actions. From such observations, they 788
Social Learning: Albert Bandura form ideas of how to perform new behaviors, and later this information guides their actions. Symbolic modeling is of great significance for human learning because of its enormous efficiency in transmitting information. Whereas trial-anderror learning requires the gradual shaping of the behavior of individuals through repetition and reinforcement, in observational learning, a single model can teach complex behaviors simultaneously to any number of people. According to Bandura, some elaborate and specifically human behavior patterns, such as language, might even be impossible to learn if it were not for symbolic modeling. For example, it seems unlikely that children learn to talk as a result of their parents’ reinforcing each correct utterance they emit. Rather, children probably hear and watch other members of their verbal community talk and then imitate their behavior. In a similar vein, complex behaviors such as driving a car or flying a plane are not acquired by trial and error. Instead, prospective drivers or pilots follow the verbal rules of an instructor until they master the task. In summary, Bandura’s social learning theory explains human action in terms of the interplay among behavior, cognition, and environmental influences. The theory places particular emphasis on cognitive mediating factors such as self-efficacy beliefs and outcome expectancies. Its greatest contribution to a general theory of human learning has been its emphasis on learning by observation or modeling. Observational learning has achieved the status of a third learning principle, next to classical and operant conditioning. Studies of Learning and Performance From its inception, social learning theory has served as a useful framework for the understanding of both normal and abnormal human behavior. A major contribution that has important implications for the modification of human behavior is the theory’s distinction between learning and performance. In a now-classic series of experiments, Bandura and his associates teased apart the roles of observation and reinforcement in learning and were able to demonstrate that people learn through mere observation. In a study on aggression, an adult model hit and kicked a life-size inflated clown doll (a “Bobo” doll), with children watching the attack in person or on a television screen. Other children watched the model perform some innocuous behavior. Later, the children were allowed to play in the room with the Bobo doll. All children who had witnessed the aggression, either in person or on television, viciously attacked the doll, while those who had observed the model’s innocuous behavior did not display aggression toward the doll. Moreover, it was clearly shown that the children modeled their aggressive behaviors after the adult. Those who had observed the adult sit on the doll and hit its face, or kick the doll, or use a hammer to pound it, imitated exactly these behaviors. Thus, the study accomplished its purpose by demonstrating that observational learning occurs in the absence of direct reinforcement. 789
Psychology Basics In a related experiment, Bandura showed that expected consequences, while not relevant for learning, play a role in performance. A group of children watched a film of an adult model behaving aggressively toward a Bobo doll and being punished, while another group observed the same behavior with the person being rewarded. When the children subsequently were allowed to play with the Bobo doll, those who had watched the model being punished displayed fewer aggressive behaviors toward the doll than those who had seen the model being rewarded. When the experimenter then offered a reward to the children for imitating the model, however, all children, regardless of the consequences they had observed, attacked the Bobo doll. This showed that all children had learned the aggressive behavior from the model but that observing the model being punished served as an inhibiting factor until it was removed by the promise of a reward. Again, this study showed that children learn without reinforcement, simply by observing how others behave. Whether they then engage in the behavior, however, depends on the consequences they expect will result from their actions. Disinhibitory Effects Models not only teach people novel ways of thinking and behaving but also can strengthen or weaken inhibitions. Seeing models punished may inhibit similar behavior in observers, while seeing models carry out feared or forbidden actions without negative consequences may reduce their inhibitions. The most striking demonstrations of the disinhibitory effects of observational learning come from therapeutic interventions based on modeling principles. Baudura, in his book Principles of Behavior Modification (1969), shows how social learning theory can provide a conceptual framework for the modification of a wide range of maladaptive behaviors. For example, a large number of laboratory studies of subjects with a severe phobia of snakes showed that phobic individuals can overcome their fear of reptiles when fearless adult models demonstrate how to handle a snake and directly assist subjects in coping successfully with whatever they dread. Self-Efficacy Mechanism In later elaborations, the scope of social learning theory was amplified to include self-efficacy theory. Self-efficacy is now considered the principal mechanism of behavior change, in that all successful interventions are assumed to operate by strengthening a person’s self-perceived efficacy to cope with difficulties. How can self-efficacy be strengthened? Research indicates that it is influenced by four sources of information. The most important influence comes from performance attainments, with successes heightening and failures lowering perceived self-efficacy. Thus, having people enact and master a difficult task most powerfully increases their efficacy percepts. A second influence comes from vicarious experiences. Exposing people to models 790
Social Learning: Albert Bandura works because seeing people similar to oneself successfully perform a difficult task raises one’s own efficacy expectations. Verbal persuasion is a third way of influencing self-efficacy. Convincing people that they have the ability to perform a task can encourage them to try harder, which indeed may lead to successful performance. Finally, teaching people coping strategies to lower emotional arousal can also increase self-efficacy. If subsequently they approach a task more calmly, the likelihood of succeeding at it may increase. Bandura and his associates conducted a series of studies to test the idea that vastly different modes of influence all improve coping behavior by strengthening self-perceived efficacy. Severe snake phobics received interventions based on enactive, vicarious, cognitive, or emotive treatment (a method of personality change that incorporates cognitive, emotional, and behavioral strategies, designed to help resist tendencies to be irrational, suggestible, and conforming) modalities. The results confirmed that the degree to which people changed their behavior toward the reptiles was closely associated with increases in self-judged efficacy, regardless of the method of intervention. It is now widely accepted among social learning theorists that all effective therapies ultimately work by strengthening people’s selfperceptions of efficacy. Theoretical Influences Social learning theory was born into a climate in which two competing and diametrically opposed schools of thought dominated psychology. On one hand, psychologists who advocated psychodynamic theories postulated that human behavior is governed by motivational forces operating in the form of largely unconscious needs, drives, and impulses. These impulse theories tended to give circular explanations, attributing behavior to inner causes that were inferred from the very behavior they were supposed to cause. They also tended to provide explanations after the fact, rather than predicting events, and had very limited empirical support. On the other hand, there were various types of behavior theory that shifted the focus of the causal analysis from hypothetical internal determinants of behavior to external, publicly observable causes. Behaviorists were able to show that actions commonly attributed to inner causes could be produced, eliminated, and reinstated by manipulating the antecedent (stimulus) and consequent (reinforcing) conditions of the person’s external environment. This led to the proposition that people’s behavior is caused by factors residing in the environment. Social learning theory presents a theory of human behavior that to some extent incorporates both viewpoints. According to Bandura, people are neither driven by inner forces nor buffeted by environmental stimuli; instead, psychological functioning is best explained in terms of a continuous reciprocal interaction of internal and external causes. This assumption, termed reciprocal determinism, became one of the dominant viewpoints in psychology. 791
Psychology Basics An initial exposition of social learning theory was presented in Bandura and Richard H. Walters’s text Social Learning and Personality Development (1963). This formulation drew heavily on the procedures and principles of operant and classical conditioning. In his later book Principles of Behavior Modification, Bandura placed much greater emphasis on symbolic events and self-regulatory processes. He argued that complex human behavior could not be satisfactorily explained by the narrow set of learning principles behaviorists had derived from animal studies. He incorporated principles derived from developmental, social, and cognitive psychology into social learning theory. Evolution of Theoretical Development During the 1970’s, psychology had grown increasingly cognitive. This development was reflected in Bandura’s 1977 book Social Learning Theory, which presented self-efficacy theory as the central mechanism through which people control their own behavior. Over the following decade, the influence of cognitive psychology on Bandura’s work grew stronger. In Social Foundations of Thought and Action, he finally disavowed his roots in learning theory and renamed his approach “social cognitive theory.” This theory accorded central roles to cognitive, vicarious, self-reflective, and self-regulatory processes. Social learning/social cognitive theory became the dominant conceptual approach within the field of behavior therapy. It has provided the conceptual framework for numerous interventions for a wide variety of psychological disorders and probably will remain popular for a long time. Bandura, its founder, was honored with the Award for Distinguished Scientific Contributions to Psychology from the American Psychological Foundation in 1980 in recognition of his work. Sources for Further Study Bandura, Albert. Principles of Behavior Modification. New York: Holt, Rinehart and Winston, 1969. Presents an overview of basic psychological principles governing human behavior within the conceptual framework of social learning. Reviews theoretical and empirical advances in the field of social learning, placing special emphasis on self-regulation and on symbolic and vicarious processes. Applies these principles to the conceptualization and modification of a number of common behavior disorders such as alcoholism, phobias, and sexual deviancy. __________. Social Foundations of Thought and Action: A Social Cognitive Theory. Englewood Cliffs, N.J.: Prentice-Hall, 1986. Presents a comprehensive coverage of the tenets of current social cognitive theory. Besides addressing general issues of human nature and causality, provides an impressive in-depth analysis of all important aspects of human functioning, including motivational, cognitive, and self-regulatory processes. __________. Social Learning Theory. Reprint. Englewood Cliffs, N.J.: PrenticeHall, 1986. Lays out Bandura’s theory and presents a concise overview of 792
Social Learning: Albert Bandura its theoretical and experimental contributions to the field of social learning. Redefines many of the traditional concepts of learning theory and emphasizes the importance of cognitive processes in human learning. Evans, Richard I. Albert Bandura, the Man and His Ideas: A Dialogue. New York: Praeger, 1989. An edited version of an interview with Bandura. Easy to read, presenting Bandura’s thoughts on the major aspects of his work in an accessible form. The spontaneity of the discussion between Evans and Bandura gives a glimpse of Bandura as a person. Feist, Jess, and Gregory Feist. Theories of Personality. 5th ed. Boston: McGrawHill, 2001. Chapter 11 of this book contains an excellent summary of Bandura’s work. Gives an easy-to-read overview of his philosophical position (reciprocal determinism), discusses his theory (including observational learning and self-regulatory processes), and presents a summary of relevant research conducted within the framework of social cognitive theory. An ideal starting point for those who would like to become familiar with Bandura’s work. Edelgard Wulfert See also: Aggression; Cognitive Behavior Therapy; Cognitive Social Learning: Walter Mischel; Learning; Phobias.
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Social Psychological Models Erich Fromm Type of psychology: Personality Fields of study: Humanistic-phenomenological models; psychodynamic and neoanalytic models Fromm studied the effects of political, economic, and religious institutions on human personality. Fromm’s work provides powerful insight into the causes of human unhappiness and psychopathology as well as ideas about how individuals and social institutions could change to maximize mental health and happiness. Key concepts • dynamic adaptation • escape from freedom • freedom from external constraints • freedom to maximize potential • mental health • personality • productive love • productive work The approach of Erich Fromm (1900-1980) to the study of human personality starts from an evolutionary perspective. Specifically, Fromm maintained that humans, like all other living creatures, are motivated to survive and that survival requires adaptation to their physical surroundings. Humans are, however, unique in that they substantially alter their physical surroundings through the creation and maintenance of cultural institutions. Consequently, Fromm believed, human adaptation occurs primarily in response to the demands of political, economic, and religious institutions. Fromm made a distinction between adaptations to physical and social surroundings that have no enduring impact on personality (static adaptation—for example, an American learning to drive on the left side of the road in England) and adaptation that does have an enduring impact on personality (dynamic adaptation—for example, a child who becomes humble and submissive in response to a brutally domineering, egomaniacal parent). Fromm consequently defined personality as the manner in which individuals dynamically adapt to their physical and social surroundings in order to survive and reduce anxiety. Human adaptation includes the reduction of anxiety for two reasons. First, because humans are born in a profoundly immature and helplessly dependent state, they are especially prone to anxiety, which, although unpleasant, is useful to the extent that it results in signs of distress (such as crying) which alert others and elicit their assistance. Second, infants eventually ma794
Social Psychological Models: Erich Fromm ture into fully self-conscious human beings who, although no longer helpless and dependent, recognize their ultimate mortality and essential isolation from all other living creatures. Fromm believed that humans have five basic inorganic needs (as opposed to organic needs associated with physical survival) resulting from the anxiety associated with human immaturity at birth and eventual selfconsciousness. The need for relatedness refers to the innate desire to acquire and maintain social relationships. The need for transcendence suggests that human beings have an inherent drive to become creative individuals. The need for rootedness consists of a sense of belonging to a social group. The need for identity is the need to be a unique individual. The need for a frame of orientation refers to a stable and consistent way of perceiving the world. Freedom and Individual Potential Mental health for Fromm consists of realizing one’s own unique individual potential, and it requires two kinds of freedom that are primarily dependent on the structure of a society’s political, economic, and religious institutions. Freedom from external constraints refers to practical concerns such as freedom from imprisonment, hunger, and homelessness. This is how many people commonly conceive of the notion of freedom. For Fromm, freedom from external constraints is necessary, but not sufficient, for optimal mental health, which also requires the freedom to maximize one’s individual potential. Freedom to maximize individual potential entails productive love and productive work. Productive love consists of interpersonal relationships based on mutual trust, respect, and cooperation. Productive work refers to daily activities that allow for creative expression and provide self-esteem. Fromm hypothesized that people become anxious and insecure if their need for transcendence is thwarted by a lack of productive work and love. Many people, he believed, respond to anxiety and insecurity by an “escape from freedom”: the unconscious adoption of personality traits that reduce anxiety and insecurity at the expense of individual identity. Personality Types and Freedom Escape Fromm described five personality types representing an escape from freedom. The authoritarian person reduces anxiety and insecurity by fusing himself or herself with another person or a religious, political, or economic institution. Fromm distinguished between sadistic and masochistic authoritarians: The sadistic type needs to dominate (and often hurt and humiliate) others, while the masochistic type needs to submit to the authority of others. The sadist and the masochist are similar in that they share a pathetic dependence on each other. Fromm used the people in Nazi Germany (masochists) under Adolf Hitler (a sadist) to illustrate the authoritarian personality type. 795
Psychology Basics Destructive individuals reduce anxiety and insecurity by destroying other persons or things. Fromm suggested that ideally people derive satisfaction and security through constructive endeavors, but noted that some people lack the skill and motivation to create and therefore engage in destructive behavior as an impoverished substitute for constructive activities. Withdrawn individuals reduce anxiety and insecurity by willingly or unwillingly refusing to participate in a socially prescribed conception of reality; instead, they withdraw into their own idiosyncratic versions of reality. In one social conception, for example, many devout Christians believe that God created the earth in six days, that Christ was born approximately two thousand years ago, and that he has not yet returned to Earth. The withdrawn individual might singularly believe that the earth was hatched from the egg of a giant bird a few years ago and that Christ had been seen eating a hamburger yesterday. Psychiatrists and clinicians today would generally characterize the withdrawn individual as psychotic or schizophrenic. Self-inflated people reduce anxiety and insecurity by unconsciously adopting glorified images of themselves as superhuman individuals who are vastly superior to others. They are arrogant, strive to succeed at the expense of others, are unable to accept constructive criticism, and avoid experiences that might disconfirm their false conceptions of themselves. Finally, Fromm characterized American society in the 1940’s as peopled by automaton conformists, who reduce anxiety and insecurity by unconsciously adopting the thoughts and feelings demanded of them by their culture. They are then no longer anxious and insecure, because they are like everyone else around them. According to Fromm, automaton conformists are taught to distrust and repress their own thoughts and feelings during childhood through impoverished and demoralizing educational and socializing experiences. The result is the acquisition of pseudothoughts and pseudofeelings, which people believe to be their own but which are actually socially infused. For example, Fromm contended that most Americans vote the same way that their parents do, although very few would claim that parental preference was the cause of their political preferences. Rather, most American voters would claim that their decisions are the result of a thorough and rational consideration of genuine issues (a pseudothought) instead of a mindless conformity to parental influence (a genuine thought—or, in this case, a nonthought). Impact of Historical Constraints In Escape from Freedom (1941), Fromm applied his theory of personality to a historical account of personality types by a consideration of how political, economic, and religious changes in Western Europe from the Middle Ages to the twentieth century affected “freedom from” and “freedom to.” Fromm argued that the feudal political system of the Middle Ages engendered very little freedom from external constraints. Specifically, there was limited physical mobility; the average person died in the same place that he or she 796
Social Psychological Models: Erich Fromm was born, and many people were indentured servants who could not leave their feudal lord even if they had somewhere to go. Additionally, there was no choice of occupation: One’s job was generally inherited from one’s father. Despite the lack of freedom from external constraints, however, economic and religious institutions provided circumstances that fostered freedom to maximize individual potential through productive work and productive love. Economically, individual craftsmanship was the primary means by which goods were produced. Although this was time-consuming and inefficient by modern standards, craftsmen were responsible for the design and production of entire products. A shoemaker would choose the design and materials, make the shoes, and sell the shoes. A finished pair of shoes thus represented a tangible manifestation of the creative energies of the producer, thus providing productive work. Additionally, the crafts were regulated by the guild system, which controlled access to apprenticeships and materials and set wages and prices in order to guarantee maximum employment and a fair profit to the craftsmen. The guilds encouraged relatively cooperative behavior between craftsmen and consequently engendered productive love. Productive love was also sustained by the moral precepts of the then-dominant Catholic church, which stressed the essential goodness of humankind, the idea that human beings had free will to choose their behavior on Earth and hence influence their ultimate fate after death, the need to be responsible for the welfare of others, and the sinfulness of extracting excessive profits from commerce and accumulating money beyond that which is necessary to exist comfortably. The dissolution of the feudal system and the consequent transition to parliamentary democracy and capitalism provided the average individual with a historically unprecedented amount of freedom from external constraints. Physical mobility increased dramatically as the descendants of serfs were able to migrate freely to cities to seek employment of their choosing; however, according to Fromm, increased freedom from external constraints was acquired at the expense of the circumstances necessary for freedom to maximize individual potential through productive work and productive love. Impact of Capitalism Capitalism shifted the focus of commerce from small towns to large cities and stimulated the development of fast and efficient means of production, but assembly-line production methods divested the worker of opportunities for creative expression. The assembly-line worker has no control over the design of a product, does not engage in the entire production of the product, and has nothing to do with the sale and distribution of the product. Workers in a modern automobile factory might put on hub caps or install radios for eight hours each day as cars roll by on the assembly line. They have 797
Psychology Basics no control over the process of production and no opportunity for creative expression, given the monotonous and repetitive activities to which their job confines them. In addition to the loss of opportunities to engage in productive work, the inherent competitiveness of capitalism undermined the relatively cooperative interpersonal relationships engendered by the guild system, transforming the stable small-town economic order into a frenzied free-for-all in which people compete with their neighbors for the resources necessary to survive, hence dramatically reducing opportunities for people to acquire and maintain productive love. Additionally, these economic changes were supported by the newly dominant Protestant churches (represented by the teachings of John Calvin and Martin Luther), which stressed the inherent evilness of humankind, the lack of free will, and the notion of predetermination—the idea that God has already decided prior to one’s birth if one is to be consigned to heaven or hell after death. Despite the absence of free will and the idea that an individual’s fate was predetermined, Protestant theologians claimed that people could get a sense of God’s intentions by their material success on Earth, thus encouraging people to work very hard to accumulate as much as possible (the so-called Protestant work ethic) as an indication that God’s countenance is shining upon them. Call to Embrace Positive Freedom In summary, Fromm argued that the average person in Western industrial democracies has freedom from external constraints but lacks opportunities to maximize individual potential through productive love and productive work; the result is pervasive feelings of anxiety and insecurity. Most people respond to this anxiety and insecurity by unconsciously adopting personality traits that reduce anxiety and insecurity, but at the expense of their individuality, which Fromm referred to as an escape from freedom. For Fromm, psychopathology is the general result of the loss of individuality associated with an escape from freedom. The specific manifestation of psychopathology depends on the innate characteristics of the individual in conjunction with the demands of the person’s social environment. Fromm argued that while escaping from freedom is a typical response to anxiety and insecurity, it is not an inevitable one. Instead, he urged people to embrace positive freedom through the pursuit of productive love and work, which he claimed would require both individual and social change. Individually, Fromm advocated a life of spontaneous exuberance made possible by love and being loved. He described the play of children and the behavior of artists as illustrations of this kind of lifestyle. Socially, Fromm believed strongly that the fundamental tenets of democracy should be retained but that capitalism in its present form must be modified to ensure every person’s right to live, to distribute resources more equitably, and to provide opportunities to engage in productive work. 798
Social Psychological Models: Erich Fromm Theoretical Influences Fromm’s ideas reflect the scientific traditions of his time as well as his extensive training in history and philosophy, in addition to his psychological background. Fromm is considered a neo-Freudian (along with Karen Horney, Harry Stack Sullivan, and others) because of his acceptance of some of Freud’s basic ideas (specifically, the role of unconsciously motivated behaviors in human affairs and the notion that anxiety-producing inclinations are repressed or prevented from entering conscious awareness) while rejecting Freud’s reliance on the role of biological instincts (sex and aggression) for understanding human behavior. Instead, the neo-Freudians were explicitly concerned with the influence of the social environment on personality development. Additionally, Fromm was very much influenced by Charles Darwin’s theory of evolution, by existential philosophy, and by the economic and social psychological ideas of Karl Marx. Fromm’s use of adaptation in the service of survival to define personality is derived from basic evolutionary theory. His analysis of the sources of human anxiety, especially the awareness of death and perception of isolation and aloneness, is extracted from existential philosophy. The notion that human happiness requires productive love and work and that capitalism is antithetical to mental health was originally proposed by Marx. Fromm’s work has never received the attention that it deserves in America because of his open affinity for some of Marx’s ideas and his insistence that economic change is utterly necessary to ameliorate the unhappiness and mental illness that pervade American society. Nevertheless, his ideas are vitally important from both a theoretical and practical perspective. Sources for Further Study Becker, Ernest. The Birth and Death of Meaning. 2d ed. Reprint. New York: Free Press, 1985. Becker presents a general description of Fromm’s ideas embedded in a broad interdisciplinary consideration of human social psychological behavior. Fromm, Erich. Anatomy of Human Destructiveness. 1973. Reprint. New York: Henry Holt, 1992. An in-depth examination of the destructive personality type. __________. The Art of Loving. 1956. Reprint. New York: HarperCollins, 2000. A detailed analysis of how to love and be loved. Distinguishes between genuine love and morbid dependency. __________. Escape from Freedom. 1941. Reprint. New York: Henry Holt, 1995. Fromm’s early seminal work, in which his basic theory about the relationship between political, economic, and religious institutions and personality development was originally articulated. All of Fromm’s later books are extensions of ideas expressed here. __________. Marx’s Concept of Man. 1962. Reprint. New York: Frederick Ungar, 1982. An introduction to Marx’s ideas, including a translation 799
Psychology Basics of Marx’s economic and philosophical manuscripts of 1844. __________. The Revolution of Hope: Toward a Humanized Technology. New York: Harper & Row, 1968. A detailed discussion of how capital-based economies can be transformed to provide opportunities for productive work without sacrificing productive efficiency, technological advances, or democratic political ideals. Sheldon Solomon See also: Psychoanalytic Psychology and Personality: Sigmund Freud; Self; Self-Esteem; Social Psychological Models: Karen Horney.
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Social Psychological Models Karen Horney Type of psychology: Personality Fields of study: Personality theory; psychodynamic and neoanalytic models; psychodynamic therapies Horney’s social psychoanalytic theory focuses on how human relationships and cultural conditions influence personality formation. The theory describes how basic anxiety, resulting from childhood experiences, contributes to the development of three neurotic, compulsive, rigid personality styles: moving toward others, moving away from others, and moving against others. Normal personality is characterized by flexibility and balance among interpersonal styles. Key concepts • basic anxiety • externalization • idealized self • neurosis • neurotic trends • search for glory • self-realization • tyranny of the should Karen Horney (1885-1952) spent the major part of her career explaining how personality patterns, especially neurotic patterns, are formed, how they operate, and how they can be changed in order to increase individual potential. In contrast to Sigmund Freud’s view that people are guided by instincts and the pleasure principle, Horney proposed that people act out desires to achieve safety and satisfaction in social relationships. She was optimistic about the possibility for human growth and believed that, under conditions of acceptance and care, people move toward self-realization, or the development of their full potential. She wrote almost exclusively, however, about personality problems and methods for solving them. Role of Culture Horney believed that it is impossible to understand individuals or the mechanisms of neurosis (inflexible behaviors and reactions, or discrepancies between one’s potential and one’s achievements) apart from the cultural context in which they exist. Neurosis varies across cultures, as well as within the same culture, and it is influenced by socioeconomic class, gender, and historical period. For example, in The Neurotic Personality of Our Time (1937), Horney noted that a person who refuses to accept a salary increase in a Western culture might be seen as neurotic, whereas in a Pueblo Indian culture, this person might be seen as entirely normal. 801
Psychology Basics The neurotic person experiences culturally determined problems in an exaggerated form. In Western culture, competitiveness shapes many neurotic problems because it decreases opportunities for cooperation, fosters a climate of mistrust and hostility, undermines self-esteem, increases isolation, and encourages people to be more concerned with how they appear to others than with fulfilling personal possibilities. It fosters the overvaluing of external success, encourages people to develop grandiose images of superiority, and leads to intensified needs for approval and affection as well as to the distortion of love. Moreover, the ideal of external success is contradicted by the ideal of humility, which leads to further internal conflict and, in many cases, neurosis. Role of the Family Cultural patterns are replicated and transmitted primarily in family environments. Ideally, a family provides the warmth and nurturance that prepares children to face the world with confidence. When parents have struggled unsuccessfully with the culture, however, they create the conditions that
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Karen Horney. (Courtesy of Marianne Horney Eckardt, M.D.) 802
Social Psychological Models: Karen Horney lead to inadequate parenting. In its most extreme form, the competitiveness of the larger culture leads to child abuse, but it can also lead to parents’ preoccupation with their own needs, an inability to love and nurture effectively, or a tendency to treat children as extensions of themselves. Rivalry, overprotectiveness, irritability, partiality, and erratic behavior are other manifestations of parental problems. Within a negative environment, children experience fear and anger, but they also feel weak and helpless beside more powerful adults. They recognize that expressing hostility directly might be dangerous and result in parental reprisals or loss of love. As a result, children repress legitimate anger, banishing it to the unconscious. By using the defense mechanism of reaction formation, they develop emotions toward parents that are the opposite of anger, and they experience feared parents as objects of admiration. Children unconsciously turn their inner fears and anger against themselves and lose touch with their real selves. As a result, they develop basic anxiety, or the feeling of being alone and defenseless in a world that seems hostile. Defense and Coping Strategies In order to cope with basic anxiety, individuals use additional defensive strategies or neurotic trends to cope with the world. These involve three primary patterns of behavior: moving away from others, moving toward others, and moving against others. In addition, neurotic individuals develop an idealized self, an unrealistic, flattering distortion of the self-image that encourages people to set unattainable standards, shrink from reality, and compulsively search for glory (compulsive and insatiable efforts to fulfill the demands of the idealized self) rather than accept themselves as they are. Horney wrote about these in rich detail in Our Inner Conflicts: A Constructive Theory of Neurosis (1945), a highly readable book. The person who moves toward others believes: “If I love you or give in, you will not hurt me.” The person who moves against others believes: “If I have power, you will not hurt me.” The person who moves away from others thinks: “If I am independent or withdraw from you, you will not hurt me.” The person who moves toward others has chosen a dependent or compliant pattern of coping. The person experiences strong needs for approval, belonging, and affection and strives to live up to the expectations of others through behavior that is overconsiderate and submissive. This person sees love as the only worthwhile goal in life and represses all competitive, hostile, angry aspects of the self. The moving-against type, who has adopted an aggressive, tough, exploitive style, believes that others are hostile, that life is a struggle, and that the only way to survive is to win and to control others. This person sees herself or himself as strong and determined, and represses all feelings of affection for fear of losing power over others. Finally, the movingaway type, who has adopted a style of detachment and isolation, sees himself or herself as self-sufficient, private, and superior to others. This person re803
Psychology Basics presses all emotion and avoids any desire or activity that would result in dependency on others. The interpersonal patterns that Horney discussed are no longer known as neurotic styles but as personality disorders. Many of the behaviors that she described can be seen in descriptions of diagnostic categories that appear in the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders: DSM-IV-TR (rev. 4th ed., 2000), such as dependent personality disorder, narcissistic personality disorder, and obsessive-compulsive personality disorder. Like Horney’s original criteria, these categories describe inflexible and maladaptive patterns of behavior and thinking that are displayed in various environments and result in emotional distress or impaired functioning. Use of Psychoanalysis In her practice of psychoanalysis, Horney used free association and dream analysis to bring unconscious material to light. In contrast to Freud’s more passive involvement with patients, she believed that the psychoanalyst should play an active role not only in interpreting behavior but also in inquiring about current behaviors that maintain unproductive patterns, suggesting alternatives, and helping persons mobilize energy to change. Horney also made psychoanalysis more accessible to the general population. She suggested that by examining oneself according to the principles outlined in her book Self-Analysis (1942), one could increase self-understanding and gain freedom from internal issues that limit one’s potential. Her suggestions indicate that a person should choose a problem that one could clearly identify, engage in informal free association about the issue, reflect upon and tentatively interpret the experience, and make specific, simple choices about altering problematic behavior patterns. Complex, long-standing issues, however, should be dealt with in formal psychoanalysis. Influences Horney was one of the first individuals to criticize Freud’s psychology of women. In contrast to Freudian instinct theory, she proposed a version of psychoanalysis that emphasized the role that social relationships and culture play in human development. She questioned the usefulness of Freud’s division of the personality into the regions of the id, ego, and superego, and she viewed the ego as a more constructive, forward-moving force within the person. Horney’s work was enriched by her contact with psychoanalysts Harry Stack Sullivan, Clara Thompson, and Erich Fromm, who also emphasized the role of interpersonal relationships and sociocultural factors and were members at Horney’s American Institute of Psychoanalysis when it was first established. Horney’s work also resembled Alfred Adler’s personality theory. Her concepts of the search for glory and idealized self are similar to Adler’s concepts of superiority striving and the superiority complex. Fur804
Social Psychological Models: Karen Horney thermore, Adler’s ruling type resembles the moving-against personality, his getting type is similar to the moving-toward personality, and his avoiding type is closely related to the moving-away personality. Contributions to the Field Horney anticipated many later developments within cognitive, humanistic, and feminist personality theory and psychotherapy. Abraham Maslow, who was inspired by Horney, built his concept of self-actualization on Horney’s optimistic belief that individuals can move toward self-realization. Carl Rogers’s assumptions that problems are based on distortions of real experience and discrepancies between the ideal and real selves are related to Horney’s beliefs that unhealthy behavior results from denial of the real self as well as from conflict between the idealized and real selves. In the field of cognitive psychotherapy, Albert Ellis’s descriptions of the mechanisms of neurosis resemble Horney’s statements. He borrowed the phrase “tyranny of the should” from Horney and placed strong emphasis on how “shoulds” influence irrational, distorted thinking patterns. Finally, Horney’s notion that problems are shaped by cultural patterns is echoed in the work of feminist psychotherapists, who believe that individual problems are often the consequence of external, social problems. Sources for Further Study Horney, Karen. Neurosis and Human Growth: The Struggle Toward Self-Realization. 1950. Reprint. New York: W. W. Norton, 1991. Presents Horney’s theory in its final form. Describes the ways in which various neurotic processes operate, including the tyranny of the should, neurotic claims, selfalienation, and self-contempt. Discusses faulty, neurotic solutions that are developed as a way to relieve internal tensions through domination, dependency, resignation, or self-effacement. __________. The Neurotic Personality of Our Time. 1937. Reprint. New York: W. W. Norton, 1994. Outlines the manner in which culture influences personality difficulties and describes typical behavior problems that result from the exaggeration of cultural difficulties in one’s life. __________. New Ways in Psychoanalysis. 1939. Reprint. New York: W. W. Norton, 2000. Describes major areas of agreement and disagreement with Sigmund Freud as well as important elements of Horney’s theory; highly controversial when first published. __________. Our Inner Conflicts: A Constructive Theory of Neurosis. 1945. Reprint. New York: W. W. Norton, 1993. Identifies and describes, through rich detail and examples, the three neurotic trends of moving toward others, moving away from others, and moving against others. Highly readable and a good introduction to Horney’s main ideas. __________. Self-Analysis. 1942. Reprint. New York: W. W. Norton, 1994. Provides guidance for readers who may wish to engage in informal free association, self-discovery, and personal problem solving. 805
Psychology Basics Quinn, Susan. A Mind of Her Own: The Life of Karen Horney. Reading, Mass.: Addison-Wesley, 1988. Readable, honest, fascinating biography of Horney’s life; provides insights into personal factors that influenced Horney’s theoretical and clinical work. Westkott, Marcia. The Feminist Legacy of Karen Horney. New Haven, Conn.: Yale University Press, 1986. This book integrates Karen Horney’s early papers on the psychology of women with the more complete personality theory that emerged over time. Carolyn Zerbe Enns See also: Individual Psychology: Alfred Adler; Psychoanalysis; Psychoanalytic Psychology and Personality: Sigmund Freud; Social Psychological Models: Erich Fromm; Women’s Psychology: Karen Horney; Women’s Psychology: Sigmund Freud.
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Speech Disorders Type of psychology: Language Fields of study: Behavioral therapies; infancy and childhood; organic disorders Speech disorders may have an organic or learned origin, and they often affect a person’s ability to communicate efficiently. As a result of a speech disorder, a person may exhibit a number of effects on behavior, such as the avoidance of talking with others and low self-esteem. Key concepts • communication • self-esteem • social interaction • speech • vocal folds The ability to communicate is one of the most basic human characteristics. Communication is essential to learning, working, and, perhaps most important, social interaction. Normal communication involves hearing sounds, interpreting and organizing sounds, and making meaningful sounds. The ear takes in sounds, changes them into electrical impulses, and relays these impulses to the brain. The brain interprets the impulses, assigns meaning, and prepares a response. This response is then coded into the precisely coordinated changes in muscles, breath, vocal folds, tongue, jaw, lips, and so on that produce understandable speech. Between 5 percent and 10 percent of Americans experience speech or language difficulties, often referred to as speech disorders. For these individuals, a breakdown occurs in one of the processes of normal communication described above. People with speech disorders may exhibit one or more of the following problems: They may be difficult to understand, use and produce words incorrectly, consistently use incorrect grammar, be unable to hear appropriately or to understand others, consistently speak too loudly, demonstrate a hesitating speech pattern, or simply be unable to speak. Speech disorders can be categorized as one of three disorder types: disorders of articulation, of fluency, or of voice. Articulation disorders are difficulties in the formation and stringing together of sounds to produce words. Fluency disorders, commonly referred to as stuttering, are interruptions in the flow or rhythm of speech. Finally, voice disorders are characterized by deviations in a person’s voice quality, pitch, or loudness. Types of Speech Disorders Articulation disorders are the most common types of speech errors in children. Articulation errors may take the form of substitutions, omissions, or distortions of sounds. An example of a substitution would be the substitu807
Psychology Basics tion of the w sound for the r sound, as in “wabbit” for “rabbit.” Substitutions are the most common form of articulation errors. An example of an omission would be if the d sound was left out of the word “bed,” as in “be_.” Finally, sounds can also be distorted, as in “shleep” for “sleep.” Stuttering is defined as an interruption in the flow or rhythm of speech. Stuttering can be characterized by hesitations, interjections, repetitions, or prolongations of a sound, syllable, word, or phrase. “I wa-wa-want that” is an example of a part-word repetition, while “I, I, I want that” is an example of a whole-word repetition. When a word or group of words such as “uh,” “you know,” “well,” or “oh” is inserted into an utterance, it is termed an interjection. “I want uh, uh, you know, uh, that” is an example of a sentence containing interjections. There may also be secondary behaviors associated with
DSM-IV-TR Criteria for Speech Disorders Phonological Disorder (DSM code 315.39) Failure to use developmentally expected speech sounds appropriate for age and dialect Examples include errors in sound production, use, representation, or organization (substitutions of one sound for another, omissions of sounds such as final consonants) Speech sound production difficulties interfere with academic or occupational achievement or with social communication If mental retardation, speech-motor or sensory deficit, or environmental deprivation is present, speech difficulties exceed those usually associated with these problems Stuttering (DSM code 307.0) Disturbance in the normal fluency and time patterning of speech inappropriate for age Characterized by frequent occurrences of one or more of the following: • sound and syllable repetitions • sound prolongations • interjections • broken words (such as pauses within a word) • audible or silent blocking (filled or unfilled pauses in speech) • circumlocutions (word substitutions to avoid problematic words) • words produced with an excess of physical tension • monosyllabic whole-word repetitions Fluency disturbance interferes with academic or occupational achievement or with social communication If speech-motor or sensory deficit is present, speech difficulties exceed those usually associated with these problems
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Speech Disorders stuttering. In order for an individual to extricate himself or herself from a stuttering incident, secondary behaviors may be used. A stutterer may blink the eyes, turn the head, tap his or her leg, look away, or perform some other interruptive behavior to stop the stuttering. In therapy, secondary behaviors are very difficult to extinguish. While articulation disorders and stuttering are often seen in children, voice disorders are common among adults. Voice disorders are categorized into disorders of pitch, intensity, nasality, and quality. A person with a voice disorder of pitch may have a vocal pitch which is too high. A person may speak too softly and thus exhibit a voice disorder of intensity. Still others may sound as though they talk through their nose (hypernasality) or always have a cold (hyponasality). The most common voice disorder is a disorder of quality. Examples of disorders of vocal quality include a voice that sounds hoarse, breathy, harsh, or rough. This type of voice disorder may be caused by vocal abuse, or an overusage of the voice, and might be found among singers, actors, or other individuals who abuse or overuse their voices. If the vocal abuse continues, vocal nodules (like calluses) may appear on the vocal folds. Vocal nodules may be surgically removed, and a person may be put on an extended period of vocal rest. Speech disorders may be caused by a variety of factors. They may result from physical problems, health problems, or other problems. Physical problems such as cleft lip and palate, misaligned teeth, difficulty in controlling movements of the tongue, injury to the head, neck, or spinal cord, poor hearing, mental retardation, and cerebral palsy can contribute to poor articulation. The exact causes of stuttering are not known; however, a variety of factors are thought to be involved, including learning problems, emotional difficulties, biological defects, and neurological problems. Problems with voice quality can be caused by too much strain on the vocal folds (for example, yelling too much or clearing the throat too often), hearing loss, inflammation or growths on the vocal folds (vocal nodules), or emotional problems. Speech and Communication Speaking, hearing, and understanding are essential to human communication. A disorder in one or more of these abilities can interfere with a person’s capacity to communicate. Impaired communication can influence all aspects of life, creating many problems for an individual. Behavioral effects resulting from the speech disorder can be found in both children and adults. Children with speech disorders can experience difficulties in learning and find it hard to establish relationships with others. Speech disorders in adults can adversely affect social interactions and often create emotional problems, which may interfere with a person’s ability to earn a living. Disorders such as those described above can interfere with a person’s relationships, independence, well-being, and ability to learn. People who have trouble communicating thoughts and ideas may have trouble relating to others, 809
Psychology Basics possibly resulting in depression and isolation. Furthermore, job opportunities are often limited for people who cannot communicate effectively. Thus, they may have trouble leading independent, satisfying lives. Emotional problems may develop in people who exhibit speech disorders as a result of embarrassment, rejection, or poor self-image. Finally, learning is difficult and frustrating for people with speech disorders. As a consequence, their performance and progress at school and on the job can suffer. When trying to communicate with others, individuals with speech disorders may experience other negative behavioral effects as a result of the disorder. These effects include frustration, anxiety, guilt, and hostility. The emotional experience of speech-disordered persons is often a result of their experiences in trying to communicate with others. Both the listener and the speech-disordered person react to the disordered person’s attempts to communicate. In addition, the listener’s reactions may influence the disordered individual. These reactions may include embarrassment, guilt, frustration, and anger and may cause the disordered individual to experience a sense of helplessness that can subsequently lower the person’s sense of self-worth. Many speech-disordered people respond to their problem by being overly aggressive, by denying its existence, by projecting reactions in listeners, or by feeling anxious or timid. Treatment and Prevention Treatment of speech disorders attempts to eliminate or minimize the disorder and related problems. Many professionals may be involved in providing therapy, special equipment, or surgery. In therapy, specialists teach clients more effective ways of communicating. They may also help families learn to communicate with the disordered individual. Therapy may also include dealing with the negative behavioral effects of having a speech disorder, such as frustration, anxiety, and a feeling of low self-worth. In some cases, surgery can correct structural problems that may be causing speech disorders, such as cleft palate or misaligned teeth. For children with articulation disorders, therapy begins with awareness training of the misarticulations and the correct sound productions. After awareness is established, the new sound’s productions are taught. For individuals who exhibit voice disorders, therapy is designed to find the cause of the disorder, eliminate or correct the cause, and retrain the individuals to use their voices correctly. Therapy for stutterers, however, is an entirely different matter. There are many methods for treating stuttering. Some are called “cures,” while others help individuals live with their stuttering. Still other types of stuttering therapy help the stutterer overcome his or her fear of communicating or help him or her develop a more normal breathing pattern. Though there are many ways to treat speech disorders, disorder prevention is even more important. Certain things can be done to help prevent many speech disorders. All the methods focus on preventing speech disorders in childhood. Children should be encouraged to talk, but they should 810
Speech Disorders not be pushed into speaking. Pushing a child may cause that child to associate anxiety or frustration with communicating. Infants do not simply start talking; they need to experiment with their voice, lips, and tongue. This experimentation is often called babbling, and it should not be discouraged. Later on, one can slowly introduce words and help with correct pronunciation. When talking with young children, one should talk slowly and naturally, avoiding “baby talk.” Children will have difficulty distinguishing between the baby-talk word (for example, “baba”) and the real word (“bottle”). Having children point to and name things in picture books and in realworld surroundings allows them to put labels (words) on the objects in their environment. Increases in the number of labels a child has learned can subsequently increase the number of topics about which the child can communicate. It is most important to listen to what the child is trying to say rather than to how the child is saying it. Such prevention strategies will encourage positive behavioral effects regarding the act of communicating. These positive effects include feelings of self-efficiency, independence, and a positive self-image. Speech-Language Pathology Early identification of a speech disorder improves the chances for successful treatment, and early treatment can help prevent a speech disorder from developing into a lifelong handicap. Professionals who identify, evaluate, and treat communication disorders in individuals have preparations in the field of speech-language pathology. A speech-language pathologist is a professional who has been educated in the study of human communication, its development, and its disorders. By evaluating the speech and language skills of children and adults, the speech-language pathologist determines if communication problems exist and decides on the most appropriate way of treating these problems. Speech-language pathology services are provided in many public and private schools, community clinics, hospitals, rehabilitation centers, private practices, health departments, colleges and universities, and state and federal governmental agencies. There are more than fourteen hundred clinical facilities and hundreds of full-time private practitioners providing speech services to people throughout the United States. Service facilities exist in many cities in every state. A speech-language pathologist will have a master’s or doctoral degree and should hold a Certificate of Clinical Competence (CCC) from the American Speech-Language-Hearing Association or a license from his or her state. Responsibilities of a speech-language pathologist include evaluation and diagnosis, therapy, and referral to other specialists involved with speech disorders. By gathering background information and by direct observation and testing, the speech-language pathologist can determine the extent of the disorder as well as a probable cause. The speech-language pathologist chooses an appropriate treatment to correct or lessen the communication 811
Psychology Basics problem and attempts to help the patient and family understand the problem. When other treatment is needed to correct the problem, the patient is referred to another specialist. Audiologists, special educators, psychologists, social workers, neurologists, pediatricians, otolaryngologists (also known as ear, nose, and throat specialists), and other medical and dental specialists may be involved in the diagnosis and treatment of a speech disorder. For example, psychologists may be best suited to treat the emotional or behavioral aspects of having a speech disorder (that is, anxiety, frustration, anger, denial, and so on). Otolaryngologists are often involved in the diagnosis of voice disorders. Audiologists determine whether an individual’s hearing is affecting or causing a speech disorder. Speech disorders can affect anyone at any time. The chances are good that everyone at one time has either had or known someone with a speech disorder. Because communication is so overwhelmingly a part of life, disordered speech is not something to take lightly. With good prevention, early identification, and early treatment, lifelong difficulties with communication can be prevented. Sources for Further Study Curlee, Richard F. “Counseling in Speech, Language, and Hearing.” Seminars in Speech and Language 9, no. 3 (1988). In his introductory article to this issue, Curlee presents a clear and interesting overview of counseling strategies for the speech-language pathologist. Counseling of parents and spouses of persons with speech disorders is detailed. Riekehof, Lottie L. The Joy of Signing. 2d ed. Springfield, Mo.: Gospel Publishing House, 1987. A comprehensive book of sign language. Includes origins of the signs, usage of the signs, and sign variations. Shames, George H., and Norma B. Anderson, eds. Human Communication Disorders. Boston: Allyn & Bacon, 2001. This general text covers a wide range of communication disorders. Includes a section on speech-language pathology as a profession. Also includes sections on cleft palate, aphasia, and cerebral palsy. The Speech Foundation of America. Counseling Stutterers. Memphis, Tenn.: Author, 1989. The Speech Foundation of America is a nonprofit, charitable organization dedicated to the prevention and treatment of stuttering. It provides a variety of low-cost publications about stuttering and stuttering therapy. This publication is written to give clinicians a better understanding of the counseling aspect of therapy and to suggest ways in which it can be used most effectively. __________. Therapy for Stutterers. Memphis, Tenn.: Author, 1989. A general guide to help those who work or plan to work in therapy with adult and older-adolescent stutterers. Jennifer A. Sanders Wann and Daniel L. Wann See also: Language. 812
Stress Type of psychology: Stress Fields of study: Coping; critical issues in stress; stress and illness The stress response consists of physiological arousal, subjective feelings of discomfort, and the behavioral changes people experience when they confront situations that they appraise as dangerous or threatening. Because extreme situational or chronic stress causes emotional distress and may impair physical functioning, it is important to learn effective stress coping strategies. Key concepts • cognitive appraisal • emotion-focused coping • learned helplessness • problem-focused coping • stressor In the past, the term “stress” designated both a stimulus (a force or pressure) and a response (adversity, affliction). More recently, it has usually been used to denote a set of changes that people undergo in situations that they appraise as threatening to their well-being. These changes involve physiological arousal, subjective feelings of discomfort, and overt behaviors. The terms “anxiety” and “fear” are also used to indicate what people experience when they appraise circumstances as straining their ability to cope with them. The external circumstances that induce stress responses are called stressors. Stressors have a number of important temporal components. Exposure to them may be relatively brief, with a clear starting and stopping point (acute stressors), or may persist for extended periods without clear demarcation (chronic stressors). Stressors impinge on people at different points in their life cycles, sometimes occurring “off time” (at times that are incompatible with personal and societal expectations of their occurrence) or at a “bad time” (along with other stressors). Finally, stress may be induced by the anticipation of harmful circumstances that one thinks one is likely to confront, by an ongoing stressor, or by the harmful effects of stressors already encountered. All these factors affect people’s interpretations of stressful events, how they deal with them, and how effective they are at coping with them. Although there are some situations to which almost everyone responds with high levels of stress, there are individual differences in how people respond to situations. Thus, though most people cringe at the thought of having to parachute from an airplane, a substantial minority find this an exciting, challenging adventure. Most people avoid contact with snakes, yet others keep them as pets. For most people, automobiles, birds, and people with deep voices are largely neutral objects, yet for others they provoke a stress reaction that may verge on panic. 813
Psychology Basics The key concept is cognitive appraisal. Situations become stressors for an individual only if they are construed as threatening or dangerous by that individual. As demonstrated in a study of parachuters by psychologists Walter D. Fenz and Seymour Epstein, stress appraisals can change markedly over the course of exposure to a stressor, and patterns of stress arousal differ as a function of experience with the stressor. Fenz and Epstein found that fear levels of veteran jumpers (as evaluated by a self-report measure) were highest the morning before the jump, declined continuously up to the moment of the jump, and then increased slightly until after landing. Fear levels for novice jumpers, in contrast, increased up to a point shortly before the jump and then decreased continuously. For both groups, the peak of stress occurred during the anticipatory period rather than at the point of the greatest objective danger, the act of jumping. Measuring Stress Stress reactions are measured in three broad ways: by means of self-report, through behavioral observations, and on the basis of physiological arousal. The self-report technique is the technique most commonly used by behavioral scientists to evaluate subjective stress levels. The State Anxiety Scale of the State-Trait Anxiety Inventory, developed by psychologist Charles Spielberger, is one of the most widely used self-report measures of stress. Examples of items on this scale are “I am tense,” “I am worried,” and “I feel pleasant.” Subjects are instructed to respond to the items in terms of how they currently feel. Self-report state anxiety scales may be administered and scored easily and quickly. Further, they may be administered repeatedly and still provide valid measures of momentary changes in stress levels. They have been criticized by some, however, because they are face valid (that is, their intent is clear); therefore, people who are motivated to disguise their stress levels can readily do so. Overt behavioral measures of stress include both direct and indirect observational measures. Direct measures focus on behaviors associated with stress-related physiological arousal such as heavy breathing, tremors, and perspiration; self-manipulations such as nail biting, eyeblinks, and postural orientation; and body movement such as pacing. Speech disturbances, both verbal (for example, repetitions, omissions, incomplete sentences, and slips of the tongue) and nonverbal (for example, pauses and hand movements), have been analyzed intensively, but no single measure or pattern has emerged as a reliable indicant of stress. Another way in which people commonly express fear reactions is by means of facial expressions. This area has been studied by psychologists Paul Ekman and Wallace V. Friesen, who concluded that the facial features that take on the most distinctive appearance during fear are the eyebrows (raised and drawn together), the eyes (open, lower lid tensed), and the lips (stretched back). 814
Stress Indirect observational measures involve evaluating the degree to which people avoid feared objects. For example, in one test used by clinical psychologists to assess fear level, an individual is instructed to approach a feared stimulus (such as a snake) and engage in increasingly intimate interactions with it (for example, looking at a caged snake from a distance, approaching it, touching it, holding it). The rationale is that the higher the level of fear elicited, the earlier in the sequence the person will try to avoid the feared stimulus. Other examples include asking claustrophobics (people who are fearful of being in an enclosed space) to remain in a closed chamber as long as they can and asking acrophobics (people who fear heights) to climb a ladder and assessing their progress. Physiological arousal is an integral component of the stress response. The most frequently monitored response systems are cardiovascular responses, electrodermal responses, and muscular tension. These measures are important in their own right as independent indicants of stress level, and in particular as possible indices of stress-related diseases. Ulcers and Learned Helplessness The concept of stress has been used to help explain the etiology of certain diseases. Diseases that are thought to be caused in part by exposure to stress or poor ability to cope with stress are called psychophysiological or psychosomatic disorders. Among the diseases that seem to have strong psychological components are ulcers and coronary heart disease. The role of stress in ulcers was highlighted in a study by Joseph V. Brady known as the “executive monkey” study. In this study, pairs of monkeys were yoked together in a restraining apparatus. The monkeys received identical treatment except that one member of each pair could anticipate whether both of them would be shocked (it was given a warning signal) and could control whether the shock was actually administered (if it pressed a lever, the shock was avoided). Thus, one monkey in each pair (the “executive monkey”) had to make decisions constantly and was responsible for the welfare of both itself and its partner. Twelve pairs of monkeys were tested, and in every case the executive monkey died of peptic ulcers within weeks, while the passive member of each pair remained healthy. This experiment was criticized because of flaws in its experimental design, but it nevertheless brought much attention to the important role that chronic stress can play in the activation of physiological processes (in this case, the secretion of hydrochloric acid in the stomach in the absence of food) that can be damaging or even life threatening. Although being in the position of a business executive who has to make decisions constantly can be very stressful, research indicates that it may be even more damaging to be exposed to stress over long periods and not have the opportunity to change or control the source of stress. People and animals who are in aversive situations over which they have little or no control for prolonged periods are said to experience learned helplessness. This concept was introduced by psychologist Martin E. P. Seligman and his col815
Psychology Basics leagues. In controlled research with rats and dogs, he and his colleagues demonstrated that exposure to prolonged stress that cannot be controlled produces emotional, motivational, and cognitive deficits. The animals show signs of depression and withdrawal, they show little ability or desire to master their environment, and their problem-solving ability suffers. Learned helplessness has also been observed in humans. Seligman refers to Bruno Bettelheim’s descriptions of some of the inmates of the Nazi concentration camps during World War II, who, when faced with the incredible brutality and hopelessness of their situation, gave up and died without any apparent physical cause. Many institutionalized patients (for example, nursing home residents and the chronically ill) also live in environments that are stressful because they have little control over them. Seligman suggests that the stress levels of such patients can be lowered and their health improved if they are given as much control as possible over their everyday activities (such as choosing what they want for breakfast, the color of their curtains, and whether to sleep late or wake up early). Stress and Control Research findings have supported Seligman’s suggestions. For example, psychologists Ellen Langer and Judith Rodin told a group of elderly nursing home residents that they could decide what they wanted their rooms to look like, when they wanted to go see motion pictures, and with whom they wanted to interact. A second, comparable group of elderly residents, who were randomly assigned to live on another floor, were told that the staff would care for them and try to keep them happy. It was found that the residents in the first group became more active and reported feeling happier than those in the second group. They also became more alert and involved in different kinds of activities, such as attending movies and socializing. Further, during the eighteen-month period following the intervention, 15 percent of the subjects in the first group died, whereas 30 percent of the subjects in the second group died. Altering people’s perception of control and predictability can also help them adjust to transitory stressful situations. Studies by psychologists Stephen Auerbach, Suzanne Miller, and others have shown that for people who prefer to deal with stress in active ways (rather than by avoiding the source of stress), adjustment to stressful surgical procedures and diagnostic examinations can be improved if they are provided with detailed information about the impending procedure. It is likely that the information enhances their sense of predictability and control in an otherwise minimally controllable situation. Others, who prefer to control their stress by “blunting” the stressor, show better adjustment when they are not given detailed information. Reaction to Stress Physiologist Walter B. Cannon was among the first scientists to describe how people respond to stressful circumstances. When faced with a threat, one’s 816
Stress body mobilizes for “fight or flight.” One’s heart rate increases, one begins to perspire, one’s muscles tense, and one undergoes other physiological changes to prepare for action either to confront the stressor or to flee the situation. Physician Hans Selye examined the fight-or-flight response in more detail by studying physiological changes in rats exposed to stress. He identified three stages of reaction to stress, which he collectively termed the general adaptation syndrome (GAS). This includes an initial alarm reaction, followed by a stage of resistance, and finally by a stage of exhaustion, which results from long-term unabated exposure to stress and produces irreversible physiological damage. Selye also brought attention to the idea that not only clearly aversive events (for example, the death of a spouse or a jail sentence) but also events that appear positive (for example, a promotion at work or meeting new friends) may be stressful because they involve changes to which people must adapt. Thus, these ostensibly positive events (which he called eustress) will produce the nonspecific physiological stress response just as obviously negative events (which he called distress) will. How an individual cognitively appraises an event is the most important determinant of whether that event will be perceived as stressful by that person. Psychologist Richard Lazarus has delineated three important cognitive mechanisms (primary appraisals, secondary appraisals, and coping strategies) that determine perceptions of stressfulness and how people alter appraisals. Primary appraisal refers to an assessment of whether a situation is neutral, challenging, or potentially harmful. When a situation is judged to be harmful or threatening, a secondary appraisal is made of the coping options or maneuvers that the individual has at his or her disposal. Actual coping strategies that may be used are problem focused (those that involve altering the circumstances that are eliciting the stress response) or emotion focused (those that involve directly lowering physiological arousal or the cognitive determinants of the stress response). Psychologists have used concepts such as these to develop stress management procedures that help people control stress in their everyday lives. Sources for Further Study Goldberger, Leo, and Shlomo Breznitz, eds. The Handbook of Stress: Theoretical and Clinical Aspects. 2d ed. New York: Free Press, 1993. A wide-ranging collection of essays on the diagnosis and treatment of stress. A good starting point for investigating the field. Greenberg, Jerrold S. Comprehensive Stress Management. 7th ed. New York: McGraw-Hill, 2001. An easy-to-read text giving an overview of psychological and physiological stress responses and stress-management techniques. Separate sections on applications to occupational stress, the college student, the family, and the elderly. Janis, Irving Lester. Psychological Stress. 1958. Reprint. New York: Academic Press, 1974. Describes some of Janis’s early investigations evaluating rela817
Psychology Basics tionships between stress and behavior. The focus is on his pioneering study evaluating the relationship between preoperative stress levels in surgical patients and their ability to adapt to the rigors of the postoperative convalescent period. Monat, Alan, and Richard S. Lazarus, eds. Stress and Coping. 2d ed. New York: Columbia University Press, 1985. This anthology consists of twenty-six brief readings under the headings of effects of stress, stress and the environment, coping with the stresses of living, coping with death and dying, and stress management. Rabin, Bruce S. Stress, Immune Function, and Health: The Connection. New York: Wiley-Liss, 1999. A psychoneuroimmunological approach to the physiological effects of stress. Sapolsky, Robert. Why Zebras Don’t Get Ulcers: An Updated Guide to Stress, StressRelated Diseases, and Coping. New York: W. H. Freeman, 1998. An entertaining comparison of the physiology of stress in humans and other mammals, written by a neuroscientist. Argues that the human nervous system evolved to cope with short-term stressors, and that stress-related diseases, such as heart disease and diabetes, are the result of living in an environment that produces long-term stress instead. Silver, R. L., and C. Wortman. “Coping with Undesirable Life Events.” In Human Helplessness, edited by Judy Garber and Martin E. P. Seligman. New York: Academic Press, 1980. Silver and Wortman examine the behavioral consequences of encountering and adjusting to cataclysmic stressful events such as a disabling accident, a serious illness, or the death of a loved one. Stephen M. Auerbach See also: Stress: Physiological Responses; Stress-Related Diseases.
