Psychology Frontiers and Applications

PSYCHOLOGY
F R O N T I E R S A N D A P P L I C AT I O N S
SIXTH CANA DIAN EDITION
MICHAEL W. PASSER
University of Washington
RONALD E. SMITH
University of Washington
MICHAEL L. ATKINSON
Western University
JOHN B. MITCHELL
Brescia University College, Western University
PSYCHOLOGY: FRONTIERS AND APPLICATIONS, SIXTH CANADIAN EDITION
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ABOUT THE AUTHORS
MICHAEL W. PASSER, PH.D. (Wiley, 2004). An award-winning teacher, he has more than 15
Michael Passer coordinates the introductory psychology pro- years of experience in teaching the introductory psychology
gram at the University of Washington, which enrolls about course.
2500 students per year, and also is the faculty coordinator
of training for new teaching assistants (TAs). He received MICHAEL L. ATKINSON, PH.D.
his bachelor’s degree from the University of Rochester and
Mike Atkinson is Associate Professor of Psychology at West-
his Ph.D. in Psychology from the University of California,
ern University in London, Ontario. Dr. Atkinson received his
Los Angeles, with a specialization in social psychology.
B.Sc. from Dalhousie University in 1975 and his M.Sc. (1978)
Dr. Passer has been a faculty member at the University of
and Ph.D. (1982) from the University of Wisconsin, Madi-
Washington since 1977. A former Danforth Foundation Fel-
son. Dr. Atkinson’s training is in social psychology, but his
low and University of Washington Distinguished Teaching
research and teaching interests place him more in the field
Award finalist, Dr. Passer has had a career-long love of teach-
of educational psychology. “Dr. Mike,” as he is known to his
ing. Each academic year he teaches introductory psychology
students, has been featured in Maclean’s magazine, Media
twice and a required pre-major course in research methods.
Television, and The Globe and Mail. He has also received
Dr. Passer developed and teaches a graduate course on the
numerous teaching awards, including Western University’s
Teaching of Psychology, which prepares students for careers
Professor of the Year award six times, as well as the Stu-
in the college classroom, and has also taught courses in social
dent’s Council/Alumni Western Teaching Award of Excel-
psychology and attribution theory. He has published more
lence, and the Pleva Award for Excellence in Teaching. He
than 20 scientific articles and chapters, primarily in the areas
has also received the 3M Canada Teaching Fellowship for his
of attribution, stress, and anxiety, and has taught the intro-
pioneering work in large-scale multimedia instruction, the
ductory psychology course for almost 20 years.
“Superclass,” and is a certified ISW trainer.
RONALD E. SMITH, PH.D. JOHN B. MITCHELL, PH.D.

Ronald E. Smith is Professor of Psychology and Director of John B. Mitchell is the Associate Academic Dean at Brescia
Clinical Psychology Training at the University of Washington, University College, Western University. Dr. Mitchell received
where he also has served as Area Head of the Social Psychol- his B.A. and M.A. from Queen’s University and his Ph.D. from
ogy and Personality area. He received his bachelor’s degree Concordia University. Following completion of his Ph.D., he
from Marquette University and his Ph.D. from Southern Illinois did post-doctoral research at the Douglas Hospital Research
University, where he had dual specializations in clinical and Centre in Montreal and at the University of Colorado Health
physiological psychology. His major research interests are in Sciences Center in Denver. Dr. Mitchell has taught Introduc-
anxiety, stress, and coping, and in performance enhancement tion to Psychology at Boston College, Brescia University
research and intervention. Dr. Smith is a Fellow of the Ameri- College, and Western University in classes that have ranged
can Psychological Association. He received a Distinguished in size from 50 to 500 students. He has also taught courses in
Alumnus Award from the UCLA Neuropsychiatric Institute for behavioural neuroscience, psychopharmacology, memory,
his contributions to the field of mental health. He has pub- research methods, and, more recently, educational psychol-
lished more than 200 scientific articles and book chapters in ogy. In 2006, Dr. Mitchell received the Brescia University
his areas of interest and has authored or co-authored 29 books College Award for Teaching Excellence and is a certified
on introductory psychology, human performance enhance- ISW trainer. In 2016, Dr. Mitchell founded the Advanced
ment, and personality, including Introduction to Personality: Learning and Teaching Centre (the ALT Centre) at Brescia
Toward an Integration, with Walter Mischel and Yuichi Shoda University College.
BRIEF CONTENTS
PR E FAC E xi v CHAPTER 11
Motivation and Emotion 395
CHAPTER 1
Psychology: The Science of Behaviour 1 CHAPTER 12
Development over the Lifespan 447
CHAPTER 2
Studying Behaviour Scientifically 36 CHAPTER 13
Behaviour in a Social Context 498
CHAPTER 3
Biological Foundations of Behaviour 69 CHAPTER 14
Personality 549
CHAPTER 4
Genes, Evolution, and Behaviour 107 CHAPTER 15
Stress, Coping, and Health 591
CHAPTER 5
Sensation and Perception 141 CHAPTER 16
Psychological Disorders 631
CHAPTER 6
States of Consciousness 191 CHAPTER 17
Treatment of Psychological Disorders 682
CHAPTER 7
Learning and Adaptation: The Role
of Experience 236 APPENDI X: STATI STICS I N
PSYCHOLOGY AP-1
CHAPTER 8 ANSWERS TO THINK ING
Memory 276 CRITICA LLY AN-1
GLOSSARY GL-1
CHAPTER 9
Language and Thinking 314 REFERENCES RE-1
NA M E I NDEX NI -1
CHAPTER 10
Intelligence 356 SUBJ ECT I NDEX SI -1
CONTENTS
PREFAC E xi v
CHAPTER 1
PSYCHOLOGY: THE SCIENCE OF BEHAVIOUR 1
The Nature of Psychology 2 Research Foundations

Psychology’s Scientific Approach 4 Would You Marry Someone You Didn’t Love? 20
Thinking Critically about Behaviour 6 The Biological Perspective: The Brain, Genes,
Psychology’s Goals 8 and Evolution 20
Psychology as a Basic and Applied Science 8 Focus on Neuroscience
Psychology’s Broad Scope: A Simple Framework 8 The Neuroscience of Imaging Studies 22
Perspectives on Behaviour 10 Using Levels of Analysis to Integrate
Psychology’s Intellectual Roots 10 The Perspectives 24
Early Schools: Structuralism and Functionalism 11
Frontiers
The Psychodynamic Perspective: The Forces
Culture, Language, and Behaviour 26
Within 12
An Example: Understanding Depression 27
The Behavioural Perspective: The Power of the
Environment 13 Summary of Major Themes 29
The Humanistic Perspective: Self-Actualization and Psychology Today 29
Positive Psychology 15
The Cognitive Perspective: The Thinking Human 16 Applications
The Sociocultural Perspective: The Embedded Academic Performance Enhancement Strategies 32
Human 18
CHAPTER 2
STUDYING BEHAVIOUR SCIENTIFICALLY 36
Scientific Principles in Psychology 37 Threats to the Validity of Research 58

Scientific Attitudes 37 Confounding of Variables 58
Placebo Effects 59
Research Foundations
Experimenter Expectancy Effects 60
Bystander Intervention 38
Replicating and Generalizing the Findings 61
Gathering Evidence: Steps in the Scientific
Process 39 Frontiers
Two Approaches to Understanding Behaviour 40 Does Esp Exist? 62
Defining and Measuring Variables 41
Ethical Principles in Human and Animal Research 63
Focus on Neuroscience Ethical Standards in Human Research 63
The Neuroscience of the Human Brain at Work 45 Ethical Standards in Animal Research 65
Methods of Research 46 Critical Thinking in Science and Everyday Life 66
Descriptive Research: Recording Events 46
Correlational Research: Measuring Associations Applications
between Events 50 Evaluating Claims in Research and Everyday Life 66
Experiments: Examining Cause and Effect 53
vi CONTENTS
CHAPTER 3
BIOLOGICAL FOUNDATIONS OF BEHAVIOUR 69
The Neural Bases of Behaviour 70 Research Foundations

Neurons 70 Wilder Penfield and a Cortical Map 83
The Electrical Activity of Neurons 71 The Hierarchical Brain: Structures and
How Neurons Communicate: Behavioural Functions 87
Synaptic Transmission 73 Frontiers
Applications Mirror Neurons and Autism Spectrum Disorder 97
Understanding How Drugs Affect Your Brain 76 Focus on Neuroscience
The Nervous System 79 The Neuroscience of Music 103
The Peripheral Nervous System 79
The Central Nervous System 81
CHAPTER 4
GENES, EVOLUTION, AND BEHAVIOUR 107
Genetic Influences 108 Evolution and Behaviour 124

Chromosomes and Genes 108 Evolution of Adaptive Mechanisms 124
Evolution and Human Nature 126
Focus on Neuroscience
Evolutionary Psychology 128
Early Experience, Epigenetics, and Adolescence 111
Behaviour Genetics Techniques 112 Frontiers
Heritability, Evolution, and Politics 129
Applications
Gene Therapy and Genetic Counselling 113 Research Foundations
Gender Differences in the Ideal Mate 133
Genetic Influences on Behaviour 118
Heredity, Environment, and Intelligence 118 How Not to Think about Behaviour Genetics and
Biological Reaction Range, the Environment, Evolutionary Psychology 138
Personality, and Intelligence 119
CHAPTER 5
SENSATION AND PERCEPTION 141
Sensory Processes 143 Frontiers

Stimulus Detection: The Absolute Threshold 144 Sensory Prosthetics: Restoring Lost Function 167
Signal Detection Theory 144 Perception: The Creation of Experience 170
Focus on Neuroscience Perception Is Selective: The Role of Attention 171
The Neuroscience of Subliminal Perception and Perceptions Have Organization and Structure 173
Prosopagnosia 145 Perception Involves Hypothesis Testing 175
The Difference Threshold 147
Applications
Sensory Adaptation 148
Mona Lisa’s Smile 176
The Sensory Systems 149 Perception Is Influenced by Expectations: Perceptual
Vision 149 Sets 176
Audition 158 Stimuli Are Recognizable under Changing Conditions:
Taste and Smell: The Chemical Senses 162 Perceptual Constancies 177
The Skin and Body Senses 164 Perception of Depth, Distance, and Movement 179
CONTENTS vii
Depth and Distance Perception 179 Research Foundations

Perception of Movement 180 Critical Periods: The Role of Early Experience 185
Cross-Cultural Research on Perception 187
Illusions: False Perceptual Hypotheses 181
Restored Sensory Capacity 188
Experience, Critical Periods, and Perceptual
Development 184
CHAPTER 6
STATES OF CONSCIOUSNESS 191
The Puzzle of Consciousness 192 Focus on Neuroscience