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Stress Behavioral and Psychological Responses Type of psychology: Stress Fields of study: Coping; critical issues in stress; stress and illness Stress is an adaptive reaction to circumstances that are perceived as threatening. It motivates people and can enhance performance. Learning to cope with adversity is an important aspect of normal psychological development, but exposure to chronic stress can have severe negative consequences if effective coping mechanisms are not learned. Key concepts • circumplex model • coping strategies • daily hassles • phobias • state anxiety • trait anxiety The term “stress” is used to designate how human beings respond when they confront circumstances that they appraise as dangerous or threatening and that tax their coping capability. Stressful events (stressors) elicit a wide range of responses in humans. They not only bring about immediate physiological changes but also affect one’s emotional state, the use of one’s intellectual abilities and one’s efficiency at solving problems, and one’s social behavior. When experiencing stress, people take steps to do something about the stressors eliciting the stress and to manage the emotional upset they are producing. These maneuvers are called coping responses. Coping is a key concept in the study of the stress process. Stress-management intervention techniques are designed to teach people the appropriate ways to cope with the stressors that they encounter in their everyday lives. Anxiety and Phobias The emotional state most directly affected by stress is anxiety. In fact, the term “state anxiety” is often used interchangeably with the terms “fear” and “stress” to denote a transitory emotional reaction to a dangerous situation. Stress, fear, and state anxiety are distinguished from trait anxiety, which is conceptualized as a relatively stable personality disposition or trait. According to psychologist Charles Spielberger, people high in trait or “chronic” anxiety interpret more situations as dangerous or threatening than do people who are low in trait anxiety, and they respond to them with more intense stress (state anxiety) reactions. Instruments that measure trait anxiety ask people to characterize how they usually feel, and thus they measure how people characteristically respond to situations. Measures of trait anxiety 819
Psychology Basics (such as the trait anxiety scale of the State-Trait Anxiety Inventory) are especially useful in predicting whether people will experience high levels of stress in situations involving threats to self-esteem or threat of failure at evaluative tasks. The recently developed two-dimensional circumplex model (see the figure “Circumplex Model”) has been adopted as a model for illustrating how emotion relates to stress. The activation-deactivation dimension of the circumplex relates to how much the emotion invokes a sense of alertness, energy, and mobilization, in contrast to the deactivation end of the continuum that connotes drowsiness and lethargy. The second dimension of the circumplex relates to the degree of pleasantness/unpleasantness associated with the emotion. For example, perceived stress and anxiety relate to unpleasant activation. In contrast, serenity is associated with deactivation and positive affect. Richard Lazarus has argued that the relational meaning of a stressful event determines the particular emotion associated with the event. For example, the relational meaning of anger is “a demeaning offense against me and mine.” The relational meaning of anxiety is “facing an uncertain or existential threat.” The relational meaning of fright is “facing an immediate, concrete, and overwhelming physical danger.” Coping alters the emotion by either changing reality (problem-focused coping) or changing the interpretation of the event (emotion-focused coping). Common phobias or fears of specific situations, however, especially when the perceived threat has a strong physical component, are not related to individual differences in general trait anxiety level. Measures of general trait anxiety are therefore not good predictors of people’s stress levels when they are confronted by snakes, an impending surgical operation, or the threat of electric shock. Such fears can be reliably predicted only by scales designed to evaluate proneness to experience fear in these particular situations. Seemingly minor events that are a constant source of irritation can be very stressful, as can more focalized events that require major and sometimes sudden readjustments. Psychologists Richard Lazarus and Susan Folkman have dubbed these minor events “daily hassles.” The media focus attention on disasters such as plane crashes, earthquakes, and epidemics that suddenly disrupt the lives of many people, or on particularly gruesome crimes or other occurrences that are likely to attract attention. For most people, however, much of the stress of daily life results from having to deal with ongoing problems pertaining to jobs, interpersonal relationships, and everyday living circumstances. Often, people have no actual experience of harm or unpleasantness regarding things that they come to fear. For example, many people are at least somewhat uneasy about flying on airplanes or about the prospect of having a nuclear power plant located near them, though few people have personally experienced harm caused by these things. Although people tend to pride themselves on how logical they are, they are often not very rational in appraising how dangerous or risky different events actually are. For example, 820
Stress: Behavioral and Psychological Responses there is great public concern about the safety of nuclear reactors, though they have, in fact, caused few deaths. Positive Stress People tend to think of stress as being uniformly negative—something to be avoided or at least minimized as much as possible. Psychologists Carolyn Aldwin and Daniel Stokols point out, however, that studies using both animals and humans have indicated that exposure to stress also has beneficial effects. Being handled by humans is stressful for rats, but rats handled as infants are less fearful, are more exploratory, are faster learners, and have more robust immune systems later in life. In humans, physical stature as adults is greater in cultures that expose children to stress (for example, circumcision, scarification, sleeping apart from parents) than in those that are careful to prevent stress exposure—even when nutrition, climate, and other relevant variables are taken into account. Although failure experiences in dealing with stressful circumstances can inhibit future ability to function under stress, success experiences enable learning of important coping and problem-solving skills that are then used to deal effectively with future stressful encounters. Such success experiences also promote a positive selfconcept and induce a generalized sense of self-efficacy that, in turn, enhances persistence in coping with future stressors. Psychologists Stephen Auerbach and Sandra Gramling note that stress is a normal, adaptive reaction to threat. It signals danger and motivates people to take defensive action. Over time, individuals learn which coping strategies are successful for them in particular situations. This is part of the normal process of mental growth and maturation. Stress can, however, cause psychological problems if the demands posed by stressors overwhelm a person’s coping capabilities. If a sense of being overwhelmed and unable to control events persists over a period of time, one’s stress signaling system ceases to work in an adaptive way. One misreads and overinterprets the actual degree of threat posed by situations, makes poor decisions as to what coping strategies to use, and realizes that one is coping inefficiently. A cycle of increasing distress and ineffective coping may result. Some people who have experienced high-level stress for extended periods or who are attempting to deal with the aftereffects of traumatic stressors may become extremely socially withdrawn and show other signs of severe emotional dysfunction. In severe cases where these symptoms persist for over a month, a psychological condition known as post-traumatic stress disorder (PTSD) may develop. Common symptoms of PTSD include reliving the traumatic event, avoiding anything that reminds the person of the event, insomnia, nightmares, wariness, poor concentration, chronic irritability resulting in angry or aggressive outbursts, and a numbing of emotions. The symptom of numbing of emotions has been referred to as alexithymia, a condition in which the person lacks the ability to define and express their emotions to them821
Psychology Basics selves and others. James Pennebaker believes that although alexithymics cannot express their emotions, these emotions are still present in an unconscious cycle of rumination; this suppression and rumination of negative thoughts is associated with increased psychological and physiological arousal. That is, it takes a lot of work to inhibit one’s emotions. Although anxiety is the most common emotion associated with stress, chronic stress may induce chronic negative emotions such as hostility and depression. Chronic hostility and depression have been shown to have damaging effects on social relationships and physical health. The known physical costs of chronic stress include poor immune functioning, not engaging in health-promoting activities (such as exercise and following the advice of a physician), and a shortened life expectancy. When people are faced with a stressful circumstance that overwhelms their coping mechanisms, they may react with depression and a sense of defeat and hopelessness. According to Martin Seligman, learned helplessness is the result of a person coming to believe that events are uncontrollable or hopeless, and it often results in depression. Assessing and Measuring Stress The fact that stress has both positive and negative effects can be exemplified in many ways. Interpersonally, stress brings out the “worst” and the “best” in people. A greater incidence of negative social behaviors, including less altruism and cooperation and more aggression, has generally been observed in stressful circumstances. Psychologist Kent Bailey points out that, in addition to any learning influences, this may result from the fact that stress signals real or imagined threats to survival and is therefore a potent elicitor of regressive, self-serving survival behaviors. The highly publicized murder of Kitty Genovese in Queens, New York, in 1964, which was witnessed by thirtyeight people (from the safety of their apartments) who ignored her pleas for help, exemplifies this tendency. So does the behavior during World War II of many Europeans who were aware of the oppression of Jews and other minorities by the Nazis but who turned their heads. Everyone has heard, however, of selfless acts of individual heroism being performed by seemingly ordinary people who in emergency situations rose to the occasion and risked their own lives to save others. After the terrorist attacks on the World Trade Center on September 11, 2001, firefighters continued to help victims and fight fires after more than two hundred of their fellow firefighters had been killed in the buildings’ collapse. In addition, in stressful circumstances in which cooperation and altruism have survival value for all concerned, as in the wake of a natural disaster, helping-oriented activities and resource sharing are among the most common short-term reactions. Stress may enhance as well as hinder performance. For example, the classic view of the relationship between stress and performance is represented in the Yerkes-Dodson inverted-U model, which posits that both low and high levels of arousal decrease performance, whereas intermediate levels en822
Stress: Behavioral and Psychological Responses
Circumplex Model Activated (A) (e.g., aroused, hyperactivated) 90°
Unpleasant Activated (UA) (e.g., tense, nervous) 135°
Pleasant Activated (PA) (e.g., excited, elated) 45°
A UA Unpleasant (U) 180° (e.g., miserable, unhappy)
PA
U
P
UD
0°
Pleasant (P) (e.g., happy, pleased)
PD D
225° Unpleasant Deactivated (UD) (e.g., tired, bored)
270°
315° Pleasant Deactivated (PD) (e.g., calm, relaxed)
Deactivated (D) (e.g., quiet, still)
hance performance. Although this model has not been unequivocally validated, it seems to be at least partially correct, and its correctness may depend upon the circumstances. On one hand, psychologists Gary Evans and Sheldon Cohen concluded that, in learning and performance tasks, high levels of stress result in reduced levels of working-memory capacity and clearly interfere with performance of tasks that require rapid detection, sustained attention, or attention to multiple sources of input. On the other hand, psychologist Charles Spielberger found that in less complex tasks, as learning progresses, high stress levels may facilitate performance. Psychologist Irving Janis examined the relationship between preoperative stress in surgical patients and how well they coped with the rigors of the postoperative convalescent period. He found that patients with moderate preoperative fear levels adjusted better after surgery than those with low or high preoperative fear. He reasoned that patients with moderate fear levels realistically appraised the situation, determined how they would deal with the stressful aspects of the recovery period, and thus were better able to tolerate those stressors. Patients low in preoperative fear engaged in unrealistic denial and thus were unprepared for the demands of the postoperative period, whereas those high in preoperative fear became overanxious and carried their inappropriately high stress levels over into the recovery period, in which that stress continued to inhibit them from realistically dealing with the demands of the situation. Janis further found that giving people information about what to expect before the surgery reduced their levels of fear and stress and allowed them to recover from surgery more quickly. 823
Psychology Basics Benefits of Control Janis’s investigation was particularly influential because it drew attention to the question of how psychologists can work with people to help them cope with impending stressful events, especially those (such as surgery) that they are committed to confronting and over which they have little control. Research by Judith Rodin and others has shown that interventions designed to increase the predictability of and perceived control over a stressful event can have dramatic effects on stress and health. In one controlenhancing intervention study, nursing home residents were told by the hospital administrator to take responsibility for themselves, were asked to decide what activities in which to participate, and were told what decisions for which they were responsible. Patients who received the control-enhancing intervention reported being happier in the nursing home, and the death rate was half of that among nursing home residents who were told that it was the staff’s responsibility to care for them. Rodin’s research has been replicated by other researchers. More intensive stress reduction interventions have even been shown to increase survival rates among patients with breast cancer. Findings by psychologists Thomas Strentz and Stephen Auerbach indicate that in such situations it may be more useful to teach people emotionfocused coping strategies (those designed to minimize stress and physiological arousal directly) than problem-focused strategies (those designed to change the stressful situation itself). In a study with volunteers who were abducted and held hostage for four days in a stressful simulation, they found that hostages who were taught to use emotion-focused coping techniques (such as deep breathing, muscular relaxation, and directed fantasy) adjusted better and experienced lower stress levels than those who were taught problem-focused techniques (such as nonverbal communication, how to interact with captors, and how to gather intelligence). Finally, in a series of studies, Pennebaker and others have found that writing for just twenty minutes a day for three or four consecutive days about the most stressful experience one has ever experienced has widespread beneficial effects that may last for several months. In a series of studies, he found that his writing task improved immune functioning, reduced illness and perceived stress, and even improved students’ grade point averages. He believes that his writing task may help people to release their inhibited emotions about past stressful events. This release of emotions decreases physiological arousal and psychological anxiety associated with repressing negative past events. Adaptive and Maladaptive Functions Stress has many important adaptive functions. The experience of stress and learning how to cope with adversity is an essential aspect of normal growth and development. Coping strategies learned in particular situations must be generalized appropriately to new situations. Exposure to chronic stress that 824
Stress: Behavioral and Psychological Responses cannot be coped with effectively can have severe negative consequences. Work by pioneering stress researchers such as Hans Selye brought attention to the physiological changes produced by exposure to chronic stress, which contribute to diseases such as peptic ulcers, high blood pressure, and cardiovascular disorders. Subsequent research by psychiatrists Thomas Holmes and Richard Rahe and their colleagues indicated that exposure to a relatively large number of stressful life events is associated with the onset of other diseases, such as cancer and psychiatric disorders, which are less directly a function of arousal in specific physiological systems. Studies by these researchers have led psychologists to try to understand how best to teach people to manage and cope with stress. Learning to cope with stress is a complex matter because, as Lazarus has emphasized, the stressfulness of given events is determined by how they are cognitively appraised, and this can vary considerably among individuals. Further, the source of stress may be in the past, the present, or the future. The prospect of an impending threatening encounter (such as a school exam) may evoke high-level stress, but people also experience stress when reflecting on past unpleasant or humiliating experiences or when dealing with an immediate, ongoing danger. Sometimes people deal with past, present, and future stressors simultaneously. It is important to distinguish among present, past, and future stressors, because psychological and behavioral responses to them differ, and different kinds of coping strategies are effective in dealing with them. For example, for stressors that may never occur but are so aversive that people want to avoid them if at all possible (for example, cancer or injury in an automobile crash), people engage in preventive coping behavior (they stop smoking or they wear seat belts) even though they are not currently experiencing a high level of anxiety. In this kind of situation, an individual’s anxiety level sometimes needs to be heightened in order to motivate coping behavior. When known stressors are about to affect one (for example, a surgical operation the next morning), it is important for one to moderate one’s anxiety level so that one can function effectively when actually confronting the stressor. The situation is much different when one is trying to deal with a significant stressor (such as sexual assault, death of a loved one, or a war experience) that has already occurred but continues to cause emotional distress. Important aspects of coping with such stressors include conceptualizing one’s response to the situation as normal and rational rather than “crazy” or inadequate, and reinstating the belief that one is in control of one’s life and environment rather than subject to the whims of circumstance. Sources for Further Study Auerbach, Stephen M. “Assumptions of Crisis Theory and Temporal Model of Crisis Intervention.” In Crisis Intervention with Children and Families, edited by Stephen M. Auerbach and Arnold L. Stolberg. Washington, D.C.: Hemisphere, 1986. This chapter examines some basic issues pertaining 825
Psychology Basics to psychological responses to extremely stressful events, including the role of the passage of time, individual differences, and previous success in dealing with stressful events. Crisis intervention and other stress-management programs are also reviewed. __________. “Temporal Factors in Stress and Coping: Intervention Implications.” In Personal Coping: Theory, Research, and Application, edited by B. N. Carpenter. Westport, Conn.: Praeger, 1992. Focuses on how behavioral and psychological stress responses differ depending on whether the stressor is anticipated, is currently ongoing, or has already occurred. The types of coping strategies that are likely to be most effective for each kind of stressor are described, and many examples are given. Davis, Martha, Elizabeth Eshelman, and Matthew McKay. The Relaxation and Stress Reduction Workbook. 5th ed. Oakland, Calif.: New Harbinger, 2000. An overview of techniques used to reduce stress. Sections include body awareness, progressive relaxation, visualization, biofeedback, coping skills training, job stress management, and assertiveness training. Janis, Irving Lester. Stress and Frustration. New York: Harcourt Brace Jovanovich, 1971. Describes some of Janis’s early investigations evaluating relationships between stress and behavior. The focus is on his pioneering study evaluating the relationship between preoperative stress levels in surgical patients and their ability to adapt to the rigors of the postoperative convalescent period. Lazarus, Richard S. “From Psychological Stress to the Emotions: A History of Changing Outlooks.” Annual Review of Psychology 44 (1993): 1-21. Discusses the history of the study and treatment of stress. Discusses his recent research that has involved the cognitive-mediational approach to the appraisal and coping processes that cause stress. Miller, Todd, et al. “A Meta-analytic Review of Research on Hostility and Physical Health.” Psychological Bulletin 119, no. 2 (1996): 322-348. Reviews more than sixty studies on hostility and health to show that cynical people have shorter life spans. In addition, those who display signs of anger are at increased risk for heart disease. Pennebaker, James W. Opening Up: The Healing Power of Expressing Emotions. Rev. ed. New York: Guilford Press, 1997. Presents evidence that personal self-disclosure not only benefits emotional health but also boosts physical health. Explains how writing about problems can improve one’s physical and psychological health. Rodin, Judith, and Christine Timko. “Control, Aging and Health.” In Aging, Health, and Behavior, edited by Marcia Ory, Ronald Abeles, and Paula Lipman. Newbury Park, Calif.: Sage, 1992. Reviews research on the relationship among stress and health. Russell, James A., and Lisa F. Barrett. “Core Affect, Prototypical Emotional Episodes, and Other Things Called Emotion: Dissecting the Elephant.” Journal of Personality and Social Psychology 76 (1999): 805-819. This article discusses the validation of the circumplex model of emotion. 826
Stress: Behavioral and Psychological Responses Silver, R. L., and C. Wortman. “Coping with Undesirable Life Events.” In Human Helplessness, edited by Judy Garber and Martin E. P. Seligman. New York: Academic Press, 1980. The authors examine the behavioral consequences of encountering and adjusting to cataclysmic stressful events such as a disabling accident, a serious illness, or the death of a loved one. They review different theoretical formulations of reactions to stressful events and examine whether people’s actual emotional and behavioral reactions are consistent with theories. They emphasize social support, the ability to find meaning in the outcome of the event, and experience with other stressors as important factors that determine how well people adjust. Stephen M. Auerbach; updated by Todd Miller See also: Stress-Related Diseases.
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Stress Physiological Responses Type of psychology: Stress Fields of study: Biology of stress; critical issues in stress; stress and illness The human body contains a number of regulatory mechanisms that allow it to adapt to changing conditions. Stressful events produce characteristic physiological changes that are meant to enhance the likelihood of survival. Because these changes sometimes present a threat to health rather than serving a protective function, researchers seek to determine relationships among stressors, their physiological effects, and subsequent health. Key concepts • fight-or-flight response • general adaptation syndrome • homeostasis • parasympathetic nervous system • stress response • stressor • sympathetic nervous system Although the term “stress” is commonly used (if not overused) to refer to various responses to events that individuals find taxing, the concept involves much more. For centuries, scientific thinkers and philosophers have been interested in learning about the interactions among the environment (stressful events), the emotions, and the body. Much is now known about this interaction, although there is still more left to discover. In the late twentieth century, particularly, much has been learned about how stressful events affect the activity of the body (or physiology). For example, it has been established that these physiological responses to stressors sometimes increase one’s vulnerability to a number of diseases. In order to understand the body’s response to stressful events (or stressors), the general sequence of events and the specific responses of various organ systems must be considered. Almost all bodily responses are mediated, at least partially, by the central nervous system: the brain and spinal cord. The brain takes in and analyzes information from the external environment as well as from the internal environment (the rest of the body), and it regulates the body’s activities to optimize adaptation or survival. When the brain detects a threat, a sequence of events occurs to prepare the body to fight or to flee the threat. Walter B. Cannon, in the early twentieth century, was the first to describe this “fightor-flight” response It is characterized by generalized physiological activation. Heart rate, blood pressure, and respiration increase to enhance the 828
Stress: Physiological Responses amount of oxygen available to the tissues. The distribution of blood flow changes to optimize efficiency of the tissues most needed to fight or flee: Blood flow to the muscles, brain, and skin increases, while it decreases in the stomach and other organs less important for immediate survival. Increased sweating and muscle tension help regulate the body’s temperature and enhance movement if action is needed. Levels of blood glucose and insulin increase to provide added energy sources, and immune function is depressed. Brain activity increases, resulting in enhanced sensitivity to incoming information and faster reactions to this information. Taken together, these physiological changes serve to protect the organism and to prepare it to take action to survive threat. They occur quite rapidly and are controlled by the brain through a series of neurological and hormonal events. When the brain detects a threat (or stressor), it sends its activating message to the rest of the body through two primary channels, the sympathetic nervous system (SNS) and the pituitary-adrenal axis. The SNS is a branch of the nervous system that has multiple, diffuse neural connections to the rest of the body. It relays activating messages to the heart, liver, muscles, and other organs that produce the physiological changes already described. The sympathetic nervous system also stimulates the adrenal gland to secrete two hormones, epinephrine and norepinephrine (formerly called adrenaline and noradrenaline), into the bloodstream. Epinephrine and norepinephrine further activate the heart, blood vessels, lungs, sweat glands, and other tissues. Also, the brain sends an activating message through its hypothalamus to the pituitary gland, at the base of the brain. This message causes the pituitary to release hormones into the bloodstream that circulate to the peripheral tissues and activate them. The primary “stress” hormone that the pituitary gland releases is adrenocorticotropic hormone (ACTH), which in turn acts upon the adrenal gland to cause the release of the hormone cortisol. The actions of cortisol on other organs cause increases in blood glucose and insulin, among many other reactions. In addition to isolating primary stress mechanisms, research has demonstrated that the body secretes naturally occurring opiates—endorphins and enkephalins—in response to stress. Receptors for these opiates are found throughout the body and brain. Although their function is not entirely clear, some research suggests that they serve to buffer the effects of stressful events by counteracting the effects of the SNS and stress hormones. General Adaptation Syndrome One can see that the human body contains a very sophisticated series of mechanisms that have evolved to enhance survival. When stressors and the subsequent physiological changes that are adaptive in the short run are chronic, however, they may produce long-term health risks. This idea was first discussed in detail in the mid-twentieth century by physiologist Hans Selye, who coined the term “general adaptation syndrome” to describe the 829
Psychology Basics body’s physiological responses to stressors and the mechanisms by which these responses might result in disease. Selye’s general adaptation syndrome involves three stages of physiological response: alarm, resistance, and exhaustion. During the alarm stage, the organism detects a stressor and responds with SNS and hormonal activation. The second stage, resistance, is characterized by the body’s efforts to neutralize the effects of the stressor. Such attempts are meant to return the body to a state of homeostasis, or balance. (The concept of homeostasis, or the tendency of the body to seek to achieve an optimal, adaptive level of activity, was developed earlier by Walter Cannon.) Finally, if the resistance stage is prolonged, exhaustion occurs, which can result in illness. Selye referred to such illnesses as diseases of adaptation. In this category of diseases, he included hypertension, cardiovascular disease, kidney disease, peptic ulcer, hyperthyroidism, and asthma. Selye’s general adaptation syndrome has received considerable attention as a useful framework within which to study the effects of stressors on health, but there are several problems with his theory. First, it assumes that all stressors produce characteristic, widespread physiological changes that differ only in intensity and duration. There is compelling evidence, however, that different types of stressors can produce very different patterns of neural and hormonal responses. For example, some stressors produce increases in heart rate, while others can actually cause heart rate deceleration. Thus, Selye’s assumption of a nonspecific stress response must be questioned. Also, Selye’s theory does not take into account individual differences in the pattern of response to threat. Research during the later twentieth century demonstrated that there is considerable variability across individuals in their physiological responses to identical stressors. Such differences may result from genetic or environmental influences. For example, some studies have demonstrated that normotensive offspring of hypertensive parents are more cardiovascularly responsive to brief stressors than individuals with normotensive parents. Although one might conclude that the genes responsible for hypertension have been passed on from the hypertensive parents, these children might also have different socialization or learning histories that contribute to their exaggerated cardiovascular reactivity to stressors. Whatever the mechanism, this research highlights the point that individuals vary in the degree to which they respond to stress and in the degree to which any one organ system responds. Stress and Illness Coinciding with the scientific community’s growing acknowledgment that stressful events have direct physiological effects, much interest has developed in understanding the relations between these events and the development or maintenance of specific diseases. Probably the greatest amount of research has focused on the link between stress and heart disease, the primary cause of death in the United States. Much empirical work also has fo830
Stress: Physiological Responses cused on gastrointestinal disorders, diabetes, and pain (for example, headache and arthritis). Researchers are beginning to understand the links between stress and immune function. Such work has implications for the study of infectious disease (such as flu and mononucleosis), cancer, and acquired immunodeficiency syndrome (AIDS). Several types of research paradigms have been employed to study the effects of stressors on health and illness. Longitudinal studies have identified a number of environmental stressors that contribute to the development or exacerbation of disease. For example, one study of more than four thousand residents of Alameda County, California, spanning two decades, showed that a number of environmental stressors such as social isolation were significant predictors of mortality from all causes. Other longitudinal investigations have linked stressful contexts such as loud noise, crowding, and low socioeconomic status with the onset or exacerbation of disease. A major drawback of such longitudinal research is that no clear conclusions can be made about the exact mechanism or mechanisms by which the stressor had its impact on health. Although it is possible, in the Alameda County study, that the relationship between social isolation and disease was mediated by the SNS/hormonal mechanisms already discussed, individuals who are isolated also may be less likely to engage in behaviors such as eating healthy diets, exercising, and maintaining preventive health care. Thus, other research paradigms have been used to try to clarify the causal mechanisms by which stressors may influence particular diseases. For example, laboratory stress procedures are used by many scientists to investigate the influence of brief, standardized stressors on physiology. This type of research has the advantage of being more easily controlled. That is, the researcher can manipulate one or a small number of variables (for example, noise) in the laboratory and measure the physiological effects. These effects are then thought to mimic the physiological effects of such a variable in the natural environment. This research primarily is conducted to ask basic questions about the relations between stressors, physiology, and subsequent health. The findings also have implications, however, for prevention and intervention. If a particular stressor is identified that increases risk of a particular disease, prevention efforts could be developed to target the populations exposed to this stressor. Prevention strategies might involve modifying the stressor, teaching people ways to manage more effectively their responses to it, or both. During the last two or three decades of teh twentieth century, applied researchers attempted to develop intervention strategies aimed at controlling the body’s physiological responses to stress. This work has suggested that a number of stress management strategies can actually attenuate physiological responsivity. Most strategies teach the individual some form of relaxation (such as deep muscle relaxation, biofeedback, hypnosis, or meditation), and most of this work has focused on populations already diagnosed with a stress-related disease, such as hypertension, diabetes, or ulcer. The tech831
Psychology Basics
In biofeedback therapy, patients monitor their own physiological responses, such as blood pressure or heart rate. (Hans & Cassidy, Inc.)
niques are thought to produce their effects by two possible mechanisms: lowering basal physiological activation (or changing the level at which homeostasis is achieved) or providing a strategy for more effectively responding to acute stressors to attenuate their physiological effects. Research has not proceeded far enough to make any statements about the relative importance of these mechanisms. Indeed, it is not clear whether either mechanism is active in many of the successful intervention studies. While research does indicate that relaxation strategies often improve symptoms of stressrelated illnesses, the causal mechanisms of such techniques remain to be clarified. The Mind-Body Connection The notion that the mind and body are connected has been considered since the time of ancient Greece. Hippocrates described four bodily humors (fluids) that he associated with differing behavioral and psychological characteristics. Thus, the road was paved for scientific thinkers to consider the interrelations among environment, psychological state, and physiological state (that is, health and illness). Such considerations developed most rapidly in the twentieth century, when advancements in scientific methodology permitted a more rigorous examination of the relationships among these variables. In the early twentieth century, as noted already, Cannon was the first to document and discuss the “fight or flight response” to threatening events. He also reasoned that the response was adaptive, unless prolonged or repeated. In the 1940’s, two physicians published observations consistent with Cannon’s of an ulcer patient who had a gastric fistula, enabling the doctors to observe directly the contents of the stomach. They reported that stomach acids and bleeding increased when the patient was anxious or angry, thus 832
Stress: Physiological Responses documenting the relations between stress, emotion, and physiology. Shortly after this work was published, Selye began reporting his experiments on the effects of cold and fatigue on the physiology of rats. These physical stressors produced enlarged adrenal glands, small thymus and lymph glands (involved in immune system functioning), and increased ulcer formation. Psychiatrists took this information, along with the writings of Sigmund Freud, to mean that certain disease states might be associated with particular personality types. Efforts to demonstrate the relationship between specific personality types and physical disease endpoints culminated in the development of a field known as psychosomatic medicine. Research, however, does not support the basic tenet of this field, that a given disease is linked with specific personality traits. Thus, psychosomatic medicine has not received much support from the scientific community. The work of clinicians and researchers in psychosomatic medicine paved the way for late twentieth century conceptualizations of the relations between stress and physiology. Most important, biopsychosocial models that view the individual’s health status in the context of the interaction between his or her biological vulnerability, psychological characteristics, and socio-occupational environment have been developed for a number of physical diseases. Future research into individual differences in stress responses will further clarify the mechanisms by which stress exerts its effects on physiology. Once these mechanisms are identified, intervention strategies for use with patients or for prevention programs for at-risk individuals can be identified and implemented. Clarification of the role of the endogenous opiates in the stress response, for example, represents an important dimension in developing new strategies to enhance individual coping with stressors. Further investigation of the influence of stressors on immune function should open new doors for prevention and intervention, as well. Much remains to be learned about why individuals differ in their responses to stress. Research in this area will seek to determine the influence of genes, environment, and behavior on the individual, elucidating the important differences between stress-tolerant and stress-intolerant individuals. Such work will provide a better understanding of the basic mechanisms by which stressors have their effects and should lead to exciting new prevention and intervention strategies that will enhance health and improve the quality of life. Sources for Further Study Craig, Kenneth D., and Stephen M. Weiss, eds. Health Enhancement, Disease Prevention, and Early Intervention: Biobehavioral Perspectives. New York: Springer, 1990. Includes, among other chapters of interest, an excellent chapter by Neal Miller (the “father of biofeedback”) on how the brain affects the health of the body. Feist, Jess, and Linda Brannon. Health Psychology: An Introduction to Behavior and Health. 5th ed. Belmont, Calif.: Thomson/Wadsworth, 2004. Written 833
Psychology Basics for undergraduate students. A very readable overview of the field of health psychology. Provides the reader with chapters on stress and health, and various stress-related diseases. Fuller, M. G., and V. L. Goetsch. “Stress and Stress Management.” In Behavior and Medicine, edited by Danny Wedding. 3d ed. Seattle: Hogrefe & Huber, 2001. Provides an overview of the field, focusing particularly on the physiological response to stress. Jacobson, Edmund. You Must Relax. New York: McGraw-Hill, 1934. A rare classic which may be available in the special collections section of the library. Jacobson is considered the father of modern relaxation training. This book is worth seeking for the pictures of Jacobson’s patients after undergoing his relaxation procedure as well as for Jacobson’s thoughtful insights. Ornstein, Robert, and D. S. Sobel. “The Brain as a Health Maintenance Organization.” In The Healing Brain: A Scientific Reader, edited by Robert Ornstein and Charles Swencionis. New York: Guilford Press, 1990. Discusses the body’s responses to stressors from an evolutionary perspective. Selye, Hans. The Stress of Life. 2d ed. New York: McGraw-Hill, 1978. First published in 1956. A thoroughly readable account of Selye’s work and thinking about stress and health. Available at most bookstores, a must for those interested in learning more about stress. Virginia L. Goetsch and Kevin T. Larkin See also: Emotions; Endocrine System; Nervous System; Psychosomatic Disorders; Stress: Behavioral and Psychological Responses; Stress-Related Diseases.
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Stress-Related Diseases Type of psychology: Stress Field of study: Stress and illness As a person undergoes stress, physical responses occur that have been associated with a host of physical diseases. Understanding the stress-disease relationship, including how to control and lower stress levels, is important in maintaining a healthy life. Key concepts • biofeedback • endorphin • general adaptation syndrome • locus of control • psychoneuroimmunology • relaxation response • stressor • Type A personality • Type B personality The term “stress,” as it is used in the field of psychology, may be defined as the physical or psychological disturbance an individual experiences as a result of what he or she perceives to be an adverse or challenging circumstance. Four observations concerning this definition of stress should be made. First, stress is what the individual experiences, not the circumstance causing the stress (the stressor). Second, individuals differ in what they perceive to be stressful. What may be very stressful for one may not be at all stressful for another. Hans Selye, the researcher who did more than anyone else to make the medical community and the general public aware of the concept and consequences of stress, once noted that, for him, spending the day on the beach doing nothing would be extremely stressful. This difference in people’s perceptions is behind the familiar concept that events do not cause stress. Instead, stress comes from one’s perception or interpretation of events. Third, stress occurs in response to circumstances that are seen as negative, but stress may also arise from challenging circumstances, even positive ones. The well-known Social Readjustment Rating Scale developed by Thomas Holmes and Richard Rahe includes both positive and negative life events. A negative event, such as the death of a spouse, is clearly stressful; however, marriage, generally viewed as a positive life event, can also be stressful. Fourth, stressors can lead to stress-related disturbances that are psychological, physiological, or both. The psychological response is rather unpredictable. A given stressor may result in one individual responding with anger, another with depression, and another with a new determination to succeed. 835
Psychology Basics General Adaptation Syndrome The physiological response is more predictable. Beginning in the 1930’s, Selye began studying the human response to stressors. Eventually he identified what he termed the general adaptation syndrome (GAS) to describe the typical pattern of physical responses. Selye divided the GAS into three stages: alarm, resistance, and exhaustion. The first stage begins when an individual becomes frightened, anxious, or even merely concerned. The body immediately undergoes numerous physical changes to cope with the stressor. Metabolism speeds up. Heart and respiration rates increase. The hormones epinephrine, norepinephrine, and cortisol are secreted. Sugar is released from the liver. The muscles tense. Blood shifts from the internal organs to the skeletal musculature. These and a host of other changes are aimed at helping the body cope, but the price paid for this heightened state of arousal typically includes symptoms such as headache, upset stomach, sleeplessness, fatigue, diarrhea, and loss of appetite. The body’s increase in alertness and energy is accompanied by a lowered state of resistance to illness. Obviously, people cannot remain in the alarm stage for long. If the stressor is not removed, the body enters the resistance stage—a stage which may last from minutes to days or longer. During this stage, the body seeks to adapt to the stressor. The physical changes that occurred during the alarm stage subside. Resistance to illness is actually increased to above-normal levels. Because the body is still experiencing stress, however, remaining in this stage for a long period will eventually lead to physical and psychological exhaustion—the exhaustion stage. Selye has noted that over the course of life, most people go through the first two stages many, many times. Such is necessary to adapt to the demands and challenges of life. The real danger is found in not eliminating the stressor. During the exhaustion stage, the body is very vulnerable to disease and in extreme cases may suffer collapse or death. Although newer research has found subtle differences in the stress response, depending on the stressor involved, the basic findings of Selye have continued to be supported. In addition to the direct physiological effects of stress on the body, indirect effects may also lead to illness. For example, stress may cause or exacerbate behavioral risk factors such as smoking, alcohol use, and overeating. Heart Disease and Immune Effects Specific illnesses can also be caused or exacerbated by stress. For many years Americans have been aware of the relationship between stress and heart disease. The biochemical changes associated with stress lead to higher blood pressure, an increased heart rate, and a release of fat into the bloodstream. If the fat is completely consumed by the muscles through physical activity (for example, defending oneself from an attacker), no serious health consequences follow. If, however, a person experiences stress without engaging in 836
Stress-Related Diseases physical activity (a more common scenario in Western culture), the fat is simply deposited on the walls of the blood vessels. As these fatty deposits accumulate, life is threatened. The work of two cardiologists, Meyer Friedman and Ray Rosenman, is of particular importance to a discussion of heart disease and stress. Friedman and Rosenman demonstrated, based originally on personal observation and subsequently on clinical research, that there is a personality type that is particularly prone to heart disease. The personality type that is at the greatest risk was found to be one which is highly stressed—impatient, hostile, harddriving, and competitive. They termed this a Type A personality. The lowrisk person, the Type B personality, is more patient, easygoing, and relaxed. Numerous studies have examined health based on the Type A-Type B concept. Virtually all have supported Friedman and Rosenman’s conclusions. One major report, however, did not; subsequent analysis of that report and other research generally has indicated that the aspects of the Type A personality which are threatening to one’s health are primarily the hostility, cynicism, and impatience, not the desire to achieve. A newer area of research that is even more fundamental to understanding how stress is related to disease involves the immune system. As the physiological changes associated with stress occur, the immune system is suppressed. The immune system has two primary functions: to identify and destroy hazardous foreign materials called antigens (these include bacteria, viruses, parasites, and fungi) and to identify and destroy the body’s own cells
Physiological changes produced by exposure to chronic stress can contribute to conditions such as high blood pressure, peptic ulcers, and cardiovascular disease. (Digital Stock) 837
Psychology Basics that have undergone changes associated with malignancy. Thus, if the immune system is suppressed, the body is less able to detect and defend against a host of diseases. An example of this effect again involves research with laboratory rats. One such investigation involved placing tumor cells in the bodies of rats. Some of the rats were then exposed to an abundance of stress. Those that were given this treatment were less resistant to the cancer. Their tumors were larger, and they developed sooner than those found in the “low-stress” rats. The recent growth of the field of psychoneuroimmunology focuses specifically on the chemical bases of communication between mind and body. Research in this area provides evidence that the body’s immune system can be influenced by psychological factors which produce stress. One study, for example, showed that during students’ examination periods, the levels of students’ antibodies that fight infections were lowest. Thus they were most vulnerable to illness at that most stressful time. Health centers confirm that students tend to report more illness during examination times. As research continues, the number of specific diseases that can be linked to stress grows. Stress-related diseases and disorders for which recent research is available include acne, asthma, cancers (many types), colds, coronary thrombosis, diabetes mellitus, gastric ulcers, herpes simplex (types 1 and 2), human immunodeficiency virus (HIV) infection, hyperlipidemia, hypertension, infertility, irritable bowel syndrome, migraine headache, mononucleosis syndrome, rheumatoid arthritis, streptococcal infection, stroke, systemic lupus erythematosus, and tuberculosis. Research has shown that stress may also play a role in depression, sleep disturbances, ovulation, and brain atrophy associated with Alzheimer’s disease. Stress as a cause of stomach ulcers has been essentially negated, with the discovery that these ulcers are generally caused by the bacterium Helicobacter pylori, which can be treated with antibiotics. However, stress may still play a role in decreasing the mucous lining of the stomach, which makes it more vulnerable to ulcer formation. Some experts feel that there is no illness that is not in some way influenced by stress. It should be emphasized that few, if any, of these physical problems are caused solely by stress. Many other factors influence risk, including genetic composition, gender, race, environmental conditions, nutritional state, and so forth. Nevertheless, stress is frequently an important factor in determining initial resistance as well as the subsequent course of a given disease. Stress Reduction and Coping Why is it that some individuals who appear to live with many stressors generally avoid physical and psychological illness? This question is important because the answer can provide insight as to what the average person can and should do to lower stress levels. Dispositional factors (optimistic versus pessimistic, easygoing versus hard-driving, friendly versus hostile) are probably most important in determining one’s stress level. The Type A-Type B re838
Stress-Related Diseases search noted above is an example of research demonstrating the influence of dispositional factors. Research with twins has found that temperament is largely inborn; however, any individual can choose to be more optimistic, generous, and patient. Norman Cousins is often cited as an example of a person who decided to change his outlook and mental state in order to preserve his life. He had read Selye’s The Stress of Life (1956), which describes how negative emotions can cause physical stress and subsequent disease. Cousins, who had a rare and painful illness from which he was told he would likely never recover, decided that if negative emotions could harm one’s health, then positive emotions could possibly return one’s health. As Cousins describes his experience in Anatomy of an Illness as Perceived by the Patient (1979), he left his hospital room for a more pleasant environment, began taking massive doses of vitamin C instead of massive doses of drugs, and decided to stop worrying. To the surprise of his medical team, his recovery began at once. Though this now-classic example is merely anecdotal, the research on disposition and stress would support the assumption that Cousins’s decision to change his mental state and stop worrying—not his avoidance of traditional medical care—was a truly important influence. A related area of research has investigated how psychological hardiness helps people resist stress. Studies by Suzanne Kobasa and her colleagues examined business executives who all had an obvious abundance of stressors in their lives. In comparing those hardy individuals who handled the stressors well with the nonhardy individuals, the researchers found that the two groups differed in three important but basic ways. The first was commitment. Stress-resistant executives typically possessed a clear sense of values. They had clear goals and a commitment to those goals. Less hardy executives were more likely to feel alienation. The second was challenge. The hardy executives welcomed challenges and viewed change rather than stability as the norm in life. Their less healthy counterparts viewed change with alarm. The third factor was control. The hardy executives felt more in control of their lives. This aspect of Kobasa’s research overlaps with research conducted since the 1960’s involving a concept known as the “locus of control.” People with an internal locus of control are those individuals who believe they are influential rather than powerless in controlling the direction of their lives. This area of research has also found that such a belief lowers stress. Many years ago it was estimated that more than a thousand studies had been completed that examined the relationship between physical fitness and mental health. What has emerged from this heavily researched area is a clear conclusion: Exercise can lower stress levels. Though regular, sustained aerobic exercise is generally advocated, research has found that even something as simple as a daily ten-minute walk can have measurable beneficial effects. During exercise, there is a release of chemical substances, including neurotransmitters called endorphins. Endorphins act to decrease pain and 839
Psychology Basics produce feelings of well-being, somewhat like an opiate. Exposure to stress has been shown to increase the level of endorphins in the body. For example, studies were conducted with runners, one group using naloxone, a substance which blocks effects of opiates, and the other group a placebo which had no effect on the body. After strenuous runs, those taking the placebo reported feelings of euphoria, sometimes known as “runners’ high.” Those taking naloxone reported no such feelings. Other chemicals are released during exercise as well and include dopamine, which is thought to act as an antidepressant. Thus there is abundant evidence of the stress-reducing benefits of exercise. Another approach to reducing stress involves learning to evoke a physical “relaxation response,” a term coined by Harvard Medical School cardiologist Herbert Benson. Benson became intrigued by the ability of some people who practice meditation to lower their blood pressure, heart rate, and oxygen consumption voluntarily. He discovered that the process is not at all mystical and can be easily taught. The process involves getting comfortable, closing the eyes, breathing deeply, relaxing muscles, and relaxing one’s mind by focusing on a simple word or phrase. Others are helped by using an electronic device which closely monitors subtle physiological changes. By observing these changes (typically on a monitor), a person can, for example, learn to slow down a heart rate. This is known as biofeedback training. Many other techniques and suggestions arising from research as well as common sense can lower stress. A strong social support system has been found to be very important; disciplining oneself not to violate one’s own value system is essential. Even having a pet that needs love and attention has been found to lower stress. Research and the Future A general recognition that a relationship exists between mind and body is at least as old as the biblical Old Testament writings. In the book of Proverbs, for example, one reads, “A cheerful heart is good medicine,/ but a crushed spirit dries up the bones” (Proverbs 17:22). Hippocrates (460-377 b.c.e.), generally considered the “father of medicine,” sought to understand how the body could heal itself and what factors could slow or prevent this process. He clearly perceived a relationship between physical health and what is now termed “stress,” though his understanding was shallow. Several physiologists of the nineteenth century made contributions; however, it was not until the twentieth century that the classic studies of American physiologist Walter B. Cannon proved the link scientifically. Cannon and his student Phillip Bard began their analysis of stress and physiological arousal to disprove the idea espoused by others, that emotion follows physiological arousal. Cannon found a variety of stressors that led to the release of the hormones adrenaline and noradrenaline (or, properly now, epinephrine and norepinephrine). Heat, cold, oxygen deprivation, and fright all led to hor840
Stress-Related Diseases monal changes as well as a number of additional physiological adaptations. Cannon was excited about this discovery and impressed with the body’s remarkable ability to react to stressors. All these changes were aimed at preparing the body for what Cannon termed the “fight-or-flight” response. It was Selye’s task to build on Cannon’s work. His description of the reaction subsequently termed the general adaptation syndrome first appeared in a scientific journal in 1936. As knowledge of the stress concept began to spread, interest by the public as well as the research community increased. Literally tens of thousands of stress research studies conducted throughout the world were completed during the last half of the twentieth century. Of particular importance was the discovery by three American scientists that the brain produces morphinelike antistress substances. The discovery of these substances, named endorphins, won a 1977 Nobel Prize for the scientists involved and opened a whole new area of research. Research has shown that the brain itself produces neuropeptides, or brain message transmitters, which may also be produced by macrophages— white blood cells that attack viruses and bacteria. Because some forms of stress-reduction, such as relaxation, also seem to result in production of neuropeptides, if the brain could be caused to produce more of these substances, the immune system could be strengthened. The hope remains that someday an endorphin-type drug could be used to counter some of the unhealthy effects of stress, ensuring better health and longer lives. Better health and longer lives are available even today, however, for all people who are willing to make lifestyle changes based on current knowledge. Bibliography Benson, Herbert, and Eileen Stuart. The Wellness Book. New York: Simon & Schuster, 1992. Written by a physician and author of The Relaxation Response, a nurse, and associates of the Mind/Body Medical Institute of the New England Deaconess Hospital and Harvard Medical School, this is a self-help book on stress-related illness, very informative about mind-body interactions and the role of stress in illness. Brown, Barbara B. Between Health and Illness. Boston: Houghton Mifflin, 1984. One of many books available for the nonprofessional who simply wants an overview of stress and its consequences. This easy-to-read book is full of accurate information and practical suggestions. Greenberg, Jerrold S. Comprehensive Stress Management. 6th ed. New York: WCB/McGraw-Hill, 1999. This is an excellent source which includes numerous self-tests, explains the scientific foundations of stress, and offers methods and techniques used to reduce stress in a variety of life situations. Written in an introductory yet comprehensive textbook format, this book is informative and easy to read. Leonard, Brian, and Klara Miller, eds. Stress, the Immune System, and Psychiatry. New York: John Wiley & Sons, 1995. This book contains difficult reading, with detailed studies from the field of psychoneuroimmunology. The 841
Psychology Basics focus is on the immune system as related to various aspects of stress, including discussions of depressive illness, schizophrenia, multiple sclerosis, and food allergies. Managing Stress: From Morning to Evening. Alexandria, Va.: Time-Life Books, 1987. A good introduction to understanding and managing stress. Written in clear, simple language and widely available, it provides an overview of the sources of stress, the physiological changes associated with stress, the effects of stress on the immune system, a way to assess one’s own stress level, and suggestions for numerous approaches to managing stress. Full of illustrations and photographs. A weakness is that the book fails to address adequately the importance of dispositional factors, focusing too heavily on some stress-reduction techniques that few are likely to use. Pelletier, Kenneth R. Mind as Healer, Mind as Slayer. New York: Dell Books, 1977. This well-known work examines how stress contributes to heart disease, cancer, arthritis, migraine, and respiratory disease. Sources of stress, evaluation of personal stress levels, profiles of unhealthy personality traits, and means of preventing stress-related diseases are addressed. Selye, Hans. The Stress of Life. Rev. ed. New York: McGraw-Hill, 1976. Originally published in 1956, this is the most influential book ever written about stress. It focuses on the relationship between a stressful life and subsequent illness, but it is very technical. Those wanting a less difficult introduction to Selye’s writings and work should read his Stress Without Distress. Wedding, Danny, ed. Behavior and Medicine. 3d ed. Seattle: Hogrefe & Huber, 2001. This is a large volume which covers an extensive area of behavior and medicine, with a strong focus on stress, although it covers much additional territory. In addition to stress-related issues, including substance abuse, stress management, pain, placebos, AIDS, cardiovascular risk, and adherence to medical regimens, sections include assessment of patients, foundations of behavioral science, love and work, and developmental issues from infancy to death, dying and grief. The style is quite readable and combines illustrations, relevant poetry, bibliographies, summaries, and study questions at the end of each article. Timothy S. Rampey; updated by Martha Oehmke Loustaunau See also: Endocrine System; Nervous System; Stress: Behavioral and Psychological Responses; Stress: Physiological Responses.
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Structuralism and Functionalism Date: 1879-1913 Type of psychology: Origin and definition of psychology Fields of study: General constructs and issues; thought Structualism and functionalism represent early schools of thought in psychology. While the structuralists were devoted to discovering the elements of consciousness, the functionalists believed that psychology should focus on understanding how consciousness is useful or functional. Key concepts • applied psychology • evolution • imageless thought • introspection • stimulus error • stream of consciousness • voluntarism Structuralism and functionalism were two of the earliest schools of thought in psychology. To understand these early perspectives, it is important to consider the sociohistorical context in which they developed. Psychology as an independent scientific discipline was founded in 1879 by German scholar Wilhelm Wundt (1832-1920) at the University of Leipzig. Wundt was a medically trained physiologist appointed to the department of philosophy at Leipzig. In 1879, he established the first-ever laboratory devoted solely to the experimental study of psychological issues. The German Zeitgeist was conducive to this development. For example, the education reform movement encouraged the development of university research and promoted academic freedom. Furthermore, German scholars at the time accepted a broader definition of science compared to their counterparts in many other European countries. Wundt defined psychology as the scientific study of conscious experience and organized it into two broad areas: experimental psychology (the study of sensation and perception, reaction time, attention, and feelings) and Völkerpsychologie (cultural psychology, which included the study of language, myth, and custom). Wundt made an important distinction between immediate and mediate experiences. Mediate experiences involve an interpretation of sensory input (“I see an apple”), whereas an immediate experience consists of pure and unbiased sensory experiences (“I see a roundish, red object”). Wundt emphasized the process of organizing and synthesizing the elemental components of consciousness (the immediate experiences) into higher-level thoughts. Because this process of apperception was considered to be an act of will or volition, he often referred to his system as voluntarism. 843
Psychology Basics One of Wundt’s students, Edward Bradford Titchener (1867-1927), an Englishman who earned his Ph.D. under Wundt in 1892, ascended to prominence by establishing the structural school of thought in psychology as a professor at Cornell University. Functionalism soon arose as a school of thought that opposed structuralism. Titchener, it should be noted, considered structuralism to be a refined extension of, and largely compatible with, Wundt’s work. Because Titchener was the main translator of Wundt’s work into English and was widely considered to be a loyal and accurate representative of Wundt’s system, the term “structuralism” at the time was used as a label for both Titchener’s and Wundt’s work. This interpretative error, which is still propagated in some textbooks, was not fully realized until the mid-1970’s, when scholars started to examine Wundt’s original work in detail. There are some important differences between Titchener’s structuralism and Wundt’s system of voluntarism. First, Titchener rejected the idea of a branch of cultural psychology. Second, structural psychology neglected the study of apperception and focused almost exclusively on the identification of the elements of consciousness. Finally, in a structuralist framework, the elements of consciousness themselves were of utmost importance; mediate and immediate experiences were considered the same event, viewed from different vantage points. There was no need for a volitional process. Structuralism For Titchener, psychology was the study of consciousness. Whereas physics was said to be concerned with assessing environmental events from an objective, external standard, psychology was concerned with examining how humans experience such events subjectively. For example, an hour spent listening to a boring speech and an hour spent playing an enjoyable game last exactly the same length of time—3,600 seconds—but, psychologically, the second event goes by more quickly. In structuralism, consciousness is defined as the sum total of experiences at any given moment, and the mind is defined as the sum of experiences over the course of a lifetime. In order to understand consciousness and thus the mind, psychology, according to structuralism, must be concerned with three primary questions: First, what are the most basic elements of consciousness? Just as chemists break down physical substances into their elemental components, psychologists should identify the basic components of consciousness. Second, how are the elements associated with one another? That is, in what ways do they combine to produce complex experiences? Third, according to Titchener, what underlying physiological conditions are associated with the elements? Most of Titchener’s work was devoted to the first goal of identifying the basic elements of consciousness. The primary methodology used toward this end was systematic experimental introspection. 844
Structuralism and Functionalism Introspection A primary goal for structuralism was to identify the basic elements of consciousness. Titchener reasoned that any science requires an observation of its subject matter, and psychology was no different. As detailed in Titchener’s classic work Experimental Psychology: A Manual of Laboratory Practice (4 vols., 1901-1905), introspection involved the systematic analysis and reporting of conscious experiences by highly trained researchers. Such individuals were trained to report on the most basic of sensory experiences and to avoid the stimulus error of reporting perceptual interpretations. For example, to report seeing “an apple” or having “a headache” would be a stimulus error. It would be more accurate, psychologically, to report seeing a “roundish, red object” or experiencing a “throbbing sensation of moderate intensity in the lower right part of the head.” This methodology was used by Wundt, but Wundt emphasized quantitative judgments (such as size, weight, duration, or intensity), whereas in Titchener’s system, descriptive reports were emphasized. Titchener concluded that there were three basic elements of consciousness: sensations, images, and feelings. Sensations were the most fundamental and were the building blocks of all perceptions. In his An Outline of Psychology (1896), Titchener listed more than forty-four thousand elementary sensations, including approximately thirty-two thousand visual, twelve thousand auditory, and four taste sensations. It was held that these indivisible sensations could be combined in any number of ways to produce unique perceptions and ideas. Images are the building blocks for ideas and reflect previous sensory experiences. It is possible to have an image of an apple only because of past experiences with a particular combination of sensations. All feelings were viewed as reducible to experiencing a degree of pleasantness or unpleasantness. (In contrast, Wundt postulated two other dimensions: strain/relaxation and excitement/calmness.) A feeling, when combined with certain sensations, can give rise to a complex emotional state, such as love, joy, disgust, or fear. Later in his career, Titchener asserted that each element of consciousness could be characterized with regard to five basic dimensions: quality, intensity, protensity (duration), attensity (clearness), and extensity (space). Quality refers to the differentiation of sensations (an apple may be red or green; the water may be hot or cold). Intensity refers to the strength or magnitude of the quality (the extent to which the apple is red or the water is cold). Protensity refers to the duration or length of a sensory experience. Attensity refers to the clarity or vividness of the experience and reflects the process of attention (sensations are clearer when they are the focus of attention). Some sensations, especially visual and tactile ones, can also be characterized in terms of extensity (that is, they take up a certain amount of space). Feelings were characterized only in terms of quality, intensity, and protensity. Titchener believed that feelings dissipated when they were the subject of focused attention and therefore could not be experienced with great clarity. 845
Psychology Basics Evaluation Structuralism faded away after Titchener’s death in 1927. However, the basic tenets of structuralism had been under attack for years. First, there were serious problems with introspection as a scientific methodology. The results of such studies were frequently unreliable, and there was no way of objectively verifying the content of someone’s consciousness. The controversy over imageless thought was important. One group of researchers, most notably a former follower of Wundt, Oswald Külpe (1862-1915), at the University of Würzburg, concluded, using introspection methodology, that some thoughts occurred in the absence of any mentalistic sensations or images. This was completely at odds with structuralism, and researchers loyal to the structuralist position were not able to replicate the findings. On the other hand, researchers sympathetic to the Würzburg school were able to replicate the findings. Obviously, a theoretical bias was driving the results. It was widely concluded that introspection was lacking the objectivity needed to sustain a scientific discipline. Other methodologies were discouraged by structuralists, in part because of the limited scope of psychology they practiced. In essence, structural psychology was limited to the study of the elements of consciousness in the healthy adult human. There was no place for the use of nonhuman animals as subjects, no child psychology, and no concern with the psychology of physical or mental illness. In addition, Titchener was against applied research, that is, conducting research to help resolve practical problems. He felt that this would detract from the objectivity of the study, and that academic researchers should be devoted to advancement of pure knowledge. Finally, structuralism was criticized for focusing almost exclusively on the elements of consciousness without taking into serious consideration the idea that consciousness is experienced as a unified whole, and that this whole is different from the sum of the elements. Today, two major contributions of structuralism are recognized. The first is the strong emphasis that Titchener and his followers placed on rigorous laboratory research as the basis for psychology. While other methods are used by modern psychologists (such as case studies and field research), the emphasis on experimentation in practice and training remains dominant. Second, structuralism provided a well-defined school of thought and set of ideas that others could debate and oppose, with the ultimate result being the development of new and different schools of thought. The most prominent opposition to structuralism was functionalism. Functionalism Unlike structuralism, functionalism was not a formal school of psychological thought. Rather, it was a label (originally used by Titchener) applied to a general set of assumptions regarding the providence of psychology and a loosely connected set of principles regarding the psychology of consciousness. In many respects, functionalism was defined in terms of its opposition or contrast to structuralism. For example, functionalists believed that psy846
Structuralism and Functionalism chology should focus on the functions of mental life (in contrast to the structuralist focus on elemental components); be concerned with using psychology for practical solutions to problems (structuralists were, at best, indifferent to this concern); study not only healthy adult humans (the main focus of attention of structuralists) but also nonhuman animals, children, and nonhealthy individuals; employ a wide range of methodologies to investigate psychological issues (structuralists relied almost totally on introspection); and examine individual differences, rather than being solely concerned, like the structuralists, with the establishment of universal (nomothetic) principles. While structuralism was imported to the United States by a British scholar (Titchener) who received his psychological training in Germany (under Wundt), functionalism had a distinctly American flair. The American Zeitgeist at the time emphasized pragmatism and individuality. Such qualities made American psychologists especially receptive to the revolutionary work of Charles Darwin (1809-1882) on evolution and its subsequent application (as “social Darwinism”) by anthropologist Herbert Spencer (1820-1903) to education, business, government, and other social institutions. Other important developments that influenced functionalism include work by Sir Francis Galton (1822-1911) on individual differences in mental abilities and the work on animal psychology by George Romanes (1848-1894) and C. Lloyd Morgan (1852-1936). William James William James (1842-1910) is considered the most important direct precursor of functional psychology in the United States and one of the most eminent psychologists ever to have lived. James earned his M.D. from Harvard University in 1869 and subsequently became keenly interested in psychology. Despite his severe bouts with depression and other ailments, he accepted a post at Harvard in 1872 to teach physiology. Shortly thereafter, in 1875, James taught the first psychology course offered in the United States, “The Relations Between Physiology and Psychology,” and initiated a classroom demonstration laboratory. James published the two-volume The Principles of Psychology in 1890. This work was immediately a great success and is now widely regarded as the most important text in the history of modern psychology. Given the expansiveness of Principles—more than thirteen hundred pages arranged in twentyeight chapters—it is impossible to summarize fully, but it includes such topics as the scope of psychology, functions of the brain, habit, methods of psychology, memory, the consciousness of self, sensation, perception, reasoning, instinct, emotions, will, and hypnotism. In this text James presented ideas that became central to functionalism. For example, in the chapter “The Stream of Consciousness,” he criticized the postulate of structural psychology that sensations constitute the simplest mental elements and must therefore be the major focus of psychological inquiry. In contrast, James ar847
Psychology Basics gued that conscious thought is experienced as a flowing and continuous stream, not as a collection of frozen elements. In critiquing introspection, the methodology championed by the structuralists, James asserted, The rush of the thought is so headlong that it almost always brings us up at the conclusion before we can arrest it. . . . The attempt at introspective analysis in these cases is in fact like seizing a spinning top to catch its motion, or trying to turn up the gas quickly enough to see how darkness looks.
With this new, expansive conceptualization of consciousness, James helped pave the way for psychologists interested in broadening the scope and methods of psychology. What was to emerge was the school of functionalism, with prominent camps at the University of Chicago and Columbia University. The Chicago School The Chicago school of functionalism is represented by the works of American scholars John Dewey (1859-1952), James Rowland Angell (1869-1949), and Harvey A. Carr (1873-1954). Functionalism was launched in 1896 with Dewy’s Psychological Review article, “The Reflex Arc Concept in Psychology.” Here Dewey argued against reducing reflexive behaviors to discontinuous elements of sensory stimuli, neural activity, and motor responses. In the same way that James attacked elementalism and reductionism in the analysis of consciousness, Dewey argued that it was inaccurate and artificial to do so with behavior. Influenced by Darwin’s evolutionary theory of natural selection, Dewey asserted that reflexes should not be analyzed in terms of their component parts but rather in terms of how they are functional for the organism; that is, how they help an organism adapt to the environment. Angell crystalized the functional school in his 1907 Psychological Review paper, “The Province of Functional Psychology.” In this work, three characteristics of functionalism were identified: Functional psychology is interested in discerning and portraying the typical operations of consciousness under actual life conditions, as opposed to analyzing and describing the elementary units of consciousness. Functional psychology is concerned with discovering the basic utilities of consciousness, that is, how mental processes help organisms adapt their surroundings and survive. Finally, functional psychology recognizes and insists upon the essential significance of the mind-body relationship for any just and comprehensive appreciation of mental life itself. Carr’s 1925 textbook Psychology: A Study of Mental Activity presents the most polished version of functionalism. As the title suggests, Carr identified such processes as memory, perception, feelings, imagination, judgment, and will as the topics for psychology. Such psychological processes were considered functional in that they help organisms gain information about the world, retain and organize that information, and then retrieve the information to make judgments about how to react to current situations. In other 848
Structuralism and Functionalism words, these processes were viewed as useful to organisms as they adapt their environments. The Columbia School Another major camp of functionalism was at Columbia University and included such notable psychologists as James McKeen Cattell (1860-1944), Robert Sessions Woodworth (1869-1962), and Edward Lee Thorndike (18741949). In line with the functionalist’s embrace of applied psychology and the study of individual differences, Cattell laid the foundation for the psychological testing movement that would become massive in the 1920’s and beyond. Under the influence of Galton, Cattell stressed the statistical analysis of large data sets and the measurement of mental abilities. He developed the order of merit methodology, in which participants rank-order a set of stimuli (for instance, the relative appeal of pictures or the relative eminence of a group of scientists) from which average ranks are calculated. Woodworth is best known for his emphasis on motivation in what he called dynamic psychology. In this system, Woodworth acknowledged the importance of considering environmental stimuli and overt responses but emphasized the necessity of understanding the organism (perceptions, needs, or desires), representing therefore an early stimulis-organismresponse (S-O-R) approach to psychology. Thorndike represented a bridge from functionalism to behaviorism, a new school of thought that was led by John Broadus Watson (1878-1958) and emerged around 1913. Thorndike was notable for his use of nonhuman subjects, a position consistent with Darwin’s emphasis on the continuity among organisms. He is also famous for his puzzle box research with cats, which led to his Law of Effect, which states that when an association is followed by a satisfying state of affairs, that association is strengthened. This early operant conditioning research was later expanded on by the famous behaviorist psychologist B. F. Skinner (1904-1990). Evaluation Functionalism paved the way for the development of applied psychology, including psychological testing, clinical psychology, school psychology, and industrial and organizational psychology. Functionalism also facilitated the use of psychological research with a wide variety of subjects beyond the healthy adult male, including infants, children, the mentally ill, and nonhuman animals. Finally, functional psychologists used a wide variety of methods beyond that of introspection, including field studies, questionnaires, mental tests, and behavioral observations. These developments were responsible, in part, for the United States becoming the world center for psychological study by 1920. The term “functional psychology” faded from usage as it became clear that, by default, being simply a psychologist in the United States meant being a functional psychologist. The shift in psycholog849
Psychology Basics ical thought instigated by functionalism set the stage for the next major evolutionary phase in American psychology, behaviorism. Sources for Further Study Behnamin, Ludy T., Jr. “The Psychology Laboratory at the Turn of the Twentieth Century.” American Psychologist 55 (2000): 318-321. This is a nontechnical and brief introduction to laboratory research in psychology from 1879 to 1900. The author discusses the importance of the laboratory for establishing psychology as a scientific discipline separate from philosophy. Boring, E. G. A History of Experimental Psychology. 2d ed. New York: AppletonCentury-Crofts, 1950. This is the classic text on the history of psychology, written by one of Edward Titchener’s students. The first edition of 1925 is also widely available. Donnelly, M. E. Reinterpreting the Legacy of William James. Washington, D.C.: American Psychological Association, 1992. This book explores how James’s masterwork might have been revised in light of his later pluralistic, pragmatic approach to psychology and philosophy. A distinguished group of psychologists, philosophers, and historians contribute twentythree chapters that probe this and other questions in a broad-based collection focused on the relevance of the works of James. Hergenhahn, B. R. An Introduction to the History of Psychology. 4th ed. Belmont, Calif.: Wadsworth/Thomson Learning, 2001. Another excellent standard textbook on the history of psychology. Written for college students; includes in-depth chapters on structuralism and functionalism. Leys, R., and R. B. Evans. Defining American Psychology: The Correspondence Between Adolf Meyer and Edward Bradford Titchener. Baltimore: Johns Hopkins University Press, 1990. Adolf Meyer was a highly influential psychiatrist who exchanged a series of letters with Titchener in 1909 and again in 1918. This book represents an interesting firsthand look at how the new science of psychology was being discussed and situated among other disciplines. Shultz, D. P., and S. E. Shultz. A History of Modern Psychology. 7th ed. Fort Worth, Tex.: Harcourt College, 1999. A clear, well-organized history of modern psychology, placing schools of thought within their social contexts. Watson, R. I., and R. B. Evans. The Great Psychologists: A History of Psychological Thought. 5th ed. New York: HarperCollins, 1991. Psychologists and schools of psychology from ancient Greek times to the present. Chapters 19 and 20 specifically focus on structuralism and functionalism. Jay W. Jackson See also: Behaviorism; Madness: Historical Concepts; Psychoanalytic Psychology; Psychology: Definition. 850
Substance Use Disorders Type of psychology: Biological bases of behavior; motivation; psychopathology; stress Fields of study: Biological treatments; coping; critical issues in stress; motivation theory; nervous system; stress and illness; substance abuse Substance use disorders include the formal medical diagnoses of substance abuse and substance dependence for many types of drugs of abuse, including alcohol and prescription drugs. These disorders are characterized by recurrent problems in everyday life or physical or emotional distress and impairment that are caused or exacerbated by the use of the substances of abuse. Key concepts • hallucinogens • inhalants • opioids • psychological dependence • sedatives/hypnotics • self-medication • stimulants • tolerance • withdrawal Substance use is studied in psychology from personality, social, and biological perspectives. Social and personality studies of individuals with substance use disorders have produced a variety of theories. These theories have focused on issues such as difficulties people might have with tolerating stress, being unable to delay gratification, developing social skills, being socially isolated or marginalized, being attracted to taking risks, and having difficulties regulating one’s own behavior. Additionally, environmental issues, such as poverty or high levels of stress, have been linked to substance use problems. Biological theories of these disorders suggest that genetic and conditioned sensitivities to substances of abuse and their effects may predispose individuals to acquire these disorders. For instance, people who have increased needs to seek relief from pain or have an increased need to seek pleasure or euphoria might be at greater risk for developing such problems. Pain is broadly defined as any feeling of dysphoria. Because both pain and euphoria can be produced by psychosomatic or somatopsychic events, these two biological categories can subsume most of the stated nonbiological correlates of substance abuse. There are several forms of substance use disorders including abuse and dependence. These should be contrasted to normal experimentation, normal use without problems, and limited instances of misuse that are more appropriately attributed to situational factors than an underlying psychiatric disorder. There are several types of substances of abuse, and some of these are not 851
Psychology Basics typically viewed as problematic. Major categories include alcohol; sedatives/ hypnotics; nicotine; marijuana; opioids, such as heroin; stimulants, including amphetamines, cocaine, crack, and caffeine; inhalants, such as glue, paint, nitrous oxide (laughing gas), and shoe polish; hallucinogens, including phencyclidine (PCP or “angel dust”), LSD (“acid”), MDMA (an amphetamine-like drug with hallucinogenic effects, also known as X or ecstasy); anabolic steroids; and even some types of prescription drugs, such as Valium. When diagnoses are given for substance use disorders, diagnoses should be given in terms of a specific type of substance. A diagnosis of “substance abuse” would be too general because it does not specify the substance causing the problem. Having problems with one substance does not automatically mean that a person has problems with all substances. Thus, any diagnosis for a substance use disorder should be substance-specific; examples might include alcohol abuse, inhalant abuse, marijuana dependence, marijuana abuse, cocaine dependence, or stimulant abuse. For the substance abuse category, the key features of the disorder are patterns of repeated problems in individual functioning in terms of roles at work, school, or home; legal status; use of the substance in hazardous situations, or the consequences of the use on interpersonal relationships. For the substance dependence category, the key features of the disorder are patterns of repeated problems in several areas that are distinct from those considered for abuse. Diagnosis of dependence relies on factors such as tolerance, withdrawal, new or worsened physical or emotional problems directly resulting from the use of the substance, loss of control over the use of the substance, unsuccessful efforts to cut down or quit coupled with intense desire to quit, excessive periods of time spent obtaining, using, or recovering from using the substance, and the displacement of social or occupational activities in order to use the substance. Pain and Euphoria The experience of pain or the seeking of euphoria as causes of substance use disorders can be measured physically or can be perceived by the individual without obvious physical indicators. The relative importance of pain and euphoria in determining the development and maintenance of substance use disorders requires consideration of the contributions of at least five potential sources of behavioral and physical status: genetic predisposition, dysregulation during development, dysregulation from trauma at any time during the life span, the environment, and learning. Any of these can result in or interact to produce the pain or feelings of euphoria that can lead to substance use disorders. The key commonality in pain-induced substance use disorders is that the organism experiences pain that it does not tolerate. Genetic predisposers of pain include inherited diseases and conditions that interfere with normal pain tolerance. Developmental dysregulations include physical and behavioral arrests and related differences from developmental norms. Trauma 852
Substance Use Disorders from physical injury or from environmental conditions can also result in the experience of pain, as can the learning of a pain-producing response. Several theories of pain-induced substance use disorders can be summarized as self-medication theories. In essence, these state that individuals misuse substances in order to correct an underlying disorder that presumably produces some form of physical or emotional distress or discomfort. Selfmedication theories are useful because they take into account the homeostatic (tendency toward balance) nature of the organism and because they include the potential for significant individual differences in problems with pain. Relief from pain by itself does not account entirely for drug use that goes beyond improvement in health or reachievement of normal status and certainly cannot account entirely for drug use that becomes physically selfdestructive. Thus, the use of substances to achieve positive effects such as euphoria or pleasure are also important to consider as causes of these disorders. Associative conditioning and operant conditioning effects play an important role as well. This type of substance misuse can be distinguished from the relief caused by substance use to decrease pain because the substance use does not stop when such relief is achieved but continues until the person experiences the pleasurable effects. Euphoria-inducing substance use, or pleasure seeking, is characteristic of virtually all species tested. Some theorists have proposed that pleasure seeking is an innate drive not easily kept in check even by socially acceptable substitutes. Other theorists believe that these types of substance use disorders related to the positively reinforcing aspects of the substances may have developed as a function of biological causes such as evolutionary pressure and selection. For example, organisms that could eat rotten, fermented fruit (composed partly of alcohol) may have survived to reproduce when others did not; people who could tolerate or preferred drinking alcohol instead of contaminated water reproduced when those who drank contaminated water did not live to do so. Substance Use Disorder Research Laboratory studies of the biological bases of substance abuse and dependence involve clinical (human) and preclinical (animal) approaches. Such research has demonstrated that there are areas of the brain that can provide powerful feelings of euphoria when stimulated, indicating that the brain is primed for the experience of pleasure. Direct electrical stimulation of some areas of the brain, including an area first referred to as the medial forebrain bundle, produced such strong addictive behaviors in animals that they ignored many basic drives including those for food, water, mating, and care of offspring. Later research showed that the brain also contains highly addictive analgesic and euphoriant chemicals that exist as a normal part of the neural milieu. Thus, the brain is also predisposed to aid in providing relief from pain 853
DSM-IV-TR Criteria for Dependence and Abuse Substance Dependence Maladaptive pattern of substance use, leading to clinically significant impairment or distress Manifested by three or more of the following, occurring at any time in the same twelve-month period Tolerance, as defined by either: • need for markedly increased amounts of substance to achieve intoxication or desired effect • markedly diminished effect with continued use of same amount of substance Withdrawal, as manifested by either: • characteristic withdrawal syndrome for substance • same (or closely related) substance taken to relieve or avoid withdrawal symptoms Substance often taken in larger amounts or over longer period than intended Persistent desire or unsuccessful efforts to cut down or control substance use Great deal of time spent in activities necessary to obtain substance, use substance, or recover from its effects Important social, occupational, or recreational activities given up or reduced because of substance use Substance use continues despite knowledge of persistent or recurrent physical or psychological problem likely to have been caused or exacerbated by substance Specify if with Physiological Dependence (evidence of tolerance or withdrawal) or Without Physiological Dependence (no evidence of tolerance or withdrawal) Course specifiers: Early Full Remission; Early Partial Remission; Sustained Full Remission; Sustained Partial Remission; on Agonist Therapy; in a Controlled Environment Substance Abuse Maladaptive pattern of substance use leading to clinically significant impairment or distress Manifested by one or more of the following, occurring within a twelvemonth period: • recurrent substance use resulting in failure to fulfill major role obligations at work, school, or home • recurrent substance use in situations in which it is physically hazardous • recurrent substance-related legal problems • continued substance use despite having persistent or recurrent social or interpersonal problems caused or exacerbated by the effects of the substance (such as arguments with spouse about consequences of intoxication, physical fights) Criteria for Substance Dependence not met for this class of substance 854
Substance Use Disorders and has coupled such relief in some cases with feelings of euphoria. It is not surprising, therefore, that substance abuse, dependence, and other behaviors with addictive characteristics can develop so readily in so many organisms. The effects of typical representatives of the major categories of abused substances can be predicted. Alcohol can disrupt several behavioral functions. It can slow reaction time, movement, and thought processes and can interfere with needed rapid eye movement (REM) sleep. It can also produce unpredictable emotionality, including violence. Those who abuse alcohol may go on to develop the symptoms of physiological dependence (a condition where tolerance or withdrawal are present) and may develop the full diagnosis of alcohol dependence, and it is important to note that the symptoms of alcohol withdrawal can be life-threatening. Heroin, an opioid, has analgesic (pain-killing) and euphoriant effects. It is also highly addictive, but withdrawal seldom results in death. Marijuana, sometimes classified as a sedative, sometimes as a hallucinogen, has many of the same behavioral effects as alcohol. Stimulants vary widely in their behavioral effects. Common to all is some form of physiological and behavioral stimulation. Some, such as cocaine and the amphetamines (including crystal methamphetamine), are extremely addictive and seriously life-threatening and can produce violence. Others, such as caffeine, are relatively mild in their euphoriant effects. Withdrawal from stimulants, especially the powerful forms, can result in profound depression. Hallucinogens are a diverse group of substances that can produce visual, auditory, tactile, olfactory, or gustatory hallucinations, but most do so in only a small percentage of the population. Some, such as PCP, can produce violent behavior, while others, such as lysergic acid diethylamide (LSD), are not known for producing negative emotional outbursts. Inhalants usually produce feelings of euphoria; they are most often used by individuals in their adolescent years who cannot afford to buy other types of drugs such as marijuana, as well as by adult individuals who have easy access to these substances in their work environments or social circles. Brain Chemistry Some of the pharmacological effects of very different drugs are quite similar. Marijuana and alcohol affect at least three of the same brain biochemical systems. Alcohol can become a form of opiate in the brain following some specific chemical transformations. These similarities raise an old and continuing question in the substance use field: Is there a fundamental addictive mechanism common to everyone that differs only in the level and nature of expression? Older theories of drug-abuse behavior approached this question by postulating the “addictive personality,” a type of person who would become indiscriminately addicted as a result of his or her personal and social history. With advances in neuroscience have come theories concerning the possibility of an “addictive brain,” which refers to a neurological status that requires continued adjustment provided by drugs. 855
Psychology Basics An example of the workings of the addictive brain might be a low-opiate brain that does not produce normal levels of analgesia or normal levels of organismic and behavioral euphoria (joy). The chemical adjustment sought by the brain might be satisfied by use or abuse of any drug that results in stimulation of the opiate function of the brain. As discussed above, several seemingly unrelated drugs can produce a similar chemical effect. Thus, the choice of a particular substance might depend both on brain status and on personal or social experience with the effects and availability of the drug used. The example of the opiate-seeking brain raises at least two possibilities for prevention and treatment, both of which have been discussed in substance-use literature: reregulation of the brain and substitution. So far, socially acceptable substitutes or substitute addictions offer some promise, but reregulation of the dysregulated brain is still primarily a hope of the future. An example of a socially acceptable substitute might be opiate production by excessive running, an activity that can produce some increase in opiate function. The success of such a substitution procedure, however, depends upon many variables that may be quite difficult to predict or control. The substitution might not produce the required amount of reregulation, the adjustment might not be permanent, and tolerance to the adjustment might develop. There are a host of other possible problems. Future Possibilities Use of psychoactive substances dates from the earliest recorded history and likely predates it. Historical records indicate that many substances with the potential for abuse were used in medicinal and ceremonial or religious contexts, as tokens in barter, for their euphoriant properties during recreation, as indicators of guilt or innocence, as penalties, and in other practices. Substance use disorders are widespread in virtually all countries and cultures and can be extremely costly, both personally and socially. There is no doubt that most societies would like to eliminate substance use disorders, as many efforts are under way to prevent and treat their occurrence. It is obvious that economic as well as social factors contribute both to substance use disorders and to the laws regulating substance use, and possibly create some roadblocks in eliminating abuse and dependence. In psychology, the systemic and popular study of substance use became most extensive as the field of pharmacology blossomed and access to substances of abuse increased. The creation of the National Institute of Alcohol Abuse and Alcoholism and the National Institute on Drug Abuse helped to fuel research in this area in the 1970’s and later. During the 1980’s and 1990’s, there was an increase in exploration of the biological mechanisms underlying substance use disorders and the possibility that pharmacological interventions might be useful to prevent and treat substance use disorders. The 1990’s also brought an increase in awareness among the research and clinical communities that attention to specific demographic characteristics, such as age, gender, and ethnicity, was also important for understanding the etiology, pre856
Substance Use Disorders vention, and treatment of substance use disorders. As research progresses, these factors and the impact of the environment on behavior are increasingly the focus of study, and attention to the diagnosis of abuse is increasing. Future research on substance use disorders is likely to focus on biological determinants of the problem for the purposes of prevention and treatment, environmental circumstances related to problem development, the interaction of culture and gender as they relate to substance use disorders and treatments, and how other mental illnesses can compound problems related to substance use. Many people erroneously consider biological explanations of problematic behaviors to be an excuse for such behaviors. In fact, discoveries regarding the neural contributions to such behaviors are the basis on which rational therapies for such behaviors can be developed. Recognizing that a disorder has a basis in the brain can enable therapists to address the disorder with a better armamentarium of useful therapeutic tools. In this way, simple management of such disorders can be replaced by real solutions to the problems created by substance abuse. Sources for Further Study Gitlow, Stuart. Substance Use Disorders: A Practical Guide. Philadelphia: Lippincott Williams & Wilkins, 2001. Provides basic explanations for different diagnoses of substance use disorders and explains other diagnostic terms. Hardman, Joel G., and Lee E. Limbard, eds. Goodman and Gilman’s The Pharmacological Basis of Therapeutics. 10th ed. New York: Macmillan, 2001. A standard reference for students interested in an overview of the pharmacological aspects of selected addictive drugs. Of greater interest to those interested in pursuing the study of substance abuse from a neurological and physiological perspective. Inaba, Daryl. Uppers, Downers, All Arounders: Physical and Mental Effects of Psychoactive Drugs. 4th ed. Ashland, Oreg.: CNS Productions, 2000. An easy-toread, practical book on what substance use disorders look like to the everyday person, as well as a description of related problems and concerns. Julien, Robert M. A Primer of Drug Action. Rev. ed. New York: W. H. Freeman, 2001. An introductory treatment of types and actions of many abused and therapeutic substances. A useful, quick reference guide for psychoactive effects of drugs used in traditional pharmacological therapy for disorders and abused substances. Contains good reference lists and appendices that explain some of the anatomy and chemistry required to understand biological mechanisms of substance abuse. Weil, Andrew, and Winifred Rosen. From Chocolate to Morphine: Everything You Need to Know About Mind-Altering Drugs. Rev. and updated ed. Boston: Houghton Mifflin, 1998. This classic text discusses mind-altering substances, from foods that alter moods to illicit drugs of abuse. Rebecca M. Chesire; updated by Nancy A. Piotrowski See also: Motivation. 857
Suicide Type of psychology: Psychopathology Field of study: Depression Suicide is the intentional ending of one’s own life; roughly 12 per 100,000 Americans commit suicide annually. Suicide rates are higher for males than females and increase with age; risk also increases with clinical depression, so suicide may be considered among the most severe consequences of any psychological disorder. Key concepts • altruistic suicide • anomie • egoistic suicide • epidemiological research • psychological autopsy • suicidal gesture Suicide is the intentional taking of one’s own life. Psychologists have devoted much effort to its study, attempting to identify those at greatest risk for suicide and to intervene effectively to prevent suicide. Sociologist Émile Durkheim introduced what has become a well-known classification of suicide types. Altruistic suicides, according to Durkheim, are those that occur in response to societal demands (for example, the soldier who sacrifices himself to save his comrades). Egoistic suicides occur when the individual is isolated from society and so does not experience sufficient societal demands to live. The third type is the anomic suicide. Anomie is a sense of disorientation or alienation which occurs following a major change in one’s societal relationships (such as the loss of a job or the death of a close friend); the anomic suicide occurs following such sudden and dramatic changes. Research supports Durkheim’s ideas that suicide is associated with social isolation and recent loss. Many other variables, both demographic and psychological, have also been found to be related to suicide. Numerous studies have shown that the following demographic variables are related to suicide: sex, age, marital status, employment status, urban versus rural dwelling, and race. Paradoxically, more females than males attempt suicide, but more males than females commit suicide. The ratio in both cases is about three to one. The difference between the sex ratios for attempted and completed suicide is generally explained by the fact that males tend to employ more lethal and less reversible methods than do females (firearms and hanging, for example, are more lethal and less reversible than ingestion of drugs). Age is also related to suicide. In general, risk for suicide increases with increasing age; however, even though suicide risk is higher in older people, much attention has been devoted to suicide among children and adoles858
Suicide cents. This attention is attributable to two factors. First, since 1960 there has been an increase in the suicide rate among people under twenty-five years of age. Second, suicide has become one of the leading causes of death among people under twenty-one, whereas suicide is surpassed by many illnesses as a cause of death among older adults. Other demographic variables are related to suicide. Suicide risk is higher for divorced than married people. The unemployed have a higher suicide rate than those who are employed. Urban dwellers have a higher suicide rate than rural dwellers. Caucasians have a higher suicide rate than African Americans. In addition to these demographic variables, several psychological or behavioral variables are related to suicide. Perhaps the single best predictor of suicide is threatening to commit suicide. Most suicide victims have made some type of suicide threat (although, in some cases, the threat may be veiled or indirect, such as putting one’s affairs in order or giving away one’s belongings). For this reason, psychologists consider seriously any threat of suicide. A related index of suicide risk is the detailedness or clarity of the threat. Individuals who describe a suicide method in detail are at greater risk than those who express an intent to die but who describe the act only vaguely. Similarly, the lethality and availability of the proposed method provide additional measures of risk. Suicide risk is higher if the individual proposes using a more lethal method and if the individual has access to the proposed method. Another useful indicator of suicide risk is previous suicide attempts. People who have made prior attempts are at higher risk for suicide than people who have not. The lethality of the method used in the prior attempt is a related indicator. An individual who survives a more lethal method (a gunshot to the head) is considered at higher risk than one who survives a less lethal attempt (swallowing a bottle of aspirin). Suicide risk is associated with particular behavioral or psychological variables: depression, isolation, stress, pain or illness, recent loss, and drug or alcohol abuse. These factors may help explain why certain of the demographic variables are related to suicide. For example, people who are unemployed may experience higher levels of stress, depression, and isolation than people who are employed. Similarly, divorced people may experience more stress and isolation than married people. The elderly may experience more isolation, depression, and pain or illness than younger people. Although the demographic and psychological variables summarized above have been found to be related to suicide, the prediction of suicide remains extremely difficult. Suicide is a statistically rare event; according to basic laws of probability, it is very difficult to predict such rare occurrences. What happens in actual attempts to predict suicide is that, in order to identify the “true positives” (individuals who actually attempt suicide), one must accept a very large number of “false positives” (individuals who are labeled suicidal but who, in fact, will not attempt suicide). 859
Psychology Basics Research and Prevention Several methods have been used to study the psychology of suicide. Epidemiological research determines the distribution of demographic characteristics among suicide victims. Another method is to study survivors of suicide attempts. This enables psychologists to examine intensively their psychological characteristics. A third method is to analyze suicide notes, which may explain the individual’s reasons for suicide. A final method is the psychological autopsy. This involves interviewing the victim’s friends and family members and examining the victim’s personal materials (such as diaries and letters) in an attempt to identify the psychological cause of the suicide. Although all these approaches have been widely used, each has its limitations. The epidemiological method focuses on demographic characteristics and so may overlook psychological influences. Studying survivors of suicide attempts has limitations because survivors and victims of suicide attempts may differ significantly. For example, some suicide attempts are regarded as suicidal gestures, or “cries for help,” the intent of which is not to die but rather to call attention to oneself to gain sympathy or assistance. Thus, what is learned from survivors may not generalize to successful suicide victims. The study of suicide notes is limited by the fact that most suicide victims do not leave notes. For example, in a study of all suicides in Los Angeles County in a single year, psychologists Edwin Shneidman and Norman Farberow found that only 35 percent of the males and 39 percent of the females left notes. Finally, the psychological autopsy is limited in that the victim’s records and acquaintances may not shed light on the victim’s thought processes. In 1988, Harry Hoberman and Barry Garfinkel conducted an epidemiological study to identify variables related to suicide in children and adolescents. They examined death records in two counties in Minnesota over an eleven-year period for individuals who died at age nineteen or younger. Hoberman and Garfinkel examined in detail the death records of 225 suicide victims. They noted that 15 percent of their sample had not been identified as suicides by the medical examiner but had instead been listed as accident victims or as having died of undetermined causes. This finding suggests that official estimates of suicide deaths in the United States are actually low. Consistent with other studies, Hoberman and Garfinkel found that suicide was related to both age and sex. Males accounted for 80 percent of the suicides, females for only 20 percent. Adolescents aged fifteen to nineteen years composed 91 percent of the sample, with children aged fourteen and under 9 percent. In addition, Hoberman and Garfinkel found that a full 50 percent of the sample showed evidence of one or more psychiatric disorders. Most common were depression and alcohol or drug abuse. Finally, Hoberman and Garfinkel found that a substantial number of the suicide victims had been described as “loners,” “lonely,” or “withdrawn.” Thus, several of the indicators of suicide in adults also are related to suicide in children and adolescents. 860
Suicide Assessing Risk Psychiatrist Aaron T. Beck and his colleagues developed the Hopelessness Scale in 1974 to assess an individual’s negative thoughts of self and future. In many theories of suicide, an individual’s sense of hopelessness is related to risk for suicide. Beck and others have demonstrated that hopelessness in depressed patients is a useful indicator of suicide risk. For example, in 1985, Beck and his colleagues reported a study of 207 patients who were hospitalized because of suicidal thinking. Over the next five to ten years, fourteen patients committed suicide. Only one demographic variable, race, differed between the suicide and nonsuicide groups: Caucasian patients had a higher rate of suicide (10.1 percent) than African American patients (1.3 percent). Of the psychological variables assessed, only the Hopelessness Scale and a measure of pessimism differed between suicide victims and other patients. Patients who committed suicide were higher in both hopelessness and pessimism than other patients. Beck and his colleagues determined the Hopelessness Scale score which best discriminated suicides from nonsuicides. Other mental health professionals can now use this criterion to identify those clinically depressed patients who are at greatest risk for suicide. Several approaches have been developed in efforts to prevent suicide. Shneidman and Farberow developed what may be the most well-known suicide-prevention program, the Los Angeles Suicide Prevention Center. This program, begun in 1958, helped popularize telephone suicide hotlines. Staff members are trained to interact with individuals who are experiencing extreme distress. When an individual calls the center, staff members immediately begin to assess the caller’s risk for suicide, considering the caller’s demographics, stress, lifestyle, and suicidal intent. Staff members attempt to calm the caller, so as to prevent an immediate suicide, and to put the person into contact with local mental health agencies so that the individual can receive more extensive follow-up care. Psychologists William Fremouw, Maria de Perczel, and Thomas Ellis published a useful guide for those who work with suicidal clients. Among their suggestions are to talk openly and matter-of-factly about suicide, to avoid dismissing the client’s feelings or motives in a judgmental or pejorative way, and to adopt a problem-solving approach to dealing with the client’s situation. Suicide-prevention programs are difficult to evaluate. Callers may not identify themselves, so it is difficult to determine whether they later commit suicide. Still, such programs are generally thought to be useful, and suicideprevention programs similar to that of Shneidman and Farberow have been developed in many communities. Social and Cultural Contexts Suicide is one of the most extreme and drastic behaviors faced by psychologists. Because of its severity, psychologists have devoted considerable effort 861
Psychology Basics to identifying individuals at risk for suicide and to developing programs that are effective in preventing suicide. Psychological studies have shown that many popular beliefs about suicide are incorrect. For example, many people erroneously believe that people who threaten suicide never attempt suicide, that all suicide victims truly wish to die, that only the mentally ill commit suicide, that suicide runs in families, and that there are no treatments that can help someone who is suicidal. Because of these and other myths about suicide, it is especially important that psychological studies of suicide continue and that the results of this study be disseminated to the public. Suicide risk increases in clinically depressed individuals. In depressed patients, suicide risk has been found to be associated with hopelessness: As one’s sense of hopelessness increases, one’s risk for suicide increases. Since the 1970’s, Beck’s Hopelessness Scale has been used in efforts to predict risk for suicide among depressed patients. Although the suicide rate has been relatively stable in the United States since the early twentieth century, the suicide rate of young people has increased since the 1960’s. For this reason, depression and suicide among children and adolescents have become major concerns of psychologists. Whereas childhood depression received relatively little attention from psychologists before the 1970’s, psychologists have devoted considerable attention to this condition since then. Much of this attention has concerned whether biological, cognitive, and behavioral theories of the causes of depression and approaches to the treatment of depression, which were originally developed and applied to depressed adults, may generalize to children. In the 1980’s, psychologists developed several innovative programs that attempt to identify youths who are depressed and experiencing hopelessness, and so may be at risk for suicide; evaluations and refinements of these programs will continue. Sources for Further Study Durkheim, Émile. Suicide. Reprint. Glencoe, Ill.: Free Press, 1951. In this work, originally published in 1897, Durkheim introduced his classification system of suicide types—altruistic, egoistic, and anomic suicides— and examined the relationship of suicide to isolation and recent loss. Fremouw, William J., Maria de Perczel, and Thomas E. Ellis. Suicide Risk: Assessment and Response Guidelines. New York: Pergamon, 1990. This book presents useful guidelines, based on both research and clinical practice, for working with suicidal individuals. Hawton, Keith. Suicide and Attempted Suicide Among Children and Adolescents. Beverly Hills, Calif.: Sage Publications, 1986. This work overviews research results concerning the causes of youth suicide and treatment programs for suicidal youngsters. Holinger, Paul C., and J. Sandlow. “Suicide.” In Violent Deaths in the United States, edited by Paul C. Holinger. New York: Guilford Press, 1987. This chapter presents epidemiological information on suicide in the United 862
Suicide States, from 1900 to 1980. It also addresses demographic variables and their relationship to suicide. Lann, Irma S., Eve K. Moscicki, and Ronald Maris, eds. Strategies for Studying Suicide and Suicidal Behavior. New York: Guilford Press, 1989. This book examines the various research methods used to study suicide. Considers the relative strengths and weaknesses and offers examples of each method. Lester, David, ed. Current Concepts of Suicide. Philadelphia: Charles Press, 1990. A useful overview of research results on the possible causes of suicide and on programs designed both to prevent suicide and to treat suicidal patients. Peck, Michael L., Norman L. Farberow, and Robert E. Litman, eds. Youth Suicide. New York: Springer, 1985. A useful overview of the psychological influences on youth suicide and on the treatment and prevention programs that have been used with suicidal youths. Shneidman, Edwin S., Norman L. Farberow, and Robert E. Litman. The Psychology of Suicide. New York: Science House, 1970. This is a collection of articles, some of which are now regarded as classics in the study of suicide. Stengel, Erwin. Suicide and Attempted Suicide. Rev. ed. Harmondsworth, England: Penguin Books, 1973. This classic work summarizes the demographic and psychological variables that were known at the time to be associated with suicide. Michael Wierzbicki See also: Bipolar Disorder; Clinical Depression; Depression; Drug Therapies.
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Support Groups Type of psychology: Cognition; emotion; language; learning; memory; motivation; personality; psychological methodologies; psychopathology; psychotherapy; social psychology; stress Fields of study: All The history of support groups in modern times begins with the formation of the Oxford Group in 1908 and the subsequent development of Alcoholics Anonymous. For the participants, support groups reduce feelings of isolation, offer information, instill hope, provide feedback and social support, and teach new social skills. At the opening of the twenty-first century, support groups exist for persons suffering from all kinds of medical and psychological conditions to support for victims of violent crime. Key concepts • cohesion • exchange theory • group dynamics • networks • norms • roles • social facilitation • social inhibition • social learning • sociobiology Humans are social animals—they live in groups. These networks among people are powerful in shaping behavior, feelings, and judgments. Groups can lead to destructive behavior such as mob violence and aggression, but they can also encourage loyalty, nurturing of others, and achievement, as found in cancer-support groups. Scientific investigation of how groups affect human behavior began as early as 1898, but the main body of research on group functioning began only in the 1940’s and 1950’s. The study of groups is still a major topic of scientific enquiry. D. R. Forsyth defined a group as “two or more individuals who influence each other through social interaction.” A group may be permanent or temporary, formal or informal, structured or unstructured. Those groups known as support groups may share any of these characteristics. Why do human beings seek out groups? Social learning theorists believe that humans learn to depend on other people because most are raised within families, where they learn to look to other people for support, validation, amusement, and advice. Exchange theorists, on the other hand, reason that groups provide both rewards (such as love and approval) and costs (such as time and effort). Membership in a group will “profit” the individual if the rewards are greater than the costs. Yet another set of theorists, the sociobiologists, argue that humans form groups because this has a survival 864
Support Groups benefit for the species. They hypothesize a genetic predisposition toward affiliation with others. It is within groups that the fittest have the greatest chance of survival. Whatever the reason for forming groups, all groups have important characteristics that must be addressed in seeking to understand why support groups work. First of all, group size is important. Larger groups allow more anonymity, while smaller groups facilitate communication, for example. Group structure includes such elements as status differences, norms of conduct, leaders and followers, and subgroups. Individuals in groups develop social roles—those expected behaviors associated with the individual’s position within the group. Roles are powerful in influencing behavior and can cause individuals to act contrary even to their private feelings or their own interests. These roles carry varying degrees of status within the group—who is influential and respected and who is less so. Groups may have subgroups, based on age, residence, roles, interests, or other factors. These subgroups may contribute to the success of the whole or may become cliquish and undermine the main group’s effectiveness. Groups also have varying degrees of cohesion. Cohesion reflects the strength of attachments within the group. Sometimes cohesion is a factor of how well group members like one another, sometimes a factor of the need to achieve an important goal, and sometimes a factor of the rewards that group membership confers. All groups have communication networks, or patterns of openness and restrictions on communication among members. Group norms are those attitudes and behaviors that are expected of members. These norms are needed for the group’s success because they make life more predictable and efficient for the members. Leadership may be formal or informal, may be task oriented or people oriented, and may change over time. Finally, all groups go through fairly predictable stages as they form, do their work, and conclude. The comprehensive term for the way a group functions is “group dynamics.” How Groups Influence Individuals Researchers have found that for all animals, including human beings, the mere presence of other members of the same species may enhance performance on individual tasks. This phenomenon is known as social facilitation. With more complex tasks, however, the presence of others may decrease performance. This is known as social inhibition or impairment. It is not clear whether this occurs because the presence of others arouses the individual, leads individuals to expect rewards or punishments based on past experience, makes people self-conscious, creates challenges to self-image, or affects the individual’s ability to process information. Most theorists agree that the nature of the task is important in the success of a group. For example, the group is more likely to succeed if the individual members’ welfare is closely tied to the task of the group. Groups provide modeling of behavior deemed appropriate in a given sit865
Psychology Basics uation. The more similar the individuals doing the modeling are to the individual who wants to learn a behavior, the more powerful the models are. Groups reward members for behavior that conforms to group norms or standards and punish behaviors that do not conform. Groups provide a means of social comparison—how one’s own behavior compares to others’ in a similar situation. Groups are valuable sources of support during times of stress. Some specific factors that enhance the ability of groups to help individuals reduce stress are attachment, guidance, tangible assistance, and embeddedness. Attachment has to do with caring and attention among group members. Guidance may be provision of information, or it may be advice and feedback provided by the group to its members. Tangible assistance may take the form of money or of other kinds of service. Embeddedness refers to the sense the individual has of belonging to the group. Some researchers have shown that a strong support system actually increases the body’s immune functioning. Alcoholics Anonymous The best-known support group is Alcoholics Anonymous (AA), formed in Akron, Ohio, in the late 1930’s. AA groups now number in the tens of thousands and are found across the globe. AA is an outgrowth of the Oxford Group, a Christian student and athlete group formed at Oxford University in England in 1908. The Oxford Group’s ideals of self-examination, acknowledgment of character defects, restitution for harm done, and working with others directly influenced the steps to recovery practiced by members of AA and other so-called twelve-step groups, including Al-Anon, Narcotics Anonymous, Smokers Anonymous, and many others. For addicts, support groups are important for a number of reasons. They provide peer support for the effort to become “clean and sober.” They provide peer pressure against relapsing into substance use. They assure addicts that they are not alone—that others have suffered the destruction brought about by drinking or taking drugs. Addicts in twelve-step groups learn to interact with others on an emotional level. Importantly, members of AA and other support groups for addicts are able to confront the individual’s maladaptive behaviors and provide models for more functional behavior. The norm for AA is sobriety, and sobriety is reinforced by clear directions on how to live as a sober person. Another important aspect of AA is the hope that it is able to inspire in persons who, while using, saw no hope for the future. This hope comes not only from seeing individuals who have successfully learned to live as sober persons but also from the group’s emphasis on dependence on a higher power and the importance of one’s spiritual life. Other Support Groups Not all support groups are for addicts. Support groups exist for adoptive parents, people who were adopted when they were children, people with acquired immunodeficiency syndrome (AIDS), caregivers for patients with 866
Support Groups Alzheimer’s disease, and that is just the beginning. Why are these groups so popular? Some writers believe that Americans have turned away from the “rugged individualism” that has characterized the national psyche in the past and are searching for meaning in groups to replace the extended families found in other societies. However, this does not explain why support groups are also popular in other parts of the world. The answer probably lies in the characteristics of groups. Support groups are generally composed of small numbers of people who are facing similar challenges in their lives. They meet, with or without a trained facilitator, to explore their reactions, problems, solutions, feelings, frustrations, successes, and needs in relation to those challenges. They build bonds of trust. Members show compassion to one another. Groups may provide material support or simply assure the individual member he or she is not alone. They help minimize stress and maximize coping. They model strategies for dealing with the given challenge. They provide information. They nurture their members. They encourage application of new learning. Through this sharing, each member grows, and through individual growth, the group matures. Support groups have traditionally met in person, but the World Wide Web has now enabled many groups to meet online. These meetings may take the form of synchronous or asynchronous chat groups, bulletin boards, listservs, Web sites with multiple links to information sources, referrals, and collaboration with professionals. These groups, while not well studied, seem to serve the same purposes as in-person groups. In addition, they may provide an advantage: The anonymity of the Web makes it possible to observe and to learn from observing without actually participating until one is comfortable doing so. Support groups may not be sufficient in and of themselves to solve individual problems. They are probably most effective as a part of an integrated plan for addressing the challenge in the individual’s life that involves other resources as appropriate. For example, the caregiver of a person with Alzheimer’s disease may also need social services support, adult day care or respite care facilities, medical assistance for control of problem behaviors, and home health services to deal successfully with the day-to-day challenges of dealing with the patient. The support group can facilitate access to these other resources in addition to serving as an important stress reducer and support system for the caregiver. Sources for Further Study Carlson, Hannah. The Courage to Lead: Start Your Own Support Group: Mental Illnesses and Addictions. Madison, Conn.: Bick, 2001. A complete how-to manual for creating small groups for persons striving against addiction or to overcome mental illnesses. Ferguson, Tom. Health Online: How to Find Health Information, Support Groups, and Self-Help Communities in Cyberspace. Reading, Mass.: Addison-Wesley, 867
Psychology Basics 1996. A comprehensive guide to information on diseases and illnesses. Explains how to locate online medical journals and interpret articles. Covers commercial online services, Internet bulletin boards, and National Institutes of Health databases. Kauth, Bill. A Circle of Men: The Original Manual for Men’s Support Groups. New York: St. Martin’s Press, 1992. Covers finding the right members, running meetings, training in listening, creating rituals, and dealing with problems within the group. Kelly, Pat. Living with Breast Cancer: A Guide for Facilitating Self-Help Groups. Lewiston, N.Y.: B. C. Decker, 2000. A guide to starting and running a member-managed self-help group. Provides a good list of resources. Klein, Linda L. The Support Group Sourcebook: What They Are, How You Can Find One, and How They Can Help You. New York: John Wiley & Sons, 2000. A comprehensive guide to how groups work and develop and how they assist people. Good advice on how to start or find a group. O’Rourke, Kathleen, and John C. Worzbyt. Support Groups for Children. Washington, D.C.: Accelerated Development, 1996. Helpful description of how to find an appropriate support group for children. Shaffer, Carolyn R., and Kristin Anundsen. Creating Community Anywhere: Finding Support and Connection in a Fragmented World. New York: Penguin Putnam, 1993. Focuses on how to find or create intentional communities. Wuthnow, Robert. Sharing the Journey: Support Groups and America’s New Quest for Community. New York: Free Press, 1994. Examines the shift from extended family through the isolation of the nuclear family and the present movement toward intentional communities. Rebecca Lovell Scott See also: Domestic Violence; Groups; Substance Use Disorders.
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Survey Research Questionnaires and Interviews Type of psychology: Psychological methodologies Fields of study: Descriptive methodologies; experimental methodologies; methodological issues Psychologists use survey research techniques, including questionnaires and interviews, to evaluate attitudes about social or personal issues and to find out about people’s behaviors directly from those people. Questionnaires are self-administered and in written form. In interviews, the psychologist asks questions of the respondent. There are strengths and limitations of both of these data collection methods. Key concepts • attitudes • demographics • interview • population • questionnaire • respondent • sample Survey research is common in both science and daily life. Almost everyone in today’s society has been exposed to survey research in one form or another. Researchers ask questions about the political candidate one favors, the television programs one watches, the soft drink one prefers, whether there should be a waiting period prior to purchasing a handgun, and so on. There are many ways to obtain data about the social world; among them are observation, field studies, and experimentation. Two key methods for obtaining data—questionnaires and interviews—are survey research methods. Most of the social research conducted or published involves these two data collection methods. In general, when using survey methods, the researcher gets information directly from each person (or respondent) by using self-report measurement techniques to ask people about their current attitudes, behaviors, and demographics (statistical features of populations, such as age, income, race, and marital status), in addition to past experiences and future goals. In questionnaires, the questions are in written format, and the research subjects check boxes and type in (or write down) their answers. In interviews, there is one-to-one verbal communication, either face-to-face or by means of a telephone, between the interviewer and respondent. Both techniques are flexible and adaptable to the group of people being studied and the particular situation. Both can range from being highly structured to highly unstructured. 869
Psychology Basics Strengths and Limitations Questionnaires can be completed in groups or self-administered on an individual basis. They can also be mailed to people. They are generally less expensive than conducting interviews. Questionnaires also allow greater anonymity of the respondents. One drawback is that a questionnaire’s design cannot guarantee that the subjects understand exactly what the questions are asking. Also, there may be a problem of motivation with responding to questionnaires, because people may get bored or find it tedious to type in the forms on their own. The survey researcher must therefore make sure that the questionnaire is not excessively long or complex. In contrast, with an interview there is a better chance that the interviewer and subject will have good communication and that all questions will be understood. Telephone interviews are less expensive than face-to-face interviews; still, questionnaires tend to be less costly. In an interview, the respondent is presented with questions orally, whereas in the questionnaire, regardless of type or form, the respondent is presented with a written question. Each data collection device has pros and cons. The decision to use questionnaires versus interviews depends on the purpose of the study, the type of information needed, the size of the sample (the number of people who participate in a study and are part of a population), the resources for conducting the study, and the variable(s) to be measured. Overall, the interview is probably the more flexible device of the two. Designing Bias-Free Questions When creating a questionnaire, the researcher must give special thought to writing the specific questions. Researchers must avoid questions that would lead people to answer in a biased way or ones that might be easily misinterpreted. For example, the questions “Do you favor eliminating the wasteful excesses in the federal budget?” and “Do you favor reducing the federal budget?” might well yield different answers from the same respondent. Questions are either closed-ended or open-ended, depending on the researcher’s choice. In a closed-ended question, a limited number of fixed response choices are provided to subjects. With open-ended questions, subjects are able to respond in any way they like. Thus, a researcher could ask, “Where would you like a swimming pool to be built in this town?” as opposed to “Which of the following locations is your top choice for a swimming pool to be built in this town?” The first question allows the respondent to provide any answer; the second provides a fixed number of answers from which the person must choose. Use of closed-ended questions is a more structured approach, allowing greater ease of analysis because the response choices are the same for everyone. Open-ended questions require more time to analyze and are therefore more costly. Open-ended questions, however, can provide valuable insights into what the subjects are actually thinking. 870
Survey Research: Questionnaires and Interviews Clinical Interview A specialized type of interview is the clinical, or therapeutic, interview. The specific goal of a particular clinical interview depends on the needs and the condition of the individual being interviewed. There is a distinction between a therapeutic interview, which attempts both to obtain information and to remedy the client’s problem, and a research interview, which attempts solely to obtain information about people at large. Because the clinical interview is a fairly unstructured search for relevant information, it is important to be aware of the factors that might affect its accuracy and comprehensiveness. Research on hypothesis confirmation bias suggests that it is difficult to search for unbiased and comprehensive information in an unstructured setting such as the clinical interview. In the context of the clinical interview, clinicians are likely to conduct unintentionally biased searches for information that confirms their early impressions of each client. Research on self-fulfilling prophecies suggests a second factor that may limit the applicability of interviews in general: The interviewer’s expectations may affect the behavior of the person being interviewed, and respondents may change their behavior to match the interviewer’s expectations. Role of Scientific Method Knowing what to believe about research is often related to understanding the scientific method. The two basic approaches to using the scientific method, the descriptive and the experimental research approaches, differ because they seek to attain different types of knowledge. Descriptive research tries to describe particular situations; experimental research tries to determine cause-and-effect relationships. Independent variables are not manipulated in descriptive research. For that reason, it is not possible to decide whether one thing causes another. Instead, survey research uses correlational techniques, which allow the determination of whether behaviors or attitudes are related to one another and whether they predict one another. For example, how liberal a person’s political views are might be related to that person’s attitudes about sexuality. Such a relationship could be determined using descriptive research. Survey research, as a widely used descriptive technique, is defined as a method of collecting standardized information by interviewing a representative sample of some population. All research involves sampling of subjects. That is, subjects must be found to participate in the research whether that research is a survey or an experiment. Sampling is particularly important when conducting survey research, because the goal is to describe what a whole population is like based on the data from a relatively small sample of that population. Kinsey Group Research One famous survey study in the mid-1930’s was conducted by Alfred Kinsey and his colleagues. Kinsey studied sexual behavior. Until that time, most of 871
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Alfred Kinsey. (Library of Congress)
what was known about sexual behavior was based on what biologists knew about animal sex, what anthropologists knew about sex among indigenous peoples in non-Western, nonindustrialized societies, or what Freud learned about sexuality from his emotionally disturbed patients. Kinsey and his colleagues were the first psychological researchers to interview volunteers from mainstream American society about their sexual behaviors. The research was hindered by political investigations and threats of legal action. In spite of the harassment encountered by the scientists on the project, the Kinsey group published Sexual Behavior in the Human Male in 1948 and Sexual Behavior in the Human Female in 1953. The findings of the Kinsey group benefited the public immensely. As a result, it is now known that the majority of people (both men and women) interviewed by the Kinsey group masturbated at various times, but that more men than women said they masturbated. Data collected by the Kinsey group on oral-genital sexual practices have allowed later researchers to discover that, since the 1930’s, attitudes toward oral-genital sex have become more positive. Kinsey’s research also shocked the United States with the discovery that the majority of brides at that time were not virgins. When scientific sampling techniques are used, the survey results can be interpreted as an accurate representation of the entire population. Al872
Survey Research: Questionnaires and Interviews though Kinsey and his associates helped to pave the way for future researchers to investigate sexual behaviors and attitudes, there were some problems with the research because of its lack of generalizability. The Kinsey group’s research is still the largest study of sexual behavior ever completed. They interviewed more than ten thousand people; however, they did not attempt to select a random or representative sample of the population of the United States, which meant that the responses of middle-class, well-educated Caucasians were overrepresented. There is also a problem with the accuracy of the respondents’ information, because of memory errors, exaggerations, or embarrassment about telling an interviewer personal, sensitive information. Despite these limitations, the interviewing conducted by Kinsey and associates made great strides for the study of sexuality and great strides for psychology in general. Importance of Sampling Procedures When research is intended to reveal very precisely what a population is like, careful sampling procedures must be used. This requires defining the population and sampling people from the population in a random fashion so that no biases will be introduced. In order to learn what elderly people think about the medical services available to them, for example, a careful sample of the elderly population is needed. Obtaining the sample only from retirement communities in Arizona would bias the results because these individuals are not representative of all elderly people in the population. Thus, when evaluating survey data, a researcher must examine how the responses were obtained and what population was investigated. Major polling organizations such as the Gallup organization typically are careful to obtain representative samples of people in the United States. Gallup polls are frequently conducted to survey the voting public’s opinions about the popularity of a presidential candidate or a given policy. Many other surveys, however, such as surveys that are published in popular magazines, have limited generalizability because the results are based on people who read the particular magazine and are sufficiently motivated to complete and mail in the questionnaire. When Redbook, for example, asks readers to write in to say whether they have ever had an affair, the results may be interesting but would not give a very accurate estimate of the true extent of extramarital sexual activity in the United States. An example of an inaccurate sampling technique was a survey by Literary Digest (a now defunct magazine) sampling almost ten million people in 1936. The results showed that American presidential candidate Alfred Landon would beat Franklin D. Roosevelt by a landslide in that year’s election. Although it was large, the sample was completely inaccurate. Early Survey Methods One of the earliest ways of obtaining psychological information using descriptive techniques was through clinical interviewing. The early interviews 873
Psychology Basics conducted by Sigmund Freud in the late 1800’s were based on question-andanswer medical formats, which is not surprising, considering that Freud was originally a physician. Later, Freud relied on the less structured free-association technique. In 1902, Adolf Meyer developed a technique to assess a client’s mental functioning, memory, attention, speech, and judgment. Independent of the style used, all the early clinical interviews sought to get a psychological portrait of the person, determine the source of the problem, make a diagnosis, and formulate a treatment. More detailed studies of interviews were conducted in the 1940’s and 1950’s to compare and contrast interviewing styles and determine how much structure was necessary. During the 1960’s, much research came about as a result of ideas held by Carl Rogers, who emphasized the interpersonal elements he thought were necessary for the ideal therapeutic relationship; among them are warmth, positive regard, and genuineness on the part of the interviewer. In the 1800’s and early 1900’s, interviews were used mainly by psychologists who were therapists helping people with problems such as fear, depression, and hysteria. During that same period, experimental psychologists had not yet begun to use survey research methods. Instead, they used introspection to investigate their own thought processes. For example, experimental psychologist Hermann Ebbinghaus gave himself lists of pronounceable nonsense syllables to remember; he then tested his own memory and attempted to improve it methodically. Many experimental psychologists during this period relied upon the use of animals such as dogs and laboratory rats to conduct behavioral research. Evolution of Questionnaires As mentioned above, one of the first attempts by experimental psychologists to study attitudes and behaviors by means of the interview was that of the Kinsey group in the 1930’s. At about that same time, Louis Thurstone, an experimental social psychologist, formalized and popularized the first questionnaire methodology for attitude measurement. Thurstone devised a set of questionnaires, or scales, that have been widely used for decades. He is considered by many to be the father of attitude scaling. Soon thereafter, Rensis Likert made breakthroughs in questionnaire usage with the development of what are known as Likert scales. A Likert scale provides a series of statements to which subjects can indicate degrees of agreement or disagreement. Using the Likert technique, the respondent answers by selecting from predetermined categories ranging from “strongly agree” to “strongly disagree.” It is fairly standard to use five categories (strongly agree, agree, uncertain, disagree, strongly disagree), but more categories can be used if necessary. An example of a question using this technique might be, “Intelligence test scores of marijuana users are higher on the average than scores of nonusers.” The respondent then picks one of the five categories mentioned above in response. Likert scales have been widely used and have resulted in a vast amount of information about human attitudes and behaviors. 874
Survey Research: Questionnaires and Interviews Sources for Further Study Bordens, Kenneth S., and Bruce B. Abbott. Research Design and Methods: A Process Approach. 5th ed. Mountain View, Calif.: Mayfield, 2001. Places the techniques of using surveys, interviews, and questionnaires for collecting data in the context of conducting research as a process from start to finish. A well-received textbook in psychology. Converse, Jean M., and Stanley Presser. Survey Questions: Handcrafting the Standardized Questionnaire. Beverly Hills, Calif.: Sage Publications, 1986. Provides explicit, practical details for consideration when designing a questionnaire. Stresses the art of questionnaire creation. Cozby, Paul C. Methods in Behavioral Research. 7th ed. Mountain View, Calif.: Mayfield, 2000. Examines the importance of survey research in the context of conducting experiments and doing research in psychology in general. Allows the reader to understand the research process from a broader perspective. Judd, Charles M., Louise H. Kidder, and Eliot R. Smith. Research Methods in Social Relations. 6th ed. Pacific Grove, Calif.: International Thomson, 1991. A popular book whose writing style is exceptionally clear. Offers thorough information that introduces the reader to the process of doing research in psychology, including how to get an idea for a research topic, how to collect the information, how to be ethical with subjects, and how to report the results. Detailed information is provided on questionnaires and interviews. Stewart, Charles J., and William B. Cash, Jr. Interviewing Principles and Practices. 9th ed. Boston: McGraw-Hill College, 2000. A hands-on introduction to interviewing which provides practical suggestions and tips along with background information. Deborah R. McDonald See also: Case-Study Methodologies.