Measuring States of Consciousness 193 Dreams and Daydreams 213
Levels of Consciousness: Psychodynamic Drugs and Altered Consciousness 217
and Cognitive Perspectives 193
Drugs and the Brain 217
Frontiers Tolerance and Withdrawal 218
Detecting Awareness 194 Depressants 220
The Neural Basis of Consciousness 196
Circadian Rhythms: Our Daily Biological Clocks 197 Drinking and Driving: Decision Making in Altered States 222
Keeping Time: Brain and Environment 198 Stimulants 223
Environmental Disruptions of Circadian Opiates 225
Rhythms 200 Hallucinogens 226
Sleep and Dreaming 201 Marijuana 226
From Genes to Culture: Determinants of Drug
Stages of Sleep 201 Effects 227
Getting a Night’s Sleep: Brain and Environment 204
How Much Do We Sleep? 204 Hypnosis 230
Sleep Deprivation 205 The Scientific Study of Hypnosis 230
Hypnotic Behaviours and Experiences 230
Applications
Theories of Hypnosis 232
A Good Night’s Sleep 206
Why Do We Sleep? 207 Some Final Thoughts 234
Sleep Disorders 208
The Nature of Dreams 210
CHAPTER 7
LEARNING AND ADAPTATION: THE ROLE OF EXPERIENCE 236
Adapting to the Environment 237 Operant Conditioning: Learning through

How Do We Learn? The Search for Mechanisms 237 Consequences 247
Habituation and Sensitization 238 Thorndike’s Law of Effect 248
Skinner’s Analysis of Operant Conditioning 248
Classical Conditioning: Associating One Stimulus
with Another 239 Antecedent Conditions: Identifying When to
Respond 250
Pavlov’s Pioneering Research 240 Consequences: Determining How to Respond 250
Basic Principles 240 Shaping and Chaining: Taking One Step at a
Applications of Classical Conditioning 243 Time 254
Applications Generalization and Discrimination 254
Learning, Virtual Reality, and Therapy 246 Schedules of Reinforcement 255
viii CONTENTS
Escape and Avoidance Conditioning 258 Focus on Neuroscience

Applications of Operant Conditioning 259 Place Cells and Cognitive Maps 266
Cognition in Classical Conditioning 266
Biology and Learning 261
Constraints on Classical Conditioning: Learned Frontiers
Taste Aversions 261 Animal Cognition 268
Are We Biologically Prepared to Fear Certain Cognition in Operant Conditioning 269
Things? 262
Observational Learning: When Others Pave
Constraints on Operant Conditioning: Animals
The Way 270
That “Won’t Shape Up” 263
Learning and the Brain 263 Bandura’s Social-Cognitive Theory 271
Cognition and Learning 264 Research Foundations

Using Social-Cognitive Learning Theory to Prevent AIDS:
Insight and Cognitive Maps 264
A National Experiment 274
CHAPTER 8
MEMORY 276
Memory as Information Processing 277 Forgetting 297

A Three-Component Model 278 The Course of Forgetting 297
Why Do We Forget? 298
Amnesia 300
In Search of the Icon 279
Forgetting to Do Things: Prospective Memory 302
Encoding: Entering Information 283
Frontiers
Effortful and Automatic Processing 283
Methods to Enhance Memory 303
Levels of Processing:
When Deeper Is Better 284 Memory as a Constructive Process 304
Exposure and Rehearsal 284 Memory Distortion and Schemas 304
Organization and Imagery 285 The Misinformation Effect
How Prior Knowledge Shapes Encoding 287 and Eyewitness Testimony 306
Storage: Retaining Information 289 The “Recovered Memory” Controversy: Repression
or Reconstruction? 307
Memory as a Network 289
Types of Long-Term Memory 290 The Biology of Memory 309
Sensory and Working Memory 309
Retrieval: Accessing Information 292
Long-Term Memory 310
The Value of Multiple and Self-Generated Cues 292
The Value of Distinctiveness 293 Focus on Neuroscience
Context, State, and Mood Effects on Memory 294 How Are Memories Formed? 311
Applications
Improving Memory and Academic Learning 296
CHAPTER 9
LANGUAGE AND THINKING 314
Language 315 Bilingualism: Learning a Second

Adaptive Functions of Language 315 Language 325
Properties of Language 316 Linguistic Influences on Thinking 328
The Structure of Language 317 Focus on Neuroscience
Understanding and Producing Language 318 The Bilingual Brain 329
Acquiring a First Language 323
CONTENTS ix
Frontiers Applications
Can Animals Acquire Human Language? 331 Guidelines for Creative Problem Solving 345
Thinking 334 Mental Imagery 347
Metacognition: Knowing Your Own Cognitive
Thought, Brain, and Mind 334 Abilities 350
Concepts and Propositions 335
Reasoning 335 Research Foundations
Problem Solving 338 “Why Did I Get That Wrong?” Improving Students’ Awareness
of Whether They Understand Text MateriaL 351
Knowledge, Expertise, and Wisdom 344
CHAPTER 10
INTELLIGENCE 356
Intelligence in Historical Perspective 358 Focus on Neuroscience

Sir Francis Galton: Quantifying Mental Ability 358 Brain Size and Intelligence 379
Alfred Binet’s Mental Tests 358 Heredity, Environment, and Intelligence 379
Binet’s Legacy: An Intelligence-Testing Industry
Emerges 360 Group Differences in Intelligence 382
The Nature of Intelligence 361 Applications
The Psychometric Approach: The Structure Early-Childhood Interventions: A Means of Boosting
of Intellect 361 Intelligence? 382
Cognitive Process Approaches: The Nature Ethnic Group Differences 384
of Intelligent Thinking 365 Sex Differences in Cognitive Abilities 386
Broader Conceptions of Intelligence: Beyond Mental Research Foundations
Competencies 367
Effects of Hormonal Fluctuations on Perceptual
The Measurement of Intelligence 370 and Motor Skills 388
Increasing the Informational Yield from Intelligence Extremes of Intelligence 389
Tests 371
The Intellectually Gifted 389
Theory-Based Intelligence Tests 371
Should We Test for Aptitude or Achievement? 371 Frontiers
Psychometric Standards for Intelligence Tests 372 Musical Training and Auditory Processing 390
Assessing Intelligence in Non-Western The Intellectually Disabled 390
Cultures 377 A Concluding Thought 393
CHAPTER 11
MOTIVATION AND EMOTION 395
Perspectives on Motivation 396 Psychological Aspects of Hunger 405

Instinct Theory and Evolutionary Psychology 396 Environmental and Cultural Factors 407
Homeostasis and Drive Theory 396 Obesity 408
Incentive and Expectancy Theories 397 Applications
Psychodynamic and Humanistic Theories 398 The Battle to Control Eating and Weight 410
Hunger and Weight Regulation 400 Sexual Motivation 411
The Physiology of Hunger 400 Sexual Behaviour: Patterns and Changes 411
Focus on Neuroscience The Physiology of Sex 412
Brain Activation and Food Cues 404 The Psychology of Sex 414
x CONTENTS
Cultural and Environmental Influences 414 The Adaptive Value of Emotion 425
Sexual Orientation 417 The Nature of Emotion 426
Achievement Motivation 420 Frontiers
The Thrill of Victory, the Agony of Defeat 420 A New Emotion? 436
Achievement Goal Theory 420 Theories of Emotion 438
Achievement Needs and Situational
The James-Lange Somatic Theory 438
Factors 422
The Cannon-Bard Theory 438
Family and Cultural Influences 422
Cognitive-Affective Theories 440
Motivational Conflict 423
The Nature and Functions of Emotion 424 Cognition-Arousal Relations 442
CHAPTER 12
DEVELOPMENT OVER THE LIFESPAN 447
Prenatal Development 449 Applications

Genetics and Sex Determination 449 Understanding How Divorce and Remarriage Affect
Environmental Influences 450 Children 473
Moral Development 475
Infancy and Childhood 451
Adolescence and Adulthood 478
The Amazing Newborn 452
Sensory-Perceptual Development 454 Physical Development 479
Physical, Brain, and Motor Development 455 Focus on Neuroscience
Cognitive Development 457 The Neuroscience of the Teenage Brain 481
Social-Emotional and Personality Cognitive Development 483
Development 465 Social-Emotional and Personality Development 487
Frontiers Research Foundations
Social Media and Social Development 466 What Does It Take to Become an Adult? 490
CHAPTER 13
BEHAVIOUR IN A SOCIAL CONTEXT 498
Social Thinking and Perception 499 Social Relations 523

Attribution: Perceiving the Causes of Behaviour 499 Affiliation and Interpersonal Attraction 523
Forming and Maintaining Impressions 503 Love 528
Attitudes and Attitude Change 504 Prejudice and Discrimination 529
Social Influence 509 Applications
The Mere Presence of Others 509 Making Close Relationships Work: Lessons from
Social Norms: The Rules Psychological Research 530
of the Game 510 Focus on Neuroscience
Conformity and Obedience 511 The Neuroscience of Stereotyping 532
Research Foundations Prosocial Behaviour: Helping Others 536
The Dilemma of Obedience: When Conscience Confronts Aggression: Harming Others 540
Malevolent Authority 514
Frontiers
Crowd Behaviour
Do Violent Video Games Promote Aggression? 545
and Deindividuation 518
Group Influences on Performance and Decision
Making 519
CONTENTS xi
CHAPTER 14
PERSONALITY 549
What Is Personality? 550 Social Cognitive Theories 573

The Psychodynamic Perspective 550 Julian Rotter: Expectancy, Reinforcement Value,
and Locus of Control 574
Freud’s Psychoanalytic Theory 551 Albert Bandura: The Social Cognitive Perspective
Frontiers and Self-Efficacy 575
Attachment Style and Abusive Romantic Relationships 556 Research Foundations
Evaluating Psychoanalytic Theory 557 Albert Bandura, Human Agency, and the Social Cognitive
The Humanistic Perspective 558 Perspective 576
George Kelly’s Personal Construct Theory 559 Applications
Carl Rogers’s Self Theory 559 Increasing Self-Efficacy through Systematic Goal
Setting 578
Walter Mischel: The Consistency Paradox and If . . .
The Neurobiology of the Self 562 Then . . . Behaviour Consistencies 581
Research on the Self 565 Evaluating Social Cognitive Theories 581
Evaluating Humanistic Theories 566
Personality Assessment 582
Trait and Biological Perspectives 567
Interviews 583
Cattell’s Sixteen Personality Factors 567 Behavioural Assessment 584
Eysenck’s Extraversion-Stability Model 568 Remote Behaviour Sampling 584
The Five Factor Model 569 Personality Scales 585
Traits and Behaviour Prediction 570 Projective Tests 586
Biological Foundations of Personality Traits 571 Personality Theory and Personality Assessment 589
The Stability of Personality Traits 571
Evaluating the Trait Approach 573
CHAPTER 15
STRESS, COPING, AND HEALTH 591
The Nature of Stress 592 Research Foundations