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Thirst Type of psychology: Motivation Fields of study: Endocrine system; motivation theory; physical motives Thirst, along with hunger, is one of the basic biological drives. It motivates humans to drink, which is necessary for their survival. Key concepts • antidiuretic hormone (ADH) • cellular dehydration thirst • drive • hypothalamus • hypovolemic thirst • motivation The range of human motivation is quite broad in controlling behaviors. Motivation can be defined as a condition that energizes and directs behavior in a particular manner. Different aspects of motivation can be attributed to instinctive behavior patterns, the need to reduce drives, or learned experiences. Thirst is one of many biologically based motivational factors; among other such factors are those that involve food, air, sleep, temperature regulation, and pain avoidance. Biologically based motivational factors help humans and other organisms to maintain a balanced internal environment. This is the process of homeostasis. Deviations from the norm, such as hunger, excessive water loss, and pain, will cause an organism to seek out whatever is lacking. Biologically based motivational factors, such as thirst, have been explained by the drive-reduction hypothesis proposed by Clark Hull in 1943. The lack of some factor, such as water or food, causes the body to feel unpleasant. This motivates one to reduce this feeling of unpleasantness, thus reducing the drive. Thirst is considered what is called a primary drive. Primary drives, which are related to biologically based needs such as hunger, thirst, and sleepiness, energize and motivate one to fulfill these biological needs, thus helping the body to maintain homeostasis. Secondary drives fulfill no biological need. One may wonder what it is that makes one thirsty and how one knows when one has had enough to drink. Seventy-five percent of a human’s weight is water. The maintenance of water balance is an ongoing process. In an average day, a person will lose approximately 2.5 liters of water; 60 percent of the water loss occurs through urination, 20 percent is lost through perspiration, and the remainder is lost through defecation and exhalation from the lungs. These 2.5 liters of water must be replaced. What is the stimulus that motivates one to drink when one is thirsty? The simplest hypothesis, which was proposed by Walter Cannon in 1934, is the 876
Thirst dry mouth hypothesis. According to Cannon, it is a dry mouth that causes one to drink, not the need for water. This hypothesis has not held up under scrutiny. Research has shown that neither the removal of the salivary glands nor the presence of excess salivation in dogs disrupts the animals’ regulation of water intake. Studies have indicated that the amount of water consumed is somehow measured and related to the organism’s water deficit. This occurs even before the water has been replaced in the person’s tissues and cells. Thus, dry mouth is a symptom of the need for water. Water Regulation Process When a human being’s water intake is lower than its level of water loss, two bodily processes are set in motion. First, the person becomes thirsty and drinks water (provided it is available). Second, the kidneys start to retain water by reabsorbing it and concentrating the urine. Thus, the kidneys can conserve the water that is already in the body. These processes are set in motion by the central nervous system (CNS). The CNS responds to two primary internal bodily mechanisms. One is cellular dehydration thirst, and the other is hypovolemic thirst (a change in the volume of water in the body). In order to understand these mechanisms, one must realize that the body contains two main supplies of water. One supply, the intracellular fluid, is in the cells; the other supply consists of the extracellular fluid surrounding the cells and tissues and the fluid in the circulatory system. Water moves between these two areas by means of a process called osmosis, which causes it to move from an area of higher concentration to an area of lower concentration. A person who is deprived of water will experience cellular dehydration thirst as a result of water loss caused by perspiration and excretion through the urine. This increases the salt concentration in the extracellular fluid, thereby lowering the water concentration. Thus, the cells lose their water to the surrounding extracellular fluid. The increasing salt concentration triggers specialized osmoreceptors located in the hypothalamic region of the brain. Two events occur: First, drinking is stimulated; second, antidiuretic hormone (ADH) is secreted from the pituitary gland in the brain. The ADH helps to promote the reabsorption of water into the kidneys. The second kind of thirst, hypovolemic thirst, occurs when there is a decrease in the volume of the extracellular fluid as a result of bleeding, diarrhea, or vomiting. This produces a decrease in the salt concentration of the extracellular fluid, which lowers the blood pressure, which in turn stimulates the kidney cells to release a chemical. Eventually, the thirst receptors in the hypothalamus are stimulated; these cause the organism to consume water. In addition, ADH is secreted in this process, which promotes the conservation of water. The regulation of water intake in humans is thus related to a number of factors and is quite complex. Though cellular dehydration thirst and hypovolemic thirst play a role, it appears that in humans, peripheral factors such 877
Psychology Basics as dry mouth play an even larger role. Humans can drink rapidly, replacing a twenty-four-hour water deficit in two to three minutes. This occurs even before the cellular fluid has replaced the water, which takes approximately eight to twelve minutes. Motivational Factor Thirst is a strong motivational factor. The importance of replacing lost water is underscored by the fact that a person can survive for a month without food but for only several days without water. It appears that both thirst processes help to promote drinking. Researchers have estimated that 64 to 85 percent of the drinking following water loss is caused by cellular dehydration thirst. Hypovolemic thirst accounts for 5 to 27 percent of the drinking, and the remainder is caused by peripheral factors. The two types of thirst are independent of each other. The receptors for both thirsts are located in the hypothalamic region of the brain, but they are at different locations. Research has shown that lesions in one region will have no effect on thirst regulation in the other region. Although the motivation to drink in humans is under conscious control by peripheral factors, unconscious control does exert a large influence. A study of cellular dehydration thirst using goats showed that the injection of a saline solution that has a salt concentration of more than 0.9 percent salt (body fluids have a salt concentration of 0.9 percent salt) into the area in which the osmoreceptors are located will produce a drinking response within sixty seconds. Similar results have been found regarding hypovolemic thirst; injecting angiotensin II (a converted protein found in the blood) into the hypothalamus causes a drinking response. This occurs even in animals that are fully hydrated. These animals will consume in direct proportion to the amount of angiotensin II injected into the hypothalamus. Diet can have a profound effect on water balance in humans. Eating salty foods will produce cellular dehydration thirst despite adequate fluid levels, because water will flow out of the cells into the extracellular fluid. In contrast, salt-free diets will produce hypovolemic thirst by causing water to flow into the cells. Other factors also cause thirst. As stated previously, diarrhea, vomiting, and blood loss will cause hypovolemic thirst as a result of the loss of extracellular fluid. Therefore, significant blood loss will cause a person to become thirsty. Impact of Diseases Diseases can also have an impact on thirst. An interesting example of such a disease is diabetes. Diabetes is a condition in which the body cannot process blood glucose (a type of sugar) properly. Improper diet or medication can cause diabetic ketoacidosis, which causes the levels of glucose and ketone bodies (derivatives from fat) in the blood to rise. This creates a major shift in the water balance of the body. Water leaves the cells and enters the blood system, causing the volume of blood to increase. This extra fluid (along with 878
Thirst potassium and sodium) is excreted from the body in the urine, which causes the body to suffer dehydration and triggers a tremendous thirst. Because fluid is lost from both cells and extracellular fluid, this causes both types of thirst. Excessive thirst is still a symptom of diabetes, but it has become rare as a result of education and improved treatment. Impact of Exercise Thirst motivation also operates during exercise. In short-term exercise, thirst motivation does not come into play because the body usually maintains its temperature. During long-term exercise, however, water intake at intervals facilitates athletic performance by helping to maintain body temperature. The motivation to drink occurs as a result of sweating, which causes the salt concentration in the body to rise during exercise, thereby causing cellular dehydration thirst. Interestingly, voluntary thirst and peripheral factors do not motivate one to take in water during prolonged exercise in the heat until it is too late. Thus, coaches should insist that athletes drink water as they perform. Sources for Further Study Carlson, Neil. Foundations of Physiological Psychology. 5th ed. Boston: Allyn & Bacon, 2002. An introductory college textbook. Thirst is covered in the chapter on ingestive behavior. Levinthal, Charles F. “Chemical Senses and the Mechanisms for Eating and Drinking.” In Introduction to Physiological Psychology. 3d ed. Englewood Cliffs, N.J.: Prentice-Hall, 1990. A very good chapter on the thirst drive. It is quite detailed, but the clarity of the writing makes it easy to read. Mader, Sylvia S. Biology. 8th ed. Boston: McGraw-Hill, 2004. An easy-to-read introductory textbook on biology that provides a good background on hormones, water regulation, and kidney function, with many fine diagrams and figures. A good basis for understanding physiological psychology. Lonnie J. Guralnick See also: Drives; Endocrine System; Hormones and Behavior; Hunger.
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Thought Study and Measurement Type of psychology: Cognition Fields of study: Cognitive processes; thought Although the study of thought did not originate in psychology, cognitive psychology is primarily dedicated to the study and measurement of thought processes. Key concepts • cognitive psychology • Ebbinghaus forgetting curve • higher mental functions • information processing model • parallel processing • percent savings • personal equation • serial processing • subtraction technique Cognitive psychologists study many processes basic to human nature and everyday life. Mental processes are central to who people are, what they do, and how they survive. In cognitive psychology, the study of thought necessitates its measurement. For example, much effort has been put forth in cognitive psychology to study how people understand and process information in their environment. One popular approach is to use the idea of a human information-processing system, analogous to a computer. Computers are information-processing devices that use very specific instructions to achieve tasks. A computer receives input, performs certain internal operations on the data (including memory operations), and outputs certain results. Cognitive psychologists often use the information-processing metaphor in describing human operations. People must “input” information from the environment; this process includes sensory and perceptual systems, the recognition of certain common patterns of information, and attention processes. Once this information has entered the “system,” a vast number of operations can be performed. Much of the work by cognitive psychologists has centered on the storage of information during this process—that is, on memory. While memory processes have been of interest since ancient times, it was not until the 1880’s that scientists, notably Hermann Ebbinghaus, first systematically and scientifically studied memory. Scientists studying memory today talk about concepts such as short-term and long-term memory as well as about the distinction between episodic and semantic memory systems. The function of memory is essential to human thought and ultimately to the measurement of thought. In terms of measuring what happens to incoming information, more than memory storage occurs; people manipulate these data. They make de880
Thought: Study and Measurement cisions based on the information available, and they have capabilities (often referred to as higher mental processes) that in many ways differentiate humans from other animals. Some of the functions commonly studied and measured include reasoning, problem solving, logic, decision making, and language development and use. The information-processing analogy is completed with the “output” of information. When a person is asked a question, the response is the output; it is based on the information stored in memory, whether those items be personal experiences, knowledge gained from books, or awareness of social customs. People do these things so effortlessly, day in and day out, that it is difficult to stop, appreciate, and comprehend how thoughts work. Psychologists have pondered these questions for many years and are only beginning to discover the answers. Measuring Thoughts Some of the earliest systematic studies of thought and the accompanying desire to measure it came from astronomy, not psychology or philosophy. From this beginning, Dutch physiologist Frans C. Donders set out specifically to measure a sequence of mental process—thought—in the middle of the nineteenth century. His technique was simple yet elegant in its ability to measure how much time mental processes consume; the procedure developed by Donders is typically referred to as the subtraction technique. The subtraction technique begins with the timing and measurement of a very basic task. For example, a person might be asked to press a button after hearing a tone. Donders realized that it was fairly easy to time accurately how long subjects took to perform this task. He believed that two cognitive (thought) processes would be operating: perception of the tone and the motor response of pressing the button. Once the time of this simple task was known, Donders would make the task more difficult. If a discrimination task were added, he believed, the time taken to complete the task would increase compared to the basic perception-motor response sequence. In this discrimination task, for example, Donders might tell a person to press the button only after hearing a high-pitched sound. That person is now faced with an added demand—to make a decision about pitch. Donders believed that with this discrimination stage, the processing of the information would require more mental effort and more time; he was right. More important, Donders could now measure the amount of extra thought required for the decision by subtracting the simple-task time from the discrimination-task time. In a general sense, Donders had a method for measuring thought. Donders also had the ability to measure and manipulate specific components of the thought process. He even added another component to the sequence of tasks, what he called choice time. For example, the task could be changed so that for a high tone the subject should press the right button and for a low tone press the left button. By subtracting the discrimination time from this new choice time, he could estimate how long the added choice contributed to the overall thought process. By means of these inge881
Psychology Basics nious methods, Donders inspired generations of cognitive psychologists to study thought in terms of the time it takes to think. Ebbinghaus on Learning and Forgetting The first recognized work done in psychology on the measurement of thought processes was Hermann Ebbinghaus’s work on memory capacity and forgetting. Working independently in the 1880’s in Germany, Ebbinghaus set out to study memory processes, particularly the nature of forgetting. Being the first psychologist to study the issue, he had no precedent, so Ebbinghaus invented his own procedures for measuring memory. To his credit, those procedures were so good that they are still commonly used. Before describing his measurement of memory, Ebbinghaus made two important decisions about methods for studying memory. First, he studied only one person’s memory—his own. He believed he would have better control over situational and contextual variables that way. Second, Ebbinghaus decided that he could not use everyday words in his memory studies, because they might have associations that would make them easier to study. For example, if one were memorizing a poem, the story and the writing style might help memory, and Ebbinghaus was interested in a pure measure of memory and forgetting. To achieve this, Ebbinghaus pioneered the use of nonsense syllables. He used three-letter combinations of consonant-vowel-consonant so that the items were pronounceable but meaningless. Nonsense syllables such as “geb,” “fak,” “jit,” “zab,” and “buh” were used. Ebbinghaus used a vigorous schedule of testing and presented himself with many lists of nonsense syllables to be remembered at a later time. In fact, he spent five years memorizing various lists until he published his seminal work on the topic, Über das Gedächtnis (1885; Memory: A Contribution to Experimental Psychology, 1913). He systematically measured memory by memorizing a list, letting some time pass, and testing himself on the list. He devised a numerical measurement for memory called percent savings. Percent savings was a measure of the degree of forgetting that occurred over time. For example, it might take him ten minutes to memorize a list perfectly. He would let forty-eight hours pass, then tell himself to recall the list. Forgetting occurs during that time, and only some items would be remembered. Ebbinghaus would then look at the original list and rememorize it until he knew it perfectly; this might take seven minutes or so. He always spent less time rememorizing the list. Said another way, there was some savings from the earlier experience forty-eight hours before. This percent savings was his measure of memory. The higher the percentage of savings, the more items remembered (or the less forgotten), and Ebbinghaus could remember the list in less time. Ebbinghaus then varied the time between original list learning and later list recall. He found that percent savings drops over time; that is, the longer one waits to remember something, the less one saves from the prior experience, so the more time he had to spend rememorizing the list. Ebbinghaus 882
Thought: Study and Measurement found fairly good percent savings two or nine hours later, but percent savings dropped dramatically after two or three days. Plotted on a graph, this relationship looks like a downward sloping curve, and it is called the Ebbinghaus forgetting curve. Simply stated, it means that as time passes, memories become poorer. Although this effect is not surprising today, Ebbinghaus was the first (in 1885) to demonstrate this phenomenon empirically. Sternberg on Speed Another example of the work in the area of cognitive psychology comes from the studies of Saul Sternberg in the 1960’s at Bell Laboratories. Sternberg examined how additional information in memory influences the speed of mental operations in retrieving information stored in memory. Sternberg’s task was fairly simple. He presented his subjects with a list of numbers; the list might range from one to six numbers. After the subjects saw this initial list, a single number (called a probe) was presented. People were asked to identify whether the probe number was on the initial list of numbers. The list might be 2, 3, 9, and 5, for example, and the probe might be 3. Sternberg’s primary interest was in studying how the length of the initial list affected the time it took to make the required yes-or-no decision. Two possibilities typically emerge when people consider this problem. The concept called serial processing holds that the comparison of the probe to each number in the initial list takes time, so that the more items in the initial list, the longer the memory search takes. An alternative idea, parallel processing, suggests that people instantaneously scan all the items in the memory set, and the number of items in the initial list does not make a difference. Another way of saying this is that all the items are scanned at once, in parallel fashion. Sternberg found that people search their memories using the technique of serial processing. In fact, he was able to calculate precisely the amount of additional search time needed for each added item in the memory set—38 milliseconds (a millisecond is a thousandth of a second). Although the search may seem fast, even instantaneous, the more there is to think about, the more time it takes to think. Cognitive Psychology The study of thought, and particularly its measurement, is a relatively recent development. For centuries, the thinking processes of humans were believed to be somewhat mystical and certainly not available for scientific inquiry. Most philosophers were concerned more with the mind and its relationship to the body or the world than with how people think. The study of thought, although it was generally considered by the ancient Greek philosophers, did not merit serious attention until the emergence of the “personal equation” by astronomers and the realization that thought processes are indeed measurable and can be measured accurately and precisely. The story of the first recorded measurements of thought begins with the royal astronomer to England, Nevil Maskelyne, and his assistant, David 883
Psychology Basics Kinnebrook, in 1794. Astronomers of the day were mostly concerned with stellar transits (measuring the movement of stars across the sky). Using telescopes and specialized techniques, the astronomer sought to measure the time it took for a particular star to move across a portion of the telescopic field. Using a complicated procedure that involved listening to a beating clock and viewing the sky, astronomers could measure the transit time of a star fairly accurately, to within one-tenth or two-tenths of a second. These measurements were particularly important because the clocks of that period were based on stellar transits. Maskelyne and Kinnebrook often worked together in recording the movement of the stars. While Kinnebrook had no problems during 1794, in 1795 Maskelyne began to notice that Kinnebrook’s times varied from his own by as much as one-half of a second—considered a large and important difference. By early 1796, the difference between the astronomers’ times had grown to eight-tenths of a second. This was an intolerable amount of error to Maskelyne, and he fired his assistant Kinnebrook. About twenty years later, a German astronomer named Friedrich Bessel came across the records of these incidents and began to study the “error” in the differing astronomers’ measurements. He believed that the different measurements were attributable in part to differences between people and that this difference was not necessarily an error. He found that even the most famous and reliable astronomers of the day differed from one another by more than two-tenths of a second. This incident between Maskelyne and Kinnebrook, and its later study by Bessel, led to some important conclusions. First, measurements in astronomy would have to consider the specific person making the measurement. Astronomers even went to the lengths of developing what became known as the personal equation. The personal equation was a verified, quantified account of how each astronomer’s thought processes worked when measuring stellar transits. In essence, the personal equation was a measurement of the thought process involved and a recognition of differences between people. Second, if astronomers differ in their particular thought processes, then many people differ in other types of thinking processes as well. Finally, and perhaps most important in the long run, this incident laid the groundwork for the idea that thought could be measured accurately and the information could be put to good use. No longer was thinking a mystical or magical process that was unacceptable for study by scientists. It is from this historical context that the field of cognitive psychology has emerged. Cognitive psychology is chiefly concerned with the thought processes and, indeed, all the general mental processing of organisms (most often humans). The interests of a cognitive psychologist can be quite varied: learning, memory, problem solving, reasoning, logic, decision making, linguistics, cognitive development in children, and other topics. Each area of specialization continues to measure and examine how people think, using tasks and procedures as ingenious as those of Donders, Ebbinghaus, and 884
Thought: Study and Measurement Sternberg. The study and measurement of thought (or, more generally, the field of cognitive psychology) will continue to play an important and vital role. Not many questions are more basic to the study of human behavior than how people think, what processes are involved, and how researchers can scientifically study and measure these processes. Sources for Further Study Anderson, John R. Cognitive Psychology and Its Implications. 5th ed. New York: Worth, 2000. This text is a long-standing leader in the field of cognitive psychology. Provides a wonderful overview of the fundamental issues of cognitive psychology, including attention and perception, basic principles of human memory, problem solving, the development of expertise, reasoning, intelligence, and language structure and use. Ashcraft, Mark H. Human Memory and Cognition. 2d ed. Upper Saddle River, N.J.: Prentice Hall, 1994. A cognitive psychology textbook that heavily emphasizes the human information-processing metaphor. Arranged differently from Anderson’s text, it too provides good coverage of all the basic areas of cognitive psychology. Boring, Edwin G. A History of Experimental Psychology. 2d ed. Englewood Cliffs, N.J.: Prentice-Hall, 1957. This text is the foremost authority on the development and history of psychology in the first half of the twentieth century. Contains detailed accounts of the work of early philosophers and astronomers who contributed to the study of thought and even contains an entire chapter devoted to the personal equation. This can be a difficult text to read, but it is the authoritative overview of the early history of psychology. Goodwin, C. James. A History of Modern Psychology. New York: John Wiley & Sons, 1998. A readable and understandable treatment of the history of psychology from René Descartes in the Renaissance to the present. Lachman, Roy, Janet L. Lachman, and Earl C. Butterfield. Cognitive Psychology and Information Processing: An Introduction. Hillsdale, N.J.: Lawrence Erlbaum, 1979. One of the earliest texts that adequately captures the coming importance and influence of cognitive psychology. There are outstanding chapters that trace the influences of other disciplines and traditions on what is now known as cognitive psychology. Topic areas within the field are discussed as well. Mayer, Richard E. Thinking, Problem Solving, and Cognition. 2d ed. New York: W. H. Freeman, 1992. A book primarily dedicated to the topic of problem solving, which is unusual. The format is interesting and creative, covering the historical perspective of problem solving, basic thinking tasks, information-processing analysis, and implications and applications. The focus on thought and its measurement is seen throughout, especially in sections discussing mental chronometry. R. Eric Landrum See also: Cognitive Psychology; Language; Learning; Logic and Reasoning. 885
Women’s Psychology Carol Gilligan Type of psychology: Social psychology Fields of study: Adolescence; classic analytic themes and issues; general constructs and issues; social motives Gilligan’s theories of girls’ and women’s moral voice and development led many researchers to examine the ways boys and girls, men and women develop morality, and has been instrumental in drawing attention to the importance of the study of the lives of girls and women. Key concepts • ethic of care • ethic of justice • moral orientation • relational self • voice Within the fields of the moral psychology and the psychology of women, Carol Gilligan, a developmental psychologist, has raised a number of important questions about moral psychology and has generated a great deal of research on girls and their development. Her theory about the “different voice” of girls and women, described in her 1982 book, In a Different Voice: Psychological Theory and Women’s Development, has been used to explain gender differences in such diverse fields as children’s play, the speech of children, adult conversation, women in academia, leadership style, career choice, war and peace studies, the professions of law, nursing, and teaching, and theories about women’s epistemologies or ways of knowing. Originally Gilligan’s work was conducted in the field of moral psychology. She followed a tradition of social scientists and moral philosophers who associated moral development with cognitive development. Gilligan argued that boys and men apply rational, abstract, or objective thought to moral questions; as a result they are likely to appeal to the principle of justice when describing their thinking about moral issues. In contrast, Gilligan asserted, girls and women are more likely than boys and men to focus on the relationships between people and the potential for human suffering and harm. When this thinking is applied to moral issues, girls and women appeal to the ethic of care. The ethic of care, she claims, reflects women’s “different voice.” In the preface written to the 1993 edition of her book, Gilligan describes “voice” as the core of the self. She calls it “a powerful psychological instrument and channel, connecting inner and outer worlds . . . a litmus test of relationships and a measure of psychological health.” Gilligan and colleagues in the Harvard Project on Women’s Psychology and the Development of 886
Women’s Psychology: Carol Gilligan Girls designed an interview and qualitative scoring method to study moral orientation and voice. They interviewed, held focus groups, and used sentence completion measures to examine female adolescent and adult development. They argued that girls “lose voice” in adolescence; they dissociate from their real selves, a loss that puts them at risk for depression and anxiety. Development of the Ethic of Care and Voice Gilligan offers two explanations regarding how the ethic of care and women’s different voice develop. The first draws from the psychoanalytic theory of Nancy Chodorow. According to Chodorow, from infancy both boys and girls develop a strong attachment to their mothers, which is the basis for their relational selves. However, during the Oedipal period (about age five), boys must separate from their mothers and must form an autonomous and separate identity as a male. This leads them to repress their relational selves and identify with their fathers. For girls, it is not necessary to detach themselves psychologically from their mothers in order to develop a gender role identity as a female; their attachment to their mothers is not repressed, and girls maintain a strong relational self.
Carol Gilligan. (Courtesy of Carol Gilligan) 887
Psychology Basics Gilligan claimed to find a developmental pattern in her study of women facing a decision to have an abortion, described in her 1982 book. The first level, called “orientation to individual survival,” focused on caring for oneself. The second level, called “goodness as sacrifice” focused on care of self. The third level, “the morality of nonviolence,” is a morality of care for both self and others. Gilligan’s levels have not been validated in any subsequent studies, raising questions about whether the ethic of care is a developmental construct. Socialization also affects women’s sense of self and is connected with the development of voice. According to Gilligan, society reinforces the male/ female gender roles, rewarding boys and men for being autonomous, independent, and rational, while their relational voices are silenced. In contrast, girls’ independent autonomous voices are silenced during adolescence when they experience a conflict. If they become “good women” by conforming to societal stereotypes, they risk losing their authentic (independent) self, or voice. However, if girls resist social pressures to conform to an ideal of femininity, they risk damaging their connections to others. Most girls do not resist and, as a consequence, learn to doubt their true selves. Historical Context for Gilligan’s Theory Gilligan’s theory of moral development was an attempt to correct psychological theories that overlooked the experiences of women or discredited women’s moral psychology. For example, Sigmund Freud (1856-1939), the “father” of psychoanalysis, had claimed that women and men differ in their moral capacity because girls’ superegos are less developed than those of boys. While Freud found women’s morality inferior to men’s, Gilligan claimed that women’s moral thinking was different from men’s but of great, if not greater, moral value. Gilligan’s theory drew from the developmental work of Lawrence Kohlberg (1927-1987) but corrected what she claimed was a gender bias in Kohlberg’s theory. Kohlberg’s theory of moral development was based on six stages of moral thinking that develop universally in an invariant sequence as a result of maturation and experience. In 1969, Kohlberg published results comparing men’s and women’s moral reasoning and reported that women typically scored at stage three, “mutual interpersonal expectations, relationships, and conformity,” while men typically scored at stage four, “social system and conscience maintenance.” Because developmental theories such as Kohlberg’s assume higher stages to be superior, this was tantamount to saying that the moral reasoning of women was less well developed than that of men. However, Kohlberg made no claim regarding gender differences in moral reasoning. It is likely that in the 1960’s, when his study was conducted, his sample of working men and their wives had very different life experiences and that these differences account for his findings. Gilligan’s influential book In a Different Voice entered the field of the psychology of women at an important time. In the 1960’s and 1970’s, research888
Women’s Psychology: Carol Gilligan ers who were studying the psychology of women had argued that empirical evidence shows that psychological differences between men and women are small, and, if they exist at all, gender differences are due to socialization and experience. If no relevant differences exist, there is no basis for assigning men and women to different spheres; gender cannot be used to exclude women from education, political life, or work. Androgyny theorists in the 1960’s and 1970’s sought to discredit claims of gender differences that denigrate women or bar them from educational or career opportunities. They argued that with proper gender-role socialization, boys and girls, men and women would be equal in psychological attributes. However, by the late 1970’s, feminist psychologists began pointing out that androgyny theory contained its own problems: The qualities of competitiveness, aggression, independence, and autonomy, which characterized the masculine norm, might not be the best ideal for either men or women. Some feminist psychologists, such as Jean Baker Miller, sought a new norm for human development, an ideal that celebrated the alternative, feminine virtues of care, concern for others, and the ability to maintain strong relationships with others. In this postandrogyny period, Gilligan’s theory was hailed as a corrective to psychological studies based on male samples that posited masculinity as normative. Gilligan called attention to the study of adolescent girls and claimed to map a new psychological theory that begins with the experience of girls and women and reveals women’s different voice. Research on Moral Reasoning, Moral Orientation, and Voice Research on moral psychology shows that children are concerned with moral issues at a very early age. They care about “what’s fair,” and they are disturbed when someone has been hurt, suggesting that both justice and care orientations can be identified early in life. Research also shows that in Western culture, girls and women are expected to be more concerned with relationships and more in tune with their feelings than boys. However, a great deal of research since the 1970’s has shown that girls and boys are not as different in moral reasoning and voice as Gilligan claims. Studies using the Kohlbergian Moral Judgment Interview (MJI) reveal that males and females at the same age and educational levels are equally able to resolve moral dilemmas by appealing to justice principles. Similar results have been obtained with the Defining Issues Test (DIT), the most frequently used objective test of comprehension of and preference for moral issues. Meta-analysis on DIT scores reveals that education is 250 times more powerful than gender in predicting principled moral reasoning. Narrative and longitudinal studies also have shown that women are as likely as men at the same educational level to advance in the sequential order of development predicted from Kohlberg’s theory. In sum, evidence does not support the assertions that, compared with females, males are more principled in their moral reasoning, more concerned with conflicts resulting from con889
Psychology Basics flicting claims about rights, or more capable of using abstract principles of justice in their moral reasoning. Evidence does not support the claim that Kohlberg’s theory or measure of moral reasoning is biased against girls or women. Are women more caring or more relational than men? Are they more likely to be silenced, silence themselves, or lose their voice than men? The evidence to support or refute Gilligan’s assertion that the ethic of care characterizes female morality or voice is inconclusive. In part, this is because there are so many different ways that care and voice as psychological constructs are measured; it is difficult to compare across studies that operationalize the constructs differently. Different researchers view the ethic of care as a moral theory, an interpersonal orientation, a perceptual focus, or an epistemological theory. Voice is understood variously as a theory of self, a moral perspective, or a defensive posture. Furthermore, most of Gilligan’s qualitative studies of girls’ development only present girls’ voices, and gender differences cannot be tested. Research on the ethic of care suggests that the majority of people, both males and females, can and do use both care and justice orientations. Some studies, particularly those conducted using Gilligan’s qualitative interview, report that females tend to focus on the care orientation and males on the justice orientation, particularly in self-identified moral dilemmas. While qualitative research is very important in developing theory and understanding a construct, testing specific hypotheses (such as that there are gender differences in voice) requires quantitative studies. Most such studies fail to support Gilligan’s theory of gender differences in moral orientation. Some researchers have found that whether someone uses an ethic of care or an ethic of justice depends on the type of moral dilemma they discuss. Lawrence J. Walker and his colleagues found that when participants talked about their own moral dilemmas, females were more likely to identify interpersonal dilemmas, whereas males were more likely to choose impersonal dilemmas. If respondents focussed on people and their relationships (a friend who betrays another friend), they were more likely to see that the ethic of care had been violated. If respondents focussed on issues in which the rights of others were violated or societal rules were transgressed (breaking a law), they were more likely to be concerned about justice. Interpersonal conflicts elicited a care orientation, while issues of conflicting rights elicited a justice orientation for both men and women. However, when asked to think about an issue differently, both boys and girls were able to change and use either justice or care reasoning. Gilligan’s studies of adolescent girls’ voices, using her methods of interview, focus groups, and open-ended sentence completion measures, depict a conflicted adolescence, loss of voice, and growing dissociation from what girls know. While some girls resist, most strive to retain their relationships, and thus seek to please others even if it means developing an inauthentic self. 890
Women’s Psychology: Carol Gilligan Research conducted by Susan Harter using more standardized measures and large samples of both boys and girls indicates that adolescence is a challenging time for girls, and that they are concerned about their relationships. Girls feel silenced by others and they silence themselves, but not more so than adolescent boys. Harter’s studies of loss of voice indicate there are not gender differences in voice, that girls do not have lower levels of voice than boys, and voice does not decline with age. Gender Difference Research Given the empirical results that gender differences, when they exist, are small and usually attributable to different socialization, why do such claims persist? In part the answer lies in the methodology that is used in research on gender. Gilligan and her colleagues’ work, particularly their research using qualitatively analyzed interviews, leads to the conclusion that there are large differences in the ways boys and girls view moral issues, think, react emotionally, and commit to relationships. However, studies that use standardized measures to compare men and women reveal more similarities than differences. Either conclusion has important implications. Rachel Hare-Mustin and Jeanne Marecek claim that as knowledge in the social sciences is always incomplete, interpretation of events, including research findings, is always subject to bias. They suggest two forms of bias influence beliefs about gender differences. Alpha bias is the tendency to emphasize gender difference; beta bias is the tendency to emphasize similarity. In beta bias, underemphasizing gender differences can lead to ignoring the different resources men and women need. In contrast, alpha bias, overestimating differences, can lead one to advocate different roles for men and women. If women are more caring, ought they to be the caregivers? If men are more justice oriented, ought they to be judges? If there is no difference in moral orientation between boys and girls, ought all children to be taught to use both principles? Ought care and justice to be expected from all adults? Gilligan’s Contribution Gilligan raised important questions in the field of the psychology of morality and in so doing drew attention to the ethic of care. While the gender differences that she originally asserted have not been found, her work draws on the experience of girls and women in ways that value that experience. Her insistence that studying the lives of girls is as important as studying the lives of boys brought a good deal of research attention that can lead to new knowledge and new ways to promote the well-being of all boys and girls, men and women. Sources for Further Study Brown, Lyn Mikel, and Carol Gilligan. Meeting at the Crossroads: Women’s Psychology and Girls’ Development. Cambridge, Mass.: Harvard University 891
Psychology Basics Press, 1992. This book describes interviews conducted at the Laurel School, a private day school for girls. The authors describe the listener’s guide, a method of listening to girls’ thoughts and feelings. The interviews demonstrate that relationships are central concerns for middle and high school girls. Chodorow, Nancy. The Reproduction of Mothering: Psychoanalysis and the Sociology of Gender. 2d ed. Berkeley: University of California Press, 1999. Chodorow draws on psychoanalytic theory to describe how women’s mothering is reproduced across culture and across time. The book requires a fairly good background in psychoanalytic theory. Freud, Sigmund. “Some Psychical Consequences of the Anatomical Distinction Between the Sexes.” In The Standard Edition of the Complete Psychological Works of Sigmund Freud. Vol 19. Translated and edited by James Strachey. London: The Hogarth Press, 1966-1973. Freud claimed that because of anatomical differences, girls do not have an Oedipal conflict as emotionally strong as that of boys. As a consequence, boys develop a stronger superego, the structure of the psyche responsible for morality. Gilligan, Carol. In a Different Voice: Psychological Theory and Women’s Development. Reprint. Cambridge, Mass.: Harvard University Press, 1993. The theory of ethic of care and girls’ and women’s different moral voice is described. This often-cited book launched a great deal of discussion and prompted many studies of adolescent girls. Gilligan describes her theory of gender differences in moral orientation and of women’s voice as different from men’s voice. Gilligan, Carol, Nona Lyons, and Trudy Hanmer, eds. Making Connections: The Relational Worlds of Adolescent Girls at Emma Willard School. Cambridge, Mass.: Harvard University Press, 1990. The voices of girls and their resistance to imposed silencing of their voices are described through interviews conducted at the Emma Willard School, a private day and boarding school for girls. Gilligan, Carol, Annie G. Rogers, and Deborah L. Tolman. Women, Girls, and Psychotherapy: Reframing Resistance. New York: Harrington Park Press, 1991. This collection of essays describes the social pressures that silence girls’ voices and demonstrates girls’ resistance to being silenced. Gilligan, Carol, Jamie Victoria Ward, and Jill McLean Taylor, with Betty Bardige, eds. Mapping the Moral Domain: A Contribution of Women’s Thinking to Psychological Theory and Education. Cambridge, Mass.: Harvard Graduate School of Education, 1988. These essays describe research on gender and morality and include a chapter on the origins of gender differences in moral orientation. Many of the chapters were previously published as journal articles or book chapters. Hare-Mustin, Rachel, and Jeanne Marecek, eds. Making a Difference: Psychology and the Construction of Gender. New Haven, Conn.: Yale University Press, 1990. The essays describe how gender differences are socially constructed and includes Hare-Mustin and Marecek’s discussion of alpha and beta 892
Women’s Psychology: Carol Gilligan bias, a distinction that is useful in interpreting findings of gender differences. Harter, Susan. The Construction of the Self: A Developmental Perspective. New York: Guilford Press, 1999. Harter describes her theory and measurement of the self from a developmental perspective. This book includes an important summary and discussion of her research on gender differences in voice. Miller, Jean Baker. Toward a New Psychology of Women. 2d ed. Boston: Beacon Press, 1986. Miller draws on her clinical experience with women to describe and value a relational self, as defined through connections and relationships with others. This is an essential text for understanding relational theories about women’s psychology. Walker, Lawrence J. “Sex Differences in the Development of Moral Reasoning: A Critical Review.” Child Development 55 (1984): 677-691. Walker’s first meta-analysis revealed no gender differences in moral reasoning among men and women. Subsequent studies conducted by Walker and associates have confirmed his initial findings. Mary Brabeck See also: Moral Development; Women’s Psychology: Karen Horney; Women’s Psychology: Sigmund Freud.
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Women’s Psychology Karen Horney Type of psychology: Personality Fields of study: Classic analytic themes and issues; personality theory Horney’s theories emphasize the effects of cultural influences on women’s personality development. Her theories modified classical psychoanalytic views and provided new insights into women’s interpersonal relationships. Key concepts • biological influences • classical psychoanalysis • cultural influences • instinct • neo-Freudians • sexual instinct • unconscious Karen Horney (1885-1952) considered people to be products of their environment as well as of biology. She stressed the ways in which cultural influences affect women’s personality development. These cultural influences include interpersonal relationships and society’s attitudes about women. Cultural influences are overlooked by classical psychoanalysis—a system of psychology based on Freudian doctrine and procedure that seeks the root of human behavior in the unconscious, a region of the mind that is the seat of repressed impulses and experiences of which the conscious mind is unaware. Unconscious motivation and conflict, particularly sexual conflict, according to Horney, play an important role in women’s development. She viewed women as living in a male-oriented world in which they are judged by men according to male standards. Women have come to believe that these male-based standards represent their true nature. As a result, according to Horney, women live with the dilemma of having to choose between fulfilling their ambitions and meeting their needs for love by adhering to the passive role that society assigns to them. These circumstances contribute to depression and low self-esteem. Horney described three basic patterns of behavior by which people relate to others: moving toward (or self-effacing), moving away from (or distancing), and moving against (or expanding). The moving-toward behavior involves dependency and taking care of others as well as self-effacement. Women have been conditioned since birth to relate to others in this manner, according to Horney. Relationship to Freudian Theory Horney’s theories were modifications of classical psychoanalytic beliefs. Her theories are best understood when viewed in relation to the Freudian con894
Women’s Psychology: Karen Horney cepts that were prevalent during her lifetime. According to Sigmund Freud, who founded classical psychoanalysis during the late nineteenth century, biological influences determine human behavior. Of these biological factors, sexual instincts are the strongest motivators of human behavior. Neurosis, or mental disorder, was considered by Freud to be the result of unconscious sexual conflicts which began in early childhood. Horney was grounded in psychoanalytic thinking and agreed with many of Freud’s concepts. She disagreed radically, however, with the heavy sexual content of Freudian theory. A major point of departure was the Freudian concept of penis envy. Freud essentially viewed all psychological problems in women to be the result of the woman’s inherent wish to be a man. Freud maintained that girls are not born with a natural sense of their femininity and regard themselves as inferior, castrated boys. As a result of penis envy, the female rebels against her biological inferiority. The consequences, according to Freud, are resentment, devaluation of her “negative sexual endowments,” envying the opposite sex, and a constant search for compensation. Horney considered penis envy to be contrary to biological thinking. She maintained that little girls are instinctively feminine and aware of their femaleness in early childhood. Thus, girls are not programmed to feel inferior. Women may envy men the power and freedom they have in their private and professional lives, but women do not envy men’s genitals. The behaviors which Freud associated with penis envy—including greed, envy, and ambition—Horney attributed to the restrictions society places on females. Horney also disagreed with the Freudian theory that viewed frigidity and masochism as biologically determined aspects of woman’s nature. Frigidity, or the inability of a woman to experience sexual desire, is neither a normal condition for a woman nor an illness, according to Horney. She considered frigidity to be a symptom of an underlying psychological disturbance, such as chronic anxiety. Frequently, it is caused by tensions between marital partners. Powerful forces in society restrict a woman in the free expression of her sexuality. Custom and education promote female inhibitions. Men’s tendency to view their wives as spiritual partners and to look for sexual excitement with prostitutes or others whom they do not respect may also cause frigidity in wives. Masochistic tendencies, wherein a woman seeks and enjoys pain and suffering, particularly in her sexual life, result from special social circumstances, Horney maintained. Freudian theory, holding that women are biologically programmed for masochism, is associated with the Freudian concept of the female as having been rendered less powerful than the male through castration. Horney, on the other hand, believed that society encourages women to be masochistic. Women are stereotyped as weak and emotional, as enjoying dependence, and these qualities are rewarded by men. Masochistic tendencies, according to Horney, are a way of relating by 895
Psychology Basics which a woman tries to obtain security and satisfaction through submission and self-effacement. Karen Horney’s theories stressed the positive aspects of femininity. As her ideas developed, she became more influenced by social scientists of her period. Her theories placed increasing emphasis on interpersonal and social attitudes in determining women’s feelings, relations, and roles. Her ideas about the development of women’s sexuality were focused on adolescent girls, rather than on young children, as in Freudian theory. According to Horney, adolescents develop attitudes to cope with sexual conflict, and these attitudes carry over into adulthood. New Approach to Women and Relationships Horney’s theories opened the door for new ways of understanding women’s personalities and relationships. In a 1984 study of women’s reactions to separation and loss, psychotherapist Alexandra Symonds found Horney’s theories to be relevant to what she encountered in her woman patients. Writing in the American Journal of Psychoanalysis, Symonds reported female reactions to separation and loss to be a frequent motivation for women to enter therapy. In contrast, she found that men come into therapy in these circumstances mainly because of pressure from a wife or girlfriend. According to Symonds, women are more eager than men to create relationships, and women express more feeling when the relationships end. Symonds considered these behaviors from the viewpoint of the three basic patterns of behavior described by Horney: moving toward, moving away from, and moving against. Symonds viewed the moving-toward, self-effacing type of behavior as love oriented, or dependent; the moving-away-from, detached type as freedom oriented; and the moving-against, expansive type as power oriented. According to Symonds’s views, society assigns the loveoriented, dependent pattern to women, while men are encouraged to develop power- or freedom-oriented patterns. She described a frequent combination in a couple to be a detached, expansive, power-oriented male married to a dependent, self-effacing, love-oriented female. Relationships often develop between the silent, withdrawn, noncommunicative male and the loving, dependent woman who always wants to talk about feelings. As people develop character patterns, such as love-oriented and dependent, they suppress feelings that cause inner conflicts, such as aggressiveness, according to Symonds. By contrast, power-oriented people suppress dependent feelings. People idealize their self-values and feel contempt for what is suppressed; thus, the power-oriented person views dependency and need as contemptible weaknesses. This contempt is conveyed to those who are aware of their dependency needs. Women then add self-hate for needing others to the anxiety they feel when a relationship ends. Extremely dependent, self-effacing women often stay in poor and even abusive relationships rather than separate, according to Symonds. They are victims of a culture that considers a woman nothing unless attached to a 896
Women’s Psychology: Karen Horney man. Symonds found these women to be coming from two different backgrounds: either having been held close by mother or father during childhood and adolescence, thus having no opportunity for healthy growth; or having separated prematurely from parents in childhood in an effort to become self-sufficient at an early age, often having developed a facade of selfsufficiency with deep, unresolved dependency needs. Understanding Fear of Success Horney’s theories predicted the anxiety women feel about their own ambition and the ways in which women sabotage their competence and success. In the book Women in Therapy (1988), psychotherapist Harriet Goldhor Lerner discusses female work inhibition in the light of Horney’s theories. Lerner views work inhibition as an unconscious attempt to preserve harmony within a relationship as well as to allay fears of being unfeminine. Women often fear success because they fear they will pay dearly for their accomplishments. Women frequently equate success, or the wish for it, with the loss of femininity and attractiveness, loss of significant relationships, loss of health, or even loss of life. Feelings of depression and anxiety are ways women either apologize for their competence and success on the one hand or ensure the lack of success on the other hand, according to Lerner. She views self-sacrifice or self-sabotage to be other common ways women react to their feelings of guilt and anxiety about becoming successful. When faced with the choice (real or imagined) of sacrificing the self to preserve a relationship or strengthening the self at the risk of threatening a relationship, women often choose the former, according to Lerner. She applies Horney’s views to the situation of a thirty-year-old married woman who entered therapy because of personal distress and marital tension over her desire to enroll in graduate school and embark on a career. Lerner found that multigenerational guilt on the part of the woman was involved, as well as fears of destroying her marriage. The woman’s husband was opposed to his wife’s enrolling in graduate school. In addition, the woman was the first female in her family to aspire to graduate school. In the face of these circumstances, she put aside her ambitions in order to preserve harmony in her relationships. The woman’s work inhibition involved profound anxiety and guilt over striving for things previous generations of women in her family could not have. Work inhibition also may result when a woman perceives her strivings as “too masculine,” a perception Lerner sees as reinforced by society. Being labeled “masculine” triggers deep guilt and anxiety in women. Background and Accomplishments Horney’s theories on female psychology developed from a series of papers she wrote over a thirteen-year period in response to Freud’s views on female sexuality. The last paper was published after Horney emigrated to the United States from Germany at a highly productive point in her career. One of the first women admitted to medical school in Berlin, she had 897
Psychology Basics completed her psychiatric and psychoanalytic training there by 1913. By that time, Freud had passed the peak of his greatest creative years. Horney was thirty years younger than Freud and a product of the twentieth century. Her views were more in tune with the relatively open structure of twentieth century science than with the more closed science of Freud’s period. Horney was influenced greatly by sociologists of her time. She and other neo-Freudians, such as Harry Stack Sullivan, Alfred Adler, and Erich Fromm, were the first psychoanalysts to emphasize cultural influences on personality development. Horney’s theories grew out of a need for a feminine psychology different from male psychology. She believed that women were being analyzed and treated according to a male-oriented psychology that considered women to be biologically inferior to men. She did not find these male theories supported by what she observed in her female patients or in her own life experience. Horney was the first woman doctor to challenge male theory and went on to take a position in the foreground of the psychoanalytic movement. In so doing, she became a role model for women in general and professional women in particular. She was a controversial figure, and her career involved many disputes with the established psychoanalytic world. She and her followers eventually were ostracized by the establishment, and for a time her name disappeared from the psychoanalytic literature. Her biographers attribute this to a fear on the part of some Freudians of being contaminated by association with her ideas. Modern-Day Impact A growing interest in her work occurred during the women’s movement in the 1970’s. The women’s movement brought her name back into the literature as a pioneer in upgrading women’s status. Her name began appearing more frequently in literature associated with women’s therapy. The series of important books which she had written throughout her career remain popular and continue to be used as textbooks. An independent thinker, Horney is considered an individual who was always ahead of her time. Her work anticipated a revival of interest in the narcissistic personality. Her theories predicted popular trends in psychology, although she often is not credited for her ideas. One of these trends is the increasing emphasis on social and cultural factors as causes of emotional illness. Systems theory is another popular trend related to Horney’s concepts. Systems theory, which includes a type of psychology called family therapy, emphasizes the continuous interaction among cultural conditions, interpersonal relations, and inner emotional experience. Sources for Further Study Horney, Karen. Feminine Psychology. 1967. Reprint. New York: W. W. Norton, 1993. A collection of all of Horney’s writings on feminine psychology. 898
Women’s Psychology: Karen Horney Gives a flavor of Horney’s personality and force as a psychoanalyst and educator. Includes an informative introduction by Harold Kelman, one of Horney’s colleagues. Available through college libraries. Lerner, Harriet Goldhor. Women in Therapy. Reprint. New York: HarperCollins, 1989. Discusses women and their psychotherapists from a psychoanalytic perspective, with references to Horney’s theories. Illustrates how Horney’s theories apply to many themes and issues in women’s psychology. Paris, Bernard. Karen Horney: A Psychoanalyst’s Search for Self-Understanding. New Haven, Conn.: Yale University Press, 1996. A biography of Horney that places her theories squarely within the context of her life history. Written by the editor of the papers unpublished during Horney’s lifetime (The Unknown Karen Horney, 2000). Quinn, Susan. A Mind of Her Own: The Life of Karen Horney. Reading, Mass.: Addison-Wesley, 1988. This biography is an excellent source of information about Horney’s personal and professional life. Much of it is devoted to her female psychology. Easy to read; contains photographs, biographical essays, extensive source notes, and a complete list of Horney’s work. Rubins, Jack L. Karen Horney: Gentle Rebel of Psychoanalysis. New York: Dial Press, 1978. The first biography of Karen Horney. Thorough and well documented; includes detailed discussions of Horney’s theories on women. Lengthy but well organized. Can be read by the college or high school student. Symonds, Alexandra. “Separation and Loss: Significance for Women.” American Journal of Psychoanalysis 45, no. 1 (1985): 53-58. Discusses women’s feelings about separation and loss. Important illustration of how Horney’s theories help explain women’s role in interpersonal relationships. Available in college libraries. Margaret M. Frailey See also: Consciousness; Dreams; Instinct Theory; Psychoanalysis; Psychoanalytic Psychology; Psychoanalytic Psychology and Personality: Sigmund Freud; Social Psychological Models: Karen Horney; Women’s Psychology: Carol Gilligan; Women’s Psychology: Sigmund Freud.
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Women’s Psychology Sigmund Freud Type of psychology: Personality Fields of study: Classic analytic themes and issues; personality theory Freud, the first person to develop a comprehensive theory of personality, thought that women undergo distinct experiences in the development of their personalities. He believed that traumatic events during the phallic stage (from approximately three to five years of age) were likely to hinder normal female development, the results being a failure of same-sex identification and a diminished superego or moral capacity. Key concepts • free association • id • identification • instincts • Oedipus complex • penis envy • psychosexual stages of development • superego Two central concepts underlie Sigmund Freud’s theory of personality development. The first is the notion of the unconscious; the second concept has to do with the role of infantile sexuality. Freud believed that consciousness could be viewed as a continuum of experience, with one pole being the familiar one of acute awareness of one’s thoughts, feelings, and behaviors and the other pole being a state of profound unconsciousness in which one’s feelings, thoughts, and wishes are completely beyond one’s awareness. Midway between these poles is the preconscious, which Freud believed contained material or mental life from both the conscious and the unconscious and could, with effort, be made totally conscious. Freud believed that the bulk of mental life is represented in the unconscious, with only a small portion, “the tip of the iceberg,” being conscious awareness. Operating from the depths of the unconscious, a structure of personality known as the id operates to seek pleasure, to avoid pain at all costs, and to accomplish solely selfish aims. The id is the source of all psychic energy, including both sexual and aggressive instincts. Psychosexual Stages of Development Theory Freud proposed that the sexual instincts are critical and that personality develops over time as the individual responds to these instincts. He believed that a number of component instincts arise from various regions of the body. These instincts strive for satisfaction in what he calls organ pleasure. Each of these organs is the focus of a phase or stage of development, the first 900
Women’s Psychology: Sigmund Freud of which is the oral stage. The oral stage begins at birth and continues through the first year, as the infant seeks pleasure through the mouth, and the mouth becomes the source of all gratification. Milk from the mother’s breast or a bottle is devoured, just as, later, any object that the child can reach will be manipulated and explored orally. The child takes in physical nourishment in the same way that he or she takes in, in a very rudimentary way, the behaviors, values, and beliefs of others, beginning the basis for later identification with others. The second psychosexual stage of development is the anal stage, which Freud believed revolved around the pleasure associated with elimination. During the second year of life, the child begins taking control of urination and defecation, trying to do so within parental and societal limits. Freud believed that both boys and girls proceed through the oral stage in essentially the same manner. For both, the mother is the primary love object. Sometime after the third year, however, Freud believed that the sexes diverge. In the third, or phallic, stage of development, both boys and girls discover the pleasurable nature of the genitals. For boys, the stage is centered on the Oedipus complex, in which they develop strong sexual feelings toward their mothers. These feelings are accompanied by others, such as anger and jealousy, as fathers are perceived as competitors for mothers’ affection and attention. As sexual desires heighten, the boy begins to perceive competition and hostility from the father. The sense of peril becomes located in the physical source of the boy’s feelings for his mother, the penis, and the result is a phenomenon that Freud called castration anxiety—the fear that the father will retaliate. Over time, fear of castration motivates the boy to give up the mother as a love object and turn toward the father in same-sex identification. According to Freud, this strengthening identification with the father is essential for the development of a solid superego, which, in turn, empowers the male, making possible major contributions to culture and society. Unlike the male’s experience, the onset of the phallic stage for females entails a major trauma: the realization that she does not have a penis. Often, the realization is accompanied by the notion that the mother is responsible for her own and her daughter’s castrated state. Here the little girl turns away from her mother as the primary love object and turns toward her father, limiting her future chances for same-sex identification. Feelings of inferiority pervade, and she falls victim to penis envy, a chronic wish for the superior male organ. Freud believed that, as a result of this trauma, the remaining course of female development would be difficult at best and that the accomplishment of same-sex identification was questionable. The girl’s life is thus spent in search of a substitute penis, which Freud thought might be a husband or a child, particularly a male child. Indeed, Freud believed that the single most rewarding relationship in a woman’s life would be her relationship with her son, regarding which her feelings would be totally unambivalent. 901
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Sigmund Freud in London in 1938, a year before his death at age eighty-three. (Library of Congress)
Freud believed that the foundations of personality were in place by the end of the phallic stage. He described the post-Oedipal period, beginning with the latency stage, as a period when children repress, or make unconscious, the sexual conflicts of the Oedipal period. Females during this time are said to be more passive and less aggressive than boys, but, like boys, they tend to seek out same-sex play groups. The final psychosexual stage of development is the genital stage. Unlike the previous, more self-centered periods of stimulation and gratification, the genital stage marks a period of sexual attraction to others and a time during which social activities and career goals become important before marriage. The child is thus transformed into an adult. Freud believed that, in some cases, failure to resolve the female Oedipus complex results in neurosis, which he often observed in his practice with women patients. He believed that in other cases the lack of resolution caused a masculinity complex in which women attempt to succeed in traditionally male endeavors (he offered this explanation to his contemporary female analysts for their behavior). Freud believed that the female’s failure to unite with her mother in post-Oedipal identification, and her subsequent diminished superego capacity, caused her to have a tendency toward negative personality traits and an inability to apply objective standards of justice. 902
Women’s Psychology: Sigmund Freud Criticisms Several of Freud’s contemporaries, including some women analysts, were critical of Freud’s views on the psychology of women. Among his critics was Karen Horney, who rejected the idea that penis envy is central to normal female development. She acknowledged, however, that from a cultural point of view, envy of the male role might explain some of Freud’s clinical observations better than the biological notion of penis envy. In addition, after many years of analyzing female patients, Horney began analyzing males; from her observations, she concluded that males often exhibit an intense envy of pregnancy, childbirth, and motherhood, as well as of the breasts and of the act of suckling. Free Interpretation and Dream Analysis Historically, psychoanalysis has represented a method of psychological observation, a set of theoretical constructs or ideas, and an approach to psychotherapy. When Freud began psychoanalysis, it was a method of observation intended to broaden the knowledge of human behavior. Believing that the unconscious is the major clue to solving problems of human behavior, Freud used two processes to understand it: free association and dream interpretation. Free association, the reporting of what comes to mind in an unedited fashion, was an important tool used to discover the contents of the unconscious. Freud believed that all thoughts are connected in some fashion and that therefore the spontaneous utterances of the patient are always meaningful clues to what has been repressed or buried in the unconscious. Freud also believed that the unconscious can be clarified by means of dream interpretation. Those thoughts and impulses that are unacceptable to the conscious mind are given symbols in dreams. An interesting study conducted by Calvin Hall in 1964 illustrates how the interpretation of dreams has been used in research—in this case, to test Freud’s observation that the superego is not as strong in females as it appears to be in males. Hall reasoned that a person with a strong internalized superego would be independent of external agents, whereas a person who has a less internalized superego would tend to disown his or her own guilt and blame external authority figures. Hall further made the assumption that dreams in which the dreamer was the victim of aggression were expressions of an externalized superego, whereas dreams in which the dreamer was the victim of misfortune (accident, circumstance) were expressions of an internalized superego. It was hypothesized that females would be more likely to dream of themselves as victims of aggression and males would be more likely to dream of themselves as victims of misfortune. Careful content analysis of more than three thousand dreams of young adults was performed. Results supported the hypotheses, although Hall cautioned that additional hypotheses should be tested and more diverse data collected to support thoroughly Freud’s theory of the differences between the male and the female superego. 903
Psychology Basics Transference and the Unconscious Freud was also the first to understand and describe the concept of transference, the patient’s positive or negative feelings that develop toward the therapist during the long, intimate process of analysis. These feelings often relate to earlier ones that the patient has had for significant others: namely, mother, father, or sibling. The analysis of transference has become extremely important to neo-Freudian analysts, particularly as it relates to the treatment of borderline and other personality disturbances. Another aspect of Freud’s legacy involves the many theoretical constructs that psychoanalysis has generated. Among these is the concept of the unconscious. Freud provided many everyday examples of the operation of the unconscious as he described slips of the tongue and other phenomena. He was convinced that such slips, now known as “Freudian slips,” were not accidental at all but somehow expressed unconscious wishes, thoughts, or desires. For example, the woman who loses her wedding ring wishes she had never had it. Mental Illness Therapy Finally, psychoanalysis also represents a method of therapy that Freud and later analysts used to treat the symptoms of mental illness. Practicing for many years, Freud refined his technique, using free association and dream interpretation to help patients gain insight into themselves by recognizing their unconscious patterns and to help them work through the unconscious conflicts that affect everyday life. Many of Freud’s patients were women, and it was from these women’s recollections in analysis that Freud built his theory of female development. Some of Freud’s critics argue that building a theory of normal development from the observation of pathology or abnormality represents an inappropriate conceptual leap. Sexual Basis of Neurosis During years of conducting analysis, Freud became convinced of the sexual basis of neurosis. He believed that sexual experiences occurring prior to puberty and stored in the unconscious as memories produced conflict that later caused certain neurotic conditions. These ideas, often referred to as Freud’s seduction theory, were used to explain hysterical symptoms such as paralysis, blindness, inability to understand the spoken word (receptive aphasia), and sexual dysfunction as the result of sexual abuse, probably occurring before ages six to eight. It is important to note, however, that Freud later revised his thinking on infantile sexuality and concluded that it is the thought or psychic reality of the individual that counts more than the physical reality of events. In other words, a person might fantasize a seduction, store the fantasy in unconscious memory (repress it), and have that conflictual memory cause neurosis just as readily as the memory of an actual seduction. Some recent critics have suggested that Freud’s reformulation represented a form of denial of his inability to recognize the prevalence of sexual abuse at that time. 904
Women’s Psychology: Sigmund Freud Freud’s Background and Impact Born in 1856 to Jewish parents, Freud lived and practiced most of his life in Vienna. He was graduated from medical school in 1881 and practiced as a clinical neurologist for several years before becoming interested in the “talking cure” that his colleague, Josef Breuer, had developed as a means of dealing with his patients’ emotional symptoms. Freud’s writings and lectures on the subject of hysteria and its sexual roots led him to be ostracized by most of his medical colleagues. His medical training and the influence of the work of Charles Darwin were largely responsible for his emphasis on sexual and aggressive instincts as the basis for behavior. Freud’s theory was important because it was the first of its kind and because it was controversial, generating further research into and theorizing about the female personality. Challenges to Freudian Theory Over the years, many aspects of Freudian theory have been challenged. Freud’s notion that penis envy is a primary motivator in the female personality was challenged by Karen Horney, who believed that, if it existed, a woman’s envy was related to the male’s privileged role in society. Freud’s idea that the clitoral orgasm is immature and must be surrendered for the vaginal orgasm at puberty spurred work by William Masters and Virginia Johnson, who concluded, after much rigorous research, that orgasm is a reaction of the entire pelvic area. Freud’s theory has forced critics to determine what is uniquely female about personality. In Toward a New Psychology of Women (1976), Jean Baker Miller attempted to show how traditional theories of female behavior have failed to acknowledge the essence of the female personality. Miller suggested that affiliation is the cornerstone of the female experience and that it is in response to her relationships with others that a woman’s personality grows and develops. In her book In a Different Voice (1982), Carol Gilligan disputes Freud’s notion that females show less of a sense of justice than males and have weak superegos. She argues that morality involves respect for the needs of self balanced with respect for the needs of others; thus, it is not that females lack the justice principle but rather that they have different expressions of justice and different internal and external demands. Heavily influenced by Freud, many object-relations theorists continue to make contributions in the area of psychotherapy with clients whose early relationships have been disturbed or disrupted. This work will continue to constitute the basis for decisions made by courts, adoption agencies, and social-service agencies regarding the placement of children. Freud’s views on the origins of neurosis may continue to play a role in the understanding of multiple personality disorder and its roots in early sexual abuse. The concept of body memory, the physical memory that abuse has occurred, may well bridge the gap between Freud’s concepts of repressed 905
Psychology Basics psychic memory and repressed actual memory of early sexual abuse; it may streamline the treatment of this condition. Freud’s theory will no doubt continue to generate controversy, motivating both theory and research in the area of women’s personality development. Sources for Further Study Freud, Sigmund. New Introductory Lectures on Psychoanalysis. New York: W. W. Norton, 1933. This volume contains seven lectures or papers that Freud wrote toward the end of his career. Among them is “The Psychology of Women,” in which he attempts to explain some fundamental differences between the sexes. Freud describes female behavior and the Oedipus complex for males and females, and he elaborates on the role of penis envy in female development. The volume also contains lectures on dreams, on the structure of personality, and on anxiety and the instincts. __________. The Standard Edition of the Complete Psychological Works of Sigmund Freud. Edited by James Strachey. London: Hogarth Press, 1966-1973. Volume 7 in this collection of Freud’s works contains a detailed case history of a woman named Dora, whom Freud treated over a period of years. This case history illustrates Freud’s ideas about the causes of neurosis and hysterical symptoms. The work also contains three essays on sexuality, including sexual aberrations, infantile sexuality, and puberty. Gilligan, Carol. In a Different Voice. Reprint. Cambridge, Mass.: Harvard University Press, 1993. Traditional theories of development have tried to impose male thinking and values on female psychology. Gilligan discusses the importance of relationships as well as female conceptions of morality, challenging Freud’s views on female superego development. Horney, Karen. Feminine Psychology. Reprint. Edited by Harold Kelman. New York: W. W. Norton, 1993. A collection of some of Horney’s early works in which she describes Freudian ideas on the psychology of women and offers her own observations and conclusions. Horney disputes Freud’s notion of penis envy and in later essays explores such topics as distrust between the sexes, premenstrual tension, and female masochism. Miller, Jean Baker. Toward a New Psychology of Women. 1976. 2d ed. Boston: Beacon Press, 1987. Miller proposes that traditional theories of female development have overlooked a critical ingredient in female behavior— affiliation—which she believes is a cornerstone of female psychology. Miller, Jonathan, ed. Freud: The Man, His World, His Influence. Boston: Little, Brown, 1972. Miller has edited a series of essays that put Freud’s work in historical, social, and cultural perspective. One essay, by Friedrich Heer, describes the impact of Freud’s Jewish background on his life and work in Vienna. Another, by Martin Esslin, describes Vienna, the exciting and culturally rich background for Freud’s work. Rychlak, Joseph F. Introduction to Personality and Psychotherapy. 2d ed. Boston: Houghton Mifflin, 1981. This introductory personality text carefully reviews the work of several leading psychologists and psychotherapists, in906
Women’s Psychology: Sigmund Freud cluding Sigmund Freud. Rychlak describes the gradual development of Freud’s structural hypothesis, and he reviews Freud’s ideas about the instincts, dynamic concepts such as defense mechanisms, and the development of the Oedipus complex for males and females, noting the concerns of modern feminists who have found Freud’s work offensive. Ruth T. Hannon See also: Abnormality: Psychological Models; Consciousness; Dreams; Instinct Theory; Psychoanalysis; Psychoanalytic Psychology; Psychoanalytic Psychology and Personality: Sigmund Freud; Women’s Psychology: Carol Gilligan; Women’s Psychology: Karen Horney.