Stressors 593 Stress, Physical Contact, and Health: I Wanna Hold
The Stress Response 594 Your Hand 610
Chronic Stress and the GAS 595 Frontiers
Stress and Health 597 Mindfulness and the Stresses of Teaching 612
Bottling Up Feelings: The Costs of Constraint 613
Stress and Psychological Well-Being 597
Gender, Culture, and Coping 614
Post-Traumatic Stress Disorder (PTSD) 598
Stress and Illness 599 Health Promotion and Illness Prevention 615
Vulnerability and Protective Factors 601 How People Change: The Transtheoretical
Model 616
Social Support 602
Increasing Behaviours That Enhance
Focus on Neuroscience Health 618
The Neuroscience of Social Support 603 Reducing Behaviours That Impair Health 621
Hardiness 604 Combatting Substance Abuse 622
Coping Self-Efficacy 605
Psychological Approaches to Treatment and
Optimism 605 Prevention 623
Personality Factors 606
Finding Meaning in Stressful Life Events 607 Positive Psychology 627
Coping with Stress 608 Applications

Effectiveness of Coping Strategies 609 How to Be Happy 628
xii CONTENTS
CHAPTER 16
PSYCHOLOGICAL DISORDERS 631
The Scope and Nature of Psychological Disorders 632 Prevalence and Course of Mood Disorders 652
What Is “Abnormal”? 632 Causal Factors in Mood Disorders 653
Historical Perspectives on Deviant Behaviour 634 Applications

Understanding and Preventing Suicide 658
Diagnosing Psychological Disorders 636
Somatic Symptom Disorders 660
The DSM-5: Integrating Categorical and Dimensional
Approaches 637 Dissociative Disorders 662
Critical Issues in Diagnostic Labelling 638 What Causes Dissociative Identity Disorder? 662
Research Foundations Frontiers
On Being Sane in Insane Places 639 Dissociative Identity Disorder: A Clinical and Scientific
Puzzle 663
Anxiety Disorders 641
Phobic Disorder 642 Schizophrenia 665
Generalized Anxiety Disorder 643 Characteristics of Schizophrenia 665
Panic Disorder 643 Subtypes of Schizophrenia 666
Obsessive-Compulsive Disorder (OCD) 644 Causal Factors in Schizophrenia 667
Causal Factors in Anxiety Disorders and OCD 644 Personality Disorders 671
Antisocial Personality Disorder 672
The Neuroscience of Obsessive-Compulsive Disorder 645 Borderline Personality Disorder 675
Eating Disorders 648 Disorders of Childhood and Old Age 677
Mood (Affective) Disorders 650 Childhood Disorders 677
Depression 651 Dementia in Old Age 679
Bipolar Disorder 652 A Closing Thought 680
CHAPTER 17
TREATMENT OF PSYCHOLOGICAL DISORDERS 682
The Helping Relationship 683 Frontiers 697

Virtual Reality as a Therapeutic Technique 697
Psychodynamic Therapies 684
Operant Conditioning Treatments 699
Psychoanalysis 684 Modelling and Social Skills Training 701
Brief Psychodynamic Therapies 686
“Third-Wave” Cognitive-Behavioural Therapies 702
Humanistic Psychotherapies 688
Mindfulness-Based Treatments 702
Client-Centred Therapy 688
Gestalt Therapy 690
Cultural and Gender Issues in Psychotherapy 705
Cultural Factors in Treatment Utilization 705
Cognitive Therapies 691
Gender Issues in Therapy 706
Ellis’s Rational-Emotive Therapy (RET) 692
Beck’s Cognitive Therapy 693
Evaluating Psychotherapies 707
Psychotherapy Research Methods 708
Behaviour Therapies 694
Factors Affecting the Outcome of Therapy 711
Classical Conditioning Treatments 694
Focus on Neuroscience Drug versus Psychological Treatments for Depression:
The Neuroscience of Treating Unipolar Depression 695 A Randomized Clinical Trial 713
CONTENTS xiii
Biological Approaches to Treatment 715 A P P E NDIX : S TAT IS T IC S IN

Drug Therapies 715 P S YC HOL OGY A P - 1
Electroconvulsive Therapy 718
Psychosurgery 719 A NS WE R S T O T HINK ING
Mind, Body, and Therapeutic Interventions 719 C R IT ICA L LY A N- 1
Psychological Disorders and Society 721
GL OS SA RY GL - 1
Deinstitutionalization 722
Preventive Mental Health 723
R E F E R E NC E S R E - 1
A Final Word 725
NA ME INDE X NI- 1
Applications
When and Where to Seek Therapy 725
S UB JE C T INDE X S I- 1
PREFACE
There is nothing more fascinating than the study of the these pedagogical tools; consequently, we have retained
mind and behaviour. But we didn’t recognize this when these popular features from previous editions.
we entered university. In fact, the study of psychology One of the fastest-evolving areas in psychology is neu-
wasn’t even on our radar screens. Some of us had planned roscience, particularly in the use of neuroimaging. By
careers in the “hard” sciences (M.P., M.A.) and others some estimates, published studies involving some aspect
were focused on the “softer” side (R.S.). One of us (J.M.) of neuroimaging have increased by 3000 percent over the
was pretty sure he would pursue psychology, although past decade! We are now able to examine the neural sub-
philosophy was an attractive alternative. Then something strates for most topics in psychology, including attitude
unexpected occurred. Each of us took an introductory change, fabricated memory, and psychological disorders,
psychology course, and suddenly our life paths changed. in addition to the more traditional topics of brain function
Because of instructors who brought psychology to life, and sensory processing. In an effort to embrace this fast-
we were hooked, and that initial enthusiasm has never moving area of research, we continue to include a Focus
left us. on Neuroscience boxed feature in each chapter, which
Now, through this textbook, we have the pleasure and examines how neuroimaging provides a much more
privilege of sharing our enthusiasm with today’s instruc- detailed understanding of how the mind and brain work.
tors and a new generation of students. We’ve endeavoured Let’s take a look at the features of our sixth Canadian
to create a thoughtfully integrated book and multime- edition.
dia package that strikes just the right balance between
student friendliness and scientific integrity—a teaching
tool that introduces students to psychology as a science, OVERVIEW OF FEATURES
while highlighting its relevance to their lives and society. • Problem-Based Learning: Each chap-
We want students to experience, as we did, the intellec- ter is structured around a set of tools to
tual excitement of studying the mind and behaviour. We help students interact with the material at
also seek to help students sharpen their critical thinking a level that exceeds reading alone. These
skills, dispelling some commonly held myths. We have tools include the chapter-opening vignette,
used clear prose, careful explanations, engaging exam- which presents a real-world case related to the chap-
ples, and supporting artwork to make the book and mul- ter topic; a margin icon throughout the chapter, which
timedia accessible to a wide range of students. All of this indicates when the discussion relates back to the case
is done within a conceptual framework that emphasizes introduced in the vignette; and the Gaining Direction
relations between biological, psychological, and environ- feature at the end of the chapter, which revisits the
mental levels of analysis. vignette and suggests some answers to the questions it
We are excited about the unique way in which our text poses. Together, these tools encourage students to apply
is integrated with its pedagogy. This integration results in the concepts they are learning to real-world situations.
a learning package that “uses science to teach science.” • Focus on Scientific Psychology: Throughout the
Specifically, we are impressed with research (e.g., More- book, psychology is portrayed as a contemporary sci-
land et al., 1997; Pauk & Fiore, 2000) showing that recall ence without becoming excessively formal or termi-
of textual material is significantly enhanced by spe- nological. The text focuses both on principles derived
cific focus questions and learning objectives that serve from research and on the methods by which good
as retrieval cues and help students identify important research is conducted.
information and assess their mastery of the material. In • Focus on Relations between Basic Science and
addition, the opening vignettes are presented as Prob- Applications: Whether in the context of students’ per-
lem-Based Learning (PBL) case studies. PBL generates a sonal lives or larger societal issues, many questions
deeper understanding of material and provides the stu- studied from a basic science perspective are inspired
dent with critical problem-solving skills (see Aspy et al., by real-world questions and issues, and basic research
1993; Vernon & Blake, 1993). It is for precisely this reason findings often guide solutions to social and individual
that PBL is used in the curriculum of so many medical problems. In this way, students can be guided by their
schools. Over the years, our students have profited from knowledge in other aspects of their lives.
PREFACE xv
• Levels of Analysis emphasize how psychologists • Focus on Neuroscience features highlight how rap-
examine the interplay of biological, psychological, idly developing cutting-edge technology is paving the
and environmental factors in their quest to underway for groundbreaking imaging studies that give
stand behaviour. Topics explored include “Behaviour new insights into the workings of the human brain
Genetics” (Chapter 4), “Aggression” (Chapter 13), and and its relationship to behaviour.
“Stress and Resilience” (Chapter 15). Genes, Evolution, and Behaviour 111
Genes, Evolution, and Behaviour 123
Focus on
Behaviour Genetics
Neuroscience
Levels of Analysis
Although the focus here has been on genetics and behaviour, all EARLY EXPERIENCE, EPIGENETICS, all changes without linking those changes to any specific
AND ADOLESCENCE gene. They also measured changes to a specific gene. The
three scientific levels of analysis—biological, psychological, and ENVIRONMENTAL
gene they targeted is one that controls the production of a
environmental—are involved in the context of discovery. • Evolutionary researchers focus Does early experience have a lasting impact? Does the protein (brain-derived neurotrophic factor) that is important
on the environmental factors that have impact of early experience differ from the impact of similar for brain development and for synaptic plasticity. These
fostered behavioural adaptations through experiences later stages in life? Most people would say
natural selection processes. researchers specifically examined epigenetic changes in
that yes, there is something special about early experience the amygdala and the hippocampus. As you will recall from
• Twin studies (especially of twins raised apart) and the impact it has on later behaviour.
provide insights into genetic factors as well as Chapter 3, the amygdala is importantly involved in emotion,
shared and unshared environmental factors.
There are indeed good demonstrations of this belief. For especially in fear- and anxiety-related behaviours, and the
example, in his classic studies on maternal behaviour and hippocampus is critically important for memory.
• Research on the manner in which genetic factors
BIOLOGICAL influence the learning environments that people resistance to stress, Michael Meaney and his colleagues Doherty et al. (2016) used an animal model of caregiver
select or create through their own behaviour sheds at McGill University found that variations in maternal mistreatment. For their first week of life, one group of rat
• Human genome research is light on gene–environment interactions. care of rat pups during their first two weeks of life pro-
unlocking the secrets of our genetic pups were with a mother that was in a novel environment
• Cultural learning can affect the expression of duced lasting changes in the behaviour of those animals. with little bedding material. A novel environment is stress-
structure and has already dispelled
long-held beliefs, such as that concerning gene-influenced behaviours. This early experience led to differences in the maternal ful, so these pups were with a stressed mother and had
the number of genes in the genome. behaviour of those animals when they were adults and inadequate nests. That was the caregiver maltreatment con-
• Genes influence the development, structure, and to life-long changes in their ability to recover from stress dition. It is worth noting that although a stressful and rather
function off the brain by controlling the production of (Champagne et al., 2006). As we will see in Chapter 12, bare environment is aversive, this is a relatively low level
proteins.
• Studies on how genes are switched on and off
• Frontiers features highlight current and future direc-
the argument that early experience has a lasting impact is
a well-established idea both within psychology and more
of early maltreatment compared to the conditions that the
young of many species—including human children—can
provide insights into how genetic processes
determine the development of biological
PSYCHOLOGICAL
• The psychological products of gene–
tions in psychological theory and research, illustrating
broadly in our culture.
There has, however, been little understanding of the
find themselves. There was a group that also was with a
mother that was placed in new environment but she had
structures, such as the brain. Such
knowledge may be the basis for
revolutionary new medical treatments.
environment interactions cannot be studied
without an understanding of the behaviours and the dynamic nature of psychological science and the
types of changes that can support changes in behaviour
long after the actual experience. Recent advances suggest
time to get used to it and recover from the stress. There
was also ample bedding for this group. A third group was a
psychological processes of interest. This requires
psychological research and the development
of methods for measuring the psychological
ways in which it can promote human development. New
a role for epigenetic changes (Zhang & Meaney, 2010). As
discussed in this chapter, epigenetics refers to a series of
control that had normal, ample bedding, and the pups and
mother stayed in their usual home cage. Maternal behav-
chemical modifications to the DNA that alters gene activity
characteristics of interest.
• Adoption and twin studies allow researchers to to the sixth Canadian edition are topics such as “Mirror
without changing the DNA itself. The importance of epigen-
iour was scored for appropriate caregiving behaviours (e.g.,
nursing, grooming the pups) and aversive caregiver behav-
etic mechanisms is that environmental factors, such as a
Neurons and Autism Spectrum Disorder” (Chapter 3) and
estimate the relative contributions of genes and iour (e.g., rough handling or avoiding the pups).
environment on specific psychological variables. stressful early experience, can lead to a long-lasting, even When these animals were adolescents, two differ-
These contributions have been shown to differ permanent, regulation of a gene. These epigenetic changes ent types of epigenetic changes were measured in the
Suppose the entire world was consumed by a deadly