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Glossary Absolute threshold: The smallest amount of stimulus that elicits a sensation 50 percent of the time. Accommodation: In Jean Piaget’s theory of development, adjusting the interpretation (schema) of an object or event to include a new instance; in vision, the ability of the lens to focus light on the retina by changing its shape. Acetylcholine (ACh): A cholinergic neurotransmitter important in producing muscular contraction and in some autonomic nerve transmissions. Achievement motivation: The tendency for people to strive for moderately difficult goals because of the relative attractiveness of success and repulsiveness of failure. Acquisition: In learning, the process by which an association is formed in classical or operant conditioning; in memory, the stage at which information is stored in memory. Action potential: A rapid change in electrical charges across a neuron’s cell membrane, with depolarization followed by repolarization, leading to a nerve impulse moving down an axon; associated with nerve and muscle activity. Actor-observer bias: The tendency to infer that other people’s behavior is caused by dispositional factors but that one’s own behavior is the product of situational causes. Actualizing tendency: The force toward maintaining and enhancing the organism, achieving congruence between experience and awareness, and realizing potentials. Adaptation: Any heritable characteristic that presumably has developed as a result of natural selection and thus increases an animal’s ability to survive and reproduce. Addiction: Physical dependence on a substance; components include tolerance, psychological dependence, and physical withdrawal symptoms. Adolescence: The period of life extending from the onset of puberty to early adulthood. Adrenal glands: The suprarenal glands, small, caplike structures sitting each on top of one kidney; in general, they function in response to stress, but they are also important in regulating metabolic and sexual functions. Affect: A class name given to feelings, emotions, or dispositions as a mode of mental functioning. Affective disorders: Functional mental disorders associated with emotions or feelings (also called mood disorders); examples include depression and bipolar disorders. Afferent: A sensory neuron or a dendrite carrying information toward a structure; for example, carrying sensory stimuli coming into the reticular formation. 908
Glossary Affiliation motive: The motive to seek the company of others and to be with one’s own kind, based on such things as cooperation, similarity, friendship, sex, and protection. Aggression: Behavior intended to harm another person or thing. Agoraphobia: An intense fear of being in places or situations in which help may not be available or escape could be difficult. Allele: One of the many forms of a gene; it may be dominant (needing only one copy for the trait to appear) or recessive (needing two copies). Altruism: A phenomenon in human and animal behaviors in which individuals unselfishly sacrifice their own genetic fitness in order to help other individuals in a group. Alzheimer’s disease: A form of presenile dementia, characterized by disorientation, loss of memory, speech disturbances, and personality disorders. Amplitude: The peak deviation from the rest state of the movement of a vibrating object, or the ambient state of the medium through which vibration is conducted. Anal stage: According to Sigmund Freud, the second psychosexual stage of personality development, approximately from ages two to four; sexual energy is focused on the anus and on pleasures and conflicts associated with retaining and eliminating feces. Analgesia: The reduction or elimination of pain. Analytical psychology: A school of psychology founded by Carl Jung that views the human mind as the result of prior experiences and the preparation of future goals; it deemphasizes the role of sexuality in psychological disorders. Androgens: Male sex hormones secreted by the testes; testosterone, the primary mammalian male androgen, is responsible for the development and maturation of male sexual structures and sexual behaviors. Androgyny: The expression of both traditionally feminine and traditionally masculine attributes. Anorexia nervosa: An eating disorder characterized by an obsessive-compulsive concern for thinness achieved by dieting, often combined with extreme exercising and sometimes part of a binge-purge cycle. Anterograde amnesia: An inability to form new memories after the onset of amnesia. Antidepressants: Drugs that are used in the treatment of depression, many of which affect or mimic neurotransmitters; classes of antidepressants include the tricyclics and monoamine oxidase inhibitors (MAOIs). Antisocial personality disorder: A personality disorder characterized by a history of impulsive, risk-taking, and perhaps chronic criminal behavior, and by opportunistic interpersonal relations. Anxiety: A chronic fearlike state that is accompanied by feelings of impending doom and that cannot be explained by an actual threatening object or event. 909
Psychology Basics Aphasia: Partial or total loss of the use of language as a result of brain damage, characterized by an inability to use or comprehend language. Applied research: Research intended to solve existing problems, as opposed to “basic research,” which seeks knowledge for its own sake. Aptitude: The potential to develop an ability with training or experience. Archetypes: In Carl Jung’s theory, universal, inherited themes—such as the motifs of the self, hero, and shadow—that exercise an influence on virtually all human beings. Archival data: Information collected at an earlier time by someone other than the present researcher, often for purposes very different from those of the present research. Artificial intelligence: The use of computers to simulate aspects of human thinking and, in some cases, behavior. Assimilation: The interpretation of a new instance of an object or event in terms of one’s preexisting schema or understanding; the fit, never perfect, is close enough. Attachment: An emotional bond between infant and caregiver based on reciprocal interaction patterns. Attention: The ability to focus mentally. Attitude: A relatively stable evaluation of a person or thing; it can be either positive or negative, can vary in level of intensity, and has an affective, cognitive, and behavioral component. Attribution: The process by which one gathers information about the self and others and interprets it to determine the cause of an event or behavior. Attributional biases: Typical motivational and cognitive errors in the attribution process; tendencies that are shared among people in using information in illogical or unwarranted ways. Autonomic nervous system: The division of the peripheral nervous system that regulates basic, automatically controlled life processes such as cardiovascular function, digestive function, and genital function. Availability heuristic: A decision-making heuristic whereby a person estimates the probability of some occurrence or event depending on how easily examples of that event can be remembered. Aversion therapy: A therapy that involves pairing something negative (such as electric shock) with an undesired behavior (such as drinking alcohol or smoking cigarettes). Axon: The single fiberlike extension of a neuron that carries information away from the cell body toward the next cell in a pathway. Beck Depression Inventory (BDI): A brief questionnaire used to measure the severity of depression developed by Aaron Beck. Behavioral therapy: A branch of psychotherapy narrowly conceived as the application of classical and operant conditioning to the alteration of clinical problems but more broadly conceived as applied experimental psychology in a clinical context. 910
Glossary Behaviorism: A theoretical approach which states that the environment is the primary cause of behavior and that only external, observable stimuli and responses are available to objective study. Between-subject designs: Experimental plans in which different participants receive each level of the independent variable. Biofeedback: A psychophysiological technique in which an individual monitors a specific, supposedly involuntary, bodily function such as blood pressure or heart rate and consciously attempts to control this function through the use of learning principles. Bipolar disorder: A disorder characterized by the occurrence of one or more manic episodes, usually interspersed with one or more major depressive episodes. Brain stem: The lower part of the brain, between the brain and spinal cord, which activates the cortex and makes perception and consciousness possible; it includes the midbrain, pons, medulla, and cerebellum. Bystander effect: The tendency for an individual to be less likely to help as the number of other people present increases. Cardinal trait: According to Gordon W. Allport’s theory of personality, a single outstanding characteristic that dominates a person’s life; few individuals are characterized by a cardinal disposition. Case study: An in-depth method of data collection in which all available background data on an individual or group are reviewed; typically used in psychotherapy. Catecholamines: A neurotransmitter group derived from the amino acid tyrosine that includes dopamine, epinephrine, and norepinephrine; they are activated in stressful situations. Catharsis: A reduction of psychological tension or physiological arousal by expressing (either directly or vicariously) repressed aggressive or sexual anxieties. Central nervous system: The nerve cells, fibers, and other tissues associated with the brain and spinal cord. Central traits: According to Gordon Allport’s theory, the relatively few (five to ten) distinctive and descriptive characteristics that provide direction and focus to a person’s life. Cerebellum: The portion of the brain that controls voluntary muscle activity, including posture and body movement; located behind the brain stem. Cerebral commissures: Fiber tracts, such as the corpus callosum and anterior commissure, that connect and allow neural communication between the cerebral hemispheres. Cerebral cortex: The outer layer of the cerebrum; controls higher-level brain functions such as thinking, reasoning, motor coordination, memory, and language. Cerebral hemispheres: Two anatomically similar hemispheres that make up the 911
Psychology Basics outer surface of the brain (the cerebral cortex); separated by the cerebral longitudinal fissure. Cerebrospinal fluid: A fluid, derived from blood, that circulates in and around the ventricles of the brain and the spinal cord. Cerebrum: The largest and uppermost portion of the brain; the cerebrum performs sensory and motor functions and affects memory, speech, and emotional functions. Chaining: The process by which several neutral stimuli are presented in a series; they eventually assume reinforcing qualities by being ultimately paired with an innate reinforcer. Children’s Depression Inventory (CDI): A modified version of the Beck Depression Inventory (BDI) that was developed to measure the severity of depression in children, developed by Maria Kovacs. Chromosomes: Microscopic threadlike bodies in the nuclei of cells; they carry the genes, which convey hereditary characteristics. Circadian rhythm: A cyclical variation in a biological process or behavior that has a duration of about a day. Classical conditioning: A form of associative learning in which a neutral stimulus, called the conditioned stimulus (CS), is repeatedly paired with a biologically significant unconditioned stimulus (US) so that the CS acquires the same power to elicit response as the US; also called Pavlovian conditioning. Clinical psychologist: A person with a Ph.D. in psychology, specially trained to assess and treat mental disorders and behavior problems. Cognition: Mental processes involved in the acquisition and use of knowledge, such as attention, thinking, problem solving, and perception; cognitive learning emphasizes these processes in the acquisition of new behaviors. Cognitive appraisal: An assessment of the meaningfulness of an event to an individual; events that are appraised as harmful or potentially harmful elicit stress. Cognitive behavior therapy: Therapy that integrates principles of learning theory with cognitive strategies to treat disorders such as depression, anxiety, and other behavioral problems (such as smoking or obesity). Cognitive dissonance theory: Leon Festinger’s theory that inconsistencies among one’s cognitions cause tension and that individuals are motivated to reduce this tension by changing discrepant attitudes. Cognitive map: A mental representation of an external area that is used to guide one’s behavior. Cognitive processes: The processes of thought, which include attending to an event, storing information in memory, recalling information, and making sense of information; they enable people to perceive events. Cognitive psychology: An area of study that investigates mental processes; areas within cognitive psychology include attention, perception, language, learning, memory, problem solving, and logic. Cognitive science: A multidisciplinary approach to the study of cognition from 912
Glossary the perspectives of psychology, computer science, neuroscience, philosophy, and linguistics. Cohort: An identifiable group of people; in developmental research, group members are commonly associated by their birth dates and shared historical experiences. Collective unconscious: In Carl Jung’s theory, memory traces of repeated experiences that have been passed down to all humankind as a function of evolutionary development; includes inherited tendencies to behave in certain ways and contains the archetypes. Color: The brain’s interpretation of electromagnetic radiation of different wavelengths within the range of visible light. Compensation: In Alfred Adler’s theory, a defense mechanism for overcoming feelings of inferiority by trying harder to excel; in Sigmund Freud’s theory, the process of learning alternative ways to accomplish a task while making up for an inferiority—a process that could involve dreams that adjust psychologically for waking imbalances. Compulsions: Ritualistic patterns of behavior that commonly follow obsessive thinking and that reduce the intensity of the anxiety-evoking thoughts. Concrete operational stage: The third stage of Jean Piaget’s theory, during which children acquire basic logical rules and concrete concepts; occurs between the ages of seven and eleven. Conditioned response (CR): In Pavlovian conditioning, the behavior and emotional quality that occurs when a conditioned stimulus is presented; related to but not the same as the unconditioned response. Conditioned stimulus (CS): A previously neutral stimulus (a sight, sound, touch, or smell) that, after Pavlovian conditioning, will elicit the conditioned response (CR). Conditioned taste aversion: An avoidance of a food or drink that has been followed by illness when consumed in the past. Conditioning: A type of learning in which an animal learns a concept by associating it with some object or by the administration of rewards or punishments. Conditions of worth: In Carl Rogers’s theory, externally based conditions for love and praise; the expectation that the child must behave in accordance with parental standards in order to receive love. Cone: One type of visual receptor found in the retina of the eye; primarily for color vision and acute daytime vision. Confounding of variables: The variation of other variables along with the independent variable of interest, as a result of which any effects cannot be attributed with certainty to the independent variable. Consciousness: A level of awareness that includes those things of which an individual is aware at any given moment, such as current ideas, thoughts, accessed memories, and feelings. Consensual validation: The verification of subjective beliefs by obtaining a consensus among other people. 913
Psychology Basics Consensus information: Information concerning other people’s responses to an object; in attribution theory, high consensus generally leads people to attribute situational rather than personal causes to a behavior. Conservation: In Jean Piaget’s theory, understanding that the physical properties (number, length, mass, volume) remain constant even though appearances may change; a concrete-operational skill. Consistency information: Information concerning a person’s response to an object over time. In attribution theory, high consistency implies that behavior is dispositional or typical of a person. Consolidation: A neural process by which short-term memories become stored in long-term memory. Construct: A formal concept representing the relationships between variables or processes such as motivation and behavior; may be empirical (observable) or hypothetical (inferred). Construct validity: A type of validity that assesses the extent to which a test score (variable) correlates with other tests (variables) already established as valid measures of the item. Consumer psychology: The subfield of psychology that studies selling, advertising, and buying; the goal of its practitioners is generally to communicate clearly and to persuade consumers to buy products. Context dependence: The phenomenon in which memory functions more effectively when material is recalled in the same environment in which it was originally learned, compared with recall in a different environment. Contingency: A relationship between a response and its consequence or between two stimuli; sometimes considered a dependency. Contingency management: A method of behavior modification that involves providing or removing positive rewards in accordance with whether the individual being treated engages in the expected behavior. Continuous reinforcement: A schedule in which each response is followed by a reinforcer. Control group: A group of subjects that are like the experimental groups in all ways except that they do not experience the independent variable; used as a comparison measure. Controlling variable: An extraneous factor that might influence the dependent variable, making it difficult to evaluate the effect of the independent variable; in an experiment, attempts are made to isolate or control such effects systematically. Convergent thinking: Creative thinking in which possible solutions to a problem are systematically eliminated in search for the best solution; the type of ordinary thinking in which most people generally engage. Conversion disorder: A psychological disorder in which a person experiences physical symptoms, such as the loss or impairment of some motor or sensory function (paralysis or blindness, for example), in the absence of an organic cause. 914
Glossary Coping: Responses directed at dealing with demands (in particular, threatening or stressful ones) upon an organism; these responses may either improve or reduce long-term functioning. Correlation: The degree of relatedness or correspondence between two variables, expressed by a coefficient that can range from +1.00 to −1.00; 0.00 signifies no correspondence. Cortex: The surface (or outer layer) of the brain, which receives sensory input, interprets it, and relates behavior to external stimuli; responsible for perception and conscious thought. Cortical brain centers: The portions of the brain making up the cerebral cortex and controlling voluntary behavior, higher reasoning, and language skills; they develop rapidly during the first two years of life. Countertransference: The phenomenon in which an analyst either shifts feelings from his or her past onto a patient or is affected by the client’s emotional problems; caused by a patient’s perceived similarity to individuals or experiences in the analyst’s life. Creativity: Cognitive abilities in areas such as fluency, flexibility, originality, elaboration, visualization, metaphorical thinking, and problem definition; the ability to originate something that is both new and appropriate. Criterion group: A group used to validate a measurement instrument; in the case of interest inventories, it refers to persons in a particular occupational group. Critical period: A time during which the developing organism is particularly sensitive to the influence of certain inputs or experiences necessary to foster normal development; in nonhuman animals, a specific time period during which a certain type of learning such as imprinting must occur. Cross-sectional design: A design in which subgroups of a population are randomly sampled; the members of the sample are then tested or observed. Cue-producing response: A response that serves as a cue for other responses; words (speech) can cue behaviors, and thoughts can cue other thoughts. Cutaneous senses: Relating to the skin sense, as in responses to touch or temperature. Cyclothymia: A milder version of a cyclical mood disorder in which mood swings can occur but are not as intense as in bipolar disorder. Daily hassles: Seemingly minor everyday events that are a constant source of stress. Dark adaptation: An increase in the sensitivity of rods and cones to light through an increase in the concentration of light-absorbing pigments. Data: A collection of observations from an experiment or survey. Death instinct: The unconscious desire for death and destruction in order to escape the tensions of living. Debriefing: Discussing an experiment and its purpose with subjects after its completion; ethically required if the experiment involved deception. Decay: The disappearance of a memory trace. 915
Psychology Basics Deduction: A type of logic by which one draws a specific conclusion from one or more known truths or premises; often formed as an “if/then” statement. Defense mechanism: According to Sigmund Freud, a psychological strategy by which an unacceptable sexual or aggressive impulse may be kept from conscious thought or expressed in a disguised fashion. Deindividuation: The loss of self-awareness and evaluation apprehension that accompanies situations that foster personal and physical anonymity. Delusion: A symptom of psychosis that consists of a strong irrational belief held despite considerable evidence against it; types include delusions of grandeur, reference, and persecution. Dementia: Globally impaired intellectual functioning (memory reasoning) in adults as a function of brain impairment; it does not mean “craziness” but a loss or impairment of mental power. Dendrite: A branching extension of a neuron through which information enters the cell; there may be one or many dendrites on a neuron. Dependent variable: The outcome measure in a study; the effect of the independent variable is measured by changes in the dependent variable. Depolarization: A shift in ions and electrical charges across a cell membrane, causing loss of resting membrane potential and bringing the cell closer to the action potential. Depression: A psychological disorder characterized by extreme feelings of sadness, hopelessness, or personal unworthiness as well as loss of energy, withdrawal, and either lack of sleep or excessive sleep. Depth perception: The ability to see three-dimensional features, such as the distance of an object from oneself and the shape of an object. Descriptive statistics: Procedures that summarize and organize data sets; they include mean, median, range, correlation, and variability. Desensitization: A behavioral technique of gradually removing anxiety associated with certain situations by associating a relaxed state with these situations. Determinism: The theory or doctrine that acts of the will, occurrences in nature, or social or psychological phenomena are causally determined by preceding events or natural laws. Development: The continuous and cumulative process of age-related changes in physical growth, thought, perception, and behavior of people and animals; a result of both biological and environmental influences. Developmental psychology: The subfield of psychology that studies biological, social, and intellectual changes as they occur throughout the human life cycle. Deviancy: The quality of having a condition or engaging in behavior that is atypical in a social group and is considered undesirable. Diagnosis: The classification or labeling of a patient’s problem within one of a set of recognized categories of abnormal behavior, determined with the aid of interviews and psychological tests. 916
Glossary Diagnostic and Statistical Manual of Mental Disorders (DSM): A handbook created by the American Psychiatric Association for diagnosing and classifying mental disorders; used by mental health professionals and insurance companies. Diffusion of responsibility: The reduction of personal responsibility that is commonly experienced in group situations; diffusion of responsibility increases as the size of the crowd increases. Discounting: Reducing the role of a particular cause in producing a behavior because of the presence of other plausible causes. Discrimination: In perception, the ability to see that two patterns differ in some way; in intergroup relations, behavior (usually unfavorable) toward persons that is based on their group membership rather than on their individual personalities. Discriminative stimulus: A stimulus that signals the availability of a consequence, given that a response occurs. Dispersion: A statistical measure of variability; a measure (standard deviation, range, semi-interquartile range, or variance) that provides information about the difference among the scores. Displacement: According to Sigmund Freud, a defense mechanism by which a person redirects his or her aggressive impulse onto a target that may substitute for the target that originally aroused the person’s aggression. Display: A visual dance or series of movements or gestures by an individual or animal to communicate such things as dominance, aggression, and courtship to other individuals. Display rules: Culturally determined rules regarding the appropriate expression of emotions. Dispositional: Relating to disposition or personality rather than to situation. Dissociative disorders: Disorders that occur when some psychological function, such as memory, is split off from the rest of the conscious mind; not caused by brain dysfunction. Dissonance: An unpleasant psychological and physiological state caused by an inconsistency between cognitions. Distal stimulus: An object or other sensory element in the environment. Distinctiveness information: Information concerning a person’s response to an object under given conditions; in attribution theory, high distinctiveness suggests that individuals are behaving uniquely toward a given target/object. Diurnal enuresis: The presence of enuretic episodes when the individual is awake. Divergent thinking: Thinking that results in new and different responses that most people cannot, or do not, offer; the type of thinking most clearly involved in creativity. Domestic violence: Physical, emotional, psychological, or sexual abuse perpetrated by an individual toward a member of his or her own family; typically the abuse follows a repetitive, predictable pattern. 917
Psychology Basics Dopamine: One type of neurotransmitter, a chemical that is released from one nerve cell and stimulates receptors on another, thus transferring a message between them; associated with movement and with treatment of depression. Double bind: A form of communication that often occurs when a family member sends two messages, requests, or commands that are logically inconsistent, contradictory, or impossible, resulting in a “damned if one does, damned if one doesn’t” situation; a hypothesis about the development of schizophrenia. Double-blind method: A procedure in which neither the experimenter nor the subjects know who is receiving treatment and who is not; this controls for subject and experimenter biases and expectations. Down syndrome: A chromosomal abnormality that causes mental retardation as well as certain physical defects; caused by an extra (third) chromosome on chromosome pair 21. Drive: The tendency of a person or animal to engage in behaviors brought about by some change or condition inside that organism; often generated by deprivation (hunger or thirst) or exposure to painful or other noxious stimuli. Drive reduction hypothesis: The idea that a physiological need state triggers a series of behaviors aimed at reducing the unpleasant state; drive reduction is reinforcing. Dysfunctional family: A family grouping that is characterized by the presence of disturbed interactions and communications; particularly an abusive, incestuous, or alcoholic family. Dyslexia: Diffculties in reading, usually after damage to the left cerebral hemisphere. Dysphoria: A symptom of clinical depression; extreme sadness. Dysthymic disorder: A form of depression in which mild to moderate levels of depressive symptoms persist chronically. Early recollections: A projective technique in which the patient attempts to remember things that happened in the distant past; these provide clues to the patient’s current use of private logic. Eating disorders: Afflictions resulting from dysfunctional relationships to hunger, food, and eating. Echoic memory: Sensory memory for sound. Echolalia: An involuntary and parrotlike repetition of words or phrases spoken by others. Eclectic therapy: Therapy in which a combination of models and techniques is employed, rather than a single approach. Educational psychology: The subfield of psychology that studies the effectiveness of education, usually formal education; educational psychologists seek to develop new educational techniques and to improve the learning process. 918
Glossary Ego: In psychoanalytic theory, the part of the personality responsible for perceiving reality and thinking; mediates between the demands of the pleasure-seeking id, the rule-following superego, and reality. Egocentric thought: A cognitive tendency in childhood in which the child assumes that everyone shares his or her own perspective; the cognitive inability to understand the different perspective of another. Elaborative rehearsal: Giving meaning to information to enable encoding it in memory. Electroconvulsive therapy (ECT): A treatment for severe depression in which an electric current is passed through the brain of the patient; sometimes referred to as electric shock therapy. Electroencephalogram (EEG): The graphic recording of the electrical activity of the brain (brain waves). Electroencephalography: Measurement of the electrical output of the brain, which may then sometimes be brought under voluntary control by biofeedback and relaxation. Embryonic phase: The period of rapid prenatal change that follows the zygote period; extends from the second to the eighth week after conception. Emotions: Psychological responses that include a set of physiological changes, expressive behaviors, and a subjective experience. Empathy: In therapy, the therapist’s ability to focus attention on the needs and experience of the client; also refers to the therapist’s ability to communicate an understanding of the client’s emotional state. Empirical evidence: Data or information derived objectively from the physical senses, without reliance on personal faith, intuition, or introspection. Empiricism: A philosophy holding that knowledge is learned through experience and that infants begin life like blank slates, learning about their environment through experience. Encoding: The transformation of incoming sensory information into a form of code that the memory system can accept and use. Endocrine gland: A gland that produces one or more hormones and secretes them into the blood so that they can serve as intercellular messengers. Endocrine system: A system of ductless glands in the bodies of vertebrate animals that secretes hormones which travel through the bloodstream to target tissues, whose functioning is altered by the hormones. Endogenous behavior: An innate, or inborn, behavior that is established by the animal’s inherited genetic code (DNA) and that is not influenced by the animal’s experiences or environment. Endorphins: A group of endogenous, opiate-like neuropeptides of the central nervous system that simulate analgesia and interfere with transmission of pain impulses; the brain’s own morphine. Enkephalins: Peptides containing five amino acids, within the endorphin group, that may act as neurotransmitters; the first of the endorphins to be discovered. 919
Psychology Basics Enmeshment: An excessively close relationship between parent and child in which adult concerns and needs are communicated and in which overdependence on the child is apparent. Entitlement: The expectation of special or unusually favorable treatment by others; commonly seen among narcissistic personalities. Entropy: In Carl Jung’s analytical theory, a concept maintaining that aspects of a person’s psychic energy which are not in balance will tend to seek a state of equilibrium. Enuresis: The inability to control the release of urine; nocturnal enuresis is also called bed-wetting. Environmental psychology: The subfield of psychology that studies the relationship between the environment and behavior, particularly the effects of the physical and social environments (such as noise or crowding) on behavior. Environmental stressor: A condition in the environment, such as crowding, noise, toxic chemicals, or extreme temperatures, that produces stress (bodily or mental tension). Epilepsy: A disorder of the nervous system in which the cortex produces electrical firing that causes convulsions and other forms of seizures; thought by some to be linked to the reticular formation. Epinephrine: The neurotransmitter released from the adrenal gland as a result of innervation of the autonomic nervous system; formerly called adrenaline. Episodic memory: A form of long-term memory involving temporal and spatial information, including personal experiences. Equipotentiality: In Pavlovian conditioning, the idea that any stimulus paired with an effective unconditioned stimulus will come to elicit a conditioned response with equal facility. Equity theory: A theory in attraction and work motivation that contends that individuals are motivated to remain in relationships they perceive to be fair, just, and equitable—that is, where one’s outcomes are proportional to one’s inputs, particularly when contrasted with others in the relationship. Equivalence: A principle stating that an increase in energy or value in one aspect of the psyche is accompanied by a decrease in another area. Estradiol: The primary sex hormone of mammalian females, which is responsible for the menstrual cycle and for development of secondary sex characteristics; a primary estrogen, secreted by the corpus luteum. Ethnocentrism: An attitude of uncritically assuming the superiority of the ingroup culture. Ethology: A branch of zoology that studies animals in their natural environments; often concerned with investigating the adaptive significance and innate basis of behaviors. Etiology: The factors that are thought to cause or contribute to the development of a particular disorder. 920
Glossary Eustress: Positive arousal or stress, appraised as a challenge rather than as a threat. Evoked potential: A brain response that is triggered by electroencephalography using discrete sensory stimuli. Excitation transfer: The theory that arousal from one source can intensify an emotional reaction to a different source (for example, that sexual arousal can increase the response to an aggressive cue). Existentialism: A philosophical viewpoint emphasizing human existence and the human situation in the world that gives meaning to life through the free choice of mature values and commitment to responsible goals; the critical goal involves finding one’s true self and living according to this potential. Exogenous substances: Substances not normally occurring in the body, present only when administered; exogenous substances include substances such as drugs or synthetic test compounds mimicking endogenous substances. Expectancy confirmation bias: Interpreting ambiguous information as being supportive of expectations; mistakenly “seeing” what is expected. Expectancy theory: A cognitive motivation model which proposes that people choose to perform behaviors they believe to be the most likely to lead to positive outcomes; in work theory, workers are more motivated when they perceive congruence between their efforts, products, and rewards. Experimentation: One of several data collection methods; requires systematically manipulating the levels of an independent variable under controlled conditions in order to measure its impact on a dependent variable. Experimenter bias: Biases introduced into a research study as a result of the expectations of the experimenter. Expressive aphasia: Difficulties in expressing language, usually after damage to Broca’s area in the left frontal lobe of the cerebral cortex. External validity: The extent to which the results of a research study can be generalized to different populations, settings, or conditions. Externalization: A defense mechanism in which one experiences unresolved, repressed inner turmoil as occurring outside oneself; holding external factors responsible for one’s problems. Extinction: A process by which the probability of a response is decreased; in classical or Pavlovian conditioning, a process in which the temporal contiguity of the conditioned stimulus and the unconditioned stimulus is disrupted and the learned association is lost; in operant or instrumental conditioning, a process in which undesirable behavior is not followed by reinforcement. Extraneous variable: A variable that has a detrimental affect on a research study, making it difficult to determine if the result is attributable to the variable under study or to some unknown variable not controlled for; for example, in jury decision making, the effect of defendant attractiveness. 921
Psychology Basics Extrinsic motivation: Motivation to perform an activity only because the activity leads to a valued outcome external to the activity itself. Extrinsic religion: An immature religious orientation that uses religion for self-serving purposes such as security or a sense of social or economic wellbeing. Factor analysis: A statistical technique wherein a set of correlated variables can be regrouped in terms of the degree of commonality they share. Family therapy: A type of psychotherapy that focuses on correcting the faulty interactions among family members that maintain children’s psychological problems. Feminist analysis: The examination of the ways in which inequality, injustice, or oppression devalues women or limits their potential, both individually and collectively. Fetal phase: The third period of prenatal development, extending from the ninth week of pregnancy until birth. Fetishism: A sexual behavior in which a person becomes aroused by focusing on an inanimate object or a part of the human body. Field research: An approach in which evidence is gathered in a “natural” setting, such as the workplace; by contrast, laboratory research involves an artificial, contrived setting. Fight-or-flight response: A sequence of physiological changes, described by Walter B. Cannon, that occurs in response to threat and prepares the organism to flee from or fight the threat; includes increases in heart rate, blood pressure, and respiration. Fixation: In psychoanalytic theory, an inability to progress to the next level of psychosexual development because of overgratification or undergratification of desires at a particular stage. Flashback: A type of traumatic reexperiencing in which a person becomes detached from reality and thinks, feels, and acts as if a previous traumatic experience were happening again. Flocking: A defensive maneuver in many mammalian and bird species in which a scattered group of individuals implodes into a compact cluster at the approach of a predator. Flooding: A type of therapy in which a phobic person imagines his or her most-feared situation until fear decreases. Fluid intelligence: The form of intelligence that reflects speed of information processing, reasoning, and memory capacity rather than factual knowledge (crystallized intelligence); associated with Raymond Cattell. Forebrain: A developmentally defined division of the brain that contains structures such as the cerebral hemispheres, the thalamus, and the hypothalamus. Forensic psychology: The application of psychological skills in the legal profession—for example, in jury selection, sanity determination, and assessing competency to stand trial. 922
Glossary Forgetting: The loss of information from memory. Formal operational stage: According to Jean Piaget, the fourth stage of cognitive development, reached at adolescence; characterized by the ability to engage in abstract thinking, hypothetical constructs, and unobserved logical possibilities. Free association: The psychoanalytic method in which a patient talks spontaneously without restriction; thought to reveal repressed conflicts of the unconscious. Frequency: The number of complete back-and-forth movements or pressure changes (cycles) from the rest or ambient state that occur each second; measured in units called hertz. Frequency distribution: The pairing of a measurement or score with the number of people or subjects obtaining that measurement. Frontal lobe: The anterior portion of each cerebral hemisphere, containing control of motor areas and most of the higher intellectual functions of the brain, including speech. Frustration: A psychological state of arousal that results when a person is prevented from attaining a goal. Frustration-aggression hypothesis: A concept, pioneered by John Dollard, stating that aggressive behavior is born of frustration in attempting to reach a goal. Fugue state: A flight from reality in which the individual develops amnesia, leaves his or her present situation, travels to a new location, and establishes a new identity. Functional autonomy: A concept, pioneered by Gordon W. Allport, that many adult motives are independent in purpose from their childhood origins. Functional disorders: Signs and symptoms for which no organic or physiological basis can be found. Functional fixedness: An inability to think of novel uses for objects because of a fixation on their usual functions. Functionalism: An early school of American psychology that argued for the study of the human mind from the standpoint of understanding consciousness in terms of its purpose rather than its elements. Fundamental attribution error: Underestimating the influence of situations and overestimating the influence of personality traits in causing behavior. Gamete: A reproductive sex cell; the female cell is known as the ovum, and the male cell is known as the sperm. Gamma-aminobutyric acid (GABA): The most common neurotransmitter in the brain, derived from the amino acid glutamic acid; an inhibitor that seems to affect mood and emotion. Gender: Social maleness or femaleness, reflected in the behaviors and characteristics that society expects from people of one biological sex. Gender identity: A child’s accurate labeling of himself or herself by gender; also, a person’s inner sense of femaleness or maleness. 923
Psychology Basics Gender schema: A general knowledge framework that organizes information and guides perceptions related to males and females. Gene: The basic unit of heredity; a segment of a DNA molecule that contains hereditary instructions for an individual’s physical traits and abilities and for the cell’s production of proteins. General adaptation syndrome (GAS): The three-stage physiological response pattern of the body to stress that was proposed by Hans Selye; the three stages are the alarm reaction, resistance stage, and exhaustion stage. Generalization: The process by which behavior learned in one situation transfers to new situations. Generativity: In Erik Erikson’s theory of personality, the seventh stage, associated with the desire to leave a legacy; the need to take care of future generations through the experiences of caring, nurturing, and educating. Genetics: The biochemical basis of inherited characteristics. Genital stage: In Sigmund Freud’s theory, the fifth psychosexual stage, beginning at adolescence and extending throughout adulthood; the individual learns to experience sexual gratification with a partner. Genotype: The genetic makeup of an individual. Gestalt: A German word, for which there is no precise translation, that is generally used to refer to a form, a whole, or a configuration. Gestalt school of psychology: A school of psychology which maintains that the overall configuration of a stimulus array, rather than its individual elements, forms the basis of perception. Gestalt therapy: A form of psychotherapy, initiated by Fritz Perls, that emphasizes awareness of the present and employs an active therapist-client relationship. Giftedness: A marked ability to learn more rapidly, perform more intricate problems, and solve problems more rapidly than is normally expected for a given age; operationally defined as an IQ score above 130 on an individually administered test. Goal setting: A motivational technique used to increase productivity in which employees are given specific performance objectives and time deadlines. Gray matter: Unmyelinated neurons that make up the cerebral cortex, so called because they lack the fatty covering (myelin) found on neurons of the white matter. Group dynamics: The study of how groups influence individual functioning. Gustation: The sense of taste. Gyrus: A convolution on the surface of the brain that results from the infolding of the cortex (surface). Habit: An association or connection between a cue and a response, such as stopping (the response) at a red light (the cue) while driving. Habituation: A decrease in response to repeated presentations of a stimulus that is not simply caused by fatigued sensory receptors. Hallucinogen: A substance that can alter perception (vision and audition, in 924
Glossary particular); examples include LSD, PCP, peyote, psilocybin, and possibly marijuana. Hardiness: A constellation of behaviors and perceptions, characterized by perceptions of control, commitment, and challenge, that are thought to buffer the effects of stress; introduced by Suzanne Kobasa. Hawthorne effect: A phenomenon that occurs when a subject’s behavior changes after the subject discovers that he or she is being studied. Hedonic: Associated with the seeking of pleasure and the avoidance of pain. Helplessness: A condition in which one has little or no control over the events in one’s life; viewed by Martin Seligman as an important cause of depression. Heredity: The transmission of characteristics from parent to offspring through genes in the chromosomes. Heuristic: A shortcut or rule of thumb used for decision making or problem solving that often leads to, but does not guarantee, a correct response. Higher-order conditioning: The linking of successive conditioned stimuli, the last of which elicits the conditioned response; higher-order associations are easily broken. Hindbrain: A developmentally defined division of the brain that contains the pons, medulla, and cerebellum. Hippocampus: A structure located in the temporal lobe (lateral cortical area) of the brain that has important memory functions. Homeostasis: A term referring to the idea that the body tries to maintain steady states—that is, to maintain physiological characteristics within relatively narrow and optimum levels. Homophobia: A fear, prejudice, or hatred toward homosexuals, usually based upon irrational stereotyping. Hormone: A chemical “messenger,” usually composed of protein or steroids, that is produced and secreted by an endocrine gland and released into the bloodstream; it targets specific genes in certain body tissue cells. Hostile aggression: Aggressive behavior that is associated with anger and is intended to harm another. Humanistic psychology: A branch of psychology that emphasizes the human tendencies toward growth and fulfillment, autonomy, choice, responsibility, and ultimate values such as truth, love, and justice; exemplified by the theories of Carl Rogers and Abraham Maslow. Hypnagogic hallucination: A vivid auditory or visual hallucination that occurs at the transition from wakefulness to sleep or from sleep to wakefulness; associated with narcolepsy. Hypnosis: An altered state of consciousness brought on by special induction techniques (usually progressive relaxation instructions) and characterized by varying degrees of responsiveness to suggestions. Hypnotic susceptibility: A subject’s measured level of responsiveness to hypnotic suggestions on standardized scales. Hypochondriasis: A psychological disorder in which the person is unrealisti925
Psychology Basics cally preoccupied with the fear of disease and worries excessively about his or her health. Hypothalamus: A small region near the base of the brain that controls the pituitary gland, autonomic nervous system, and behaviors important for survival, including eating, drinking, and temperature regulation. Hypothesis: An educated guess about the relationship between two or more variables, derived from inductive reasoning; often tested by an experiment. Iconic memory: Brief sensory memory for vision. Id: The part of the psyche that contains the instincts and is directed solely by pleasure seeking; it is the most primitive part of the psyche and was thought by Sigmund Freud to fuel the ego and superego. Idealized self: Alienation from the real self that is characterized by grandiose, unrealistic conceptions of the self and unattainable standards. Identification: The internalization of parental or societal values, behaviors, and attitudes; in Freudian theory, a defense and resolution of incestuous feelings toward the opposite-sex parent that is important in the development of the superego. Identity: A personal configuration of occupational, sexual, and ideological commitments; according to Erik Erikson, the positive pole of the fifth stage of psychosocial development. Identity crisis: According to Erik Erikson, the central developmental issue in adolescence; encompasses a struggle between an integrated core identity and role confusion. Idiographic study: The study of the unique patterns of the individual through methods such as case studies, autobiographies, and tests that examine patterns of behavior within a single person. Illusions: Beliefs that are unsupported by evidence or that require facts to be perceived in a particular manner. Imagery: The use of visualization to imagine the physical movements involved in executing a skill. Imitation: The performance of behaviors that were learned by observing the actions of others. Immune response: The body’s response to invasion by disease-producing organisms; proteins (antibodies) are produced that mark the unwanted cells for destruction. Immutable characteristics: Physical attributes (such as gender) that are present at birth and that other people assume gives them information as to the kind of person they are seeing. Implosion therapy: A therapy in which the patient imagines his or her feared situation, plus elements from psychodynamic theory that are related to the fear until fear decreases. Impression management: The attempt to control the impressions of oneself that others form; synonymous with “self-presentation.” 926
Glossary Imprinting: The innate behavioral attachment that a young animal forms with another individual (for example, its mother), with food, or with an object during a brief critical period shortly after birth; especially seen in ducks and chicks. In-group: A social group to which a person belongs or with which a person is identified, thereby forming part of the self-concept. In-group bias: The tendency to discriminate in favor of one’s own group. Incentive: A motivating force or system of rewards that is presented to an individual if he or she behaves or successfully performs specified tasks according to the norms of society; a goal object. Incompetency: The legally established lack of sufficient knowledge and judgment to maintain a given right or responsibility. Incongruence: In Carl Rogers’s theory, inconsistency or distortion between one’s real and ideal self; a lack of genuineness. Independent variable: The factor that is manipulated by the experimenter in order to assess its causal impact on the dependent variable. Individual psychology: Alfred Adler’s school of personality theory and therapy; stresses the unity of the individual and his or her striving for superiority to compensate for feelings of inferiority. Induction: A type of logic by which one arrives at a general premise or conclusion based on generalization from a large number of known specific cases. Industrial/organizational psychology: The subfield of psychology that studies behavior in business and industry; practitioners analyze placement, training, and supervision of personnel, study organizational and communication structures, and explore ways to maximize efficiency. Inflection: An addition to the stem of a word which indicates subtle modulations in meaning, such as plurality (more than one) or tense (present time or past time); in English, inflections are all suffixes. Information-processing model: The approach of most modern cognitive psychologists; it interprets cognition as the flow of information through interrelated stages (input, processing, storage, and retrieval) in much the same way that information is processed by a computer. Innate: A term describing any inborn characteristic or behavior that is determined and controlled largely by the genes. Insanity: A legal term for having a mental disease or defect so great that criminal intent or responsibility are not possible; it renders one incompetent. Insight: A sudden mental inspiration or comprehension of a problem that was previously unsolved. Insomnia: Difficulty in falling asleep or in remaining asleep for sufficient periods. Instinct: An innate or inherited tendency that motivates a person or animal to act in often complex sequences without reasoning, instruction, or experience; in Freudian theory, a biological source of excitation that directs the development of personality into adulthood, such as the life instinct (Eros) and death instinct (Thanatos). 927
Psychology Basics Institutional racism: The behavior patterns followed in organizations and in society at large that produce discrimination against members of racial minorities regardless of the prejudice or lack thereof of individuals. Instrumental aggression: Aggressive behavior that is a by-product of another activity; instrumental aggression occurs only incidentally, as a means to another end. Instrumental conditioning: The learning of the relationship between a voluntary action and the reinforcements or punishments that follow that action; also known as operant conditioning. Integration: The function of most of the neurons of the cerebral cortex; summarizing incoming sensory information and producing a consensus as to what the nervous system will do next. Intelligence: The ability to perform various mental tasks, including reasoning, knowledge, comprehension, memory, applying concepts, and manipulating figures; thought to reflect one’s learning potential. Intelligence quotient (IQ): A measure of a person’s mental ability (as reflected by intelligence test scores) in comparison with the rest of the population at a comparable age. Intensity: A measure of a physical aspect of a stimulus, such as the frequency of a sound or the brightness of a color. Interest inventory: A type of test designed to determine areas of interest and enjoyment, often for the purpose of matching a person with a career. Interference: The loss or displacement of a memory trace because of competing information that is presented. Intermittent reinforcement: Any reinforcement schedule in which some but not all responses are rewarded; particularly difficult to extinguish. Internal validity: The extent to which the dependent variable is caused by the independent variable; if relevant plausible rival alternative hypotheses can be ruled out, the study has strong internal validity. Interneuron: A neuron that receives information from a sensory neuron and transmits a message to a motor neuron; very common in the brain and important in integration. Interrater reliability: The obtained level of agreement between two observers when scoring the same observations with the same behavioral taxonomy. Interval schedule: A schedule in which reinforcer delivery is contingent upon performance of a response after a specified amount of time has elapsed. Intrinsic motivation: Motivation based on the desire to achieve or perform a task for its own sake, because it produces satisfaction or enjoyment, rather than for external rewards. Introspection: The self-report of one’s own sensations, perceptions, experiences, and thoughts; analyses of and reports on the content of one’s own conscious experiences. Irradiation: Nervous excitement generated in a specific brain center by an unconditioned stimulus that spreads to surrounding areas of the cerebral cortex. 928
Glossary Kinesthetic: Related to the sensation of body position, presence, or movement, resulting mostly from the stimulation of sensory nerves in muscles, tendons, and joints. Korsakoff’s syndrome: Alcohol-induced brain damage that causes disorientation, impaired long-term memory, and production of false memories to fill memory gaps. Latency: In Sigmund Freud’s theory, the period between approximately age six and adolescence, when sexual instincts are not strongly manifested; strictly speaking, not a psychosexual stage. Latent content: According to psychoanalytic theory, the hidden content of a dream, camouflaged by the manifest content. Lateral geniculate nucleus: A subdivision of the thalamus in the brain, which receives the nerve impulse from the retina; it assembles visual information. Laterality: Specialization by sides of almost symmetrical structures; speech is lateralized in human brains, because it is mainly controlled by the left hemispheres of almost all right-handed people. Law of Effect: Thorndike’s basic law of instrumental conditioning, which holds that responses followed by certain events will be either more or less likely to recur. Leakage: Nonverbal behavior that reveals information that a person wishes to conceal; especially useful in deception detection. Learned helplessness: The hypothesized result of experiences in which behavior performed seems to bear no relationship to the appearance or control of a stressor. Learning: A modification in behavior as the result of experience that involves changes in the nervous system which are not caused by fatigue, maturation, or injury. Lesion: Damage or injury to brain tissue that is caused by disease or trauma or produced experimentally using mechanical, electrical, or chemical methods. Levels-of-processing model: The perspective that holds that how well something is remembered is based on how elaborately incoming information is mentally processed. Libido: The energy used to direct behavior that is pleasurable either for the self or others; when it is directed toward the self, it results in self-gratification, follows the pleasure principle, and is immature. Limbic system: An integrated set of cerebral structures (including the amygdala, hypothalamus, hippocampus, and septal area) that play a vital role in the regulation of emotion and motivation. Linguistic relativity hypothesis: The idea that the structure of particular languages that people speak affects the way they perceive the world. Linguistics: A field of inquiry that focuses on the underlying structure of language; linguists study phonology (the sound system), syntax (sentence structure), and semantics (meaning), among other topics. 929
Psychology Basics Lithium carbonate: An alkaline compound that modulates the intensity of mood swings and is particularly effective in the dampening of symptoms of manic excitability. Locus of control: Beliefs concerning the sources of power over one’s life; persons who believe they can generally control the direction of their lives have an internal locus of control, whereas those who believe that their lives are influenced more by fate have an external locus of control. Long-term memory: A memory system of unlimited capacity that consists of more or less permanent knowledge. Longitudinal study: A research methodology that requires the testing of the same subjects repeatedly over a specified period of time. Loudness: The strength of sound as heard; related to sound pressure level but also affected by frequency. Magnitude estimation: A technique for measuring perceptual experience by having persons assign numbers to indicate the “magnitude” of an experience. Main effect: A statistically significant difference in behavior related to different levels of a variable and not affected by any other variable. Major depressive episode: A disorder of mood and functioning, meeting clearly specified criteria and present for at least two weeks, which is characterized by dysphoric mood or apathy. Mania: A phase of bipolar disorder in which the mood is one of elation, euphoria, or irritability; a disorder in which manic symptoms occur, including hyperactivity, agitation, restlessness, and grandiosity, and then are followed by a return to a normal mood state. Manifest content: In Freudian theory, the content of a dream just as it is experienced or recalled; masks the dream’s latent content. Masculine protest: The denying of inferiority feelings through rebelliousness, violence, or maintaining a tough exterior. Maturation: Development attributable to one’s genetic timetable rather than to experience. Mean: The arithmetic average of all the data measuring one characteristic; it can be used as a descriptive or inferential statistic. Mechanoreceptor: A sensory receptor that is sensitive to mechanical stimulation, such as touch, movement of a joint, or stretching of a muscle. Medical model: A view in which abnormality consists of a number of diseases that originate in bodily functions, especially in the brain, and have defined symptoms, treatments, and outcomes. Medulla oblongata: The bulbous portion of the brain stem that directly connects with the spinal cord; controls cardiac and respiratory activity. Melatonin: A hormone produced by the pineal gland within the forebrain that is usually released into the blood during the night phase of the lightdark cycle. 930
Glossary Memory: The mental processes that are involved in storing and recalling previously experienced images, information, and events. Mere exposure: A psychological phenomenon in which liking tends to increase as a person sees more of something or someone. Meta-analysis: A set of quantitative (statistical) procedures used to evaluate a body of empirical literature. Metastasis: The transfer of disease from one part of the body to an unrelated part, often through the bloodstream or lymphatic system. Midbrain: The section of the brain just above the hindbrain; influences auditory and visual processes and arousal. Midlife crisis: A sense of reevaluation, and sometimes panic, that strikes some individuals during middle age; impulsive behavior, reassessment of goals, and career changes can result. Mind-body problem: A psychological question originating from philosophy and religion that concerns how to understand the relationship between a physical body or brain and a nonphysical mind or subjective experience. Mineralocorticoids: The proinflammatory hormones aldosterone and deoxycorticosterone, secreted by the adrenal cortex and having a role in salt metabolism. Misattribution: Attributing an event to any factor other than the true cause. Mnemonics: Strategies for improving memory through placing information in an organized context. Monoamine oxidase inhibitors (MAOIs): A class of antidepressant drugs. Monoamines: A group of neurotransmitters derived from a single amino acid; they include serotonin and the catecholamines. Monosynaptic reflex: A reflex system that consists of only one synapse, the synapse between the sensory input and motor output. Mood disorders: Functional mental disorders associated with emotions or feelings (also called affective disorders); examples include depression and bipolar disorders. Morpheme: The smallest part of a word that has a discernible meaning. Morphology: The rules in a given language that govern how morphemes can be combined to form words. Motivation: A hypothetical construct used to explain behavior and its direction, intensity, and persistence. Motor neurons: The cells of the central nervous system responsible for causing muscular activity. Multiple personality disorder: A rare mental disorder characterized by the development and existence or two or more relatively unique and independent personalities in the same individual. Nanometer: A billionth of a meter. Narcolepsy: A condition in which an individual is prone to fall suddenly into a deep sleep. Nativism: A philosophy which holds that knowledge is innate and that the 931
Psychology Basics neonate enters the world prepared for certain kinds of environmental inputs. Natural selection: The process by which those characteristics of a species that help it to survive or adapt to its environment tend to be passed along by members that live long enough to have offspring. Need: A state of an organism attributable to deprivation of a biological or psychological requirement; it is related to a disturbance in the homeostatic state. Negative reinforcement: The procedure whereby the probability of a response is increased by the contingent removal of an aversive stimulus. Neo-Freudian: A term for psychoanalysts who place more emphasis on security and interpersonal relations as determining behavior than on the biological theories of Sigmund Freud; Neo-Freudians include Alfred Adler, Carl Jung, Karen Horney, Harry Stack Sullivan, and Erik Erikson. Nerve impulse: Electrical activity transmitted through a nerve fiber. Nervous system: An array of billions of neurons (conducting nerve cells) that transmits electrical information throughout the body and thereby controls practically all bodily processes. Neurologist: A physician who specializes in the diagnosis and treatment of disorders of the nervous system. Neuron: An individual nerve cell, the basic unit of the nervous system; receives and transmits electrical information and consists of a cell body, dendrites, and an axon. Neuropsychology: The study of brain-behavior relationships, usually involving behavioral tests and correlating results with brain areas. Neuropsychopharmacology: The field of study of the relationship among behavior, neuronal functioning, and drugs. Neurosis: Any functional disorder of the mind or the emotions, occurring without obvious brain damage and involving anxiety, phobic responses, or other abnormal behavior symptoms. Neurotransmitter: A chemical substance released from one nerve cell that communicates activity by binding to and changing the activity of another nerve cell, muscle, or gland; some stimulate, others inhibit. Nomothetic study: A research approach that compares groups of people in order to identify general principles; the dominant method of personality research. Nonparticipant observation: A field technique in which the researcher passively observes the behavior of the subjects, trying not to get involved in the setting. Nonverbal communication: Communication through any means other than words; includes facial expression, tone of voice, and posture. Normal distribution: A bell-shaped curve that often provides an accurate description of the distribution of scores obtained in research; it forms the basis of many statistical tests. 932
Glossary Observational learning: Learning that results from observing other people’s behavior and its consequences. Observational study: A research technique in which a scientist systematically watches for and records occurrences of the phenomena under study without actively influencing them. Obsessions: Intrusive, recurrent, anxiety-provoking thoughts, ideas, images, or impulses that interfere with an individual’s daily functioning. Obsessive-compulsive disorder: A chronic, debilitating anxiety disorder characterized by continuous obsessive thinking and frequent compulsive behaviors. Occipital lobe: The posterior portion of each cerebral hemisphere, where visual stimuli are received and integrated. Oedipus complex: In Freudian theory, sexual attraction to the parent of the opposite sex, and jealousy of and fear of retribution from the parent of the same sex; first manifested in the phallic stage (in girls, sometimes called the Electra complex). Olfaction: The sense of smell. Operant: The basic response unit in instrumental conditioning; a response which, when emitted, operates upon its environment and is instrumental in providing some consequences. Operant conditioning: Learning in which a behavior increases or decreases depending on whether the behavior is followed by reward or punishment; also known as instrumental conditioning. Operational definition: A description of a measurement or manipulation in terms that are unambiguous, observable, and easily identified. Opiates: A class of drugs that relieve pain; opiates include morphine, heroin, and several naturally occurring peptides. Oral stage: In Freudian theory, the first stage of psychosexual development, from birth to approximately age two; sexual energy focuses on the mouth, and conflicts may arise over nursing, biting, or chewing. Organic disorder: A symptomatology with a known physiological or neurological basis. Organizational effects: The early and permanent effects of a hormone; for example, the sex hormones, which produce differentiation in the developing embryo of primordial gonads, internal reproductive structures, and external genitalia. Out-group: Any social group to which an individual does not belong and which, as a consequence, may be viewed in a negative way. Overextension: The application of a word to more objects than ordinary adult usage allows; for example, when a child refers to all small four-legged animals as “dog.” Overjustification effect: The tendency of external factors that are perceived to be controlling an individual’s behavior to undermine the individual’s intrinsic motivation to engage in that behavior. 933
Psychology Basics Papilla: A small bundle of taste receptor cells surrounded by supportive cells and communicating with the exterior through a small pore. Paradoxical intervention: A therapeutic technique in which a therapist gives a patient or family a task that appears to contradict the goals of treatment. Parallel distributed processing (PDP): A neurally inspired model in which information is processed in a massively parallel and interactive network; the course of processing is determined by the connection strengths between units of the network. Paranoia: A psychosis characterized by delusions, particularly delusions of persecution, and pervasive suspiciousness; paranoia rarely involves hallucinations. Parasympathetic nervous system: A branch of the autonomic nervous system; responsible for maintaining or reestablishing homeostasis. Parietal lobe: The side and upper-middle part of each cerebral hemisphere and the site of sensory reception from the skin, muscles, and other areas; also contains part of the general interpretive area. Pavlovian conditioning: Learning in which two stimuli are presented one after the other, and the response to the first changes because of the response automatically elicited by the second; also called classical conditioning. Penis envy: In Freudian theory, the strong envy that females develop of the male organ because they subconsciously believe they have been castrated; Sigmund Freud proposed that penis envy dominates the female personality. Perception: The psychological process by which information that comes in through the sense organs is meaningfully interpreted by the brain. Perceptual constancy: The tendency to perceive figures as constant and stable in terms of shape, color, size, or brightness. Peripheral nervous system: All the nerves located outside the bones of the skull and spinal cord. Persona: A major Jungian archetype representing one’s public personality; the mask that one wears in order to be acceptable to society at large. Personality: An individual’s unique collection of behavioral responses (physical, emotional, and intellectual) that are consistent across time and situations. Personality disorder: A disorder involving deep-rooted behavior patterns that are inflexible and maladaptive and that cause distress in an individual’s relationships with others. Personality trait: A stable disposition to behave in a given way over time and across situations. Phallic stage: In Freudian theory, the third stage of psychosexual development, from approximately age four to age six, in which sexual energy focuses on the genitals. Phenomenology: An approach that stresses openness to direct experience in introspective or unsophisticated ways, without using analysis, theory, expectations, or interpretation. 934