widely, depending on the behaviour of interest.
• Other research focuses on the specific ways
“Social Media and Social Development” (Chapter 12).
are candidates for the types of mechanisms that may sup-
port the lasting impact of early experience. That is, lasting,
plague that killed most humans. How would the in which environmental and genetic even heritable, changes may be due to epigenetic changes
factors exert their individual and
human genotype be expected to change as a result of combined effects on
and not to genetic changes.
this event? By what process would this change occur? behaviour. Adverse
268 experiences
CHAPTER SEVEN early in life are known to increase
the risk for later anxiety and mood disorders, and for persis-
tent deficits in learning and memory (Maccari et al., 2014).
FIGURE 4.9 The quality of early caregiving is important for later well-
Frontiers
being, and caregiver maltreatment is an important risk fac-
tor. What mechanisms are involved in this situation has not
• To familiarize students with the text’s pedagogical been well understood.
ANIMAL COGNITION
Recently, Doherty and her colleagues (Doherty, Forster, &
features, Chapter 1 includes a Reader’s Guide— Roth, As2016)

DNA methylation,
proposed
we have seen,that
may bewith
associative learning
an epigenetic
behaviourism
involved.
little or DNA
mechanism,
focused such of
on the study
methylation
no attention is inter-
paid to a
annotations written by the authors to draw attention nal mental

chemical processactivity.
fromAs
the DNA. this perspective
a result,
Psychologists,
that attaches
and the
that gene
however,to moved
methyl groups sites on
cognitive revolution
is rendered
away
less activeinorpsy-
chology
even left combined
completely with In
inactive. perspectives
this research,fromtheyevolutionary
exam- © dpa picture alliance archiveAlamy Stock Photo
to specific features and explain why they have been psychology

ined two differentandclasses
tal capabilities
ethologyof led to questions
epigenetic aboutinthethe
changes men-
FIGURE 4.2 Epigenetic research using an animal model of
adolescent brain afterof animals.
early adverse The cognitive perspective
experiences. They mea- in caregiver maltreatment indicates that aversive experiences
incorporated in the text. suredthe
genetic
what
such
study of learning
is referred
as Köhler
changes
to asdates
andDNA
to the
globalback
Tolman,
as a but
to work
changes,
it isand
whole more
by researchers
which
recent
would
are epi- early in life can lead to a long-lasting change in gene function in
that the brain areas linked to emotion, learning, and memory.
include
study of a wide range of cognitive capabilities in animals
has received sustained attention. Are animals other than continued
humans capable of numerosity (counting), of forming con-
cepts for use in problem solving, or of accurately estimating
the passage of time? Pavlov was studying classical con- Public Domain
ditioning at the beginning of the 20th century, and by the
FIGURE 7.25 Wilheim von Osten and Clever Hans perform-
end of the 20th century research in animal cognition had
ing for a crowd of amazed spectators. Hans used onlookers’
increased sufficiently that the scientific journal Animal Cog-
reactions to guide his responses.
CHAPTER nition was introduced in 1998.
1
One active area of research deals with numerosity,
Psychology: The Science or frequency discrimination—that is, whether or not ani-
• Research Foundations features describe and critically

mals are sensitive to the number of items. Can a nonhu- a sequential counting task that has been used with pigeons
of Behaviour man primate, a rat, a pigeon, or a fish tell the difference

between different numbers of items, or keep track of how
is to present a sequence of red and blue flashes on a cen-
tral key. The pigeon is to choose a side key depending on
evaluate a classic, high-interest study. Presented in a
many items have been presented? Numerosity provides which colour was shown more frequently (Roberts, 2010).
an example that has a long and checkered history in psy- The pigeon might be shown red, red, blue, red, blue on
CHAPTER THE NATURE OF PSYCHOLOGY The Biological Perspective: The Brain, Genes,
and Evolution
simplified journal format (introduction, method, results,
chology. In 1904 Wilhelm von Osten, a retired elementary
school mathematics teacher, claimed to have a horse that
one trial and blue, blue, red, blue, red, blue, blue, red on
another. The pigeon is to choose, for example, left if red is
OUTLINE
discussion), the studies represent a diversity of research
Psychology’s Scientific Approach
Focus on Neuroscience: The Neuroscience could perform amazing feats (Bringmann & Abresch, 1997). more frequent, and right if blue is more frequent. Pigeons
Thinking Critically about Behaviour
The chapter Psychology’s Goals
of Imaging Studies Von Osten and his horse Hans gave performances in which are capable of making such a number discrimination, as are
methods to help students learn the process of critical

outline is your Psychology as a Basic and Applied Science USING LEVELS OF ANALYSIS TO INTEGRATE Hans would answer questions by tapping a hoof or moving a number of different animals (Roberts, 2010). Even fish
roadmap to each
Psychology’s Broad Scope: A Simple Framework THE PERSPECTIVES his head (Figure 7.25). Hans, who came to be called Clever are capable of discriminating between larger and smaller
chapter. Skim the
outline before PERSPECTIVES ON BEHAVIOUR Frontiers: Culture, Language, and Behaviour Hans, was reported to count, perform simple arithmetic numbers (Piffer et al., 2012).
reading the
chapter to get an
overview of the
Psychology’s Intellectual Roots
Early Schools: Structuralism and Functionalism
An Example: Understanding Depression
Summary of Major Themes
thinking. Research Design diagrams illustrate the
(up to compound fractions), and identify colours, musical
notes, and coins. Since Hans could answer both spoken
Studies of numerosity among animals have found that
they make predictable errors when comparing two numbers,
chapter’s topic. The Psychodynamic Perspective: The Forces Within
Environment
PSYCHOLOGY TODAY
Applications: Academic Performance Enhancement
research question, type of study, and variables for the
and written questions, he must also have been able to read
and understand spoken German. After an investigation in
and these errors follow two principles. The first is that the
larger the difference between the two groups of items, the
The compass Strategies
icon appears next
to the opening
story. Throughout
The Humanistic Perspective: Self-Actualization
and Positive Psychology
The Cognitive Perspective: The Thinking Human
study described in the Research Foundations feature.
1907, psychologist Oskar Pfungst concluded that Hans had
learned to respond to subtle cues in the body language of
easier the comparison. Thus, it is easier to differentiate 1
from 4, than 3 from 4. The other principle is that accuracy
the chapter, the The Sociocultural Perspective: The Embedded Human Try to answer all these questions after you have the humans watching him perform, and to use those cues decreases as the number of items increase, even when the
icon will mark read the opening story. When you see the compass
Research Foundations: Would You Marry Someone
icon throughout the chapter, consider which issue
as a signal
490 CHAPTER to stop moving his head or stomping his hoof
TWELVE distance between the two stays the same. Thus, it is easier
sections of text You Didn’t Love?
that may be it might address, what information is provided, and (Bringmann & Abresch, 1997). Clever perhaps, but not read- to discriminate 2 items from 3 items, than it is 9 items from
what else you need to know.
relevant to this ing, counting, or multiplication. The episode gave the idea 10 (Roberts, 2010). The types of errors made by nonhu-
story.
that animals were capable of numerosity—of counting—a man primates and by other animals and the principles that
Perhaps the most fascinating and mysterious universe of all is the one within us. Research
very bad reputation within psychology. describe those errors are similar to what has been found in
Despite the case of Clever Hans, are animals sensitive studies using young children (Canton, 2012). Gallistel and
—Carl Sagan
Foundations
to numerosity? Research has shown that members of a sur- Gelman (2000) have argued that animals and humans share
prisingly wide range of species are capable of discriminat- a non-verbal counting system, and research on numerosity
ing different numbers of items, whether the task is choosing has attempted to explore numerosity by studying both child
On March 24, 2015, Ger-
manwings Flight 9525 What are the
WHAT DOES
between twoIT TAKE
sets TO BECOME
of items presented simultaneously General development
Category and animal cognition
Sample (Canton,
of Specific 2012).
Characteristics
crashed into the French issues here? AN (Bogale
ADULT? et al., 2011) or keeping track of the number of A wide range of cognitive abilities once thought to be
Individualism Be responsible for one’s actions;
Alps, killing all 150 people aboard. items presented sequentially (Roberts, 2010). For example, the exclusive domain of humans is now being studied in
The Airbus A320 did not have any Introduction determine own values/beliefs;
What do we need
maintenance or mechanical prob- to know? attain financial freedom. continued
lems. The investigation into the If we asked you “Have you reached adulthood?” how would
accident later revealed that the co- you answer? And, in your view, just what does it take to be Family capacities Be capable of caring for and
pilot, Andreas Lubitz, deliberately Where can financially supporting a family.
we find the considered an adult? Jeffrey Arnett examined how North
flew the plane into the mountains at
700 kilometres per hour. Lubitz was information Americans in various age groups viewed the transition to Norm compliance Refrain from crime, irresponsible
to answer the sex, drunk driving, illegal drug
suffering from several psychologi-
questions?
adulthood. Whereas previous research focused on the view-
cal disorders and had recently been points of adolescents and people in their 20s, this study use.
treated for suicidal tendencies.
In the summer of 2006, Derek © Derek Amato also examined the viewpoints of older adults. Biological Be capable of fathering/bearing
Amato, a 39-year-old sales trainer, transitions children.
was fooling around at a friend’s pool. His friend threw a football, Derek jumped for it, but missed Method
and slammed his head into the side of the pool. He was diagnosed with a severe concussion and had Legal/Chronological Obtain driver’s licence; reach age
intense headaches, memory loss, and a 35 percent hearing loss in one ear. Four days later, he was at Men and women from a mid-sized community were recruited transitions 18; reach age 19.
to participate. There were 519 participants, represent- Role transitions Full-time employment; establish
ing three age groups: 13- to 19-year-olds, 20- to 29-year- career; finish education, get
olds, and 30- to 55-year-olds. Participants rated (“Yes” or married.
“No”) whether each of 38 specific characteristics “must
be achieved before a person can be considered an adult.”
These characteristics were presented in random order and
values and beliefs, seeing oneself as an equal with one’s
represented six general categories of criteria for judging
parents, and attaining financial independence were the
adult status. These categories and some sample items
next most frequently chosen qualities among all age
appear in the accompanying table. Each participant also was
groups. Items such as “reaching age 18,” “employed full-
xvi PREFACE
• Applications features demonstrate how principles from • Each major section ends with In Review, a bulleted
basic psychological research can be applied to every- interim summary that breaks the key content from
day life. Many of these features focus on important skills each chapter into manageable segments.
that can enhance students’ learning and performance.
Topics include “The Battle to Control Eating and Weight” In Review
(Chapter 11) and “How to Be Happy” (Chapter 15).
• Memory involves three main processes (encod- dual-coding by adding visual imagery, and other
ing, storage, and retrieval) and three main com- mnemonic devices facilitate deeper encoding.
ponents (sensory memory, short-term/working • Schemas are mental frameworks that shape how
410 CHAPTER ELEVEN memory, and long-term memory). we encode information. As we become experts in
• Sensory memory briefly holds incoming sensory any given field, we develop schemas that allow
information. Some information reaches working us to encode information into memory more
Applications memory and long-term memory, where it is men- efficiently.
tally represented by phonological, visual, seman- • Associative network models view long-term mem-
tic, or motor codes. ory as a network of associated nodes, with each
THE BATTLE TO CONTROL EATING would “ruin our appetite” Unfortunately, it does not work
node representing a concept or unit of informa-
AND WEIGHT that way. If you eat a small amount of food before the main • Short-term/working memory actively processes
meal—that is, eat an appetizer—then you will eat more of information and supports other cognitive function. Neural network models propose that each
Many people, especially high school and university stu- the following meal. An appetizer is aptly named as it does tions. It has auditory, visuospatial, and executive piece of information in memory is represented
dents, are concerned about their weight. Many adolescent indeed increase your appetite. Appetizers work for at least (coordinating) components. Long-term memory not by a single node but by multiple nodes dis-
females with average and even below-average body fat diet two reasons. One is that an appetizer provides more variety stores enormous amounts of information for up tributed throughout the brain. Each memory is
(Kenardy et al., 2001). Our dissatisfaction with our bodies in the meal and food variety increases consumption. The represented by a unique pattern of simultane-
to a lifetime. Studies of amnesia patients and
begins at an alarmingly young age. One study found that second reason is that if the appetizer stimulates insulin ously activated nodes.
research on the serial position effect support
almost 30 percent of 10- to 14-year-old girls were trying secretion, as it should, the increase in blood insulin levels the distinction between short- and long-term • Declarative long-term memories involve fac-
to lose weight and look thinner (McVey et al., 2004). Our and subsequent drop in blood glucose levels are powerful
body size and shape, or, more accurately, our perception
memory. tual knowledge and include episodic memories
hunger cues. If you are visiting a fine restaurant and want
of our body size and shape forms an important part of our (knowledge concerning personal experiences)
to enjoy every possible mouthful, go ahead and have that • Effortful processing involves intentional encod-
self-image. How we perceive our own body and how closely appetizer. However, if you want to control the amount of and semantic memories (facts about the world
ing and conscious attention. Automatic process-
that matches our ideal is an important issue for many (look food that you consume, do not have an appetizer or small and language). In contrast, procedural memory
ing occurs without intention and requires minimal
back at Figure 11.8). Can what we have learned about hun- snack close to mealtime; it will only make you feel hungrier is reflected in skills and actions. Explicit mem-
effort.
ger help us in our battle to control our girth? Many different and increase the amount of food that you eat. ory involves conscious or intentional memory
factors control hunger, and what we know about their influ- Eat when you are hungry. Although we tend to attribute • Deep processing enhances memory. Elabora- retrieval, whereas implicit memory occurs when
ences and interactions can indeed be put to use.
As discussed previously, having an “empty” stomach
our eating to hunger, we often eat out of habit. Although we
are not hungry, we snack while watching TV, watching sports,
• At tive
the end of each chapter, Gaining Direction fea-
rehearsal provides deeper processing than
maintenance rehearsal. Hierarchies, chunking,
memory influences our behaviour without con-
scious awareness.
tures suggest some possible answers to the questions
does contribute to feelings of hunger and having a “full” talking with friends, and reading. To make matters worse,
stomach is one of the satiety signals. But it is not just the these snacks are often high-fat, high-calorie foods such as
sheer mass of food in the stomach that helps us feel full chips, peanuts, or doughnuts. Do not put that bowl of chips
and slows our eating. Acting through mechanisms that are
not yet well understood, what is in the stomach also mat-
on the table beside your favourite reading or TV chair. posed in the opening vignette. In the spirit of PBL,
• Thinking Critically activities question a belief or
ters. Nutritionally rich food makes us feel fuller than an
You can lose weight by consuming a constant number of
calories and increasing energy expenditure (i.e., exercising) these answers are not definitive but merely suggest
equal volume of food with little or no nutritive value. Nutri- or you can lose weight by decreasing the number of calo-
information presented in the text, or pose a situa-
tionally rich food is lower in fats and calories than nutrition-
ally empty food, and it will make you feel fuller faster.
ries that you consume without changing your energy expen-
a set of issues to be explored and some sources of
diture. It is important to know, however, that weight loss
tion that requires analysis, and then ask students to
The incentive value of the foods in front of us is also
important. Cues that predict the arrival of food, such as
through exercise is not the same as weight loss through
dieting. If weight is lost because of an increase in exercise, information. This feature helps students apply the
construct an answer using their critical-examination
the smell of popcorn, the sight of a favourite restaurant, or
the sound of a steak sizzling on a barbecue, can all make
that weight is subsequently regained much more slowly
than if the weight is lost because of dietary restriction alone newly learned material to real-world situations, thus
us feel hungry, even when we do not need food. Controlling
skills. Students can then compare their answer to one
the response to such food cues is not a matter of willpower.
(Wainwright et al., 1990). Weight loss through diet is due
to a loss of both lean body mass and fat, whereas weight enhancing their understanding of the text content and
The smell, sight, and even sound of a favourite food can loss through exercise is due to a loss of fat. If weight is lost
provided on at the end of the book.
stimulate the release of the hormone insulin (Rodin, 1978,
1981), and secretion of insulin is associated with increased
through exercise, there is a consequent increase in the ratio
of muscle to fat (since only fat is lost), and that generally
the use of psychology in real life.
hunger (Rodin et al., 1985). Ghrelin levels are associated leads to an increase in basal metabolic rate (VanItallie &
with hunger and increased food consumption, and research Kissileff, 1990). The heightened basal metabolism will help
has shown that even pictures of food can trigger the release to burn calories, even when you are not exercising.
of ghrelin (Schüssler et al., 2012). The mere sight of one’s States of Consciousness 235
It is also important to consider stress and stress coping
e be tempted favourite food increases feelings of hunger and food crav- (we will discuss stress and coping with stress in detail in
Thinking critically
ings, and increases heart rate, blood pressure, salivation, Chapter 15). In an interesting study investigating the “fresh-
distress.” Thisand gastric activity (Nederkoorn et al., 2000). If you can,
avoid such cues. We certainly do not want to isolate our-
man 15”—the expectation that students gain 15 pounds
(almost 7 kg) during their first year of university—Boyce
Gaining Direction
path 1 in Fig-selves in a sterile and boring environment, but knowing that

such cues have a powerful physiological impact can help
and Kuijer (2015) found that stress played an important
mediating role. First-year university students with a higher What are the How can someone with no talent for art become state of consciousness and we might want to
urate because DO STRESSFUL LIFE EVENTS CAUSE

us to control them. Do not ask to see the dessert tray, with
its array of attractive, high-incentive delicacies, unless you
BMI at the start of the university year and who also had
high levels of stress gained the most weight. Interestingly,
issues? a superb artist when asleep? Is Lee Hadwin truly
gifted or is this some kind of elaborate hoax?
explore what consciousness is and how it might
change. In puzzling through these issues, we need
ure and other PSYCHOLOGICAL DISTRESS?

plan to eat one.
If you eat a small amount of food before a meal, will
students with the lowest BMI and who also experienced high
stress tended to lose weight. Students with effective stress
Obviously, when Lee is sleeping he is in a different to assess just what goes on during asleep.
le. For exam- you eat more or less of the main meal? Many of us have
A consistent statistical relation has been shown
been warned by a parent that a snack too close to mealtime
coping experienced little weight change. In order to control
What do
What is consciousness?
What happens during sleep?
What are dreams and when do they occur?
Can individuals perform unconscious actions
sal interpreta- between stressful life events and psychologi- continued we need to
know?
How do we explain sleepwalking?
How might we distinguish between
that they cannot do in waking life?
els of distress cal distress; the greater the number of stressful unconscious activity and a hoax?
negative life events people have experienced, the more distress Where can As you review the chapter, there are several consider the material on sleep disorders. When
we find the critical pieces of information to assess. First, does sleepwalking normally occur? Can you
they are likely to report. Based on these results,
may be more are you willing to accept the conclusion that life
information to
answer these
look at the material on the stages of sleep. What
happens when you fall to sleep? Carefully exam-
dream in this stage? If Lee is not acting out a
dream, what is he doing? Finally, you might
ine the different stages, and determine what want to look for similar cases of unusual activ-
ngs that have stress causes distress, or can you think of other
questions? is going on in the brain at each stage. Second, ity during sleep. Are similar factors involved?
tend to view possible reasons for this relation?