Glossary Pheromone: A hormone or other chemical that is produced and released from the tissues of one individual and targets tissues in another individual, usually with a consciously or unconsciously detectable scent. Phobia: An anxiety disorder involving an intense irrational fear of a particular class of things (such as horses) or a situation (such as heights). Phoneme: A minimal unit of sound that can signal a difference in meaning. Phonology: The specification, for a given language, of which speech sounds may occur and how they may be combined, as well as the pitch and stress patterns that accompany words and sentences. Pineal gland: A light-sensitive endocrine gland that is located toward the back of the brain and that controls reproductive cycles in many mammalian species. Pitch: The highness or lowness of a sound as heard; related to frequency but also affected by loudness. Pituitary: An endocrine gland located in the brain that controls several other endocrine glands and that cooperates with the hypothalamus of the nervous system in controlling physiology. Placebo: A substance or treatment (such as a pill or an injection) that has no intrinsic effect but is presented as having some effect. Placebo effect: The relief of pain or the causing of a desired behavioral effect as a result of a patient’s belief that a substance or treatment will be effective when, in fact, the substance or treatment has no known effect; for example, a sugar pill may relieve a backache if given by a trusted doctor. Plasticity: The ability of neurons and neural networks to grow into specific patterns based partially upon the organism’s genetics and partially upon the organism’s learned experience; in the brain, neurons can modify the structural organization in order to compensate for neural damage. Play therapy: A system of individual psychotherapy in which children’s play is utilized to explain and reduce symptoms of their psychological disorders. Pons: A part of the brain stem that serves as the nerve connection between the cerebellum and the brain stem. Population: All members of a specified group that a researcher is interested in studying. Positive reinforcement: A procedure used to increase the frequency of a response by presenting a favorable consequence following the response. Positron emission tomography (PET): An imaging technique that allows blood flow, energy metabolism, and chemical activity to be visualized in the living human brain. Post-traumatic stress disorder (PTSD): A pathological condition caused by severe stress such as an earthquake or a divorce; it has an acute stage and a chronic stage, and symptoms involve reexperiencing the traumatic event. Postsynaptic potential: A chemical stimulus that is produced in a postsynaptic cell; may excite the cell to come nearer to electrical firing, or may inhibit firing. 935
Psychology Basics Power law: A statement of the lawful relationship between two variables that expresses one of them as the other raised to some exponent. Pragmatism: A philosophical position that provided the framework of functionalism by proposing that the value of something lies in its usefulness. Prejudice: Liking or disliking of persons based on their category or group membership rather than on their individual personalities; predominantly refers to unfavorable reactions. Preoperational stage: In Jean Piaget’s theory, a transitional stage of childhood (ages two to seven, approximately), after mental representations (symbols) are acquired but before they can be logically manipulated. Preparedness: The idea that, through evolution, animals have been genetically prepared to learn certain things important to their survival. Primacy effect: The tendency for things that are seen or received first to be better recalled and more influential than things that come later. Primary motive: A motive that arises from innate, biological needs and that must be met for survival. Primary reinforcer: A stimulus that acts as a natural, unlearned reinforcer. Primary sex characteristics: The physiological features of the sex organs. Priming: An increase in the availability of certain types of information in memory in response to a stimulus. Prisoner’s dilemma: A laboratory game used by psychologists to study the comparative strategies of cooperation and competition. Probability: The proportion of times a particular event will occur; also, the study of uncertainty that is the foundation of inferential statistics. Progesterone: A female sex hormone secreted by the corpus luteum of the ovary; maintains the lining of the uterus during pregnancy and the second half of the menstrual cycle. Programmed instruction: A self-paced training program characterized by many small, increasingly difficult lessons separated by frequent tests. Progressive muscle relaxation: A relaxation technique that systematically works through all the major muscle groups of the body by first tensing, then relaxing each group and paying attention to the changes. Projective task: Any task that provides an open-ended response that may reveal aspects of one’s personality; tasks or tests commonly include standard stimuli that are ambiguous in nature. Proposition: A mental representation based on the underlying structure of language; a proposition is the smallest unit of knowledge that can be stated. Prosocial behavior: Behavior intended to benefit another; can be motivated by either egoistic or altruistic concern. Prototype: A “best example” of a concept—one that contains the most typical features of that concept. Proxemics: The use of space as a special elaboration of culture; it is usually divided into the subfields of territory and personal space. 936
Glossary Proximo-distal development: Motor development that proceeds from the center of the body to its periphery. Psychoactive drugs: Chemical substances that act on the brain to create psychological effects; usually classified as depressants, stimulants, narcotics (opiates), hallucinogens, or antipsychotics. Psychoanalytic theory: A set of theories conceived by Sigmund Freud that see the roots of human behavior and mental disorders in unconscious motivation and in childhood and early adulthood conflict. Psychobiology: The study of the interactions between biological and psychological processes. Psychogenic disorder: An illness that is attributable primarily to a psychological conflict or to emotional stress. Psychometrics: The theory or technique of psychological measurement; the measurement of psychological differences among people and the statistical analysis of those differences. Psychophysics: The study of the relationship between physical units of a stimulus, such as amplitude, and its sensory, experienced qualities, such as loudness. Psychophysiology: The study of the interaction between the psyche (mind and emotions) and the physiology (physical processes such as blood pressure and heart rate) of the organism. Psychosis: A general term referring to a severe mental disorder, with or without organic damage, characterized by deterioration of normal intellectual and social function and by partial or complete withdrawal from reality; includes schizophrenia and mood disorders such as bipolar disorder. Psychosocial crisis: In Erik Erikson’s theory, a turning point in the process of development precipitated by the individual having to face a new set of social demands and new social relationships. Psychosomatic disorder: A physical disorder that results from, or is worsened by, psychological factors; synonymous with psychophysiological disorder and includes stress-related disorders. Psychosurgery: Brain surgery intended to alter an inappropriate or maladaptive behavior. Psychotherapy: A general category of treatment techniques for mental disorders; most psychotherapy uses talking as a tool and centers on the clientpsychotherapist relationship to develop awareness and provide support. Punishment: The procedure of decreasing the probability of a behavior by the response-contingent delivery of an aversive stimulus. Quasi-experimental designs: Experimental plans that do not allow subjects to be assigned randomly to treatment conditions. Questionnaires: A survey tool; research subjects view questions in electronic or written format and respond in the same format. 937
Psychology Basics Random assignment: The most common technique for establishing equivalent groups by balancing subject characteristics through the assigning of subjects to groups through some random process. Rapid eye movement (REM) sleep: A special stage of sleep that involves desynchronized electrical brain activity, muscle paralysis, rapid eye movements, and narrative dream recall. Ratio schedule: A reinforcement schedule in which reinforcer delivery is contingent upon the performance of a specified number of responses. Rational-emotive therapy: A cognitive-based psychotherapy, pioneered by Albert Ellis, that attempts to replace or modify a client’s irrational, inappropriate, or problematic thought processes, outlooks, and self-concept. Realistic conflict theory: A theory from social psychology that suggests that direct competition for scarce or valued resources can lead to prejudice. Receptive aphasia: Difficulties in comprehending spoken and written material, usually after damage to Wernicke’s area in the left temporal lobe of the cerebral cortex. Receptive field: The region and pattern in space to which a single neuron responds. Receptor: A specific protein structure on a target cell to which a neurotransmitter binds, producing a stimulatory or inhibitory response. Recessive gene: A gene whose corresponding trait will not be expressed unless the gene is paired with another recessive gene for that trait. Reciprocal determinism: An interactional model proposing that environment, personal factors, and behavior all operate as interacting determinants of one another. Reductionism: An aspect of the scientific method which seeks to understand complex and often interactive processes by reducing them to more basic components and principles. Reflex: An unlearned and automatic biologically programmed response to a particular stimulus. Reflex arc: The simplest behavioral response, in which an impulse is carried by a sensory neuron to the spinal cord, crosses a synapse to a motor neuron, and stimulates a response. Regression: An ego defense mechanism that a person experiencing stress or conflict uses to return to an earlier stage of development. Regulators: Gestures and expressions made by listeners that are informative for speakers; they convey comprehension or acceptance, or indicate when the other person may speak. Reinforcement: An operation or process that increases the probability that a learned behavior will be repeated. Reinforcer: A stimulus or event that, when delivered contingently upon a response, will increase the probability of the recurrence of that response. Relative deprivation: The proposition that people’s attitudes, aspirations, and grievances largely depend on the frame of reference within which they are conceived. 938
Glossary Reliability: The consistency of a psychological measure, which can be assessed by means of stability over repeated administrations or agreement among different observers. Representativeness: A heuristic in which an estimate of the probability of an event or sample is determined by the degree to which it resembles the originating process or population. Repression: In psychoanalytic theory, a defense mechanism that keeps unacceptable thoughts and impulses from becoming conscious. Response cost: Negative consequences that follow the commission of an undesired behavior, decreasing the rate at which the misbehavior will recur. Response hierarchy: An arrangement of alternative responses to a cue, in a hierarchy from that most likely to occur to that least likely to occur. Resting membrane potential: The maintenance of difference in electrical charges between the inside and outside of a neuron’s cell membrane, keeping it polarized with closed ion channels. Retardation: A condition wherein a person has mental abilities that are far below average; other skills and abilities, such as adaptive behavior, may also be marginal; measured by an IQ score of less than 70. Reticular formation: A core of neurons extending through the medulla, pons, and midbrain that controls arousal and sleeping/waking, as well as motor functions such as muscle tone and posture. Retina: The light-sensitive area at the back of the eye, containing the photoreceptors (rods and cones) that detect light. Retrieval: The process of locating information stored in memory and bringing it into awareness. Retrograde amnesia: The type of amnesia that involves an inability to remember things that occurred before the onset of the amnesia. Rhodopsin: The visual pigment in the cells of the rods that responds to light. Rod: A photoreceptor of the retina specialized for the detection of light without discrimination of color. Role: A social position that is associated with a set of behavioral expectations. Rule-governed behavior: Behavior that is under the discriminative control of formalized contingencies. Sample: A subset of a population; a group of elements selected from a larger, well-defined pool of elements. Sampling error: The extent to which population parameters deviate from a sample statistic. Satiety: A feeling of fullness and satisfaction. Schema: An active organization of prior knowledge, beliefs, and experience which is used in perceiving the environment, retrieving information from memory, and directing behavior (plural, schemata). Schizophrenia: Any of a group of psychotic reactions characterized by withdrawal from reality with accompanying affective, behavioral, and intellectual disturbances, including illusions and hallucinations. 939
Psychology Basics Schwann cell: A type of insulating nerve cell that wraps around neurons located peripherally throughout the organism. Script: An event schema in which a customary sequence of actions, actors, and props is specified; for example, behavior at a restaurant. Seasonal affective disorder (SAD): Bipolar disorder that undergoes a seasonal fluctuation resulting from various factors, including seasonal changes in the intensity and duration of sunlight. Secondary reinforcement: A learned reinforcer that has acquired reinforcing qualities by being paired with other reinforcers. Secondary sex characteristics: Physical features other than genitals that differentiate women and men; for example, facial hair. Self: The unified and integrated center of one’s experience and awareness, which one experiences both subjectively, as an actor, and objectively, as a recipient of actions. Self-actualization: A biologically and culturally determined process involving a tendency toward growth and full realization of one’s potential, characterized by acceptance, autonomy, accuracy, creativity, and community; pioneered by Abraham Maslow. Self-concept: The sum total of the attributes, abilities, attitudes, and values that an individual believes defines who he or she is. Self-efficacy: The perception or judgment of one’s ability to perform a certain action successfully or to control one’s circumstances. Self-esteem: The evaluative part of the self-concept; one’s feeling of self-worth. Self-image: The self as the individual pictures or imagines it. Self-perception: A psychological process whereby individuals infer the nature of their attitudes and beliefs by observing their own behavior. Semantic memory: The long-term representation of a person’s factual knowledge of the world. Sensation: The process by which the nervous system and sensory receptors receive and represent stimuli received from the environment. Sensorimotor stage: The first of Jean Piaget’s developmental stages, lasting from birth to about two years of age, during which objects become familiar and are interpreted by appropriate habitual, motor, and sensory processes. Sensory memory: The persistence of a sensory impression for less than a second; it allows the information to be processed further. Serial processing: A theory concerning how people scan information in memory that suggests that as the number of items in memory increases, so does the amount of time taken to determine whether an item is present in memory. Set point: An organism’s personal homeostatic level for a particular body weight, which results from factors such as early feeding experiences and heredity. Sex: Biological maleness or femaleness, determined by genetic endowment and hormones. 940
Glossary Sex typing: The process of acquiring traits, attitudes, and behaviors seen as appropriate for members of one’s gender; gender-role acquisition. Sexual instinct: In Sigmund Freud’s theory, the innate tendency toward pleasure seeking, particularly through achieving sexual aims and objects. Shaping: The acquiring of instrumental behavior in small steps or increments through the reinforcement of successively closer approximations to the desired final behavior. Short-term memory: A memory system of limited capacity that uses rehearsal processes either to retain current memories or to pass them on to longterm memory. Significance level: The degree of likelihood that research results are attributable to chance. Skinner box: The most commonly used apparatus for studying instrumental conditioning; manipulation of a lever (for rats, monkeys, or humans) or an illuminated disk (for pigeons) produces consequences; named for B. F. Skinner. Social categorization: The classification of people and groups according to attributes that are personally meaningful. Social cognition: The area of social psychology concerned with how people make sense of social events, including the actions of others. Social comparison: Comparing attitudes, skills, and feelings with those of similar people in order to determine relative standing in a group or the acceptability of one’s own positions. Social facilitation: The enhancement of a person’s most dominant response as a result of the presence of others; for some tasks, such as simple ones, performance is enhanced, while for others, such as novel tasks, performance is impaired. Social identity theory: A theory maintaining that people are motivated to create and maintain a positive identity in terms of personal qualities and, especially, group memberships. Social learning theory: The approach to personality that emphasizes the learning of behavior via observations and direct reward; exemplified by the theories of Albert Bandura and Walter Mischel. Social loafing: The tendency to expend less effort while in the presence of others; most likely to occur on additive tasks in which one’s individual effort is obscured as a result of the collective efforts of the group. Social phobia: A condition characterized by fear of the possible scrutiny or criticism of others. Social psychology: A subfield of psychology that studies how individuals are affected by environmental factors and particularly by other people. Social support: The relationships with other people that provide emotional, informational, or tangible resources that affect one’s health and psychological comfort. Socialization: The process of learning and internalizing social rules and standards. 941
Psychology Basics Sociobiology: The application of the principles of evolutionary biology to the understanding of social behavior. Somatization disorder: A mental syndrome in which a person chronically has a number of vague but dramatic medical complaints that apparently have no physical cause. Somatoform disorders: A group of mental disorders in which a person has physical complaints or symptoms that appear to be caused by psychological rather than physical factors; for example, hypochondriasis. Somnambulism: The scientific term for sleepwalking; formerly a term for hypnosis. Spinal cord: The part of the central nervous system that is enclosed within the backbone; conducts nerve impulses to and from the brain. Spontaneous recovery: The recovery of extinguished behaviors over time in the absence of any specific treatment or training. Sports psychology: The subfield of psychology that applies psychological principles to physical activities such as competitive sports; frequently concerned with maximizing athletic performance. Sprouting: A process that occurs when remaining nerve fibers branch and form new connections to replace those that have been lost. Stage theory of development: The belief that development moves through a set sequence of stages; the quality of behavior at each stage is unique but is dependent upon movement through earlier stages. Standard deviation: A measure of how variable or spread out a group of scores is from the mean. Standardization: The administration, scoring, and interpretation of a test in a prescribed manner so that differences in test results can be attributed to the testee. Statistical significance: Differences in behavior large enough that they are probably related to the subject variables or manipulated variables by differences too large to be caused by chance alone. Stereotype: A set of beliefs, often rigidly held, about the characteristics of an entire group. Stimulants: Drugs that cause behavioral or physiological stimulation, including amphetamines, cocaine, and their respective derivatives; caffeine; nicotine; and some antidepressants. Stimulus: An environmental circumstance to which an organism may respond; it may be as specific as a single physical event or as global as a social situation. Stimulus generalization: The ability of stimuli that are similar to other stimuli to elicit a response that was previously elicited only by the first stimuli. Storage: The stage of memory between encoding and retrieval; the period for which memories are held. Strange situation: An experimental technique designed to measure the quality of the mother-infant attachment relationship. 942
Glossary Stress: The judgment that a problem exceeds one’s available resources, resulting from a primary appraisal of the problem and a secondary appraisal of the coping resources. Stressor: Anything that produces a demand on an organism. Striate cortex: The region of the occipital lobe that reconstitutes visual images for recognition. Stroke: A vascular injury resulting from either the rupture of a vessel or the blocking of blood flow in an artery. Structuralism: An early school of psychology that sought to define the basic elements of mind and the laws governing their combination. Sublimation: According to Sigmund Freud, a defense mechanism by which a person may redirect aggressive impulses by engaging in a socially sanctioned activity. Suffix: A morpheme that attaches to the end of a word. Superego: In Freudian theory, the part of the psyche that contains parental and societal standards of morality and that acts to prohibit expression of instinctual drives; includes the conscience and the ego-ideal. Syllogism: A logical argument constructed of a major premise, a minor premise, and a conclusion, the validity of which is determined by rules of inference. Symbiotic relationship: An overprotective, often enmeshed relationship between a parent and child. Sympathetic nervous system: A division of the autonomic nervous system that prepares the organism for energy expenditure. Synapse: The junction between two neurons over which a nerve impulse is chemically transduced. Synchronized electroencephalogram: A regular, repetitive brain-wave pattern that is caused by multitudes of neurons firing at the same time and the same rate in a given brain region. Systematic desensitization: An exposure therapy in which the phobic patient is gradually presented with a feared object or situation. Systems theory: A concept in which the family grouping is viewed as a biosocial subsystem existing within the larger system of society; intrafamilial communications are the mechanisms of subsystem interchange. Tachistoscope: An experimental apparatus for presenting visual information very briefly to the right or left visual field; sometimes called a T-scope. Tardive dyskinesia: Slow, involuntary motor movements, especially of the mouth and tongue, which can become permanent and untreatable; can result from psychoactive drug treatment. Temporal lobe: The lower portion on the side of each cerebral hemisphere, containing the sites of sensory interpretation, memory of visual and auditory patterns, and part of the general interpretive area. Test-retest reliability: A common way of determining consistency, by administering the same test twice to the same persons. 943
Psychology Basics Testosterone: The principal male sex hormone produced by the testes. Thalamus: A portion of the diencephalon, located at the base of the forebrain, which receives sensory information from the body and relays these signals to the appropriate regions of the cerebrum. Thematic Apperception Test (TAT): A personality test in which individuals demonstrate their needs by describing what is happening in a series of ambiguous pictures. Theory: A model explaining the relationship between several phenomena; derived from several related hypotheses which have survived many tests. Therapy: The systematic habilitation of a disorder. Thermoreceptor: A sensory receptor specialized for the detection of changes in the flow of heat. Threshold: The minimum stimulus intensity necessary for an individual to detect a stimulus; usually defined as that intensity detected 50 percent of the time it is presented. Thyroxine: The major hormone produced and secreted by the thyroid gland; stimulates protein synthesis and the basal metabolic rate. Trait theory: A way of conceptualizing personality in terms of relatively persistent and consistent behavior patterns that are manifested in a wide range of circumstances. Transduction: The process of changing physical energy, such as light, into neural messages. Transference: The phenomenon in which a person in psychoanalysis shifts thoughts or emotions concerning people in his or her past (most often parents) onto the analyst. Transvestite: A person who, for fun or sexual arousal, often dresses and acts like a member of the opposite sex (going “in drag”); most are heterosexual males. Tricyclics: A class of antidepressant drugs. Two-factor theory: A behavioral theory of anxiety stating that fear is caused by Pavlovian conditioning and that avoidance of the feared object is maintained by operant conditioning. Type A personality: A behavior pattern that describes individuals who are driven, competitive, high-strung, impatient, time-urgent, intense, and easily angered; some researchers have associated this pattern with increased risk of heart disease. Unconditional positive regard: The attempt by a therapist to convey to a client that he or she genuinely cares for the client. Unconditioned response (UR): An innate or unlearned behavior that occurs automatically following some stimulus; a reflex. Unconditioned stimulus (US): A stimulus that elicits an unconditioned response; the relation between unconditioned stimuli and unconditioned responses is unlearned. 944
Glossary Unconscious: The deep-rooted aspects of the mind; Sigmund Freud claimed that the unconscious includes negative instincts and urges that are too disturbing for people to be aware of consciously. Unipolar depression: A disorder characterized by the occurrence of one or more major depressive episodes but no manic episodes. Validity: A statistical value that states the degree to which a test measures what it is intended to measure; the test is usually compared to external criteria. Vicarious learning: Learning (for example, learning to fear something) without direct experience, either by observing or by receiving verbal information. Visual cortex: The top six cell layers in the back of the brain, which are specialized for organizing and interpreting visual information. Visual dyslexia: The lack of ability to translate observed written or printed language into meaningful terms. Voyeurism: The derivation of sexual pleasure from looking at the naked bodies or sexual activities of others without their consent. Wavelength: The distance traveled by a wave front in the time given by one cycle (the period of the wave); has an inverse relation to frequency. White matter: The tissue within the central nervous system, consisting primarily of nerve fibers. Within-subject design: An experimental plan in which each subject receives each level of the independent variable. Working through: A psychoanalytical term that describes the process by which clients develop more adaptive behavior once they have gained insight into the causes of their psychological disorders. Yerkes-Dodson law: The principle that moderate levels of arousal tend to yield optimal performance. Zeitgeber: A German word meaning “time giver”; a factor that serves as a synchronizer or entraining agent, such as sunlight in the morning.
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Biographical List of Psychologists Adler, Alfred (1870-1937). Originally a Freudian psychologist, Adler had by 1911 broken from Sigmund Freud, resigning as president of the Vienna Psychoanalytic Society when the break became apparent. Adler was known for his work on individual personality and his theory of the creative self. He eschewed environment and heredity as the major governing factors in people’s lives. He considered these factors raw materials that individuals can shape as they will. Allport, Gordon (1897-1967). Allport was well known for his theory of functional autonomy, which disputes Sigmund Freud’s notion that adult conduct stems from instincts, desires, and needs that all people share. He resisted classifying people according to such elemental motives. For him, each personality was unique and could not be categorized according to a preconceived set of motivations. Bandura, Albert (1925). The learning theory advanced by Bandura postulated that people learn largely through realizing what the consequences are of their behavior or of the behavior of others. He advocated observational learning. His social cognitive theory influenced learning theory in the last quarter of the twentieth century. Beck, Aaron T. (1921). Recognized for his work in cognitive therapy, Beck sought to alter the thinking of depressed patients by encouraging them to assess their problems in alternative ways capable of solution. He also moved his patients toward understanding how their problems might be the result of their own actions or inactions. The Beck Depression Inventory, a twenty-one-item instrument based on a four-point scale, is used as a quantitative tool for ascertaining the symptoms of depression in adolescents and adults. Berkowitz, Leonard (1926). A social psychologist, Berkowitz gained a worldwide reputation as an expert on human aggression, which he defined as an externally elicited drive to harm others. He believed that aggression could be sparked involuntarily by stimuli from the surrounding environment. Binet, Alfred (1857-1911). Binet, collaborating with Theodore Simon, devised tests for measuring intelligence, later called intelligence quotient (IQ) tests. Although he originally contended that intelligence was too complex to be reduced to mere numbers, he ultimately accepted the simplified modes of measurement, devised by William Stern and refined by Lewis Terman, that considered IQ to be equal to mental age divided by chronological age and multiplied by one hundred. Terman added the last element so that IQ could be expressed in whole numbers rather than in numbers requiring decimal points. Brentano, Franz Clemens (1838-1917). Brentano questioned the the946
Biographical List of Psychologists ories of the mind espoused by many contemporary psychologists and physicians who were mainly concerned with the brain as a physical entity. Brentano denied the necessity of understanding the physiological mechanisms underlying mental events, contending that experimental psychology was more limited and limiting than many of his colleagues believed because it involves the systematic manipulation of variables, then noting their effect upon other variables. Brentano believed that any study of the mind should emphasize process over a material view of the mind’s content. Breuer, Josef (1842-1925). A noted physician and researcher, Breuer grew close to the young Sigmund Freud, fourteen years his junior. Freud said that while he was still a student preparing for his last examinations in medical school, Breuer applied the methods of psychoanalysis to one of his patients, Anna O., who suffered from hysteria and whom he treated systematically from 1880 to 1882, thereby, in Freud’s eyes, inaugurating the field of psychoanalysis. Cannon, Walter B. (1871-1945). A Harvard University professor of physiology, Cannon demonstrated the effects emotions have on the human body. His work led to the mapping of the brain’s hypothalamus and limbic systems. Cannon challenged the theory proposed by William James and C. G. Lange that situations caused by certain stimuli produce specific bodily reactions, such as increase heart beat or increases or decreases in blood pressure, pointing out that similar bodily reactions occur in a wide variety of emotional states. He noted that the viscera, with few sensory nerves, are unlikely to perceive changes, contending that autonomic reactions often have relatively long periods of latency. Cattell, James McKeen (1860-1944). Convinced that applied psychology underlies every aspect of human activity, Cattell was a member of the functionalist school, which demanded that psychology be a practical science. Unlike the structuralists, the functionalists were concerned with the function of the mind rather than with its contents. The approach of Cattell and other functionalists was biological rather than physiological. He was elected president of the American Psychological Association at the age of thirty-five, succeeding William James in that post. Dewey, John (1859-1952). Generally considered the most significant educational philosopher of the twentieth century, Dewey regarded the division of the elements of human reflexes into sensory, brain, and motor processes as inaccurate and misleading. He contended that there is a stream of behavior and that human reflexes are part of a coordinated system that cannot be viewed as anything but a unified whole. Dewey accepted the inevitability of social change but believed that it could be influenced favorably by proper planning. He is considered the father of progressive education. Dollard, John (1900-1980). The frustration-aggression hypothesis of Dollard and his partner Neil E. Miller departs from the explanations of Sigmund Freud and Konrad Lorenz, which are essentially biological. Miller and Dollard place considerable emphasis on explanations that have to do 947
Psychology Basics with social learning and environmental factors. They collaborated on Frustrations and Aggression (1963). Dix, Dorothea Lynde (1802-1887). While teaching inmates in a Boston prison, Dix concluded that many of the women confined as criminals were really mentally ill. She began a campaign to publicize and improve the treatment of the mentally ill in the United States and later in Europe. When she began her crusade in 1841, only 15 percent of people needing care received it. By 1890, that proportion had increased to 70 percent. Ebbinghaus, Hermann (1850-1909). Ebbinghaus is best remembered for his systematic study of learning and memory, which flew in the face of Wilhelm Wundt’s proclamation that the higher mental processes could not be studied experimentally. A rationalist, Ebbinghaus conducted experiments based on learning out-of-context groups of syllables from a pool of 2,300 that he had devised. His chief interests were in such topics as meaning, imagery, and individual differences in cognitive styles. Egas Moniz, António (1874-1955). Egas Moniz was a Portuguese neurologist, who, aware of C. R. Jacobson’s experiments in altering the behavior of chimpanzees by the removal of the frontal lobes of their brains, concluded that such procedures would produce similar results in humans. He was a pioneer in the now largely discredited area of psychosurgery. He was awarded the 1949 Nobel Prize in Physiology or Medicine for his discovery of the therapeutic value of leucotomy (lobotomy) in certain psychoses. Ellis, Albert (1913). As a psychoanalyst and sex therapist, Ellis became disenchanted with the methods of psychoanalysis and sought new means of approaching his patients, which he outlined in New Approaches to Psychotherapy (1955). He devised a rational-emotive therapy (RET) which was initially scorned by most of his colleagues, many of whom eventually came to see the practical wisdom of this approach. His Sex Without Guilt (1958) was widely distributed and influenced much subsequent thinking about sex and sex therapy. Erikson, Erik (1902-1994). In Childhood and Society (1950), one of the most influential books on learning theory in the twentieth century, Erikson defined eight developmental stages through which humans pass as they move from infancy to later adulthood. An understanding of these stages, particularly the first five that move from infancy to adolescence, substantially affected learning theory in the United States. Eysenck, Hans (1916-1997). In his theory of personality, Eysenck related the dimensions of introversion/extroversion and neuroticism/stability to the way the nervous system is constituted. He enumerated the characteristics that distinguish behavior therapy from dynamic psychotherapy. Freud, Anna (1895-1982). The youngest child of Sigmund Freud, Freud became, like her father, a psychoanalyst. Her work, exclusively with children, earned her a worldwide reputation as a child psychoanalyst. Following her father’s death, she was regarded as the worldwide leader of the Freudian movement in psychology. 948
Biographical List of Psychologists Freud, Sigmund (1856-1939). Perhaps the most renowned figure in the field of psychoanalysis, Freud introduced the free-association technique into that field. From his patients’ free associations, Freud realized that psychoanalysts have to determine the structure and nature of their patients’ unconscious minds. He identified and named the Oedipus complex, which contends that on the unconscious level a male’s mother is the object of his sexual desire, thereby setting up his father as a competitor. Freud also identified the id, the ego, and the superego as cornerstones of the human psyche. Fromm, Erich (1900-1980). In his most renowned book, Escape from Freedom (1941), Fromm speculated that freedom is a frightening thing to many people and that when they recognize that they are free, they immediately attempt to affiliate themselves with people or organizations that will reduce or totally eliminate their choices. He concluded that being free places an enormous responsibility upon people, who are often willing to trade freedom for the security of having a structure and direction provided by an external force. Gilligan, Carol (1936). Gilligan served as chief investigator for a number of studies of the development of girls and women. Her major research interests were in adolescence, moral reasoning, and conflict resolution, with particular emphasis on the contributions women’s thinking have made to psychological theory. She pursued her studies because of the lack of attention women and girls received in most psychological research. She uncovered a “deep sense of outrage and despair” over the disconnection women feel because they believe their feelings have been ignored. Her books In a Different Voice: Psychological Theory and Women’s Development (1982) and Meeting at the Crossroads: Women’s Psychology And Girls’ Development (coauthored with Lyn M. Brown, 1992) have gained widespread recognition among psychologists concerned with matters of gender. Hall, G. Stanley (1844-1924). A man of diverse talents, Hall was an antistructuralist who embraced the evolutionary theories of Charles Darwin and adapted them to psychology, particularly in his recapitulation theory, which hypothesized that every child from the embryonic stage to maturity recapitulates, first quite rapidly and later more slowly, every stage of development through which the human race has passed from its earliest, prehistoric beginnings. As president of Clark University in Worcester, Massachusetts, for thirty-one years (1888-1919), Hall made the university a major center for the study of psychology. He was the first person in the United States to call for sex education in public schools. Horney, Karen (1885-1952). A physician, Horney denied that Sigmund Freud’s theories on biological motivation were relevant for the people of her day. For her, social and cultural influences were preeminent. She contended that psychological problems grow out of disturbed human relationships, particularly those between children and their parents. Her essays about the psychology of women are cogent and were compiled in Feminine Psychology (1967). 949
Psychology Basics James, William (1842-1910). James’s ideas sowed early seeds in psychological thought that eventually germinated into the school of functionalism. Wrestling with the implications of German materialism, Charles Darwin’s theory of evolution—from which freedom of choice seemed to be absent— and predetermination, James finally, after reading an essay on free will by Charles Renouvier (1815-1903), moved in new directions that led to the pragmatism for which he is most remembered. His recognition of the importance of stream of consciousness led away from generalizing about humans and their psychological constituents and led to a theory that emphasized the individuality and instinctuality of humans. Johnson, Virginia E. (1925). Johnson, along with her partner William H. Masters, was among the leading sexual therapists in the United States. They gathered scientific data relating to sex by means of electroencephalography, electrocardiography, and the use of color monitors. They worked with 694 volunteers, photographed in various modes of sexual stimulation, carefully protecting their subjects’ identities and privacy. They classified four stages of sexual arousal. Their work, especially Human Sexual Response (1966) and Human Sexual Inadequacy (1970), helped to spark the sexual revolution of the late 1960’s and the 1970’s. Jung, Carl (1875-1961). Noted for his word-association research, Jung was essentially Freudian in his formative years as a psychologist, although his thinking began to diverge from that of Sigmund Freud beginning in 1909. Jung employed Freud’s notions of the preconscious and unconscious minds to arrive at the concept of the personal unconscious. This led him to his renowned theory of the collective unconscious that drew on common experience of people through the ages. Jung contended that predispositions of the human mind are inherited and that in the collective unconscious there exist archetypes, so that at birth the mind is not the blank slate postulated by John Locke (1632-1704) but rather that it contains structures inherited from previous spans of human existence. Kelly, George A. (1905-1967). Notably iconoclastic, Kelly eschewed much of the theoretical psychology of his day, including a great deal of Sigmund Freud’s. In dealing with subjects, Kelly concluded that whether a person has a psychological problem depends largely on how that person views life. While scientists create theories that help them to predict future events, the general public creates systems constructs to make similar predictions. His two-volume work The Psychology of Personal Constructs (1955) explains in great detail how nonscientists create their systems constructs. Kinsey, Alfred (1894-1956). Kinsey had a distinguished career as a zoologist at Indiana University, where his early work dealt with the life cycle, evolution, geographic distribution, and speciation of the gall wasp. He gained his greatest renown, however, for his extensive studies of human sexual behavior, begun in the late 1930’s. They culminated in the publication of his landmark study, Sexual Behavior in the Human Male (1948), which was followed by a similar study on the human female in 1953. At the time of his 950
Biographical List of Psychologists death, he was the founding director of the Institute for Sex Research of Bloomington, Indiana. Kohlberg, Lawrence (1927-1987). Kohlberg’s greatest contribution was his research on the moral development of children and adolescents. Kohlberg ran an extensive longitudinal study in which he recorded the responses of boys aged seven through adolescence to hypothetical moral dilemmas. He concluded that children and adults pass through six identifiable stages in their moral development, which stems from cognitive development. Older children shape their responses on increasingly broad and abstract ethical standards. Kohlberg detected an evolution from self-interest to more principled, selfless behavior and developed a chronological hierarchy of moral development. Kraepelin, Emil (1856-1926). Kraepelin’s chief contribution to psychology was his formulation of a comprehensive list of mental disorders published in 1883. It was used worldwide for more than a century until, in 1952, the Diagnostic and Statistical Manual of Mental Disorders (DSM) was published by the American Psychological Association. Kraepelin identified the mental condition of dementia praecox and demonstrated that it was treatable and manageable. He renamed the condition schizophrenia, which means “a splitting of the personality.” Lacan, Jacques (1901-1961). Lacan was trained as a psychiatrist. In the 1930’s and 1940’s he worked with psychotic patients. In the 1950’s, he began to develop his own version of psychoanalysis, based on the ideas he found in structuralist linguistics and anthropology. He questioned Sigmund Freud’s notion of the unconscious. Whereas Freud believed that by bringing the contents of the unconscious into consciousness he could minimize repression and neurosis, Lacan contended that the ego can not replace the unconscious or control it. For Lacan, the ego or “I” self is only an illusion, a product of the unconscious itself, and the unconscious is the center of all being. Lewin, Kurt (1890-1947). An early apostle of Gestalt psychology, Lewin applied Gestalt principles to such areas as motivation, personality, and particularly group dynamics. For Lewin, many psychologists clung too tenaciously to the notion that the inner determinants of behavior are foremost in shaping human events. This Aristotelian view was contrary to the Galilean view that how organisms behave depends upon the totality of forces acting upon them at any given time. For Lewin, human behavior can be understood only in the light of the many complex, dynamic forces acting upon a person. He viewed groups as physical systems comparable to the brain. He detected an interdependence within members of groups that dynamically affected their functioning. Maslow, Abraham (1908-1970). Maslow made humanistic psychology a recognized branch of the field. His early experimental work with monkeys led him to conclude that physical strength had less to do with dominance than the inner confidence of animals, although as he matured, he saw little value in studying nonhuman animals. His emphasis was on studying individ951
Psychology Basics uals rather than groups and using subjective reality as the most effective key to understanding human behavior. Maslow’s hierarchy of needs led to his concept of self-actualization, for which he is best known. Masters, William H. (1915-2001). Masters, along with his partner Virginia E. Johnson, was among the leading sexual therapists in the United States. They gathered scientific data relating to sex by means of electroencephalography, electrocardiography, and the use of color monitors. They worked with 694 volunteers, photographed in various modes of sexual stimulation, carefully protecting their subjects’ identities and privacy. Masters and Johnson classified four stages of sexual arousal. Their work, especially Human Sexual Response (1966) and Human Sexual Inadequacy (1970), helped to spark the sexual revolution of the late 1960’s and the 1970’s. Meichenbaum, Donald (1940). Meichenbaum, a founder of the “cognitive revolution” in psychotherapy, advocated the constructivist perspective. Professor of psychology at the University of Waterloo in Ontario, Canada, he has been a prolific writer, researcher, and lecturer. Meichenbaum wrote the influential book Cognitive Behavior Modification: An Integrative Approach (1977). His Clinical Handbook/Treatment Manual for PTSD (1994) is an impressive summary of information for clinicians and researchers working with persons suffering the effects of traumatic stress. Miller, Neal E. (1909-2002). The frustration-aggression hypothesis of Miller and his partner John Dollard departs from the explanations of Sigmund Freud and Konrad Lorenz, which are essentially biological. Miller and Dollard place considerable emphasis on explanations that have to do with social learning and environmental factors. They collaborated on Frustrations and Aggression (1963). Mischel, Walter (1929). Mischel refused to acknowledge that there exist stable characteristics of personality, contending that behavior depends upon specific situations. He questioned the validity of personality inventories and the data obtained from them. For Mischel, the assessment of personality based upon traits is specious because it overgeneralizes. Mischel’s most notable works on personality are Personality and Assessment (1968) and Introduction to Personality (1971; rev. ed., 1981). Murray, Henry A. (1893-1988) Murray had a background in a variety of disciplines, including psychology, chemistry, and biology. He taught at Harvard University from 1927 to 1968 and helped to establish the Boston Psychoanalytic Society. He drew his theory of personality from both Freudian and Jungian psychoanalysis, postulating an elaborate system of basic motivational forces. Murray developed the Thematic Apperception Test (TAT), widely used for assessing personality. Pavlov, Ivan Petrovich (1849-1936). Pavlov gained his reputation for his work on conditioned and unconditioned responses. Using dogs that were fed after a bell sounded, he accustomed the dogs to associating the sound of the bell with food. Once they had made this association, Pavlov found that sounding the bell caused them to salivate even though no food 952
Biographical List of Psychologists was forthcoming. Pavlov was a positivist whose life was centered on his laboratory work. He had a low opinion of psychology, not because of its emphasis on consciousness but because of its use of introspection. Piaget, Jean (1896-1980). Piaget was a central figure in the study of human development. His theory of genetic epistemology links the development of intellectual ability to biological maturity and experience. He contended that when an experience fits a child’s cognitive structure, assimilation takes place. When such an experience does not fit its cognitive structure, the cognitive structure is adjusted, by a process that Piaget called accommodation, so that it can be assimilated. His stages of intellectual development have been instrumental in teacher education. Pinel, Philippe (1745-1826). Pinel’s book Philosophy of Madness (1793) changed the way that many physicians viewed mental illness. Pinel was appalled at the treatment of mental patients, many of whom were chained and abused. He demonstrated that violent behavior among patients who were chained often disappeared when their chains were removed. Pinel also called for a cessation of the blood-letting that was a common means of treatment in his day. Rogers, Carl (1902-1987). Renowned for his client-centered approach to psychotherapy, Rogers outlined his methods in his widely used book, Client-Centered Therapy: Its Current Practice, Implications, and Theory (1951). Rogers’s nondirective approach was unique and was based on his belief that therapists function most productively when they seek to understand and accept their patients’ subjective reality. His complex theory of personality is clearly articulated in Client-Centered Therapy. Rorschach, Hermann (1884-1922). As a small child, Rorschach loved an activity called Klecksography, a way of making pictures by using ink blots. This enthusiasm led to his life’s work. Undecided about whether to study medicine or art, he finally opted for medicine, but his continuing interest in inkblots caused him to devise a way to use them in exploring the human psyche. Rorschach began showing inkblots to schoolchildren, whose reactions he noted and analyzed. After receiving his medical degree in 1912, he tested three hundred patients and one hundred “normal” people, using inkblots to analyze their unconscious minds. In 1921, he published Psychodiagnostics: A Diagnostic Test Based on Perception, which fully described his unique diagnostic method. Rush, Benjamin (1745-1813). Sometimes referred to as the first psychiatrist in the United States, Rush published Diseases of the Mind in 1812. He complained that mentally ill people were treated criminally and urged that their shackles be removed. He said that such patients should never be put on display for the amusement of others. Despite his revolutionary views, Rush nevertheless accepted bloodletting as a viable treatment for mental disorders, as well as rotating patients to relieve their confused minds and strapping them in tranquilizing chairs in order to calm those who were agitated. 953
Psychology Basics Selye, Hans (1907-1982). Selye demonstrated how environmental stress and anxiety could lead to the release of hormones that, over time, could produce a number of the biochemical and physiological disorders common in industrial societies of the twentieth century. Selye’s theory greatly affected popular views of stress. In The Stress of Life (1978), he reduced the research on stress to terms the public could understand and appreciate. Simon, Théodore (1873-1961). In 1904, Simon, an intern in a French institution for mentally retarded children, worked with Alfred Binet to create tests that would quantify intelligence, differentiating intellectually normal children from those who were intellectually deficient. Together, Simon and Binet in 1905 produced the Binet-Simon Scale of Intelligence, which led to the development of a broad range of tests to measure people’s intelligence quotient (IQ). Skinner, B. F. (1904-1990). Skinner’s belief that behavior is controlled by environmental reinforcement mechanisms gave him reason to think that understanding such mechanisms can help to solve many of society’s problems. In his view, it is more pressing to understand the environment rather than the mind or the inner self. His method was to manipulate environmental factors and note the effect that such alterations had on behavior. His approach has been designated “descriptive behaviorism.” Spencer, Herbert (1820-1903). Spencer applied the concept of evolution to the human mind and to human societies. For him, everything in the universe begins as an undifferentiated whole. Evolution leads to differentiation so that systems become increasingly complex. After Charles Darwin’s On the Origin of Species (1859) appeared, Spencer shifted his emphasis from acquired characteristics to natural selection. He coined the term “survival of the fittest,” which is widely associated with Darwinian thought. Sullivan, Harry Stack (1892-1949). An American psychiatrist, Sullivan, along with his teacher William Alanson White (1870-1937), extended Freudian psychoanalysis to the treatment of patients with severe mental disorders, particularly schizophrenia. Sullivan argued that schizophrenics were curable, blaming cultural forces for the condition of many such patients. His writing, especially Schizophrenia as a Human Process (1962), greatly altered the views of many psychiatrists. Terman, Lewis M. (1877-1956). Working in the field of psychological testing and measurements, Terman abbreviated the term “intelligence quotient” to IQ. He modified William Stern’s method of measuring IQ by adding one element to it. Once mental age had been divided by chronological age, he multiplied the result by one hundred so that it could be expressed as a whole number rather than as one with a decimal point. Thorndike, Edward L. (1874-1949). A pioneer in the field of learning theory, Thorndike was also intrigued by and wrote in such fields as verbal behavior, transfer of training, the measurement of sociological events, educational methodology, and comparative psychology. Well known for his theories of the Law of Effect and the Law of Exercise, he subdivided the latter 954
Biographical List of Psychologists into the Law of Use and the Law of Disuse. The former stated that if an association led to a feeling of satisfaction, it would be strengthened, whereas if it led to an unsatisfying feeling, it would be weakened. He later repudiated these theories. In time, the functionalism that he espoused was absorbed into mainstream psychology. Titchener, Edward (1867-1927). British-born psychologist Titchener spent thirty-five years at Cornell University as director of its psychological laboratory, creating there the largest psychology doctoral program in the United States. Convinced that there was little value in applied psychology, Titchener dogmatically insisted that the field, in order to be truly scientific, must deal with pure knowledge. Despite his close relationship with John B. Watson, Titchener eschewed behaviorism and became the founder of the structuralist school of psychology, which opposed not only behaviorism but also such other schools of psychology as functionalism and faculty psychology. Watson, John B. (1878-1958). A major researcher in animal psychology, Watson was the founder of the behaviorist school of psychology. His academic career ended precipitously in 1920 when he was found to be having an adulterous affair with a research assistant. He began to write for the popular press and in 1921 joined the J. Walter Thompson Company, a leading advertising company, of which he became vice president in 1924, remaining there for the rest of his working life. Watson continued his interest and writing in psychology and had a significant effect upon the behaviorists who followed him. Wundt, Wilhelm (1832-1920). One of the most prolific writers in the field of psychology, Wundt held that psychology was a scientific field and that it had become an experimental science. Whereas the other sciences were based on what Wundt termed “mediate experiences,” psychology was based on “immediate experiences.” He sought to use experimental psychology to discover the basic components of thought and to understand how mental elements combine into complex mental experiences. His method was based largely on introspection, or self-observation and analysis. R. Baird Shuman
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Web Site Directory AAASP Online: Association for the Advancement of Applied Sport Psychology http://www.aaasponline.org Offers valuable background information that explains the nature of sport psychology, the growing variety and number of people who use it, the services provided by sport psychologists, and how to find a qualified sport psychology professional. Other features include a consultant finder, a list of AAASP publications, a section on how to become an AAASP certified consultant, and links to other sport psychology sites. All About Depression http://www.allaboutdepression.com This small but attractive and well-designed site is maintained by Prentiss Price, a Ph.D. in counseling psychology who works for a college counseling center. The site’s major sections are overview of depression, causes, diagnosis, treatment, medication, and resources (contact information or links for organizations). Each topic’s page has a table of contents along the left edge and a “professional recommendations” section highlighting the most important advice. American Academy of Child and Adolescent Psychiatry (AACAP) www.aacap.org This organization hopes its site will aid the treatment and understanding of children and youths with behavioral, mental, or developmental disorders. Particularly useful are the fact sheets for family members and other caregivers. The Facts for Families series of more than fifty texts includes discussions of alcohol, bed-wetting, divorce, guns, lying, pregnancy, talking about sex, and violent behavior. The site also provides a glossary of symptoms and mental illnesses that might affect teenagers, policy statements on topics such as juvenile death sentences and psychoactive medications for children and youth, and information for professionals. American Association of Suicidology (AAS) http://www.suicidology.org This site’s sections include a detailed outline for understanding and helping someone who is suicidal; an online bookstore, with resources grouped by topic and audience; recent suicide news; crisis centers or support groups searchable by state and city; guidance on obtaining AAS certification; and a resource page, listing suicide statistics, school guidelines, specifics on suicide among youth and the elderly, and more.
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Web Site Directory American Psychological Association (APA) http://www.apa.org This extensive site, from the world’s largest professional association for psychologists, offers a wide range of information for a variety of audiences. Though content-rich and detailed, the site is clearly organized and easy to navigate. The main page has sections providing recent news, classified ads, portals for psychologists, students, and the public, membership information, and more. Resources for the public include full text reports from APA’s news site, links to information pages on twelve topics (including aging, children, depression, mind-body health, parenting and family, women, and violence), and links to help pages. Also includes resources for psychologists. Association for the Study of Dreams http://www.asdreams.org/index.htm This international nonprofit organization’s site features selected articles from the association’s magazine, Dream Time, and its journal, Dreaming; educational pages, with answers to common questions about dreams and nightmares, and a science project file; and a classified list of dream-related and dream-sharing Web sites and e-mail lists. Birth Psychology http://www.birthpsychology.com This site is provided by the Association for Pre- and Perinatal Psychology and Health (APPAH). Its sections include life before birth (fetal senses, sound, prebirth communication, and prenatal memory and learning); birth and the origins of violence; the birth scene (obstetrics, circumcision, and more); healing of prenatal and perinatal trauma; abstracts and index for APPAH’s Journal of Prenatal and Perinatal Psychology and Health; a bibliography of books, videos, and journals; and a current list of practitioners and programs. C. G. Jung Page http://www.cgjungpage.org This full-featured site aids novice readers with an introduction to Jungian psychology in the form of a Jung Lexicon. The resources page includes links to the Web sites of institutes and societies offering Jungian training. There are also links to the bibliography of the Journal of Analytical Psychology; links to numerous full-text analytical psychology articles; and film commentaries, book reviews, and literary articles employing Jungian criticism. Center for the Study of Autism http://www.autism.org The center, located in Salem, Oregon, conducts research on autism therapies and provides information for parents and care providers. Sections include a detailed overview of autism; texts on subgroups and related disor957
Psychology Basics ders; about twenty topical issues, including auditory processing problems, self-injurious behavior, and how to determine whether a treatment has helped; interventions (more than thirty, including music therapy, the hug machine, and nutrition); the sibling center; interviews with autism experts; and a detailed page of autism links. Classics in the History of Psychology http://psychclassics.yorku.ca This site collects important public-domain scholarly texts from psychology and related fields. There are more than 150 articles and 25 books, as well as links to more than 200 related works on other sites. Some texts are accompanied by introductory essays written for the site. The texts can be accessed by author or by topic (including behaviorism, intelligence testing, psychoanalysis and psychotherapy, cognition, and women in psychology). Users can search the site by keyword. Community Psychology Net http://www.communitypsychology.net This site provides comprehensive information on community psychology. The introductory page defines the topic, distinguishing it from sociology, social work, and public health. The site’s organizing metaphor is the university campus. The library provides a classified grouping of links. The lecture hall has course syllabi and reading lists. The admissions office has links to forty universities offering graduate programs. The career planning center lists job ads. Consumer Psychology http://www.wansink.com/index.html This small but effective site has two sections, both related to consumerism and food. The food psychology section covers nine topics (including “Do larger packages increase usage?” and “Measuring ad effects on brand usage”). For each topic, the site provides a one-paragraph overview, a more detailed research brief, and usually a link to a PDF file for a journal article on the topic, written by the site editor. There are also lesson plans suitable for ages twelve to adult. Criminal Profiling Research http://www.criminalprofiling.ch This Swiss site focuses on presenting the results of scientific research. Besides a detailed, referenced introduction to the topic of criminal profiling, it offers brief accounts of how profiling is used in the United States and Europe, a case analysis page, bibliographies of books and journal articles, links to sites explaining how profiling is done, and a FAQ section which includes information on profiling as a career. 958
Web Site Directory depressedteens.com http://www.depressedteens.com/indexnf.html This site strives to help teenagers and their parents and teachers recognize and understand the symptoms of adolescent depression and ensure that depressed teenagers get help. An essential part of the site is information about, and a preview of, the twenty-six-minute video Day for Night: Recognizing Teenage Depression. Includes, among other areas, a fact sheet on adolescent depression. dotCOMSENSE http://helping.apa.org/dotcomsense This small site, based on a brochure produced by the American Psychological Association, guides Web users in protecting their privacy on bulletin boards, chat rooms, and Web sites (particularly on those dealing with mental health) that ask for personal information or use cookies. Also gives helpful guidelines for assessing the credibility and accuracy of sites providing mental health information. It lists other Web sites devoted to evaluation of online information. Eating Disorder Referral and Information Center (EDRIC) http://www.edreferral.com EDRIC provides information for friends and family members as well as treatment referrals for individuals with eating disorders. Sections include a search form for therapists or treatment centers, lists of job openings at treatment centers, treatment scholarships, and recommended books and Web sites. Also examines movement therapy, causes, assessment, treatment, consequences, body image, introductory information on specific disorders, and eating disorders among males, athletes, and pregnant women. ECT.org: Information About Electroconvulsive Therapy http://ECT.org This site aims to be the Web’s most comprehensive source of electroconvulsive therapy (ECT) information. Juli Lawrence, the site’s creator, had ECT in 1994 and hopes her site, which discusses all aspects of the topic, will help others considering ECT in making an informed decision. The site provides attractive, clearly arranged links (with annotations) to information on these topics: effects (memory loss and, possibly, brain damage); resources (studies, statistics, and official statements from organizations); news; selfhelp (alternatives to ECT); message boards and event calendars; and the Hall of Shame (“the very worst ECT practitioners and researchers”). Encyclopedia of Psychology http://www.psychology.org “Intended to facilitate browsing in any area of psychology,” this site pro959
Psychology Basics vides access to more than two thousand Web sites. Categories of topics include careers, environment behavior relationships (with forty-five subcategories and more than one thousand links), organizations, paradigms and theories, people and history, publications, and resources. All categories are divided into subtopics. The Web page for each subtopic includes links to texts and to Web sites. An annotation for each site (usually detailed and often noting the level of user for whom it is appropriate) is generally provided. Explorations in Learning and Instruction: The Theory into Practice Database http://tip.psychology.org Provides brief but detailed summaries of fifty major theories of human learning and instruction, all of which have extensive scientific support. The summaries include the name of the theory’s originator, an overview of the theory, its principles and application, an example, references for further study, and sometimes a video clip or Web site links. The theories include adult learning, andragogy, cognitive dissonance, Criterion Referenced Instruction, experiential learning, lateral thinking, multiple intelligences, operant conditioning, and more. Freud Net http://psychoanalysis.org The site of the New York Psychoanalytic Institute’s Abraham A. Brill Library. The library maintains what might be the world’s largest collection of information on psychoanalysis. Provides a helpful page of selected links about Sigmund Freud: museum, exhibition, and library sites; links to texts of Freud’s writings (with a warning that most of his works are still under copyright, so only the earlier, inferior translations are in the public domain); and writings about Freud. Great Ideas in Personality http://www.personalityresearch.org This sites deals with scientific research in personality psychology. It provides detailed information on personality theories, grouping them into twelve sections, including behaviorism, evolutionary psychology, attachment theory, basic emotions, personality disorders, interpersonal theory, and more. The page describing each theory includes a brief description, names of the theorists involved, references to published works, and links to additional Web sources. The site also features sections on personality in general, practical information for psychology students, links to personality journal sites, and links to personality courses sites for professors. Health Emotions Research Institute http://www.healthemotions.org This clear, attractive site of the University of Wisconsin’s Health Emo960
Web Site Directory tions Research Institute provides information on studies of positive emotions, their influence on the body, and the implications of this research for preventing disease, affecting definitions of health, and fostering resilience. The site explains the institute’s mission and its current projects—including biological consequences of meditation, biological substrates of resilience, and biological bases of positive affective styles. The Humor Project, Inc. http://www.humorproject.com The Humor Project, founded in 1977, focuses on the positive power of humor by training individuals and organizations (through its lectures, workshops, conferences, and publications) to use humor and creativity. The site’s playful spirit is immediately apparent in the visitor counter, with its constantly whirling numbers. Includes descriptions of program offerings, the annual workshop, and the international humor conference; an online bookstore; a daily article, interview, and reader’s “di-jest”; a spotlight column; and “Today’s Laffirmation.” Internet Mental Health http://www.mentalhealth.com This award-winning site, established in 1995, is intended for both professionals and the public. It functions as an encyclopedia for more than fifty common mental disorders. For each disorder, the site gives both the American and European descriptions, treatment information, research information, booklets prepared by professional organizations and support groups, and magazine articles. The site has links to online diagnostic programs for personality, anxiety, mood, eating, and substance abuse disorders as well as for schizophrenia and attention-deficit hyperactivity disorder (ADHD). It also provides encyclopedic information on common psychiatric medications, a mental health magazine, and links to popular mental health sites. Memory and Reality: Website of the False Memory Syndrome Foundation http://fmsfonline.org This foundation works to prevent False Memory Syndrome, investigate reasons for its spread, and help families affected by it. Includes a detailed FAQ section; the current newsletter; a searchable archive of newsletter issues back to 1992; a document explaining hypnosis, hypnotic susceptibility, and their role in creating false memories; information about USA v. Peterson, Seward, Mueck, Keraga, and Davis, the first criminal trial to bring charges against therapists regarding false memories; a detailed page dealing with retractors; and discussions of scientific studies.