ing in higher Think about it, and then see the Answers section at
hological dis- the end of the book.
gative events
e of their own
d people •
tendDirected Questions appear in the margins of the text • Additional Pedagogical Features: A textbook
Post-Traumatic
others (Coyneadjacent StressStudents
to important material. Disorderare to read the should inspire students and help them master the
(PTSD)
question before reading the material, and then answer the material at hand. To accomplish these goals, our book
n in path 3, isquestion after reading the material. incorporates chapter outlines, boldfaced key terms,
Post-traumatic stress disorder The Directed
(PTSD) rep- Ques-
h negative life and a full end-of-text glossary.
tionsresents
enhance whatconcept mastery,
can happen serve of
to victims as extreme
retrieval clues
The personal-
stress and trauma. PTSD is a severe anxiety dis- • Canadian Content: Times have changed and work
one such fac-during study, and act as a performance feedback measure.
order that is caused by exposure to traumatic that once was considered classic is now performed in
oticism have a
life events—that is, to severe stress. Four major labs all across North America. Thus, we have included
negative emo-
groups of symptoms
4. Whatoccur
are with PTSD: a large number of studies by both Canadian and U.S.
sful situations
ours (Eysenck, perspectives
• severe anxiety, on
physiological arousal (the authors. Bringing psychology to life for students, the
udinal study of behaviour?
stress response), Cite
and distress; text includes examples that are relatable for students,
mar Wohlfarth four ways inreliving
• painful, uncontrollable which of the event(s) statistics that reflect the Canadian and North Ameri-
a neuroticism they can influence
in flashbacks, dreams, and fantasies (Pitman can context, and stories and vignettes that occur in
the number of et al., 2000);psychological Canadian locations.
psychological science.
• emotional numbing and avoidance of stimuli
years. Thus, we
associated with the trauma; and
life events are
ns that involve • intense “survivor guilt” in instances where
ople and situa- others were killed but the individual survived
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ACKNOWLEDGMENTS
Every book, large or small, owes a great deal to the people We also owe special thanks to our distinguished col-
behind the scenes. They keep the project going, offer sup- leagues who recommended changes for the sixth Cana-
port and assistance, and provide sage advice to the authors. dian edition of Psychology: Frontiers and Applications.
Thanks to Corey Isaacs for his dedicated work assist- We appreciate the time and effort graciously contributed
ing with research and references, and making valuable by the following instructors:
content recommendations at the outset of the project.
Cheryl Wartman, University of Prince Edward Island
Thanks also to Lesley Atkinson and Debra Jared—your
Kathy Foxall, Wilfrid Laurier University
support keeps us sane.
Jason Leboe-McGowan,University of Manitoba
Our heartfelt thanks to all the people at McGraw-
Jennifer Steeves, York University
Hill Ryerson who have nurtured this book over the past
Karsten Loepelmann, University of Alberta
year: Scott Hardie (Product Manager); Jeanette McCurdy
Sally Walters, Capilano University
(Supervising Editor); Kelli Legros (Marketing Manager);
Joanne Lee, Wilfrid Laurier University
Valerie Adams (Copy Editor); and Denise Foote (Group
Product Development Manager).
And finally, a special thanks to Brianna McIlwain M.A. & J.M.
(Product Developer). You kept us on track, on time, and
in focus. We simply could not have done this without you.
CHAPTER
Psychology: The Science

of Behaviour 1
CHAPTER THE NATURE OF PSYCHOLOGY The Biological Perspective: The Brain, Genes,
and Evolution
OUTLINE Psychology’s Scientific Approach
Focus on Neuroscience: The Neuroscience
Thinking Critically about Behaviour
The chapter of Imaging Studies
Psychology’s Goals
outline is your Psychology as a Basic and Applied Science USING LEVELS OF ANALYSIS TO INTEGRATE
roadmap to each
Psychology’s Broad Scope: A Simple Framework THE PERSPECTIVES
chapter. Skim the
outline before PERSPECTIVES ON BEHAVIOUR Frontiers: Culture, Language, and Behaviour
reading the An Example: Understanding Depression
chapter to get an Psychology’s Intellectual Roots
Early Schools: Structuralism and Functionalism Summary of Major Themes
overview of the
chapter’s topic. The Psychodynamic Perspective: The Forces Within PSYCHOLOGY TODAY
Environment Applications: Academic Performance Enhancement
The compass Strategies
icon appears next The Humanistic Perspective: Self-Actualization
to the opening and Positive Psychology
story. Throughout The Cognitive Perspective: The Thinking Human
the chapter, the The Sociocultural Perspective: The Embedded Human Try to answer all these questions after you have
icon will mark read the opening story. When you see the compass
Research Foundations: Would You Marry Someone
sections of text icon throughout the chapter, consider which issue
You Didn’t Love?
that may be it might address, what information is provided, and
relevant to this what else you need to know.
story.
Perhaps the most fascinating and mysterious universe of all is the one within us.
—Carl Sagan
On March 24, 2015, Ger-

manwings Flight 9525 What are the
crashed into the French issues here?
Alps, killing all 150 people aboard.
The Airbus A320 did not have any
What do we need
maintenance or mechanical prob- to know?
lems. The investigation into the
accident later revealed that the co-
pilot, Andreas Lubitz, deliberately Where can
flew the plane into the mountains at we find the
700 kilometres per hour. Lubitz was information
to answer the
suffering from several psychologi-
questions?
cal disorders and had recently been
treated for suicidal tendencies.
In the summer of 2006, Derek © Derek Amato
Amato, a 39-year-old sales trainer,
was fooling around at a friend’s pool. His friend threw a football, Derek jumped for it, but missed
and slammed his head into the side of the pool. He was diagnosed with a severe concussion and had
intense headaches, memory loss, and a 35 percent hearing loss in one ear. Four days later, he was at
his friend’s place drifting in and out of consciousness. His friend had a small music studio and as Derek
was sitting there he picked up a keyboard and started to play. Although he had no musical training at
all, he played like a professional. His friend was stunned. Derek continued to play and compose music.
He has written over 2500 pieces, composed scores for documentaries, and published a book. He’s
working on his third album and is preparing to go on tour.
Canadian biologist Anne Adams was suffering from a severe case of frontotemporal lobe demen-
tia. She lost her ability to speak, but surprisingly, became an artistic genius. Her seminal work,
Unravelling Bolero, is considered a forceful example of mathematics and art.
L
et’s begin our exploration of psychology But as we’ll see, psychologists study a tremen-
with a quick exercise. Please read the dous diversity of topics—including language and
paragraph below, unscrambling the words how we recognize words (Mousikou et al., 2010).
as you proceed. The jumbled paragraph raises other key
psychological issues, such as how we acquire
Aoccdrnig to rscheearch at Cmabrigde
Terms in knowledge and form beliefs about our world,
boldface uinervtisy, it deosn’t mttaer waht oredr the
which we’ll discuss in the conclusion of this
indicate new ltteers in a wrod are, the olny iprmoetnt
chapter. Among the countless beliefs we hold
or important tihng is taht the frist and lsat ltteres are at
and the claims we hear about human nature and
concepts. the rghit pclae. The rset can be a tatol mses,
These terms behaviour, how do we separate fact from fiction
and you can sitll raed it wouthit a porbelm.
are defined in and myth from reality? The science of psychol-
Tihs is bcuseae we do not raed ervey lteter
the Glossary. ogy leads us to engage these questions.
by istlef but the wrod as a wlohe.
Type “jumbled words,” “jumbled paragraph,” THE NATURE
1. Define or “scrambled letters” into a web browser. Dig
psychology around in the search results, and you’ll find multi-
OF PSYCHOLOGY
and indicate ple sites and blogs about this paragraph. In 2003, Psychology is the scientific study of behav-
what kinds of it was all the rage. The paragraph spread across iour and the mind. The term behaviour refers
behaviours it the Internet and reached countless email inboxes to actions and responses that we can directly
studies.
as people—amazed by how easily they could observe, whereas the term mind refers to internal
read it—passed it along. When we showed the states and processes, such as thoughts and feel-
paragraph to our students, most breezed through ings, that cannot be seen directly and that must be
Directed ques- it, although some struggled (if you had trouble, inferred from observable, measurable responses.
tions appear that’s okay; see the unscrambled version at the For example, we cannot directly see a person’s
throughout end of this chapter). Show the paragraph to some feeling of love or admiration for someone else,
each chapter. people you know and see how they do. but we can infer how the person feels based on
Read the ques-
Do you accept the claim that if the first and observable verbal statements (e.g., “I love you”; “I
tion before you
read the mate-
last letters of a word remain intact “the rset can really admire you”).
rial in the text. be a tatol mses and you can sitll raed it wouthit a When people hear the word psychologist, the
After reading porbelm”? From the paragraph’s immense popu- first image that comes to their minds is often
the material, larity, we speculate that many people do accept that of a therapist. This reaction is understand-
try to answer this statement. After all, the evidence is concrete; able, as a large number of psychologists work
the question. it’s right before our eyes. Well, whether or not you in a subfield called clinical psychology: the
accept it, take this challenge: Can you think of rea- study and treatment of mental disorders. Many
sons why this particular jumbled paragraph is easy clinical psychologists diagnose and treat people
to read? Even better, can you create a short jum- with psychological problems in clinics, hospi-
bled paragraph—keeping the first and last letters tals, and private practice. In addition, some are
of words intact—that people find difficult to read? scientists who conduct research on the causes
We’ll return to this challenge later in the chapter. of mental disorders and the effectiveness of var-
So what does a jumbled paragraph have to do ious treatments. Yet many psychologists have
with psychology? If you personally view psychol- no connection with therapy and instead conduct
ogy as synonymous with therapy, shrinks, or research in other subfields (Figure 1.1). For
couches, then your answer might be “not much.” example, cognitive psychology specializes in
Psychology: The Science of Behaviour 3
the study of mental processes, especially from

a model that views the mind as an information
processor. Cognitive psychologists examine
such topics as consciousness, attention, mem-
ory, decision making, and problem solving. An
area within cognitive psychology, called psy-
cholinguistics, focuses on the psychology of
language. The jumbled-word exercise relates
directly to psycholinguistics.
To illustrate psychology’s diversity, here a
few other subfields:
• Biopsychology/neuroscience focuses on
the biological underpinnings of behaviour.
Biopsychologists examine how brain pro-
cesses, genes, and hormones influence our
actions, thoughts, and feelings. Some biopsy-
chologists seek to explain how evolution has
shaped our psychological capabilities (e.g.,
our capacity for advanced thinking and lan-
guage) and behavioural tendencies (e.g., to
act aggressively or altruistically).
• Developmental psychology examines human
physical, psychological, and social develop-
ment across the lifespan. For example, some
developmental psychologists explore the emo-
tional world of infants, while others study
how different parenting styles psychologically
affect children or how our mental abilities
change during adolescence and adulthood.
• Experimental psychology focuses on such
basic processes as learning, sensory sys-
tems (e.g., vision, hearing), perception, and
motivational states (e.g., sexual motivation,
hunger, thirst). Most research in this subfield
involves laboratory experiments, often with
nonhuman animals. Although this subfield is
called experimental psychology, be aware
that researchers in many psychological sub-
fields conduct experiments.
• Industrial-organizational (I/O) psychol-
ogy examines people’s behaviour in the
workplace. I/O psychologists study leader-
ship, teamwork, and factors that influence
employees’ job satisfaction, work motivation,
and performance. They develop tests to help
employers identify the best job applicants
and design systems that companies use to
evaluate employee performance.
(top) © StockTrek/Getty Images; (middle) © Gabe Palmer/Corbis; • Personality psychology focuses on the
(bottom) © Royalty-Free/Corbis study of human personality. Personality psy-
chologists seek to identify core personality
FIGURE 1.1 Psychologists study diverse topics. Sub-
fields that may not immediately occur to you include traits and how different traits relate to one
aviation and space psychology, educational psychol- another and influence behaviour. They also
ogy, and the law. develop tests to measure personality.
4 CHAPTER ONE
We’ll encounter other branches of psychol-