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Psychology Basics MHN: Mental Help Net http://mentalhelp.net Developed in 1994, this award-winning site strives “to catalog, review, and make available to everyone all online mental health resources as they become available.” Groups the sites into subject categories, which are divided into two lists: issues and disorders, and information. For each topic, the page might include basic information (summarized from DSM-IV); links categorized by type; and news, book reviews, self-help groups, and resources (such as treatment facilities, therapists, professional conferences, and clinical job openings). The site also contains a daily mental health news section and a professional area. NAMI: The Nation’s Voice on Mental Illness http://www.nami.org This site represents the National Alliance for the Mentally Ill (NAMI), a support and advocacy organization for friends and family of people with severe mental illnesses—and for the individuals themselves. It contains a search form for locating NAMI affiliate organizations; information about the NAMI helpline; fact sheets on specific illnesses, treatments, and medications; purchase information for NAMI’s books, videos, brochures, and newsmagazines; public policy information and statements; and a links to NAMI research reports. National Association for Self-Esteem (NASE) www.self-esteem-nase.org This association works to integrate self-esteem into American society and thus enhance the personal happiness of every individual. The site provides a review of research on self-esteem, relating it to problems such as substance abuse, violence, crime, teenage pregnancy, and suicide. There are also articles from NASE’s newsletter, a categorized reading list, a list of published self-esteem educational programs, and a description of NASE’s Parent Link Network for raising socially responsible children. Positive Psychology http://psych.upenn.edu/seligman/pospsy.htm This content-rich site is maintained by Martin Seligman, past president of the American Psychological Association and a researcher on positive psychology, optimism, and learned helplessness. The site offers several articles, columns, and book chapters by Seligman that define and explore the parameters of positive psychology. There are also professional summaries, a concept paper for a network of positive psychology scholars, an e-mail directory of researchers, questionnaires (some downloadable) that researchers can use, and a grouping of essays, units, syllabi, and reading lists for teaching positive psychology. 962
Web Site Directory Procrastination Research Group (PRG) http://www.carleton.ca/~tpychyl This clear, attractive site is provided by a university learning group at Carleton University’s psychology department (Ottawa, Canada) and collects research and information on procrastination worldwide. The Research Resources section includes a featured journal article, summaries of student papers (undergraduate through doctoral levels) written by the PRG, and a comprehensive procrastination bibliography. The site also has a useful selfhelp page. The latter includes a brief outline of signs of procrastination, suggested strategies for reducing it, a list of recommended readings, and a concise grouping of links to other sites. Psych Central: Dr. Grohol’s Mental Health Page http://psychcentral.com/grohol.htm This site provides links to more than 1,700 Web sites that have been reviewed by the author. Its main access point is the resources section, which consists of thirty categories (some as specific as “Bipolar” and “Attack on America,” others as broad as “Professional Psychology Resources”). Each category is further subdivided into topics or formats (such as books or support groups). The page for each of the 1,700 Web sites gives a brief but usually detailed description of the site, the date last updated, the number of hits it has received from Psych Central, and its rating by Psych Central users. Besides the Web site links, the site provides concise descriptions of symptoms and treatments for mental disorders, “Have I Got?” quizzes for several disorders, live chat, book reviews, essays, and psychology and mental health news. Psychology http://psychology.about.com/mbody.htm This content-rich site’s main organization is its thirty “essentials” categories (including adult development, cognitive psychology, dreams, love, industrial/organizational psychology, sport psychology, and more). Each topic has additional sections. Another access method, by subject, includes the essentials but adds about seventy additional categories. Psychology Information Online http://www.psychologyinfo.com Provides a wide range of information (aimed at consumers, college students, and psychologists) on the practice of psychology. The information falls into these categories: psychotherapy and counseling, diagnosis and disorders, psychological testing and evaluation, other forms of treatment, behavior therapy, forensic psychiatry, and psychological consultations for legal situations. There are separate access points for the three categories of users. In addition, users can consult the navigation guide, the list of links, or the alphabetical subject index for each category. 963
Psychology Basics Psychology Virtual Library http://www.clas.ufl.edu/users/gthursby/psi This clear, attractive site is part of the World Wide Web Virtual Library, which evaluates each site it includes. The seventeen categories include academic psychology, books, journals, university psychology departments, clinical social work, directories of psychology sites, mental health, history of psychology, and more. Each category has its own subsections. The Stress Virtual Library includes, for example, links for books and publishers, e-mail lists and news groups, mental health resources, professional organizations, stress management, and commercial products. The links on each page are annotated. RxList: The Internet drug index http://www.rxlist.com This site, founded in 1995, is maintained by Neil Sandow, a licensed, experienced California pharmacist. The site’s primary content includes FAQ sections on more than 4,500 popular drugs, 1,000 professional monographs, and 1,500 patient-oriented monographs. Visitors can search for drugs by brand name, generic name, ID Imprint code, or NDC code. Each FAQ section explains the purpose of the drug, who should not use it, how to take it, potential problems, and what to do in case of missed doses or overdoses. Other features include a search page for alternatives (such as homeopathies or herbal remedies) and a list of the top two hundred prescriptions filled in each of the last six years. schizophrenia.com http://www.schizophrenia.com This site was established in 1996 by Brian Chiko in memory of his brother, a schizophrenia patient who committed suicide. Its purpose is to provide, free of charge, accurate information for those who have the disease or whose lives have been affected by it. The site’s introduction to schizophrenia is clear and well organized. Other topics covered include causes, diagnosis, medication, managing depression, preventing suicide, getting financial assistance, and assisted or involuntary treatment. The Shyness Home Page http://www.shyness.com This small site is sponsored by the Shyness Institute in Palo Alto, California. It provides information on upcoming shyness workshops and an e-mail link enabling visitors to ask the institute questions. Also provides links to, or contact information for, a wide range of other shyness resources: newsgroups; shyness clinics; brochures and articles; organizations offering classes, workshops, and coaching; reading lists; and research papers.
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Web Site Directory Sleepnet.com http://www.sleepnet.com Provides information (not medical advice) to improve sleep and links to other noncommercial sleep information sites. Sections include information on a wide range of sleep disorders and sleep-related topics (sleep apnea, insomnia, narcolepsy, restless legs, shift work, and circadian rhythms), a glossary, a categorized list of links to news articles, public sleep forums, and an email newsletter. Social Phobia/Social Anxiety Association Home Page http://www.socialphobia.org The site explains that social phobia, a frequently misdiagnosed condition, is the world’s third largest mental health problem. It provides definitions and background information, a weekly mailing list, a link to the Social Anxiety Institute’s page (offering a variety of therapy programs), and other social phobia links, including personal testimonies and reading lists. Social Science Information Gateway: Psychology http://sosig.esrc.bris.ac.uk/psychology Lists and describes high-quality Web sites and texts, arranged into eighteen subcategories. Users can search by keyword or browse within the subcategories—including mental health, general psychology, consumer psychology, animal psychology, psychological disorders, developmental psychology, sport psychology, and more. Each subcategory contains further groupings by subject and by type of site. The latter might include books, bibliographies, journals, educational materials, e-mail lists and discussion groups, organizations, research projects, and resource guides. The page describing each Web site gives a descriptive summary, keywords, and the site administrator’s e-mail address. Society for Light Treatment and Biological Rhythms http://www.sltbr.org This society supports those with research or clinical interests in biological rhythm disorders—including those caused by seasonal affective disorder, sleep disorders, jet lag, shift work, and premenstrual syndrome—and therapies for those conditions. The information for the general public includes a detailed “Questions and Answers About Seasonal Affective Disorder and Light Therapy” page as well as links to other Web articles and sites about seasonal affective disorder, sleep disorders, melatonin, and circadian rhythms. Stress Inc.—The Commerce of Coping http://stress.jrn.columbia.edu/site/index.html This creative, attractive site depicts ways in which society has moved from the 1950’s, when stress was primarily an engineering term, to the present day. Sections of the site (representing the commerce of stress) include pub965
Psychology Basics lishing, advertising, fitness (focusing on yoga), toys, consulting, ergonomics, and yoga. In addition, the site provides a brief history of stress, a stress quiz, information on fringe stress-relief techniques, and tension-breakers. Traffic Psychology at the University of Hawaii http://www.soc.hawaii.edu/leonj/leonj/leonpsy/traffic/tpintro.html This site, maintained by Dr. Leon James, a psychology professor at the University of Hawaii, has extensive texts and references on the origins and theories of traffic psychology. James provides an inventory of driving behavior and the psychological aspects of traffic flow, a comprehensive bibliography on driving psychology, a self-test for individuals to determine how they would operate within the nine zones of the driving personality, and a twentyyear overview of what James has learned from teaching his traffic psychology course. The Whole Brain Atlas http://www.med.harvard.edu/AANLIB Sections of this award-winning site cover the normal brain (with images of normal aging), cerebrovascular disease, brain tumors, degenerative disorders (such as Alzheimer’s and Huntington’s diseases), and inflammatory or infectious diseases (such as multiple sclerosis, AIDS dementia, Lyme disease, and herpes). WholeFamily http://www.wholefamily.com/index.html This site offers problem-solving texts (written by credentialed professionals) about situations encountered within family relationships. The site’s main portals are its centers for marriage, parents, seniors, and teens. “What’s New” adds sections on additional topics. There are also questions and answers. The site provides chat rooms, topical discussion-forums, “real life dramas,” the editor’s column, a family soap opera, and a site newsletter. Glenn Ellen Starr Stilling
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Indexes
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Categorized List of Entries Abnormality Models Abnormality: Psychological Models Madness: Historical Concepts Psychopathology S-R Theory: Neal E. Miller and John Dollard Aging Aging: Cognitive Changes Alzheimer’s Disease Death and Dying Dementia Depression Nervous System Suicide Anxiety Disorders Anxiety Disorders Drug Therapies Motivation Obsessive-Compulsive Disorder Phobias Psychosurgery Self Behavioral and Cognitive Models Abnormality: Psychological Models Aging: Cognitive Changes Anxiety Disorders Behaviorism Cognitive Social Learning: Walter Mischel Development Motivation Personal Constructs: George A. Kelly Radical Behaviorism: B. F. Skinner S-R Theory: Neal E. Miller and John Dollard Social Learning: Albert Bandura
Childhood and Adolescence Adolescence: Cognitive Skills Adolescence: Sexuality Aggression Attachment and Bonding in Infancy and Childhood Attention-Deficit Hyperactivity Disorder (ADHD) Autism Development Developmental Disabilities Domestic Violence Eating Disorders Gender-Identity Formation Identity Crises Mental Retardation Moral Development Phobias Speech Disorders Substance Use Disorders Women’s Psychology: Carol Gilligan Classic Analytic Themes and Issues Analytic Psychology: Jacques Lacan Death and Dying Dreams Psychoanalysis Psychoanalytic Psychology and Personality: Sigmund Freud Psychology: Definition Women’s Psychology: Carol Gilligan Women’s Psychology: Karen Horney Women’s Psychology: Sigmund Freud Cognition Adolescence: Cognitive Skills Aging: Cognitive Changes 969
Psychology Basics Alzheimer’s Disease Cognitive Development: Jean Piaget Cognitive Therapy Consciousness Consciousness: Altered States Dementia Developmental Disabilities Dreams Gender-Identity Formation Giftedness Language Logic and Reasoning Memory Neuropsychology Psychosomatic Disorders Thought: Study and Measurement Conditioning Behaviorism Conditioning Habituation and Sensitization Learning Memory: Animal Research Motivation Pavlovian Conditioning Radical Behaviorism: B. F. Skinner Consciousness Consciousness Consciousness: Altered States Dreams Self Sleep Depression Alzheimer’s Disease Bipolar Disorder Clinical Depression Death and Dying Dementia Depression Drug Therapies Mood Disorders Psychosurgery Suicide 970
Developmental Psychology Adolescence: Cognitive Skills Adolescence: Sexuality Aging: Cognitive Changes Attachment and Bonding in Infancy and Childhood Cognitive Development: Jean Piaget Death and Dying Development Developmental Disabilities Gender-Identity Formation Giftedness Helping Identity Crises Mental Retardation Moral Development Psychoanalysis Self Diagnosis Diagnosis Madness: Historical Concepts Psychopathology Survey Research: Questionnaires and Interviews Emotions Affiliation and Friendship Aggression Bipolar Disorder Clinical Depression Death and Dying Depression Emotions Endocrine System Hormones and Behavior Mood Disorders Motivation Support Groups Endocrine System Emotions Endocrine System Hormones and Behavior
Categorized List of Entries Imprinting Nervous System Psychosurgery Thirst
Language Language Nervous System Speech Disorders
Experimentation Animal Experimentation Behaviorism Experimentation: Independent, Dependent, and Control Variables Survey Research: Questionnaires and Interviews
Learning Aging: Cognitive Changes Behaviorism Brain Structure Conditioning Habituation and Sensitization Imprinting Learned Helplessness Learning Learning Disorders Memory Memory: Animal Research Motivation Nervous System Pavlovian Conditioning Race and Intelligence Senses Social Learning: Albert Bandura
Group Processes Crowd Behavior Groups Helping Industrial/Organizational Psychology Support Groups Humanistic-phenomenological Models Abnormality: Psychological Models Analytic Psychology: Jacques Lacan Humanistic Trait Models: Gordon Allport Personology: Henry A. Murray Psychoanalysis Social Psychological Models: Erich Fromm Intelligence Aging: Cognitive Changes Creativity and Intelligence Giftedness Intelligence Intelligence Tests Memory Mental Retardation Race and Intelligence
Memory Aging: Cognitive Changes Alzheimer’s Disease Dementia Imprinting Memory Memory: Animal Research Motivation Nervous System Senses Methodology Animal Experimentation Behaviorism Case-Study Methodologies Diagnosis Experimentation: Independent, Dependent, and Control Variables Motivation Psychoanalysis 971
Psychology Basics Psychology: Definition Psychosurgery Support Groups Survey Research: Questionnaires and Interviews Motivation Affiliation and Friendship Crowd Behavior Drives Eating Disorders Emotions Field Theory: Kurt Lewin Helping Homosexuality Hunger Industrial/Organizational Psychology Instinct Theory Learning Motivation Psychoanalysis Substance Use Disorders Thirst Women’s Psychology: Carol Gilligan Nervous System Behaviorism Brain Structure Drug Therapies Memory: Animal Research Nervous System Neuropsychology Parkinson’s Disease Reflexes Substance Use Disorders Organic Disorders Alzheimer’s Disease Death and Dying Developmental Disabilities Drug Therapies Mental Retardation Nervous System 972
Neuropsychology Parkinson’s Disease Psychopathology Psychosomatic Disorders Schizophrenia: Background, Types, and Symptoms Schizophrenia: Theoretical Explanations Speech Disorders Origin and Definition of Psychology Behaviorism Cognitive Psychology Madness: Historical Concepts Neuropsychology Psychoanalytic Psychology Psychology: Definition Psychology: Fields of Specialization Structuralism and Functionalism Personality Aggression Analytic Psychology: Jacques Lacan Analytical Psychology: Carl Jung Cognitive Social Learning: Walter Mischel Ego Psychology: Erik Erikson Field Theory: Kurt Lewin Helping Humanistic Trait Models: Gordon Allport Individual Psychology: Alfred Adler Motivation Multiple Personality Personal Constructs: George A. Kelly Personality Disorders Personality: Psychophysiological Measures Personality Theory Personology: Henry A. Murray Psychoanalysis Psychoanalytic Psychology and Personality: Sigmund Freud
Categorized List of Entries Psychopathology Radical Behaviorism: B. F. Skinner Self Social Learning: Albert Bandura Social Psychological Models: Erich Fromm Social Psychological Models: Karen Horney Women’s Psychology: Carol Gilligan Women’s Psychology: Karen Horney Women’s Psychology: Sigmund Freud Psychobiology Aggression Aging: Cognitive Changes Brain Structure Drug Therapies Emotions Endocrine System Hormones and Behavior Hunger Imprinting Learning Memory: Animal Research Nervous System Psychosurgery Race and Intelligence Reflexes Senses Substance Use Disorders Thirst Psychodynamic and Neoanalytic Models Analytic Psychology: Jacques Lacan Analytical Psychology: Carl Jung Anxiety Disorders Individual Psychology: Alfred Adler Psychoanalysis Psychoanalytic Psychology Psychoanalytic Psychology and Personality: Sigmund Freud
Social Psychological Models: Erich Fromm Social Psychological Models: Karen Horney Psychopathology Abnormality: Psychological Models Aggression Aging: Cognitive Changes Alzheimer’s Disease Amnesia and Fugue Anxiety Disorders Attention-Deficit Hyperactivity Disorder (ADHD) Autism Bipolar Disorder Clinical Depression Dementia Depression Domestic Violence Drug Therapies Eating Disorders Madness: Historical Concepts Mood Disorders Multiple Personality Obsessive-Compulsive Disorder Parkinson’s Disease Personality Disorders Phobias Psychopathology Psychosomatic Disorders Schizophrenia: Background, Types, and Symptoms Schizophrenia: Theoretical Explanations Sexual Variants and Paraphilias Substance Use Disorders Suicide Psychotherapy Abnormality: Psychological Models Analytical Psychotherapy Cognitive Behavior Therapy Psychoanalysis 973
Psychology Basics Psychotherapy: Goals and Techniques Support Groups Sensation and Perception Aging: Cognitive Changes Hormones and Behavior Nervous System Sensation and Perception Senses Sexuality Adolescence: Sexuality Drug Therapies Homosexuality Psychoanalytic Psychology and Personality: Sigmund Freud Sexual Variants and Paraphilias Social Psychology Affiliation and Friendship Aggression Aging: Cognitive Changes Alzheimer’s Disease Attraction Theories Crowd Behavior Dementia Domestic Violence Field Theory: Kurt Lewin Groups Helping Industrial/Organizational Psychology Moral Development Motivation Self Self-Esteem Support Groups Women’s Psychology: Carol Gilligan
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Stress Aggression Death and Dying Drug Therapies Learned Helplessness Psychosomatic Disorders Stress Stress: Behavioral and Psychological Responses Stress: Physiological Responses Stress-Related Diseases Substance Use Disorders Support Groups Thought Aging: Cognitive Changes Alzheimer’s Disease Behaviorism Brain Structure Cognitive Psychology Consciousness Dementia Dreams Language Logic and Reasoning Nervous System Psychoanalysis Structuralism and Functionalism Thought: Study and Measurement Treatments Analytical Psychotherapy Cognitive Behavior Therapy Cognitive Therapy Drug Therapies Psychoanalysis Psychosurgery Psychotherapy: Goals and Techniques Support Groups
Index AA. See Alcoholics Anonymous (AA) Ability tracking, 17 Abnormal behavior, 674 Abnormality; behavioral models, 9; biological models, 5; cognitive models, 10; diathesis-stress model, 12; humanistic models, 9; psychoanalytic models, 7; psychological models, 5-13; sexual variations and, 776; social-learning models, 9; sociocultural models, 11 Absolute threshold, 908 Abstract thinking; dementia and, 242; language and, 471 Abuse; amnesia and, 62; domestic, 277 Acceptance, death and, 238 Accommodation, 908 Accreditation Council of Psychoanalytic Education, 639 Acetylcholine, 568, 908 Achievement, giftedness and, 356 Achievement motivation, 908 Achievement need, 626 Achievement status, 418 Achievement tests, 671 Acquisition, 908; conditioning and, 591 Acrophobia, 630 Act psychology, 663 Action potential, 908 Activation-synthesis theory of dreams, 287 Activation theory of motivation, 555 Active imagination, 81 Activities of daily living (ADLs), 242, 265 Actor-observer bias, 908 Actualizing tendency, 908 Adaptation, 908; intelligence and, 450; sensory, 761; social psychology and, 794 Adaptive skills, mental retardation and, 532 Adaptive theory of sleep, 783
ADD. See Attention-deficit hyperactivity disorder (ADHD) Addenbrooke’s Cognitive Examination (ACE), 55 Addiction, 219, 908; support groups and, 866 Addictive brain, 855 Addictive personality, 855 ADHD. See Attention-deficit hyperactivity disorder (ADHD) Adler, Alfred, 649, 946; Horney, Karen, and, 804; individual psychology, 430437; motivation and, 555 ADLs. See Activities of daily living (ADLs) Administration on Developmental Disabilities, 265 Adolescence, 908; cognitive skills, 1421; domestic violence and, 280; growth spurts and, 23; identity crises and, 416; psychosocial development, 319; schizophrenia and, 736; selfesteem and, 758; sexuality, 22-29 Adrenal glands, 908 Adulthood; definitions, 22; personality and, 618 Advertising; conditioning and, 203; perception and, 761 Affect, 732, 908 Affective disorders, 908. See also Mood disorders Affective states, 664 Afferent, 908 Affiliation, friendship and, 30-35 Affiliation motive, 909 Age; dreams and, 288; intelligence testing and, 458; suicide and, 858 Aggression, 36-41, 909; attentiondeficit hyperactivity disorder and, 107; aversive control and, 488; instincts and, 446 Aging; cognitive changes, 42-50; hormones and, 398; individual psychology and, 433 Agnosia, 51 975
Psychology Basics Agoraphobia, 630, 909; panic attacks and, 96 Aiken, Lewis, 460 Ainsworth, Mary, 100 Air rage, 39 Alarm reaction, 372 Albert, Robert, 225 Alcohol abuse; aggression and, 38; domestic violence and, 280; depression and, 247; suicide and, 247, 860 Alcoholics Anonymous (AA), 866 Aldwin, Carolyn, 821 Alexithymia, 821 Alienists, 508 Allele, 909 Allport, Gordon, 946; humanistic trait models, 402-407; prejudice, 433; self, 748 Alpha press, 625 Altered states of consciousness, 212 Alternate personalities, 560 Altruism, 909 Altruistic suicide, 858 Alzheimer, Alois, 52 Alzheimer’s Association, 52 Alzheimer’s disease, 46, 48, 51-58, 181, 243, 909; amyloid-beta protein and, 529; animal experimentation and, 529; neuropsychology and, 573 Alzheimer’s Disease Prevention Initiative, 57 Ambiguity, helping and, 382 American Association on Mental Retardation, 260 American Institute of Psychoanalysis, 804 American Psychoanalytic Association (APsA), 643 American Speech-Language-Hearing Association, 811 Americans with Disabilities Act (ADA) of 1990, 268 Aminoketones, 541 Amnesia, 59-64, 528 Amok, 12 Amphetamine psychosis, 742 Amplification, dreams and, 81 Amplitude, 909 976
Amygdala, 145 Anal stage, 315, 657, 901, 909 Analgesia, 909 Analogies, 226 Analytic language acquisition styles, 467 Analytic psychology; Lacan, Jacques, 65-71 Analytical psychology, 648, 909; Jung, Carl, 72-77 Analytical psychotherapy, 78-83 Anastasi, Anne, 451 Anderson, Lynn, 370 Androgens, 909 Androgyny, 389, 909 Androgyny theory, 889 Angell, James Rowland, 663, 848 Anger, 40; death and, 238; depression and, 163 Anima archetype, 74 Animal experimentation, 84-91, 333, 663; behaviorism and, 129; learning and, 483; memory and, 524; neuropsychology and, 572; phobias and, 636 Animal Welfare Act, 89 Animus archetype, 74 Anomic suicide, 858 Anonymous questionnaires, 870 Anorexia nervosa, 12, 306, 909; hunger and, 411; types, 309 Antecedents, 131 Anterograde amnesia, 529, 909 Antianxiety drugs, 303 Antidepressants, 159, 249, 301, 541, 581, 909 Antipsychotic drugs, 304, 511; schizophrenia and, 735 Antisocial personality disorder, 605, 909 Anxiety, 7, 698, 726, 813, 909; amnesia and, 59; attention-deficit hyperactivity disorder and, 107; bulimia nervosa and, 310; compulsions and, 578; conditioning and, 592; consciousness and, 217; death and, 237; fugue and, 59; psychoanalysis and, 639; psychosurgery and, 693; sensitivity,
Index 613; social psychology and, 794; stress and, 819 Anxiety disorders, 92-98, 304; cognitive therapy and, 196; personality and, 612; phobias, 630 Anxiety management training, 170 Anxiety Sensitivity Index (ASI), 613 Anxiolytics, 303 Anzieu, Marguerite, 69 Apgar test, 261 Aphasia, 51, 470, 910; receptive, 904 Aplysia, 374, 491, 522, 527 Apperception, 844 Appetite, hunger versus, 411 Applied behavior analysis, 125, 133, 208 Applied research, 910 Approach-approach conflict, 727 Approach-avoidance conflict, 727 Apraxia, 51 Aptitude, 910 Aptitudes Research Project (ARP), 671 Arachnophobia, 630 Arbitrary inference, 196, 249 Arc-USA, 260 Archetypes, 73, 649, 910; self as, 747 Archival data, 910 Aristotle, 214, 287, 330, 445 Arousal; emotional, 325; personality disorders and, 607; phobias and, 631; schizophrenia and, 741 Arousal cost-reward model of helping, 379 Art, sensation/perception and, 765 Artemidorus Daldianus, 285 Articulation disorders, 807 Artificial intelligence, 182, 910; reasoning and, 505 Artistic ability, intelligence quotient (IQ) and, 356 Aserinsky, Eugene, 785 Assessment, 271, 274; giftedness, 359; personality, 610 Assimilation, 910 Associated features, 272 Association, conditioning and, 589 Association for Behavior Analysis, 712 Association for Death Education and Counseling, 238
Associationism, 517 Associative learning, 200 Atkinson, John, 626 Atmosphere hypothesis of reasoning, 502 Attachment, 99-105, 910 Attention, 179, 910; aggression and, 37; selective, 762 Attention-deficit hyperactivity disorder (ADHD), 106-112, 303 Attitudes, 910; personality and, 602 Attraction; affiliation and, 31; theories, 113-120 Attribution, 755, 910 Attributional biases, 910 Attributional style questionnaire, 478 Auditory Integration Training (AIT), 124 Auerbach, Stephen, 816, 821, 824 Austin, George A., 504 Authoritarian personality, 795 Autism, 121-127 Automatic thoughts, 194 Automaton conformist personality, 796 Autonomic nervous system, 567, 721, 910 Autonomy, 317 Availability heuristic, 183, 500, 910 Aversion, 777 Aversion therapy, 910 Aversive control, 488 Avoidance, 206; anxiety and, 93; phobias and, 630 Avoidance-avoidance conflict, 727 Avoidant mother, 103 Avoidant personality disorder, 605 Axon, 910 Back, Kurt, 33 Baddeley, Alan, 185, 516 Bahrick, H. P., 44 Bailey, Kent, 822 Balance, 79 Baldwin, James Mark, 66 Baltes, Paul, 48 Banaji, M. R., 44 Bandura, Albert, 171, 618, 636, 702, 946; development, 256; personality,
977
Psychology Basics 610; self, 749; social learning, 787793 Barbiturates, 303 Bard, Phillip, 840 Bargaining, death and, 238 Bartlett, Frederic C., 504, 518 Basal ganglia, 145 Basic anxiety, 803 Basic trust, 317 Bates, Elizabeth, 474 Bateson, Gregory, 739 Battered woman syndrome, 279 Baumeister, Roy, 750 Bebbington, Paul, 157 Beck, Aaron T., 10, 158, 166, 194, 249, 326, 436, 636, 702, 861, 946 Beck Depression Inventory (BDI), 159, 910 Becker, Ernest, 237 Bed-wetting, 784 Behavior; abuse, 277; cognition and, 165; constructs and, 597; depression and, 157; development and, 254; drives and, 293; emotions and, 325; endocrine system and, 331, 394; gender and, 349; groups and, 368, 864; head injuries and, 691; homosexuality and, 387; imprinting and, 423; individual psychology and, 433; instincts and, 444; language and, 471; learned helplessness and, 478; learning and, 483; moral development and, 546; needs and, 625; neuropsychology and, 571; obsessive-compulsive disorder and, 577; personality and, 602, 610, 618; psychoanalysis and, 639-640; reflexes and, 719; schizophrenia and, 734; sexual, 774; social learning theory and, 787; stuttering and, 809; substance abuse disorders, 851 Behavior disorders, 674; attentiondeficit hyperactivity disorder, 106 Behavior modification; habituation and sensitization, 372; hunger and, 413 Behavior patterns, cognitive social learning and, 188 978
Behavior therapy, 680 Behavioral neuroscience, 208 Behavioral therapy, 699, 910; depression and, 159 Behaviorism, 128-134, 330, 346, 663, 911; cognitive behavior therapy and, 170; instincts and, 445; motivation and, 553; personality and, 610; S-R theory and, 729 Behaviorist theories of development, 256 Belenky, Mary Field, 751 Beliefs, reasoning and, 502 Bem, Sandra, 351 Benson, Herbert, 220, 840 Benzodiazepines, 304 Bereavement, 236 Berger, Hans, 785 Berkowitz, Leonard, 383, 946 Bernard, Claude, 410 Berthold, Arnold Adolphe, 330 Bessel, Friedrich, 884 Beta press, 625 Bettelheim, Bruno, 816 Between-subject designs, 911 Bias; gender differences and, 891; intelligence quotient tests and, 706; questionnaire design and, 870; reasoning and, 502 Big Five system of personality, 602 Bilateral prefrontal leucotomy, 691 Binet, Alfred, 14, 227, 450, 457, 547, 946 Binet-Simon scale, 227, 450, 457 Binge eating, 306, 408 Bingham, Walter Van Dyke, 439 Bini, Lucio, 691 Biochemical imbalances, 139 Bioengineering, 769 Biofeedback, 221, 831, 911; training, 840 Biogenic approach to psychopathology, 677 Biopsychology, animal experimentation and, 84 Biopsychosocial approach, 678, 684 Bipolar disorder, 135-140, 302, 911; depression and, 248 Birth control, 26
Index Birth order; giftedness and, 358; personality and, 431 Blackwell, Arshavir, 474 Blessed Information-MemoryConcentration Test, 245 Bleuler, Eugen, 734, 743 Blocking, 203 Blood pressure, emotions and, 325 Bloom, Benjamin, 357 Boas, Franz, 709 Body image; eating disorders and, 306; hunger and, 411 Body weight, hunger and, 409 Bogen, Joe, 148 Bon, Gustave le. See Le Bon, Gustave Bonding, 99-105 Bonet, Theophile, 542 Boole, George, 504 Borderline personality disorder, 604 Boring, Edwin, 450 Boroditsky, Lera, 473 Bosard, James H. S., 366 Bourgondien, Mary Van. See Van Bourgondien, Mary Bowlby, John, 99 Brady, Joseph V., 815 Brain; adolescence and, 18; aggression and, 37; cognition and, 42; dementia and, 242; drugs and, 300; euphoria and, 853; imaging, 210; language and, 470; learning and, 484; memory and, 518; mind and, 131; nervous system and, 565; neuropsychology and, 571; personality and, 624; psychopathology and, 678; schizophrenia and, 740; self and, 750; senses and, 767; stress and, 828 Brain chemistry, 6 Brain injuries, 181 Brain lesions, memory experimentation and, 526 Brain stem, 567, 911 Brain structure, 141-150; homosexuality and, 387 Brain waves, consciousness and, 211 Brainwashing, 278 Braswell, Lauren, 109 Breland, Keller, 207, 446
Breland, Marian, 207, 446 Brentano, Franz, 663, 946 Breuer, Josef, 650, 701, 905, 947 Brickman, Philip, 380 Bright, Timothy, 252 Broca, Paul, 147, 574 Bronfenbrenner, Urie, 44, 704 Brooks, James, 159 Brooks-Gunn, Jeanne, 750 Browne, Angela, 278 Bruner, Jerome, 504, 752 Bulimia nervosa, 12, 306 Bundey, Sarah, 533 Burt, Cyril, 453, 705 Burton, Robert, 248 Buss, Arnold, 327, 749 Buys, Christian, 369 By-product model of homosexuality, 388 Byrne, Donn, 113 Bystander effect, 911 Bystander intervention, 234 Caillois, Roger, 71 Cameron, Judy, 484, 490 Canady, Herman, 709 Cancer, personality and, 685 Cannon, Walter B., 816, 828, 840, 876, 947 Cardinal disposition, 403 Cardinal trait, 911 Cardon, Lon R., 495 Care, ethic of, 886 Carlson, Michael, 380 Carr, Harvey A., 663, 848 Case-study methodologies, 151-156, 650, 911 Castration, 777 Castration anxiety, 318, 354, 901 Catatonic schizophrenia, 734 Catecholamines, 911 Categorical speech perception, 469 Categorization, 174 Catharsis, 911 Caton, Richard, 785 Cattell, James McKeen, 227, 457, 849, 947 Cattell, Raymond B., 405, 459 Cause-effect relationships, 339 979
Psychology Basics Ceci, S. J., 44 Cellular dehydration thirst, 877 Center for Group Dynamics, 345 Central dispositions, 403 Central motive state, 297 Central nervous system, 141, 567, 911; stress and, 828; thirst and, 877 Central traits, 911 Centration, 173 Cerebellum, 143, 567, 911 Cerebral commissures, 911 Cerebral cortex, 142, 911 Cerebral hemispheres, 911 Cerebrospinal fluid, 912 Cerebrovascular risk factors for dementia, 246 Cerebrum, 567, 912 Cerletti, Ugo, 691 Chaining, 912 Chan, Walter, 399 Change, personality and, 618 Charcot, Jean-Martin, 7 Charlin, Ventura, 380 Charpentier, Paul, 299 Chicago school of functionalism, 848 Child abuse; multiple personality disorder and, 559; sex offenders and, 777 Child rearing, imprinting and, 427 Childhood, 99-105; attention-deficit hyperactivity disorder, 106; personality and, 602, 618, 656; selfesteem and, 758 Childhood schizophrenia, 736 Children; homosexuality and, 388; learned helplessness and, 479 Children’s Depression Inventory (CDI), 161, 912 Chodorow, Nancy, 751, 887 Chomsky, Noam, 185, 468 Chromosomal abnormalities, mental retardation and, 533 Chromosomes, 912 Circadian rhythms, 138, 218, 912; hormones and, 395; sleep and, 780 Clang associations, 734 Clark, Margaret, 383 Clark, Russell, 379 Classical conditioning, 9, 128, 200, 589, 980
721, 912; language acquisition and, 468; learning and, 483; memory and, 524; psychopathology and, 676 Claustrophobia, 630 Click insertion studies, 469 Clinical depression, 157-164, 247 Clinical interviews, 871 Clinical psychologist, 912 Clinical psychology, 669 Clore, Gerald, 113 Cognition, 42, 512, 912; motivation and, 553; sleep and, 782; social learning theory and, 788 Cognitive appraisal, 814, 912 Cognitive approach to motivation, 557 Cognitive approach to psychopathology, 677 Cognitive behavior therapy, 165-171, 912 Cognitive-behavioral therapy, 279; attention-deficit hyperactivity disorder, 108 Cognitive deficits, brain lesions and, 571 Cognitive development; adolescence and, 18; gender identity and, 350; language and, 471; moral development and, 547; Piaget, Jean, 172-178 Cognitive disorder, depression as, 158 Cognitive dissonance theory, 912 Cognitive distortions, 10; depression and, 249 Cognitive domains, 572 Cognitive function, dementia and, 242 Cognitive maps, 181, 912 Cognitive models of anxiety, 96 Cognitive personality theory, 617 Cognitive processes, 912 Cognitive psychology, 179-187, 669, 912; logic and reasoning, 499; pyychosomatic disorders and, 685; thought and, 880 Cognitive science, 912 Cognitive social learning; Mischel, Walter, 188-193 Cognitive stage theory, 14 Cognitive theory, memory and, 518
Index Cognitive therapy, 166, 194-199, 681; depression and, 251 Cohabitation, domestic violence and, 281 Cohen, Sheldon, 823 Cohesion, groups and, 865 Cohort, 913 Collaborative relationship, 700 Collaborative Study of the Psychobiology of Depression, 248 Collective unconscious, 73, 78, 287, 649, 913 Colliculi, 144 Color, 913; sensation/perception and, 763 Columbia school of functionalism, 849 Commission on Community Interrelations, 347 Commissures, 148 Commitments, identity crises and, 418 Common traits, 402 Communal relationships, 32 Communication; friendship and, 32; groups and, 865; language and, 466; speech disorders and, 807 Community Mental Health and Retardation Act, 513 Community mental health centers, 508 Comparative psychology, 670 Compensation, 431, 913 Compensatory model of helping, 382 Competence; intelligence and, 454; motivation and, 553 Competency, 188 Complexes, 73 Complexity, groups and, 367 Composition, group, 368 Compulsions, 578, 675, 913; eating, 408 Computer modeling, animal experimentation versus, 90 Computer models of cognition, 181 Computers; intelligence testing and, 462; reasoning and, 504 Concept Assessment Kit, 175 Conceptualization, 168 Concrete operational stage, 15, 174, 257, 913 Conditional positive regard, 10
Conditioned emotional reactions (CER), 592 Conditioned response (CR), 202, 485, 589, 913 Conditioned stimulus (CS), 201, 485, 589, 913 Conditioned suppression, 202 Conditioned taste aversion, 913 Conditioning, 200-209, 721, 913; imprinting versus, 428; instincts and, 447; language acquisition and, 468; learning and, 483; motivation and, 554; Pavlovian, 589-595; phobias and, 631; psychopathology and, 676; substance abuse and, 853 Conditions of worth, 913 Conduct disorder, 605 Cone, 913 Confession, 79 Confidentiality, 642 Confirmation bias, 502 Conflict, intergroup, 347 Conformity, 232 Confounding of variables, 913 Consciousness, 210-215, 844, 913; altered states, 216-223; perception and, 760; personality and, 405; psychology and, 662; self and, 749; sleep and, 785; states, 217 Consensual validation, 30, 913 Consensus information, 914 Consequences, 711 Conservation, 174, 914 Consistency information, 914 Consolidation, 914 Consortium for Psychoanalysis, 643 Construct, 914 Construct validity, 914 Construction corollary, 597 Construction systems, 597 Constructive alternativism, 596 Constructs, 596 Consumer psychology, 670, 914 Context dependence, 914 Contiguity, conditioning and, 202 Contingency, 487, 914 Contingency management, 914 Contingency of reinforcement, 713 Continuous reinforcement, 914 981
Psychology Basics Continuous theories of development, 256 Contraceptives; adolescents and, 28 Control; domestic violence and, 278; experimentation and, 339; learned helplessness and, 479 Control groups, 340, 914 Controlling variables, 713, 914 Convergent thinking, 914 Conversion disorder, 688, 914 Conversion hysteria, 684 Cooley, Charles, 752 Coping, 168, 915; depression and, 250; domestic violence and, 279; mechanisms, 803; personality and, 602; strategies, 791; stress and, 817, 820 Core beliefs, 195 Corporal punishment, learning and, 488 Corpus callosum, 148 Corrective emotional experience, 701 Correlation, 915 Correlational methods, 440 Correlational studies, 338 Cortex, 146, 915 Cortical brain centers, 915 Costs, helping and, 379 Cote, James, 417 Counseling psychology, 669 Counselors, 508 Counterconditioning model of phobias, 636 Counterregulation, 408 Countertransference, 641, 915 Courtship behaviors versus paraphilias, 778 Cousins, Norman, 839 Coyne, James, 250 CR. See Conditioned response (CR) Creativity, 915; cognitive psychology and, 179; intelligence and, 224-229, 357, 454; learning and, 490 Creutzfeldt-Jakob disease, 243 Criminal psychology, 670 Criteria, 270 Criterion group, 915 Critical period, 915; brain injury
982
recovery, 574; imprinting, 423; language acquisition, 470 Criticism, intelligence and, 451 Cross-dressing, 776 Cross-sectional design, 915 Crowd behavior, 230-235 Crowder, R. G., 44 Crystallized intelligence, 48, 459 CS. See Conditioned stimulus (CS) Cue-producing response, 915 Cues; learning and, 725; responses and, 727 Cultural differences, diagnosis, 274 Cultural influences, women’s psychology and, 894 Culture; psychopathology and, 679; self and, 751 Curriculum content, gifted students and, 361 Cutaneous senses, 768, 915 Cycles, hormones and, 396 Cycling, 544 Cyclothymia, 137, 915 Cyclothymic disorder, 543 D sleep, 286, 782 Daily hassles, 820, 915 Damasio, Antonio, 751 Dark adaptation, 915 Darley, John, 49, 234 Darwin, Charles, 663; emotions, 328; Fromm, Erich, and, 799; functionalism and, 847; instincts, 444; race and intelligence, 708; Skinner, B. F., and, 716 Data, 915 Data collection, 338, 869 Dating, violence and, 280 Davis, Gary, 225 Davis, Mark, 749 Dawson, Geraldine, 124 Daydreams, 219, 285 Death, 236-241, 321 Death instinct, 553, 915 Debriefing, 915 Decay, 915 Deci, Edward, 455 Decision making, cognitive psychology and, 183
Index Deduction, 916 Deductive reasoning, 499 Deep structure, 468 Defense mechanisms, 7, 916; death and, 236; dissociation, 559; ego and, 656; neurosis and, 803 Defensive aggression, 37 Defining Issues Test (DIT), 889 DeFries, John C., 495 Deindividuation, 231, 367, 370, 916 Deinstitutionalization, 512; schizophrenia and, 736 Delirium, 242 Delusions, 512, 916; dementia and, 242; obsessions versus, 578; schizophrenia and, 732 Dement, William, 785 Dementia, 51, 242-246, 584-916 Dementia praecox, 736, 743 Dendrite, 916 Denial, death and, 237 Density, group, 369 Denver Developmental Screening Test, 264 Dependent personality disorder, 605 Dependent variables, 339, 916 De Perczel, Maria, 861 Depersonalization disorder, 59 Depolarization, 916 Depression, 247-253, 301, 512, 698, 916; attention-deficit hyperactivity disorder and, 107; bulimia nervosa and, 310; children and, 158; clinical, 157-164; cognition and, 43; cognitive therapy and, 194; death and, 238; dementia and, 243; dysthymic disorder, 542; emotions and, 326; learned helplessness and, 477, 489; obsessive-compulsive disorder and, 579; personality and, 612; psychoanalysis and, 639; psychopathology and, 677; psychosomatic disorders and, 687; psychosurgery and, 693; stress and, 816, 822; suicide and, 859 Depressive and Manic Depressive Association (DMDA), 138 Depth perception, 916 Descartes, René, 210, 448, 746
Descriptive research, 338, 871 Descriptive statistics, 916 Desensitization, 593, 701, 916; phobias and, 636. See also Systematic desensitization Desire, 65; energy and, 315 Destructive personality, 796 Determinism, 916 Detterman, Douglas, 451 Development, 254-259, 916; giftedness and, 358; language and, 466; moral, 546; personality and, 602; psychoanalysis and, 640; self and, 748 Developmental disabilities, 260-269 Developmental Disabilities Act of 1984, 267 Developmental Disabilities Assistance and Bill of Rights Act of 1990, 260 Developmental Disabilities Services and Facilities Construction Act of 1970, 260 Developmental psychology, 670, 916 Deviancy, 916 Deviant behavior, moral development and, 549 Dewey, John, 663, 668, 848, 947 Diagnosis, 270-276, 916 Diagnostic and Statistical Manual of Mental Disorders (DSM), 917; diagnosis and, 270 Dialectical behavior therapy (DBT), 608 Diathesis, 541 Diathesis-stress model; abnormality, 12; bipolar disorder, 138; psychopathology, 679; schizophrenia, 740 Dichotomy corollary, 597 Diencephalon, 567 Diener, Ed, 367 Dieting; eating disorders and, 307; hunger and, 411 Differences, Lacan, Jacques, and, 67 Differential Aptitude Test (DAT), 671 Differential diagnosis, 272 Diffusion of responsibility, 917 Diffusion status, 419 Direct intervention, 380 983
Psychology Basics Direct observations, 152 Direction, intelligence and, 451 Disabilities, giftedness and, 361 Discontinuous theories of development, 256 Discounting, 917 Discrimination, 917 Discriminative stimulus, 713, 917 Disease; learned helplessness and, 480; stress and, 836; thirst and, 878 Disease model of mental disorders, 508 Disorganized schizophrenia, 734 Dispersion, 917 Displacement, 8, 466, 917 Display, 917 Display rules, 917 Disposition, personality traits and, 403 Dispositional, 917 Dispositional variables, 190 Dissociation, 59, 559 Dissociative disorders, 8, 59, 917 Dissociative fugue, 60 Dissociative identity disorder, 59, 559 Dissonance, 557, 917 Distal stimulus, 917 Distancing, 198 Distancing behavior, 894 Distinctiveness information, 917 Diurnal enuresis, 917 Divergent thinking, 917 Dix, Dorothea Lynde, 510, 948 Dollard, John, 554, 725-730, 947 Domestic violence, 277-284, 917; learned helplessness and, 479 Dominant responses, 725 Donders, Frans C., 881 Dopamine, 301, 569, 586, 918; schizophrenia and, 740, 742 Double bind, 739, 918 Double-blind method, 918 Double depression, 542 Dovidio, John, 379 Down, John Langdon, 535 Down syndrome, 918; development and, 258; mental retardation and, 533 Downing, Leslie, 234 Dreams, 285-291; analytical psychology, 75, 80; consciousness and, 212; 984
Freudian interpretation, 903; Horney, Karen, 804; incubation, 288; psychoanalysis, 644, 658; sleep and, 782 Drive-reduction hypothesis, 876, 918 Drives, 292-298, 726, 876, 918; learning and, 726 Drozdovitch, V., 533 Drugs; memory and, 527; neurotransmitters and, 569; side effects, 300; substance abuse and, 300, 855; suicide and, 860; therapies, 299-305; tolerance and habituation, 375 DSM. See Diagnostic and Statistical Manual of Mental Disorders (DSM) Dunbar, Flanders, 683 Durkheim, Émile, 858 Durkin, M. S., 533 Dying, 236-241 Dynamic adaptation, 794 Dynamic psychology, 849 Dyscalculia, 494 Dysfunctional family, 918 Dysgraphia, 494 Dyslexia, 494, 918 Dysphoria, 157, 198, 918. See also Gender dysphoria Dysthymia, 137 Dysthymic disorder, 158, 542, 918 D’Zurilla, Thomas, 168 Early recollections, 918 Ears, 767 Eating disorders, 306-313, 918; hunger and, 409 Ebbinghaus, Hermann, 457, 517, 880, 948 Ebbinghaus forgetting curve, 883 Eccles, John, 750 Echoic memory, 918 Echolalia, 124, 918 Eclectic therapy, 918 École Française de Psychanalyse, 71 École Freudienne de Paris (EFP), 71 Ecological validity, 341 ECT. See Electroconvulsive therapy (ECT) Education, 224; analytical psychology,
Index 80; Piaget, Jean, and, 175; sensation/perception and, 764 Education for All Handicapped Children Act of 1975, 268, 494 Education of the Handicapped Act Amendments of 1986, 268 Educational psychology, 669, 918 EEG. See Electroencephalogram (EEG) Egas Moniz, António, 692, 948 Ego, 7, 256, 294, 314, 617, 655-661, 747, 919; analytical psychology, 72, 78; anxiety and, 93; Lacan, Jacques, 66 Ego identity, 418 Ego psychology, 644; Erikson, Erik, 314-322 Egocentric speech, 471 Egocentric thought, 148, 471, 919 Egocentrism; adolescent, 17; Piaget, Jean, 173 Egoistic suicide, 858 Eisenberger, Robert, 484 Ekman, Paul, 814 Elaborative rehearsal, 919 Electra complex. See Oedipus complex Electroconvulsive therapy (ECT), 139, 159, 511, 542, 691, 919; aggression and, 38 Electroencephalogram (EEG), 919 Electroencephalography, 919 Electroshock therapy. See Electroconvulsive therapy (ECT) Elkind, David, 17 Ellis, Albert, 10, 165, 436, 636, 805, 948 Ellis, Thomas, 861 Elucidation, analytical psychology, 80 Embryonic hormones, 335 Embryonic phase, 919 Emergent processes, 255 Emergent systems, self and, 750 Emotional abuse, 278 Emotional disorders, 674; cognitive therapy and, 195 Emotional intensity, 325 Emotions, 323-329, 569, 919; aggression, 36; attachment and, 100; behavior and, 165; cognitions and, 550; depression and, 157, 247; dreams and, 286; habituation and,
375; memory and, 520; physiology and, 611; psychoanalysis and, 639, 658; psychopathology and, 677; stress and, 820 Empathy, 919; moral development and, 549 Empirical evidence, 919 Empiricism, 919 Encoding, 181, 919; strategies, 188 Endocrine gland, 919 Endocrine system, 330-336, 393, 919; nervous system and, 565 Endogenous behavior, 423, 919 Endorphins, 568, 841, 919; stress and, 839 Engineering psychology, 669 Engram, 525 Enkephalins, 568, 919 Enlightenment model of helping, 382 Enmeshment, 920 Entitlement, 920 Entropy, 920 Enuresis, 784, 920 Environment; abnormality and, 9; animal experimentation and, 524; attraction and, 114; behavior and, 131; dreams and, 289; giftedness and, 357; imprinting and, 423; information processing and, 45; intelligence and, 452, 454, 704; learned helplessness and, 477; life space and, 345; mental retardation and, 534; Parkinson’s disease and, 586; personality and, 602; psychology and, 612; radical behaviorism and, 711; sensation and, 760, 767 Environmental psychology, 670, 920; senses and, 770 Environmental stressor, 920 Epilepsy, 920 Epinephrine, 920 Episodic memory, 180, 517, 880, 920 Epstein, Seymour, 814 Equipotentiality, 47, 526, 920 Equity theory, 114, 920 Equivalence, 920 Ergonomics, 439 Erikson, Erik, 648, 948; development, 985
Psychology Basics 255; ego psychology, 314-322; identity crises, 416; self, 748 Eros, 647 ERPs. See Event-related potentials (ERPs) Escape from freedom, 795 ESP. See Extrasensory perception (ESP) Esquirol, Jean-Étienne-Dominique, 457 Essence, personality and, 617 Estradiol, 920 Estrogen, Alzheimer’s disease and, 53 Estrus, 334 Ethic of care, 886 Ethics; animal experimentation and, 85; industrial/organizational psychology and, 442 Ethnicity; Alzheimer’s disease and, 52; domestic violence and, 280 Ethnocentrism, 920 Ethology, 372, 920; animal experimentation and, 84 Etiology, 920 Eugenics, 709 Euphoria, 852 Eustress, 817, 921 Euthanasia, 240 Evans, Gary, 823 Event-related potentials (ERPs), 470 Evoked potential, 921 Evolutionary psychology, attraction and, 117 Evolutionary theory of sleep, 783 Exchange relationships, 32 Exchange theory, groups and, 864 Excitation transfer, 921 Executive monkey study, 815 Exercise; stress and, 839; thirst and, 879 Exhibitionism, 774 Existentialism, 921 Exogenous substances, 921 Expansive behavior, 894 Expectancy confirmation bias, 921 Expectancy theory, 921 Experimental brain damage, 525 Experimental neurosis, 591 Experimental psychology, 670 Experimentation, 153, 846, 921; animal, 84-91; independent, 986
dependent, and control variables, 337-343; industrial/organizational psychology and, 440 Experimenter bias, 921 Expert systems, 182 Explanatory style, immune system and, 480 Exposure therapy, phobias and, 635 Expressive aphasia, 921 Expressive language acquisition styles, 467 External locus of control, 614, 686 External success, neurosis and, 802 External validity, 921 Externalization, 921 Externalized speech, 471 Extinction, 590, 593, 726, 921 Extraneous variables, 151, 921 Extrasensory perception (ESP), 762 Extrinsic motivation, 455, 922 Extrinsic religion, 404, 922 Extroversion, 74, 613, 649 Eyeblink reflex, 720 Eyeblink response, 526 Eyes, 767 Eyewitness testimony, cognitive psychology and, 182 Eysenck, Hans, 405, 610, 948 Facial expressions, stress and, 814 Facial features, 117 Factor analysis, 452, 922 Facultative homosexuality, 388 Failure, 755 Falret, Jules, 542 False negatives, 271 False positives, 271 Familiarity, affiliation and, 31 Familiarization, imprinting and, 426 Family; cultural patterns and, 802; individual psychology and, 431; support group versus, 867 Family environment, giftedness and, 357 Family interaction theories of schizophrenia, 739 Family systems theory, 278 Family therapy, 2, 278, 680, 898, 922 Farberow, Norman, 860