ogy throughout the chapter, but we hope you
Biology
already get the picture. Psychologists do study
Scientific study
of life processes the causes of mental disorders, provide therapy,
and biological and evaluate therapy effectiveness, but their
Medicine structures
Scientific study Anthropology interests and research span the entire realm of
of health and the Scientific study behaviour. Indeed, the scope of modern psychol-
of cultural origins,
causes and ogy stretches from the borders of medicine and
treatment evolution, and
variations the biological sciences to those of the social sci-
of diseases
ences (Figure 1.2).
Psychology
Computer Scientific study Economics
Psychology’s Scientific Approach
Science of behaviour and Scientific study Across psychology’s diverse subfields, research-
Scientific study mental processes of production,
of information distribution, and
ers share a common underlying scientific
processing and consumption of approach to studying behaviour. Science is a
manipulations goods and process that involves systematically gathering
of data services and evaluating empirical evidence to answer
Engineering questions and test beliefs about the natural
Application of Sociology world. Empirical evidence is evidence gained
scientific principles to Scientific study
through experience and observation, and this
designing machines, of human social
structures, and relations and includes evidence from manipulating or “tin-
systems systems kering around” with things and then observing
what happens (this is the essence of experimen-
tation). For example, if we want to know how
Material in
FIGURE 1.2 Psychology as a scientific hub. Psychol- people’s intellectual abilities change as they
tables and
figures can be ogy links with and overlaps many sciences. age, we don’t rely on intuition, pure reasoning,
just as impor- or folk wisdom to obtain an answer. Rather, we
tant as the • Social psychology examines people’s collect empirical data by exposing people to
text. Be sure thoughts, feelings, and behaviour pertaining intellectual tasks and observing how they per-
you read these to the social world: the world of other people. form. Moreover, in science these observations
sections. need to be systematic (i.e., performed accord-
Social psychologists study how people influ-
ence one another, behave in groups, and form ing to a system of rules or conditions) so that
impressions and attitudes. They study social they will be as objective and precise as possible
relationships involving attraction and love, (Shaugnessy et al., 2010).
prejudice and discrimination, helping, and
aggression. Understanding Behaviour: Some Pitfalls
Note that topics studied in different subfields of Everyday Approaches
often overlap. Consider decision making, which Science is only one of many ways that we learn
is examined in all of the areas above. For exam- about human behaviour. Family and friends,
ple, a cognitive psychologist might study how great works of literature, secular and religious
wording the same information in different ways teachings, and the Internet and popular media all
affects people’s decisions; a social psychologist provide us with messages about human nature.
might study decision making in groups; and a Mix in our own intuitions (i.e., the knowledge
developmental psychologist could examine how that each of us acquires from years of personal
children’s decision-making strategies change experience interacting with people) and so-called
with age (Josyln et al., 2009; Toma & Butera, “conventional” or “folk” wisdom, and we have
2009). Moreover, many psychologists have potent ingredients for generating our personal
interests that bridge different subfields. Thus, a beliefs about what makes people tick.
clinical psychologist might be interested in the Unfortunately, in everyday life there are
biological bases of how adolescents with anxiety many ways in which these sources can end up
disorders make decisions. She could have ado- promoting misconceptions. Other people—via
lescents who do and who don’t have an anxiety conversations, books, the Internet, and other
disorder perform decision-making tasks, and use popular media—may provide us with informa-
brain-imaging techniques to compare the neural tion and insights that they believe to be accurate
activity of the two groups (Krain et al., 2008). but really are not. Even personal experiences can
lead us to form inaccurate beliefs. Although our in which they intentionally manipulate one factor,
experiences and everyday observations provide try to keep other factors constant, and see how
us with empirical information, unlike scientific the manipulated factor influences behaviour.
observations, everyday observation usually is Science also is a public affair, as psychologists
casual rather than systematic. Our own experi- do publish their findings. Publication enables sci-
ences also may be atypical and not representa- entists to scrutinize and challenge each other’s
tive of what most people experience. findings if they wish. This collective approach
As we’ll explore in Chapter 9, misconceptions reduces the risk of confirmation bias. As new
can also result from our own faulty thinking. studies are conducted, the original findings are
For example, consider the following: put to the test and may be contradicted, forcing
scientists to modify their beliefs and conduct fur-
• We often take mental shortcuts when form-
ther research to sort out contradictory results.
ing judgments—shortcuts that sometimes
To be sure, science has limitations and
serve us poorly (White, 2009). Judging some-
its own pitfalls. It is ideally suited to examin-
one’s personality based solely on stereotypes
ing testable questions about the natural world.
about his or her physical appearance would
Psychologists can study such questions as “Do
be an example of a mental shortcut (e.g.,
happy people differ from unhappy people in
Kleider et al., 2012).
their degree of religiousness or spirituality?”
• Because many factors in real life may oper- and “What do people believe gives their life
ate simultaneously to influence behaviour, meaning?” But science cannot answer such
we may fail to consider alternative explana- questions as “Does God exist?” and “What is the
tions for why a behaviour has occurred and meaning of life?” The former is a question of
assume that one factor has caused it, when faith that is beyond scientific measurement; the
in fact some less obvious factor was the true latter is a question answered by personal val-
cause (Elek et al., 2012; Lassiter et al., 2007). ues. As for pitfalls, poorly designed or poorly
• Once our beliefs are established, we often fail executed studies can produce misleading data
to test them further. In this vein, we tend to that result in invalid conclusions.
display a confirmation bias by selectively Even when studies are designed well and con-
paying attention to information that is conducted properly, “false starts” can occur in which
sistent with our beliefs and downplaying or other researchers later are unable to duplicate
ignoring information that is inconsistent with the original researchers’ findings. Additionally,
them (Mendel et al., 2011; Hart et al., 2009). over time, new research often modifies or com-
pletely overturns existing scientific beliefs. But
it’s important to realize that these aren’t weak-
Using Science to Minimize nesses of the scientific approach. Rather, they
Everyday Pitfalls reveal one of its great strengths: In principle,
Yes, scientists are human too, and they may fall science ultimately is a self-correcting process.
victim to all these pitfalls and to others that we’ll At any point in history, scientific knowledge rep-
discuss in the next chapter. But by adopting a resents a best estimate of how the world oper-
scientific approach, psychologists can take con- ates. As better or more complete information is
crete steps to avoid or at least minimize biases gathered, that best estimate may continue to be
and problems that can lead to inaccurate con- supported or it may need to be changed. Under-
clusions. For example, rather than relying on standably, to many people such change can be
imprecise casual observations, psychologists use frustrating or confusing, as illustrated by the
various instruments (e.g., video recorders, ques- public uproar in 2009, when an expert medical
tionnaires, brain-imaging devices) to objectively panel issued new breast-cancer screening guide-
and precisely record people’s responses. When lines (Kolata, 2009). The panel stated that most
directly watching people, several researchers can women should start having regular mammogram
independently observe the same behaviours and tests at age 50, not at age 40 as recommended
compare their findings to ensure that their obser- by prior, long-standing guidelines. Similarly,
vations were reliable. To avoid perceiving illusory researchers in the Czech Republic reported that
correlations, psychologists typically use statistics eating only two larger meals per day rather than
to analyze their data. To minimize drawing errone- multiple small meals actually leads to greater
ous conclusions about what has caused what, psy- weight loss (Kahleova et al., 2012). To scientists,
chologists often are able to examine behaviour however, such changes represent an evolution of
under highly controlled experimental conditions knowledge called scientific progress.
6 CHAPTER ONE
TABLE 1.1 Widely Held Beliefs about Behaviour: Fact or Fiction?

Directions: Decide whether each statement is true or false.
1. Most people with exceptionally high IQs are well adjusted in other areas of their lives.
2. In romantic relationships, opposites usually attract.
3. Overall, married adults are less happy than adults who aren’t married.
4. Graphology (handwriting analysis) is a valid method for measuring people’s personality.
5. A person who is innocent of a crime has nothing to fear from a lie detector test.
6. People who commit suicide usually have signalled to others their intention to do so.
7. When you negatively reinforce someone’s behaviour, the person becomes more likely to behave that way.
8. O
n some types of mental tasks, people perform as well or better when they are 70 years old than when
they are 20 years old.
9. Usually, it is safe to awaken someone who is sleepwalking.
10. A schizophrenic is a person who has two or more distinct personalities, hence the term split personality.
Answers: Items 1, 6, 8, and 9 are supported by psychological research. Item 7 is true by definition. The
remaining items are false. (If you correctly answered 9 or 10 of these items, you’ve done significantly better
than random guessing.)
Thinking Critically about The Jumbled-Word Challenge