Index Father’s “No,” 66 Fatigue, 373 Fear, 726, 813; anxiety and, 93; conditioning and, 592; death and, 237; phobias and, 631; success and, 627, 897 Fechner, Gustav, 211, 668 Feedback, self-esteem and, 754 Feelings, analytical psychology and, 74 Female athletic triad, 309 Feminist analysis, 922 Feminist psychological theory, 278 Fenz, Walter D., 814 Festinger, Leon, 30, 34, 557 Fetal alcohol syndrome, mental retardation and, 537 Fetal phase, 922 Fetishism, 69, 775, 922 Field experimentation, 342 Field research, 922; industrial/ organizational psychology and, 440 Field theory, Lewin, Kurt, 344-348 Fight-or-flight response, 398, 817, 828, 841, 922 Fixation, 648, 657, 922 Fixed role therapy, 599 Flashback, 922 Flavell, John, 16 Flexion reflex, 720 Flocking, 922 Flooding, 593, 922; obsessivecompulsive disorder and, 580 Fluency disorders, 807 Fluid intelligence, 48, 459, 922 Folie circulaire, 542 Folkman, Susan, 820 Forebrain, 922 Foreclosure status, 418 Forensic psychology, 922 Forgetting, 923; memory and, 882 Formal operational stage, 15, 174, 257, 923 Formal thought, 16 Forsyth, D. R., 864 Foulkes, David, 288 Fragile X syndrome, 535 Frame of orientation, 795 Franzoi, Stephen, 749 Free association, 638, 903, 923; dreams
and, 658; Horney, Karen, 804; S-R theory and, 728 Freedom, social psychology and, 795 Freeman, Walter, 692 Fremouw, William, 861 Frequency, 923 Frequency distribution, 923 Freud, Anna, 652, 948 Freud, Sigmund, 314, 510, 647, 668, 692, 701, 949; abnormality, 7; Adler, Alfred, versus, 435; anxiety, 92; consciousness, 211, 216; development, 255; dreams, 288, 290; drives, 294; Fromm, Erich, and, 799; gender identity, 354; Gilligan, Carol, versus, 888; homosexuality, 386; Horney, Karen, and, 801, 895; Jung, Carl, and, 76; Lacan, Jacques, and, 65; moral development, 547; motivation, 553; personality, 602, 610, 617, 655-661, 833; phobias, 631; psychoanalysis, 638; psychoanalytic psychology, 655-661; psychopathology, 677; psychosomatic disorders, 684; schizophrenia, 738; self, 747; women’s psychology, 900-907 Freudian slips, 8, 904 Freund, Kurt, 778 Friedman, Meyer, 837 Friesen, Wallace V., 814 Frigidity, 895 Fritsch, Gustav, 147 Fromm, Erich, 315, 554, 949; social psychological models, 801-806 Frontal lobe, 147, 923 Frontal lobe dementias, 244 Frotteurism, 776 Frustration, 923; aggression and, 36 Frustration-aggression hypothesis, 923 Fugue, 59-64, 923 Functional analysis, 192 Functional autonomy, 403, 923 Functional disorders, 923 Functional fixedness, 923 Functionalism, 663, 668, 771, 843-850, 923 Fundamental attribution error, 923 Futrell, B. A., 46 987
Psychology Basics GABA. See Gamma-aminobutyric acid (GABA) Gaertner, Samuel L., 379 Galanter, Eugene, 760 Galen, 7, 152, 674 Galton, Francis, 455, 457, 708, 847 Gambler’s fallacy, 503 Gamete, 923 Gamma-aminobutyric acid (GABA), 301, 568, 923 Gardner, Howard, 454, 463 Garfield, Sol, 702 Garfinkel, Barry, 860 GAS. See General adaptation syndrome (GAS) Gatekeepers, 347 Gay men. See Homosexuality Geert, Paul Van. See Van Geert, Paul Gender, 923 Gender bias, personality disorders and, 606 Gender constancy, 350 Gender differences; achievement need and, 626; attention-deficit hyperactivity disorder, 107; attraction and, 118; depression and, 157, 247; dreams and, 288; friendship and, 35; Gilligan, Carol, 886; learning disorders and, 495; self and, 751; suicide and, 858 Gender dysphoria, 389, 776 Gender identity, 25, 923; ideals and, 25 Gender-identity disorder, 351 Gender-identity formation, 349-355 Gender role socialization, 279 Gender schema, 924 Gender-schema theory, 351 Gene, 924 Gene disorders, mental retardation and, 533 General adaptation syndrome (GAS), 817, 829, 836, 924 Generalizability, survey research and, 873 Generalization, 16, 924; case studies and, 155; conditioning and, 591 Generalized anxiety disorder, 10, 675 Generativity, 321, 924
988
Genetic engineering, animal experimentation and, 525 Genetic knockouts, 528 Genetic psychology, 669 Genetics, 924; Alzheimer’s disease and, 53; animal experimentation and, 84; autism and, 122; behavior and, 6, 131, 711; bipolar disorder and, 137; bipolar disorders and, 541; depression and, 248; development and, 254; developmental disabilities and, 261; dyslexia and, 495; eating disorders and, 308; homosexuality and, 387; imprinting and, 423; intelligence and, 455, 704; introversion and extroversion and, 613; mental retardation and, 534; personality and, 602; personality disorders and, 607; phobias and, 631; schizophrenia and, 736, 738; substance abuse and, 851 Genital stage, 319, 657, 902, 924 Genotype, 924 Gergen, Kenneth, 752 Gestalt, 924 Gestalt school of psychology, 924 Gestalt therapy, 924 Gestalt therapy, memory and, 521 Gibson, James J., 257 Gifted education programs, 358 Giftedness, 356-363, 924 Gilbreth, Frank, 438 Gilligan, Carol, 905, 949; self, 751; women’s psychology, 886-893 Global self-esteem, 756 Goal setting, 924 Goals; motivation and, 552; psychotherapy, 698 Goldfried, Marvin, 167 Goldstein, Kurt, 257, 435 Goodnow, Jacqueline J., 504 Gordon, W. J., 228 Gormezano, Isadore, 721 Gouldner, Alvin, 383 Gramling, Sandra, 821 Grammar, 465; transformational generative, 468 Grammatical semantics, 465 Grasping reflex, 723
Index Gray matter, 924 Gray Oral Reading Test (GORT-III), 496 Greene, David, 340 Greenwald, Anthony, 761 Gregory, Richard, 765 Grieving, 236 Grismer, B. A., 46 Group composition, 368 Group density, 369 Group discussion, 347 Group dynamics, 865, 924 Group factors, 452 Group therapy, dieting and, 412 Grouping, laws of, 762 Groups, 364-371; affiliation and, 33; twelve-step, 866 Growth, adolescent, 23 Grundman, Michael, 46 Guidano, Vittorio, 169 Guilford, J. P., 453 Gustation, 924 Gyrus, 924 Habits, 726, 924 Habituation, 372-378, 525, 581, 612, 614, 924 Haffner, Debra W., 27 Hall, Calvin, 903 Hall, G. Stanley, 709 Hallucinations, 285, 512; aural, 561; dementia and, 242; multiple personality disorder and, 561; schizophrenia and, 732 Hallucinogens, 924 Halstead-Reitan battery, 572 Hardiness, 615, 686, 839, 925 Hare-Mustin, Rachel, 891 Harlow, Harry, 88, 104, 607 Harlow, Margaret, 104 Harré, Rom, 752 Harter, Susan, 891 Hartman, Barbara, 420 Hartmann, Heinz, 315, 553 Harvey, E. N., 785 Hawthorne effect, 925 Head injuries, 691 Health care system, death and, 239 Health psychology, 665
Healthy speech, 166 Hebb, Donald, 518, 527, 555 Hedonic, 925 Hedonistic theory of motivation, 555 Helping, 379-385 Helplessness, 925; depression and, 614 Hemispheres, brain, 149 Hemispheric dominance, 221 Herbart, Johann Friedrich, 211 Heredity, 925; intelligence and, 704 Hernnstein, Richard, 704 Heuristics, 183, 925 Hibernation, sleep and, 783 Hierarchy of needs; motivation and, 556; Murray, Henry A., 625 Higher-order conditioning, 925 Hilgard, Ernest, 220 Hindbrain, 925 Hippocampus, 145, 526, 925 Hippocrates, 5, 508, 674, 832 Histrionic personality disorder, 605 Hitzig, Eduard, 147 Hobart, G. A., 785 Hoberman, Harry, 860 Hobson, J. Allan, 287 Hock, R. A., 46 Holistic language acquisition styles, 467 Hollingworth, Leta, 362 Holmes, Thomas, 825, 835 Holtgraves, Thomas M., 475 Homelessness, schizophrenia and, 736 Homeostasis, 292, 394, 830, 876, 925; hunger and, 410 Homophobia, 390, 925 Homosexuality, 386-392 Hopelessness Scale, 861 Hormones, 331, 925; behavior and, 393-401; homosexuality and, 387 Horner, Matina, 627 Horney, Karen, 315, 649, 747, 903, 949; social psychological models, 801806; women’s psychology, 894-899 Hospice care, death and, 239 Hospitalization, schizophrenia and, 735 Hostile aggression, 925 Hostility, stress and, 822 Hotlines, 861 989
Psychology Basics Huarte, Juan, 462 Hubel, David, 87 Hull, Clark, 293, 554, 725, 876 Human development, identity crises and, 416 Human factors engineering, 439, 770 Human nature, personality and, 620 Humanistic moratorium, 417 Humanistic psychology, 668, 925; personality and, 610; self and, 748 Humanistic theories of personality, 617 Humanistic therapies, 699 Humanistic trait models; Allport, Gordon, 402-407 Hume, David, 746 Humoral theory, 330; madness and, 507 Hunger, 408-415 Hunt, Morton, 47 Huntington’s disease, 243 Hydraulic model of motivation, 554 Hypnagogic hallucination, 925 Hypnagogic imagery, 781 Hypnagogic reverie, 286 Hypnagogic state, 218 Hypnopompic reverie, 286 Hypnopompic state, 218 Hypnosis, 219, 831, 925; fugue and, 63; multiple personality disorder and, 562 Hypnotic susceptibility, 925 Hypochondriasis, 688, 925 Hypomania, 137 Hypomanic episodes, 540 Hypothalamus, 144, 332, 394, 410, 567, 926 Hypotheses, 337, 926 Hypothetical-deductive reasoning, 16 Hypovolemic thirst, 877 Hypoxia, 529 Hysteria, 69 I/O psychology. See Industrial/ organizational psychology Iconic memory, 517, 926 Id, 7, 256, 294, 314, 617, 647-655, 900, 926 Idealized self, 926 Identification, 926 990
Identity, 795, 926; groups and, 370; self and, 750 Identity crises, 416-422, 926 Identity status paradigm, 418 Idiographic research, 404 Idiographic study, 926 Igumnov, S., 533 Illocutionary intent, 466 Illusions, 926 Imagery, 179, 214, 926 Imaginal realm, 318 Imaginary, the, 66 Imaginary audience, 17 Imitation, 926 Immune response, 926 Immune system; Alzheimer’s disease and, 53; explanatory styles and, 480; stress and, 831, 837 Immutable characteristics, 926 Implosion therapy, 926 Impression management, 926 Imprinting, 423-429, 927 In-group, 927 In-group bias, 927 Incentive, 927 Incentive theory of motivation, 555 Incest taboo, 67 Incompetency, 927 Incongruence, 927 Indecent exposure, 774 Independent variables, 153, 339, 927 Indirect assistance, 380 Indirect reinforcement, 114 Individual Education Plan (IEP), 266, 497 Individual Family Service Plan (IFSP), 266, 497 Individual psychology, 430-437, 649, 927 Individuality, 232 Individualized education programs (IEPs), 361 Individuals, groups and, 364 Individuals with Disabilities Education Act of 1990, 266, 268, 494 Induction, 927 Inductive reasoning, 499 Industrial/organizational psychology, 438-443, 669, 927
Index Infancy, 99-105 Infant sexuality, 900 Inferiority complex, 430, 555, 649 Inflection, 927 Information-processing, 179; aging and, 43; intelligence and, 454; motivation and, 552 Information processing model, 927 Information-processing systems, 880 Informational influence, 33 Infrasound, 769 Inhelder, Barbel, 15, 350 Inhibition; reduction, 38; social learning theory and, 790 Initial hierarchies, 725 Innate, 927 Innate behavior, 376 Innate hierarchies, 725 Innate language-acquisition device (LAD), 468 Innate reflexes, 722 Inner speech, 471 Insanity, 927 Insight, 700, 927 Insomnia, 927 Instinct theory, 444-449 Instinctive drift, 446 Instincts, 927; bonding, 100; personality and, 900 Institutional Animal Care and Use Committees (IACUCs), 90 Institutional racism, 928 Instrumental aggression, 928 Instrumental conditioning, 485, 928; learning and, 484; phobias and, 631 Instrumental responses, 727 Insulin shock therapy, 511 Integration, 928; multiple personality disorder and, 562 Integrity, 321 Intellectual giftedness, 358 Intellectual operations, 453 Intelligence, 450-456, 928; cognitive psychology and, 179; creativity and, 224-229; forms, 48; language and, 471; mental retardation and, 532; race and, 704-710; twin studies and, 705 Intelligence quotient (IQ), 450, 704,
928; giftedness and, 356; learning disorders and, 493; mental retardation and, 532 Intelligence tests, 14, 87, 227, 439, 465476; attention-deficit hyperactivity disorder, 107; giftedness and, 356 Intensity, 928 Interactionist theories of language, 470 Intercourse; adolescence and, 22; premarital, 22 Interest inventory, 928 Interference, 928 Intergroup conflict, 347 Intermittent reinforcement, 928 Internal locus of control, 614, 686 Internal validity, 928 International Psychoanalytic Association, 76, 643 International Psychoanalytic Societies, 643 Interneurons, 720, 928 Interpersonal attraction, 113 Interpersonal psychology, 650 Interpersonal psychotherapy (IPT), 251 Interpersonal relations, 434 Interpersonal skills, intelligence and, 454 Interpretation, 700; sensation and, 762 Interrater reliability, 928 Interrupted tape studies, 469 Interval schedules, 205, 928 Intervention, domestic violence and, 282 Interviews, 869; diagnostic, 271 Intimacy; adolescent, 22; isolation versus, 320 Intonation, 467 Intrapersonal pathology, 279 Intrinsic motivation, 455, 928 Intrinsic religion, 404 Introspection, 184, 845, 928 Introversion, 74, 613, 649 Intuiting, 74 Invertebrates, endocrine system, 331 IQ. See Intelligence quotient (IQ) Irradiation, 928 Irrational beliefs, 96 Isolation, intimacy versus, 320 991
Psychology Basics Jackson, Hughlings, 575 Jacobson, Lenore, 557 Jakobson, Roman, 68 James, William, 216, 435, 663, 668, 746, 754, 847, 950 Janet, Pierre, 435 Janis, Irving, 823 Jensen, Arthur R., 704 Jewell, Linda, 441 Job analysis, 441 Job design, 439 Johnson, Robert, 234 Johnson, Virginia E., 905, 950 Jones, Edward, 621 Jones, Randall, 420 Jouissance, 68 Jung, Carl, 78, 648, 950; analytical psychology, 72-77; development, 255; dreams, 287, 290; Murray, Henry A., and, 624; self, 747 Juvenile Parkinsonism, 584 Kagan, Jerome, 750 Kahneman, Daniel, 183 Kako, Edward, 466 Kalish, Richard, 239 Kallmann, Franz J., 741 Kamen, Leslie, 480 Kamin, Leon, 709 Kandel, Eric R., 374, 484, 491, 522, 528, 724 Kanner, Leo, 121 Kant, Immanuel, 177, 211 Kastenbaum, Robert J., 239 Keller, Helen, 361 Kelley, Truman, 453 Kelly, George A., 617, 950; personal constructs, 596-601 Kendall, Philip, 109 Kety, Seymour, 741 Kin selection model of homosexuality, 387 Kindling, 138 Kinesthetic, 929 Kinnebrook, David, 884 Kinsey, Alfred, 390, 871, 950 Kitayama, Shinobu, 751 Kleitman, Nathaniel, 785 Klerman, Gerald, 251 992
Kline, Paul, 226 Kluckhohn, Clyde, 617 Knowledge; language and, 474; reasoning and, 502 Kobasa, Suzanne, 839 Koffka, Kurt, 668 Kohlberg, Lawrence, 177, 350, 383, 547, 888, 951 Köhler, Wolfgang, 345, 668 Kohut, Heinz, 747 Kojève, Alexandre, 70 Korsakoff syndrome, 929 Kovacs, Maria, 161 Kraepelin, Emil, 252, 510, 542, 675, 692, 736, 743, 951 Kroger, Jane, 416 Kübler-Ross, Elisabeth, 238 Külpe, Oswald, 214, 663, 846 LaBerge, Stephen, 287 Lacan, Jacques, 951; analytic psychology, 65-71 Lang, Peter, 97 Langer, Ellen, 816 Language, 465-476; cognitive psychology and, 179; Lacan, Jacques, 65; Skinner, B. F., 714; social learning theory and, 789 Language acquisition; critical period, 470; developmental disabilities and, 266 Lashley, Karl, 518, 525 Latan, Bibb, 234 Latency, 929 Latency stage, 315, 657, 902 Latent content, 929 Lateral geniculate nucleus, 929 Laterality, 929 Lateralization, 148 Law, sexual variations and, 776 Law of closure, 762 Law of common fate, 762 Law of Effect, 204, 484, 716, 929 Law of good continuation, 762 Law of nearness, 762 Law of similarity, 762 Law of the Father, 66 Lazarus, Arnold, 702 Lazarus, Richard, 817, 820
Index Leadership, groups and, 367 Leakage, 929 Learned drives, 726 Learned helplessness, 477-482, 488, 686, 929; depression and, 159; dometic violence and, 279; learning and, 484; stress and, 815, 822 Learned variability, 491 Learning, 483-492, 569, 929; animal experimentation and, 84; cognition and, 44; conditioning and, 200, 591; gender identity and, 349; habituation and sensitization, 372; hormones and, 335; imprinting and, 423; memory and, 517; memory versus, 524; motivation and, 552; performance versus, 789; psychopathology and, 676; reflexes and, 721; S-R theory and, 725 Learning disabilities, imprinting and, 427 Learning disorders, 493-498 Learning theory, 279, 680; antisocial behavior and, 607; language and, 468; phobias and, 631; schizophrenia, 739; senses and, 771 Le Bon, Gustave, 230 Legislation, industrial/organizational psychology and, 442 Leibniz, Gottfried Wilhelm, 211 Lepper, Mark, 340 Lerner, Harriet Goldhor, 897 Lesbians. See Homosexuality Lesions, 929; neuropsychology and, 571 Leucotomy, 691. See also Lobotomy Levels-of-processing model, 929 Lévi-Strauss, Claude, 68 Levine, Charles, 417 Levitt, Eugene, 159 Lewin, Kurt, 435, 556, 951; field theory, 344-348 Lewinsohn, Peter, 159 Lewis, Michael, 750 Lewy body disease, 244 Lexical semantics, 465 Libido, 65, 74, 92, 256, 647, 929 Lidz, Theodore, 739 Lie detection, 325
Life cycle, identity crises and, 420 Life instinct, 553 Life space, 344 Likert, Rensis, 874 Likert scales, 874 Liking, love and, 34 Lima, Pedro A., 692 Limbic system, 145, 569, 929; psychosurgery and, 695 Lindemann, Eric, 237 Lindzey, Gardner, 404 Linehan, Marsha M., 608 Linguistic determinism, 472 Linguistic lateralization pattern, 470 Linguistic relativity, 472, 929 Linguistics, 929 Liotti, Gianni, 169 Lithium, 302 Lithium carbonate, 930 Little Hans, 635 Lobotomy, 38, 511, 691 Locke, John, 210 Locomotion, 345 Locus of control, 614, 686, 839, 930 Loewi, Otto, 289 Loftus, Elizabeth, 44, 182 Logic, 15, 43, 449-506; formal operations stage and, 174; private, 432 Long-term memory, 42, 180, 516, 880, 930 Long, Howard, 709 Longitudinal study, 930 Looking-glass self, 752 Loomis, A. L., 785 Loose associations, schizophrenia and, 734 Lorenz, Konrad, 424, 554 Loudness, 930 Lovaas, Ivar, 125 Love; attraction and, 113; liking and, 34 Low self-esteem, 755 LSD. See Lysergic acid diethylamide (LSD) Lubin, Bernard, 159 Lucid dreams, 287 Lucy, John, 472 Lunatic asylums, 508 993
Psychology Basics Luria, Aleksandr, 153, 575 Luria, S. E., 705 Luria-Nebraska battery, 572 Lyerly, J. G., 694 Lynch mobs, 233 Lysergic acid diethylamide (LSD), 212, 219, 740 McAdams, Dan, 752 McCarley, Robert, 287 McClelland, David, 626 McClelland, J. L., 474 McDougall, William, 444 Mach, Ernst, 717 MacKinnon, Donald, 357 McVeigh, Timothy, 36 Madness, historical concepts, 507-515 Magnification, 197, 249 Magnitude estimation, 930 Mahler, Margaret, 747 Mahoney, Michael, 170 Maier, Steven F., 481, 484 Main effect, 930 Major depressive disorder, 540 Major depressive episode, 930 Maladaptive behavior, 208 Male norms, women and, 894 Malingering, 683 Malnutrition, eating disorders and, 311 Mania, 512, 930 Maniaco-melancholicus, 542 Manic-depression, 135, 302, 542 Manic episodes, 539 Manic grandiosity, 135 Manifest content, 930 Mann, Leon, 233 Manning, Maurice, 399 Manque, 66 MAOIs. See Monoamine oxidase inhibitors (MAOIs) Maratsos, Michael, 474 Marcia, James, 416, 748 Marecek, Jeanne, 891 Marital counseling, domestic violence and, 282 Markus, Hazel, 750 Marland definition of giftedness, 358 Marland, Sidney, 357 Marx, Karl, 799 994
Masculine protest, 432, 930 Maskelyne, Nevil, 883 Maslow, Abraham, 10, 405, 435, 556, 617, 625, 668, 748, 805, 951 Masochism, 775, 895 Mass action, 526 Mass hypnosis, 231 Masters, William H., 905, 952 Mastery, identity crises and, 420 Masturbation, 774 Matching phenomenon, 116 Maternal imprinting, 424 Mathematics disorder, 493 Matheny, Laura, 474 Mating behavior, endocrine system and, 334 Maturation, 930 Maultsby, Maxie, 166 May, Rollo, 748 Mead, George Herbert, 752, 756 Mead, Margaret, 448 Mean, 930 Meaning; consciousness and, 213; language and, 465 Measurement, intelligence, 452, 458 Mechanoreceptor, 930 Méconnaissance, 67 Medical model, 930; of helping, 382 Medical technology, death and, 240 Meditation, 212, 219, 831, 840 Medulla, 142 Medulla oblongata, 930 Meichenbaum, Donald, 10, 166 Melancholy, 248 Melanchthon, Philipp, 662 Melatonin, 395, 930; bipolar disorders and, 137 Memory, 14, 516-523, 931; amnesia and, 60; animal research, 524-531; cognitive psychology and, 179; consciousness and, 216; dementia and, 242; dreams and, 286; hormones and, 335; hypnosis and, 220; identity and, 70; interrupted tasks and, 345; learning versus, 524; mediation and, 44; reality and, 478; reflexes and, 721; repressed, 563; Shereshevskii, 153; testing, 882; thought and, 880
Index Meninges, 142 Mental hospitals, 508 Mental illness, 674 Mental processes, 880 Mental representations, 173 Mental retardation, 494, 532-538; developmental disabilities versus, 260 Mental states, 664 Mentalism, behaviorism versus, 712 Mentoring, gifted students and, 361 Mere exposure, 931; attraction and, 115 Mescaline, 212, 219 Mesibov, Gary, 124 Mesmer, Franz, 219 Meta-analysis, 931 Metacognition, 16 Metamemory, 181, 213, 520 Metaphor, 68 Metastasis, 931 Metonymy, 68 Midbrain, 931 Midlife crisis, 75, 82, 420, 931 Mild cognitive impairment, 48 Miller, Jean Baker, 905 Miller, Neal E., 554, 725-730, 952 Miller, Norman, 380 Miller, Suzanne, 816 Mills, Judson, 383 Mind; body and, 832; brain versus, 575; psychoanalysis and, 639; psychology and, 662; psychosomatic disorders and, 684 Mind-body problem, 931 Mineka, Susan, 94, 636 Mineralocorticoids, 931 Mini-Mental State Examination (MMSE), 55 Mini-Mental Status Test, 245 Minimization, 197, 249 Mirror stage, 65 Misattribution, 931 Mischel, Walter, 349, 618, 952; cognitive social learning, 188-193 Mixed episodes, 540 Mnemonics, 931 Modality, 316
Modeling, 9, 167, 701; groups and, 865; symbolic, 788 Models, learning and, 727 Modus ponens, 501 Modus tollens, 501 Money, John, 774 Monkeys, 104 Monoamine oxidase inhibitors (MAOIs), 301, 541, 931 Monoamines, 931 Monosynaptic reflexes, 719, 931 Montagu, Ashley, 704 Mood, helping and, 380 Mood disorders, 539-545, 931; eating disorders and, 308 Mood-stabilizing drugs, 302 Moral development, 546-551; helping and, 383 Moral Judgement Interview (MJI), 889 Moral model of helping, 382 Moral psychology; Gilligan, Carol, 886 Moratorium, identity crises and, 417 Moratorium status, 418 Morgan, C. Lloyd, 847 Morgan, Christiana, 625 Morphemes, 465, 931 Morphogenic research, 404 Morphology, 465, 931 Mortality, 321 Mothers, relationships with children, 901 Motivation, 552-558, 876, 931; biological factors, 876; drives and, 292; instincts and, 445; opponent process theory, 375; personality and, 618; testing and, 461 Motor neurons, 931 Mowrer, O. Hobart, 93 Mullen, Brian, 233, 367 Mulley, John C., 535 Multimodal behavior therapy, 702 Multiple intelligences, 454, 463 Multiple personality disorder, 8, 59, 559-564, 931; schizophrenia versus, 731 Murray, Charles, 704 Murray, Henry A., 952; personology, 624-629
995
Psychology Basics Mutual exclusivity hypothesis of language, 469 Myers-Briggs Type Indicator, 82, 671 Myoclonias, 781 Nakata, Mizuho, 694 Nanometer, 931 Narcissism, 70 Narcissistic personality disorder, 605 Narcolepsy, 931 Nasal mucosa, 768 National Alliance for the Mentally Ill (NAMI), 138 National Depression Survey, 159 National Society for Autistic Children, 126 Nativism, 931 Natural selection, 932 Nature-nurture debate, 254 Necrophilia, 776 Needs, 932; behavior and, 625; drives versus, 293; hunger, 408 Negative feedback homeostasis, 394 Negative identity, 418 Negative reinforcement, 932. See also Reinforcement Negative schemas, 10 Negative self-esteem cycle, 755 Nelson, Katherine, 467 Neo-Freudian, 932 Neologisms, schizophrenia and, 734 Nerve impulse, 932 Nervous system, 565-570, 932; habituation and sensitization, 373; hormones and, 394; memory and, 524; self and, 750 Neural signals, 767 Neuringer, Allen, 484, 490 Neurologic dysfunction, autism and, 122 Neurological damage, developmental disabilities and, 265 Neurological disorders, 584 Neurologist, 932 Neurons, 141, 565, 932; habituation and sensitization and, 373; learning and, 491; reflexes and, 719 Neuropeptides, 568
996
Neurophysiology, learning disorders and, 495 Neuropsychology, 571-576, 932; memory and, 518 Neuropsychopharmacology, 932 Neuroscience; behavioral, 208; language and, 470; neuropsychology, 571 Neurosecretory cells, 331 Neurosis, 513, 582, 932; culture and, 801; drives and, 726; women and, 902 Neurotics, 69 Neurotransmitters, 301, 373, 394, 527, 567-568, 677, 932; depression and, 249; eating disorders and, 308; obsessive-compulsive disorder and, 581; schizophrenia and, 740, 742; stress and, 839 Newborn screening programs, mental retardation and, 537 Newborns, reflexes and, 722 Newell, Allan, 505 Night terrors, 287 Nightmares, 286 Nisbett, Richard, 340, 621 Nobles, Wade, 708 Nociceptors, 769 Nocturnal emissions, 23 Nomothetic study, 932 Nonassociative learning, 525 Nonconformity, identity crises and, 418 Nonparticipant observation, 932 Nonrapid eye movement (NREM) sleep, 780 Nonverbal communication, 932 Norepinephrine, 301 Normal distribution, 932 Normative influence, 33 NREM sleep. See Nonrapid eye movement (NREM) sleep Obesity, 306 Object little a, 67 Object permanence, 175 Obscene telephone calls, 774 Observation, industrial/organizational psychology and, 440 Observational learning, 933;
Index psychopathology and, 676; social learning theory and, 788 Observational study, 933 Obsessional doubting, 578 Obsessional neurotics, 69 Obsessions, 577, 675, 933 Obsessive-compulsive disorder, 577583, 606, 675, 933 Obsessive-compulsive personality disorder, 605-606 Occipital lobe, 146, 933 Oedipus complex, 65, 318, 738, 901, 933; Adler, Alfred, 435 Offensive aggression, 37 Oklahoma City bombing, 37 Olfaction, 933 Oneironmancy, 287 Operant, 933 Operant chamber, 486, 714 Operant conditioning, 9, 93, 130, 485, 933; language acquisition and, 468; learning and, 484; memory and, 525 Operant response (R), 204 Operational definition, 933 Opiates, 933 Oral stage, 315, 657, 901, 933 Organ pleasure, 900 Organic disorder, 933 Organic lamp theories of development, 257 Organic theories of schizophrenia, 740 Organizational effects, 933 Organizational psychology. See Industrial/organizational psychology Ornstein, Robert, 221 Orton, Samuel T., 495 Osmosis, 877 Other, the, 66 Out-group, 933 Outcome expectancies, 789 Overdetermination, 640 Overextension, 933 Overgeneralization, 197, 249 Overjustification effect, 933 Overmier, J. Bruce, 481, 484 Overregularization, 466 Overshadowing, 203 Oxford Group, 866
Pain; hypnosis and, 220; substance abuse and, 852; suicide and, 859 Pallidotomy, 587 Palmer, John, 182 Panic attacks; anxiety and, 96; phobias and, 630 Panic disorder, 196; anxiety sensitivity and, 613 Papilla, 934 Paradoxical intervention, 934 Paradoxical sleep, 782 Parallel distributed processing (PDP), 934 Parallel processing, 883 Paranoia, 70, 934; dementia and, 242 Paranoid personality disorder, 603 Paranoid schizophrenia, 734 Paraphilias, 774-779 Parasympathetic nervous system, 567, 934 Parent-child relationships, inferiority and, 431 Parental manipulation model of homosexuality, 387 Parenting; gender identity and, 349; giftedness and, 357; identity crises and, 419 Parenting styles, homosexuality and, 386 Parietal lobe, 146, 934 Parkinson, James, 584 Parkinson’s disease, 243, 584-588 Pathophobia, 630 Patterns, 700 Pavlov, Ivan Petrovich, 128, 200, 484, 524, 554, 721, 952 Pavlovian conditioning, 93, 200, 483, 589-595, 631, 721, 934 Pedophilia, 775; homosexuality versus, 390 Peer groups, adolescents and, 319 Penis envy, 318, 354, 895, 901, 934 Pennebaker, James, 822 Pennington, Bruce, 495 Percent savings, 882 Perception, 179, 512, 934; feelings and, 165; sensation and, 760-766; senses and, 767; stress and, 835 Perceptual constancy, 934 997
Psychology Basics Perczel, Maria de. See De Perczel, Maria Performance, learning versus, 789 Peripheral nervous system, 567, 934 Permissiveness, 26 Person, life space and, 345 Person-situation debate, 192 Persona, 934 Persona archetype, 74 Personal constructs, 188; Kelly, George A., 596-601 Personal equation, 884 Personal fable, 17 Personal science, 170 Personal unconscious, 72, 78, 649; dreams and, 287 Personality, 512, 934; adolescent, 17; amnesia and, 59; analytical psychology, 72; brain and, 624; cognitive social learning, 188; dreams and, 288; Freud, Sigmund, 655-661; fugue and, 59; habits and, 726; helping and, 383; humanistic trait model and, 402; identity crises and, 417; individual psychology and, 430; psychophysiological measures, 610-616; psychosomatic disorders and, 684; self and, 747; social psychology and, 794; testing, 671; theory, 617-623, 699 Personality changes, dementia and, 242 Personality disorders, 602-609, 698, 934; neurotic styles and, 804 Personality psychology, 669 Personality testing, 619 Personality traits, 612, 934; psychoanalysis and, 640 Personology, 624-629 Persuasion, perception and, 761 Pervasive developmental disorders, 260, 494 Perversion, 69, 778 PET scanning. See Positron emission tomography (PET) Petersen, Ronald C., 46 Phallic stage, 315, 386, 657, 901, 934 Phallus, 68 Phases, groups and, 365 998
Phasic activity, 611 Phenomenology, 934 Phenylketonuria (PKU), 122, 536 Pheromones, 334, 397, 424, 935 Phobias, 133, 630-637, 701, 935; agoraphobia, 96; anxiety and, 93; cognitive therapy and, 196; emotions and, 326; learning and, 485; stress and, 815, 820 Phonemes, 465, 935 Phonology, 465, 935 Physical attractiveness; affiliation and, 31; attraction and, 116 Physical attractiveness stereotype, 116 Physical contact, imprinting and, 424 Physiological habituation, 612 Physiological patterns, personality and, 611 Physiological psychology, 669 Piaget, Jean, 14, 350, 383, 953; cognitive development, 172-178; consciousness, 212; development, 257; intelligence, 459; language, 471; moral development and, 546 Pibloqtoq, 12 Pick’s disease, 243 Piliavin, Jane Allyn, 379 Pineal gland, 144, 935 Pinel, Philippe, 509, 953 Piotrowski, Zygmunt, 291 Pitch, 935 Pituitary, 935 Pituitary-adrenal axis, 829 Pituitary gland, 144, 332 PKU. See Phenylketonuria (PKU) Placebo, 935; depression and, 162 Placebo effect, 568, 935 Plaques, Alzheimer’s disease and, 53 Plasticity, 935 Plato, 214, 288 Play therapy, 935 Pleasure, 853 Pleasure principle, 294, 553, 647 Pleck, Joseph, 351 Plomin, Robert, 327 Plous, S., 89 Plutchik, Robert, 324 Pneumonia, Alzheimer’s disease and, 57
Index Polanyi, Michael, 750 Polls, survey research and, 873 Polygraphs, 325 Polysynaptic reflexes, 720 Pons, 142, 935 Population, 935 Positive reinforcement, 935. See also Reinforcement Positron emission tomography (PET), 935 Possession; fugue and, 63; madness and, 507 Postformal thought, 19 Postmodernism, self and, 752 Postpartum mood episodes, 543 Postsynaptic potential, 935 Post-traumatic stress disorder (PTSD), 279, 821, 935; nightmares and, 287 Power, inferiority complex and, 432 Power law, 936 Pragmatics, 466 Pragmatism, 936; behaviorism and, 716 Pratkanis, Anthony, 761 Preconscious, 73, 216 Predatory aggression, 37 Prefrontal cortex, 526 Prefrontal leucotomy (lobotomy), 691 Pregnancy, 26; adolescence and, 28 Prejudice, 936; Allport, Gordon, 405; individual psychology and, 433 Premack, David, 206 Prenatal testing, mental retardation and, 537 Preoperational stage, 173, 257, 936 Preparedness, 94, 936; instincts and, 447 Preparedness theory, phobias and, 631 Prescription drug abuse, 300 President’s Committee on Mental Retardation (PCMR), 260 Press, 625 Prevention programs, 861 Pribram, Karl, 217 Primacy effect, 936 Primal scene, 66 Primary drives, 726, 876 Primary emotions, 324 Primary Mental Abilities test, 463 Primary motives, 408, 936
Primary needs, 625 Primary process, 375 Primary reinforcer, 936 Primary sex characteristics, 23, 936 Priming, 936 Prisoner’s dilemma, 936 Private logic, 432 Probability, 936 Problem solving, 14, 168; intelligence and, 226, 454 Problem-solving therapy, 168 Productive love, 795 Productive work, 795 Progesterone, 936 Prognosis, 273 Programmed instruction, 936 Progressive lateralization hypothesis of learning disorders, 495 Progressive muscle relaxation, 936 Projection, 8 Projective task, 936 Proposition, 936 Proprium, 403 Prosocial behavior, 936; crowds and, 234; helping and, 383 Prosody, 467 Prospective memory, 185 Protestant work ethic, 798 Prototypes, 936; cognitive, 189 Proxemics, 936 Proximity, attraction and, 115 Proximo-distal development, 937 Pseudodementia, 243 Psilocybin, 219 Psyche, 72 Psychoactive drugs, 219, 937 Psychoanalysis, 638-646, 903; women’s psychology and, 894 Psychoanalytic psychology, 647-654; Freud, Sigmund, 655-661 Psychoanalytic psychotherapy, 642 Psychoanalytic theories, 937; domestic violence, 279; homosexuality, 386; obsessive-compulsive disorder, 579; personality, 617 Psychoanalytic therapy, depression and, 158 Psychobiology, 937
999
Psychology Basics Psychodynamic theories; development, 255; schizophrenia, 738 Psychodynamic therapies, 79, 699 Psychogenic amnesia, 60 Psychogenic disorder, 937 Psychological autopsy, 860 Psychological disorders, 674 Psychological moratorium, 417 Psychologists, 508 Psychologists for the Ethical Treatment of Animals (PSYETA), 89 Psychology; definition, 662-666; fields of specialization, 667-673 Psychometrics, 14, 451, 937 Psychoneuroimmunology, 838 Psychopathology, 612, 674-682 Psychopharmaceuticals, 511 Psychopharmacology, 299 Psychophysics, 937 Psychophysiology, 937 Psychoses, 699 Psychosexual development; Freud, Sigmund, 315; homosexuality and, 386 Psychosexual stages, 648, 657 Psychosis, 513, 937; schizophrenia and, 732 Psychosocial adjustment, adolescent, 25 Psychosocial crisis, 937 Psychosocial development, 648; Erikson, Erik, 316 Psychosocial moratorium, 319 Psychosomatic disorders, 683-690, 815, 937; emotions and, 327 Psychosurgery, 691-697, 937 Psychotherapy, 937; goals and techniques, 698-703 Psychotic disorders, 69; bipolar II disorder and, 137 Psychotropic drugs, 299 PTSD. See Post-traumatic stress disorder (PTSD) Puberty, 22 Punishers, 487, 712 Punishment, 130, 206, 937 Quasi-experimental designs, 151, 937 Questionnaires, 272, 478, 869, 937; dementia and, 245 1000
Race; definition, 705; intelligence and, 704-710 Racial prejudice, 347 Radical behaviorism, 130; Skinner, B. F., 711-718 Rahe, Richard, 825, 835 Random assignment, 938 Range corollary, 598 Rape, domestic violence and, 278 Rapid cycling, 544 Rapid eye movement (REM) sleep, 143, 218, 286, 780, 938 Ratio schedules, 205, 938 Rational behavior therapy, 166 Rational-emotive therapy, 165, 938 Rayner, Rosalie, 129, 592, 635 Reaction formation, 8; neurosis and, 803 Reaction-time situations, 721 Reactivity, 611 Reading disorder, 493 Real, the, 66 Realistic conflict theory, 938 Reality, memory and, 478 Reality principle, 553, 647 Reasoning, 179, 449-506; adolescence and, 18; hypothetical-deductive, 16 Receptive aphasia, 938 Receptive field, 938 Receptors, 767, 938 Recessive gene, 938 Reciprocal determinism, 787, 938 Reciprocity, attraction and, 114 Recovery times, 373 Recruiting, 442 Reductionism, 938 Reed, Thomas, 764 Referential language acquisition styles, 467 Reflective thinking, 19 Reflex arc, 938 Reflex arc system, 373 Reflexes, 719-724, 938; learning and, 483 Regions, life space and, 345 Regression, 8, 938 Regulation mechanisms, hunger, 408 Regulators, 938
Index Rehabilitation, neuropsychology and, 573 Rehm, Lynn, 169 Reicher, Stephen, 233 Reinforcement, 9, 130, 726, 938; attraction and, 113; conditioning and, 594; learned helplessness and, 478; social learning theory and, 788. See also Negative reinforcement; Positive reinforcement Reinforcement-affect model, 113 Reinforcers, 204, 487, 712, 938 Reinforcing stimulus, 204, 713 Reiss, Steven, 613 Relatedness, 795 Relationships; attraction and, 113; groups and, 366 Relative deprivation, 938 Relaxation, 219, 831; phobia treatment and, 634 Relaxation response, 840 Relaxation training, 701 Reliability, 939 REM sleep. See Rapid eye movement (REM) sleep Repair and restoration theory of sleep, 783 Repetition compulsion, 68 Representativeness, 500, 939 Repressed memories, multiple personality disorder and, 563 Repression, 7, 72, 939; anxiety and, 93; dissociation and, 560; S-R theory and, 728 Reproductive behavior; endocrine system and, 334; hormones and, 395 Rescorla, Robert, 724 Rescorla-Wagner Model, 203 Research; animal, 84; cognitive psychology and, 182; experimentation versus, 338; surveys, 869 Residual schizophrenia, 734 Resistance, 698 Resistant mother, 103 Respondent conditioning, 589 Response cost, 939 Response hierarchies, 725, 939 Response-outcome expectancies, 189
Responses, 813; cues and, 725; reflexes and, 719 Responsibility, helping and, 380 Resting membrane potential, 939 Restricted environmental stimulation therapy (REST), 222 Retardation, 939 Reticular formation, 142, 939 Retina, 939 Retrieval, 939 Retrograde amnesia, 939 Reuptake, 300 Reversibility, 15 Reward models, attraction and, 113 Rewards, 165, 340, 712; conditioning and, 591; helping and, 379; learning and, 484; situational variables and, 190 Rhodopsin, 939 Richardson, Frank, 752 Riecken, Henry, 34 Rimm, Sylvia, 225 Riots, 233 Ritualistic behavior, 577 Road rage, 38 Rod, 939 Rodin, Judith, 480, 816, 824 Rogers, Carl, 9, 405, 435, 556, 610, 617, 668, 702, 748, 805, 953 Role Construct Repertory Test, 598 Role-playing and moral development, 549 Roles, 939; groups and, 865 Romanes, George, 847 Rootedness, 795 Rooting reflex, 722 Rorschach, Hermann, 953 Rosario, Margaret, 27 Rosenhan, David L., 11, 513 Rosenman, Ray, 837 Rosenthal, Robert, 557 Rotter, Julian, 614, 618 Rubin, Zick, 34, 119 Rule-governed behavior, 714, 939 Rules, information processing and, 43 Runners’ high, 840 Rush, Benjamin, 509, 953 Ryan, Richard, 455
1001
Psychology Basics S-R theory, 725-730 S sleep, 286, 781 SAD. See Seasonal affective disorder (SAD) Sadism, 775 Sadomasochism, 775 Sample, 939 Sampling, survey research and, 871 Sampling error, 939 Sampson, Edward, 752 Sapir-Whorf hypothesis, 472 Sartre, Jean-Paul, 214 SAT. See Scholastic Aptitude Test (SAT) Satiety, 939 Satiety boundary, 408 Sattler, Jerome M., 461 Saussure, Ferdinand de, 68 Scarr, Sandra, 708 Schachter, Stanley, 30, 32, 34, 327, 414 Schedules of reinforcement, 713 Schemata, 172, 195, 939; gender, 351 Schizoid personality disorder, 603 Schizophrenia, 304, 569, 675, 939; autism and, 121; background, types, and symptoms, 731-737; bipolar disorders versus, 136; personality disorders and, 604; psychosurgery and, 691; theoretical explanations, 738-745 Schizophrenia spectrum of illness, 742 Schizotypal personality disorder, 603, 742 Scholastic Aptitude Test (SAT), 191 Schwann cell, 940 Schwartz, Hillel, 411 Schwartz, Robert, 412 Scientific method, 337; case studies and, 152; research methods and, 871 Scott, Walter Dill, 439 Screening, 271 Script, 940 Sdorow, Lester, 43 Seasonal affective disorder (SAD), 137, 139, 544, 940 Sechenov, Ivan, 721 Second-signal system of conditioning, 591 Secondary dispositions, 403 1002
Secondary drives, 726, 876 Secondary emotions, 324 Secondary needs, 625 Secondary reinforcement, 940 Secondary sex characteristics, 23, 940 Seduction phase, 66 Seduction theory, 904 Selective abstraction, 197 Selective attention, 762 Selective norepinephrine reuptake inhibitors (SNRIs), 541 Selective serotonin reuptake inhibitors (SSRIs), 301, 311, 541, 568 Self, 754-759, 940; analytical psychology, 72; theories, 890 Self-actualization, 9, 940 Self-analysis, Horney, Karen, 804 Self-archetype, 74 Self-characterization sketch, 599 Self-concept, 9, 940; self-esteem and, 754 Self-control, 190 Self-control therapy, 169 Self-definition, groups and, 365 Self-discovery, analytical psychology and, 82 Self-effacing behavior, 894 Self-efficacy, 788, 940 Self-efficacy theory, 790 Self-esteem, 430, 754-759, 940; learned helplessness and, 477 Self-image, 940; aggression and, 36 Self-inflated personality, 796 Self-instructional training, 166 Self-medication theories of substance use disorders, 853 Self-monitoring, 198 Self-perception, 940 Self-punishment paranoia, 70 Self-regulation, social learning theory and, 788 Self-regulatory systems, 189 Self-report measurement, 869 Self-report questionnaires; emotions, 324 Self-socialization, 350 Self-talk, 166 Self-identity, personality and, 403
Index Seligman, Martin E. P., 159, 436, 477, 484, 686, 815, 822 Selman, Robert, 18, 177 Selye, Hans, 331, 683, 817, 825, 829, 835, 954 Semantic memory, 180, 517, 880, 940 Semantics, 465 Sensation, 845, 940; perception and, 760-766; senses and, 767 Senses, 767-773 Sensing, analytical psychology, 74 Sensitization, 372-378, 525 Sensorimotor stage, 173, 257, 940 Sensoriperceptual changes, aging and, 45 Sensory adaptation, 373, 761 Sensory deprivation, 221 Sensory memory, 517, 940 Sensory thresholds, 760 Separation protest, 101 Serbin, Lisa, 353 Serial processing, 883, 940 Seriation, 174 Serotonin, 301, 541, 568 Set point, 940 Sex, 940 Sex hormones, 396 Sex roles, 25; transcendence, 351 Sex typing, 349, 941 Sexual abuse, 776; eating disorders and, 308 Sexual behavior, 569 Sexual instinct, 941 Sexual orientation, 388; adolescence, 27 Sexual scripts in adolescence, 26 Sexual variants, 774-779 Sexual violence, 278 Sexuality, 386; aggression and, 39 Shadow archetype, 74, 78 Shaping, 714, 941; learning and, 486 Sherrington, Charles, 723 Shneidman, Edwin, 238, 860 Shock therapy. See Electroconvulsive therapy (ECT) Shockley, William, 704 Shore, Cecilia, 467 Short Portable Mental Status Questionnaire, 245
Short-term memory, 42, 180, 516, 527, 880, 941 Sibling rivalry, 431 Side effects, drugs, 300 Siegall, Marc, 441 Sighele, Scipio, 230 Sight, 767 Sign stimuli, 373 Signal recognition, 760 Significance level, 941 Signifier and signified, 67 Signs, 270 Similarity, attraction and, 116 Simmelhag, V., 206 Simon, H. A. Simon, Herbert, 44, 505 Simon, Théodore, 227, 450, 457, 954 Simultaneous conditioning, 202 Situational variables, 188, 190, 383 Skin, 768 Skinner, B. F., 9, 130, 204, 524, 628, 849, 954; development, 256; language, 468; learning, 484; personality, 610; Piaget, Jean, versus, 177; radical behaviorism, 711-718 Skinner box, 941 Sleep, 218, 780-786; memory and, 519 Sleep mentation, 286 Slobin, Dan Isaac, 469 Smell, 768; imprinting and, 424 SNRIs. See Selective norepinephrine reuptake inhibitors (SNRIs) Snyder, Mark, 749 Social anxiety disorder, 680 Social bonding; autism and, 122; imprinting and, 424 Social categorization, 941 Social change, 346 Social cognition, 185, 941; moral development and, 550 Social cognitive psychology, self and, 749 Social cognitive theory, 788 Social comparison, 941 Social comparison theory, 30 Social contexts, learning and, 727 Social density, 369 Social exchange theory, 114 Social facilitation, 865, 941 1003
Psychology Basics Social identity theory, 231, 941 Social inhibition, 865 Social interactions, case studies and, 154 Social interest, individual psychology and, 432 Social isolation, suicide and, 858 Social learning theory, 279, 941; Bandura, Albert, 787-793; groups and, 864; personality, 610, 618; phobias and, 631 Social limits, 317 Social loafing, 941 Social order, moral development and, 548 Social phobias, 630, 941 Social psychological models; Fromm, Erich, 794-800; Horney, Karen, 801806 Social psychology, 670, 941 Social Readjustment Rating Scale, 835 Social status, race and, 705 Social support, 941; depression and, 250 Social support systems, groups and, 370 Socialization, 941; hunger and, 409; identity crises and, 417; women’s psychology and, 888 Société Française de Psychanalyse (SFP), 71 Sociobiology, 942; animal experimentation and, 84; groups and, 864 SOI model. See Structure-of-intellect (SOI) model Solms, Mark, 645 Somatic therapy, 681 Somatization disorders, 942 Somatoform disorders, 683, 942 Somnambulism, 942 Soul, self versus, 746 Sound, 768 Spatial density, 369 Spearman, Charles, 452 Special education, 497; developmental disabilities and, 266 Species-specific behavior, 446 Specific phobias, 630 1004
Speech; autism and, 122 Speech disorders, 807-812 Speech-language pathology, 811 Speech registers, 466 Spencer, Herbert, 847, 954 Sperry, Roger, 148 Spielberger, Charles, 814, 823 Spinal cord, 567, 942 Spinal reflex, 719 Spitz, Ren, 88 Split-brain studies, 148 Splitting, 605 Spongiform encephalopathy, 244 Spontaneous recovery, 942 Sports psychology, 942 Sprouting, 942 SQ3R method, 520 Sroufe, Alan, 104 SSRIs. See Selective serotonin reuptake inhibitors (SSRIs) Staddon, J. E. R., 206 Stage theories of language acquisition, 466 Stage theory of development, 942 Stages of dying, 238 Stagnation, 321 Standard deviation, 942 Standardization, 942 Standardized Mental Status Tests, 244 Stanford-Binet Intelligence Test, 227, 356, 458 Startle response, 372 Starvation, anorexia nervosa and, 309 State-dependent memory, 520 State emotion, 324 State system, 373 State-Trait Anxiety Inventory, 814 States of consciousness, 217 Static adaptation, 794 Statistical significance, 942 Status; identity crises, 418; race and, 705 Stereotypes, 942; gender, 350 Sternberg, Robert, 32, 44, 225, 451, 454 Sternberg, Saul, 883 Steroids, 397 Stimulants, 942
Index Stimuli; conditioning and, 589; reflexes and, 719; senses and, 771 Stimulus, 813, 942; drives and, 293; habituation and sensitization and, 372; learning cues, 725 Stimulus control, 131 Stimulus error, 845 Stimulus generalization, 727, 942 Stimulus-outcome expectancies, 189 Stokols, Daniel, 821 Stomach, hunger and, 413 Storage, 942 Storfer, Miles, 227 Stott, Clifford, 233 Strange situation, 101, 942 Straus, Murray, 488 Strentz, Thomas, 824 Stress, 813-818, 943; amnesia and, 59; behavioral and psychological responses, 819-827; depression and, 158, 250; endocrine system and, 331; group support and, 866; hormones and, 395, 398; phobias and, 631; physiological responses, 828-834; psychosomatic disorders and, 683; sleep deprivation and, 783; suicide and, 859; twin studies and, 839 Stress inoculation training, 167 Stress management, 819 Stress-related diseases, 835-842 Stressors, 813, 943 Striate cortex, 943 Stroke, 943 Structural psychotherapy, 169 Structuralism, 663, 668, 771, 843-850, 943 Structure-of-intellect (SOI) model, 453 Study of Values, 404 Stuttering, 808 Subclinical, 272 Subject-object distinctions, 67 Subject variables, 340 Subjective experience, 210 Subjective stimulus values, 189 Sublimation, 8, 943 Subliminal signals, 761 Substance abuse; death and, 300; eating disorders and, 308; identity
crises and, 420; personality disorders and, 608 Substance dependance disorders, 851 Substance P, 569 Substance use disorders, 851-857 Substantia nigra, 586 Subtraction technique of thought measurement, 881 Success, 755; fear of, 627, 897 Sucking reflex, 375, 722 Suffix, 943 Suicidal gestures, 860 Suicide, 858-863; depression and, 157, 247 Suinn, Richard, 170 Sullivan, Harry Stack, 315, 650, 739, 747, 954 Superego, 7, 256, 547, 553, 617, 647, 656, 901, 943 Supernatural beliefs; dreams and, 288; madness and, 507 Superstition, 205; compulsions versus, 578 Support groups, 864-868; dementia, 246 Surgery, 691-697 Surrealism, Lacan, Jacques, and, 70 Survey methods, 272 Survey research; questionnaires and interviews, 869-875 Sutherland, Grant R., 535 Syllogism, 943 Symbiotic relationship, 943 Symbolic, the, 66 Symbolic modeling, 788 Symbols; language and, 465; social learning theory and, 788 Symonds, Alexandra, 896 Sympathetic nervous system, 567, 943; stress and, 829 Symptoms, 270 Synapses, 568, 943 Synchronized electroencephalogram, 943 Syntax, 465 System of Multi-Cultural Pluralistic Assessment (SOMPA), 459 Systematic desensitization, 133, 485,
1005
Psychology Basics 593, 943; phobias and, 636. See also Desensitization Systematic experimental introspection, 844 Systematic rational restructuring, 167 Systems theory, 898, 943 Szasz, Thomas, 6 Tachistoscope, 943 Tajfel, Henri, 231 Tantrums, 37 Tardive dyskinesia, 943 Tarnow, Eugen, 232 Tart, Charles, 217 Taste aversions, 202, 485, 526; instincts and, 447 Taste buds, 768 TAT. See Thematic Apperception Test (TAT) Tau proteins, 53 Taylor, Frederick Winslow, 438 Teaching; adolescent students and, 16; gifted students and, 357 Technological moratorium, 417 Tectum, 144 Teenage pregnancy, 28 Teenage suicide, 859 Tegmentum, 144 Telegraphic speech, 466 Temporal lobes, 147, 943 Tensions, 346 Teratogens, mental retardation and, 537 Terman, Lewis, 356, 451, 458, 954 Terminal illnesses, stages and, 238 Territoriality, 395 Test-retest reliability, 943 Testing; intelligence, 450; personality and, 619 Testosterone, 38, 335, 397, 944 Thalamotomy, 587 Thalamus, 144, 567, 944 Thanatology, 238 Thanatos, 647 Thematic Apperception Test (TAT), 625, 671, 944 Theoretical models, psychotherapy and, 699 Theory, 944 1006
Therapeutic alliance, 700 Therapeutic interviews, 871 Therapeutic relationship, analytical psychology, 79 Therapy, 944; learning and, 728 Thermoreceptors, 769, 944 Thinking; analytical psychology, 74; behaviorism and, 132; psychopathology and, 677 Thirst, 876-879 Thompson, Richard F., 722 Thorndike, Edward L., 203, 296, 463, 484, 524, 711, 849, 954 Thought; obsessions and, 577; schizophrenia and, 732; study and measurement, 880-885 Threat, stress and, 821 Threat simulation theory, 213 Threshold, 944 Thurstone, L. L., 453, 463, 874 Thyroxine, 944 Time and motion studies, 439 Time loss, multiple personality disorder and, 561 Tinbergen, Nikolaas, 424 Titchener, Edward, 663, 668, 844, 955 Token economies, 208 Tolman, Edward C., 87, 556 Tonic activity, 611 Topography, groups, 366 Torrance Tests of Creative Thinking, 227 Torrance, E. Paul, 227 Touch, 768 Training, 442 Trait emotion, 324 Trait theory, 402, 944 Traits, personality, 602 Transcendence, 795 Transcendental meditation, 212 Transduction, 767, 944 Transference, 80, 641, 659, 904, 944; SR theory and, 729 Transformation; analytical psychology, 80 Transformational generative grammar, 468 Transgenics, 528 Transsexualism, 352, 389
Index Transvestic fetishism, 776 Transvestites, 389, 944 Trauma; amnesia and, 62; multiple personality disorder and, 559 Treatment and Education of Autistic and Related Communication Handicapped Children (TEACCH), 125 Treatment of Depression Collaborative Research Program, 162 Trial and error, 486 Tricyclic antidepressants, 301, 541, 944 Triggers, 9 True negatives, 271 True positives, 271 Trust, personality disorders and, 607 Truth, logic and, 500 Tryon, Robert, 87 Tuckman, Bruce, 365 Tulving, Endel, 44 Turner, John, 231 Turner, Ralph, 756 Tversky, Amos, 183 Twelve-step groups, 866 Twin studies; intelligence and, 705; personality and, 610; psychopathology and, 678; schizophrenia and, 741; stress and, 839; temperament and, 839 Two-dimensional circumplex model of stress, 820 Two-factor model of phobias, 631 Two-factor theory, 93, 944 Type A behavior pattern, 614, 685, 837 Type A personality, 944
655; psychoanalysis and, 638; sleep and, 780 Unconscious motivation, 8 Undifferentiated schizophrenia, 734 Unipolar depression, 248, 945 Universal grammar, 468 UR. See Unconditioned response (UR) US. See Unconditioned stimulus (US)
Ultrasound, 769 Umwelt, 769 Uncertainty, personal constructs theory and, 596 Unconditional positive regard, 10, 944 Unconditioned response (UR), 202, 485, 589, 944 Unconditioned stimulus (US), 201, 485, 589, 944 Unconscious, 216, 647, 677, 900, 904, 945; collective, 73, 78; dreams and, 287; Lacan, Jacques, 68; personal, 72, 78; personality and, 602, 610,
Wagnen, William van, 148 Wagner, Allan, 724 Wagner, Hugh, 37 Walker, Lawrence J., 890 Walker, Lenore, 278 Wallace, R. K., 220 Walster, Elaine Hatfield, 116 Walters, Richard H., 792 Warden, Carl J., 294 Warfare, death and, 239 Watson, John B., 9, 128, 184, 211, 256, 330, 524, 592, 628, 635, 663, 729, 849, 955
Valence, 323 Validity, 945; logic and, 500 Van Bourgondien, Mary, 124 Van Geert, Paul, 474 Variables, 339; controlling, 713; situational, 383 Vascular dementia, 243 Verbal behavior, 132, 468 Vernon, Philip E., 404, 453 Vicarious experiences, 790 Vicarious learning, 945 Victimization, learned helplessness and, 479 Violence; crowds and, 233; domestic, 277-284; sexual, 278 Visceral responses, 323 Visions, dreaming and, 285 Visual cortex, 945 Visual cues, imprinting and, 424 Visual dyslexia, 945 Vogel, Philip, 148 Voice disorders, 809 Voluntarism, 843 Vomiting, eating disorders and, 309 Voyeurism, 774, 945 Vygotsky, Lev, 471
1007
Psychology Basics Watts, James W., 694 Wavelength, 945 Wechsler, David, 451, 458 Wechsler Adult Intelligence Scale (WAIS), 357 Wechsler scales, 459 Weight, eating disorders and, 306 Werner, Heinz, 257 Wertheimer, Max, 345, 668, 762 Wetherall, Charles F., 225 White, Robert, 553 White matter, 945 Wicklund, Robert, 749 Wiesel, Torsten, 87 Wife abuse, 277 Wilcutt, E., 496 Wing, John, 157 Withdrawal reflex, 720 Withdrawn personality, 796 Within-subject design, 945 Wolpe, Joseph, 133, 593, 635, 702 Women; achievement need and, 627; eating disorders and, 307; identity crises and, 419
1008
Women on Words and Images, 353 Women’s movement, 898 Women’s psychology; Freud, Sigmund, 900-907; Gilligan, Carol, 886-893; Horney, Karen, 894-899 Woodworth, Robert S., 849 Word association, 76 Work inhibition, 897 Working memory, 185 Working through, 701, 945 Written expression, disorder of, 493 Wundt, Wilhelm, 184, 211, 662, 668, 771, 843, 955 Xenophobia, 630 Yamada, Jeni, 473 Yerkes, Robert, 439, 458 Yerkes-Dodson law, 822, 945 Yin, Robert, 151 Zajonc, Robert, 31 Zeitgeber, 945 Zoophilia, 776