Behaviour Let’s think critically about the jumbled-word
paragraph presented earlier. First, what’s the
Because behaviour is so complex, its scientific
claim? There are three, actually: (1) that people
study poses special challenges. As you become
can read jumbled words without a problem as
The compass familiar with the kinds of evidence necessary to
icon indicates long as the first and last letters stay in place,
validate scientific conclusions, you will become
that the (2) that people have no problems because we
a better-informed consumer of the many claims
material here read words as a whole rather than as individ-
made in the name of psychology. For one thing,
may help us ual letters, and (3) that this finding is based on
understand the this course will teach you that many widely held
research at Cambridge University.
opening story. beliefs about behaviour are inaccurate. Can you
Second, who is making the claim? The jum-
distinguish the valid claims from the invalid ones
bled paragraph’s author is anonymous, which is
in Table 1.1?
caution flag 1. We can’t evaluate the author’s
Perhaps more important than the concepts you
credibility and trustworthiness.
learn in this course will be the habits of thought
Third, what’s the evidence, and how good
that you acquire—habits that involve critical
is it? The evidence begins with an unsubstan-
thinking. Critical thinking involves taking an
tiated claim that research was conducted at
active role in understanding the world around
Cambridge. No reference information (research-
you rather than merely receiving information.
ers’ names, publisher location, date) is given,
It’s important to reflect on what that information
which is caution flag 2. Indeed, scientists did no
means, how it fits in with your experiences, and
such research at Cambridge, although unpub-
its implications for your life and society (Franco,
lished research at another university may have
Butler, & Halpern, 2015). Critical thinking also
been the source (Davis, 2003; Rawlinson, 1999).
means evaluating the validity of something pre-
There’s also the dramatic evidence of your
sented to you as fact (Levy, 2010; Vaughn, 2016).
own experience: reading the jumbled paragraph
For example, when someone makes a claim or
easily. But this is only one short paragraph.
asserts a new “fact,” ask yourself the following
Also, overall, the transposition (i.e., switched
questions, just as a scientist would:
ordering) of letters is minimal, which is caution
flag 3, leading to the next question.
• What, exactly, is the claim or assertion?
Fourth, are other explanations possible for
• Who is making the claim? Is the source cred- why the paragraph is easy to read? We’ll discuss
ible and trustworthy? reading more fully in Chapter 9. For now, con-
• What’s the evidence, and how good is it? sider the following:
• Are other explanations possible? Can I evalu- • Of the words in the paragraph, 65 percent
ate them? either aren’t jumbled (because they have
• What is the most appropriate conclusion? only one to three letters), or—with four-letter
words—are “jumbled” only in that their sec- are minimal, but misconceptions can add up and
ond and third letters are switched (because contribute to an increasingly misguided view of
there is only one possible transposition), how the world operates.
which makes unscrambling them easy. Unfortunately, people uncritically accept
• Of words with five or six letters, in all but many misconceptions that do have concrete
one case, the transposition is minor because harmful consequences. For example, in the
only a single letter is out of sequence (e.g., hope of making their babies smarter, consumers
for mttaer, only the a is out of order). have shelled out about $200 million annually for
Baby Einstein videos that the Walt Disney Com-
• Thus, in total, 83 percent of the words are either
pany advertised as educational, despite a lack
unjumbled or have only minor transpositions.
of scientific support for its claim (Zimmerman
This preserves much of the way the words
et al., 2007). Under government and consumer
sound when we read them. Further, these words
group pressure, Disney eventually dropped the
provide contextual information in the sentence
educational label and later agreed to partially
that makes it easier to anticipate the meaning of
refund consumers (Lewin, 2009).
some of the few longer scrambled words.
Despite a lack of scientific evidence, people
In everyday life, you’re unlikely to conduct a spend untold amounts of their hard-earned money
scientific study to test these alternative explana- to have their personalities analyzed and their
tions, but you can gather additional evidence by futures forecasted by astrologers, graphologists
constructing sentences with longer words and (i.e., handwriting analyzers), tea-leaf readers,
more complex transpositions and having some and other so-called “fortune tellers”—including
people try to read them. Try reading the following rumpologists (sometimes referred to as asstrolo-
paragraph (the unjumbled version is revealed at gers) who “read” people’s buttocks to obtain their
the end of the chapter), and see if it changes your presumed psychic insights (Wyman & Vyse, 2008).
belief about the ease of reading jumbled words. Money aside, it’s impossible to estimate how many
people may have made major life decisions based
A plciaiiotn dieend the mtnaalueghsr of
on fortune tellers’ bogus advice. It’s also hard to
a clgaloeue, but was coincetvd and dle-
know how many people have not only wasted
poeelvd sreeve macedil cdointonis in posirn,
money on bogus therapies for ailments, diseases,
wrhee he deid. Arnodiistitman of agctannlo-
and mental disorders, but also experienced need-
auit dgurs ptttnaioeed the eefctfs of atehonr
less continued distress or further bodily harm by
durg, and rprsoiearty frliaue rleeutsd.
failing to employ scientifically validated treat-
Lastly, what is the most appropriate conclu- ments. Unfortunately, pseudoscience—a field that
sion? The claim that it’s relatively easy to read incorporates astrology, graphology, rumpology,
words as long as the first and last letters are intact and so on—is dressed up to look like science
appears to be too broad and absolute. Stated as and it attracts many believers, despite its lack of
such, it’s clearly wrong. Stated in qualified terms credible scientific evidence (Figure 1.3). Critical
of “under some conditions” the claim has sup- scrutiny is important for all scientific claims, as
port, although one study found that even minor
transpositions of interior letters slowed reading
speed by 11 percent (Rayner, White, Johnson, &
Liversedge, 2006). In some languages, however,
such interior transpositions may make words very
difficult, if not impossible, to read (Davis, 2003).
Of Astrology and Asstrology: Potential

Costs of Uncritical Thinking
Suppose someone swallows the bait of the
original jumbled-word paragraph and now
erroneously believes that it’s always easy to
read words with transposed letters. Unless it’s
a smart-aleck student or worker who plans to
turn in “jumbled” school papers or work reports
(citing “scientific justification” for doing so),
© Sidney Harris. ScienceCartoonsPlus.com. Reprinted with permission.
what’s the harm in holding this little false belief?
Perhaps the immediate personal consequences FIGURE 1.3 The popularity of pseudoscience.
8 CHAPTER ONE
illustrated by Bem’s recent article claiming sup- often uses principles discovered through basic
port for extrasensory perception (Bem, 2011). research to solve practical problems. Research
Daryl Bem is a highly respected researcher and methods will be discussed more fully in Chapter 2,
the article was published in a prestigious journal. but five research articles have been listed below
However, many other authors (e.g., Francis, 2012; to help you understand the difference between
LeBel et al., 2011) claimed that the data simply do basic and applied research. These actual titles of
not support the conclusions. articles appeared in psychological journals. Can
you identify whether each study represents basic
Psychology’s Goals or applied research?
As a science, psychology has four central goals: 1. Two Forms of Spatial Imagery: Neuroimag-
2. What are
ing Evidence
the four goals 1. To describe how people and other animals
of psychology? behave 2. The Prevention of Depressive Symptoms in
How are these Low-Income, Minority Children: Two-Year
goals linked to 2. To explain and understand the causes of
Follow-up
one another? these behaviours
3. Increasing Seat Belt Use on a College Cam-
3. To predict how people and animals will
pus: An Evaluation of Two Prompting
behave under certain conditions
Procedures
4. To inf luence or control behaviour through
4. Facial Structure Is a Reliable Cue of Aggres-
knowledge and control of its causes to
sive Behaviour
enhance human welfare
5. Recognizing Speech under a Processing Load:
As you will learn in Chapter 2, the scientific Dissociating Energetic from Informational
goals of understanding, prediction, and control Factors
are linked in the following manner: If we under-
stand the causes of a behaviour and know when Check your answers at the end of the chapter.
the causal factors are present or absent, then
we should be able to successfully predict Psychology’s Broad Scope:
when the behaviour will occur. Moreover, if we
can control the causes, then we should be able
A Simple Framework
to control the behaviour. For scientists, suc- Because we are biological creatures, living in a
cessful prediction and control are the best ways complex social world, psychologists study an
for us to know whether we truly understand amazing array of factors to understand why people
the causes of behaviour. We should also note, behave, think, and feel as they do. At times, this
however, that prediction can have important diversity of factors may seem a bit overwhelming,
practical uses that do not require a complete but we would like to provide you with a frame-
understanding of why some behaviour occurs. work that will greatly simplify matters. We call it
For example, a psychologist might find that levels of analysis: Behaviour and its causes can
scores on a personality test dependably predict be examined at the biological level (e.g., brain pro-
school drop-out rates, without fully understand- cesses, genetic influences), the psychological level
ing the psychological processes involved. (e.g., our thoughts, feelings, and motives), and the
environmental level (e.g., past and current physical
and social environments to which we are exposed).
Psychology as a Basic
Here is a brief example of how the framework
and Applied Science can be applied. Consider a behaviour that you
3. How do the As scientists, psychologists employ a variety of engage in every day: eating (Figure 1.4). At the
goals of basic research methods for developing and testing the- biological level, various chemicals, neural circuits,
research and ories about behaviour and its causes. A distinc- and structures in your brain respond to bodily sig-
applied research tion is sometimes made between basic research, nals and help to regulate whether you feel hun-
differ? the quest for knowledge purely for its own sake, gry or full. At the psychological level, your moods,
and applied research, which is designed to food preferences, and motives affect eating. Do
solve specific practical problems. In psychology, you ever eat when you’re not hungry—perhaps
the goals of basic research are to describe how because you feel stressed or bored? The environ-
people behave and to identify the factors that mental level of analysis calls attention to specific
influence or cause a particular type of behaviour. stimuli (such as the appearance or aroma of dif-
Such research may be carried out in the labora- ferent foods) that may trigger eating and to cul-
tory or in real-world settings. Applied research tural customs that influence our food preferences.
The Psychological Level The Environmental Level
The Biological Level
(left) Courtesy of Neal E. Miller; (centre) © Phanie/Photo Researchers, Inc.; (right) © Michael Freeman/Corbis
FIGURE 1.4 Biological level (left). This rat weighs about triple the weight of a normal rat. As we (or rats) eat, hunger decreases as cer-
tain brain regions regulate the sensation of becoming full. Those regions in this rat’s brain have been damaged, causing it to overeat and
become obese. Psychological level (centre). At times, we may eat out of habit, stress, or boredom. With a chocolate bar in hand and other
candies lined up, this student is ready for some autopilot munching. Environmental level (right). Does a plateful of insect-topped crackers
sound appetizing to you? Cultural norms influence food preferences.
Does the aroma of freshly baked treats ever make by nature (our biological endowment) or nur-
your stomach growl? How about the sight of duck ture (our environment and learning history)?
feet or a mound of fish gills on a plate? To most The pendulum has swung toward one end
Westerners, duck feet and fish gills may not be or the other at different times in history, but
appetizing, but during a stay in China, we discov- today, growing interest in cultural influences
ered that our hosts considered them delicious. and advances in genetics and brain research
keep the nature–nurture pendulum in a more
Mind–Body and Nature–Nurture balanced position (e.g., Eagly & Wood, 2013;
Interactions Rutter, 2014; Salvatore & Dick, 2015).
Form a mental picture of a favourite food, and Perhaps most important, modern research
you may trigger a hunger pang. Focus on posi- increasingly reveals that nature and nurture inter-
tive thoughts when facing a challenging situ- act (Masterpasqua, 2009; Moffitt et al., 2006). Just
ation, and you may keep your bodily arousal in as our biological capacities affect how we behave
check. Dwell instead on negative thoughts, and and experience the world, our experiences influ-
you can rapidly stimulate the release of stress hor- ence our biological capacities. For humans and
mones (Borod, 2000). These examples illustrate rats alike, continually depriving a newborn of
what traditionally have been called mind–body physical contact, or providing a newborn with an
interactions—the relations between mental pro- enriched environment in which to grow, can influ-
cesses in the brain and the functioning of other ence its brain functioning and biological develop-
bodily systems. Mind–body interactions focus our ment (Rosenzweig, 1984). Thus, while it may be
attention on the fascinating interplay between the tempting to take sides, “Nature or nurture?” usu-
psychological and biological levels of analysis. This ally is the wrong question. As the levels-of-analysis
topic has a long history within psychology, and, as framework implies, nature, nurture, and psycho-
you will see throughout the textbook, it remains logical factors must all be taken into account to
one of psychology’s most exciting frontiers. gain the fullest understanding of behaviour. Later
The levels-of-analysis framework also in the chapter, we’ll provide a more detailed exam-
addresses an issue that has been debated since ple of how looking at behaviour from multiple lev-
antiquity: Is our behaviour primarily shaped els enhances our understanding.
10 CHAPTER ONE
In Review
• Psychology is the scientific study of behaviour behaviour and to apply psychological knowledge
and the mind. The term behaviour refers to actions to enhance human welfare.
and responses that we can directly observe, • Basic research is the quest for knowledge for
whereas the term mind refers to internal states its own sake, whereas applied research involves
and processes, such as thoughts and feelings, the application of knowledge derived from basic
that cannot be seen directly and that must be research to solve practical problems.
inferred from observable, measurable responses.
• The primary goals of psychological science
are to describe, explain, predict, and influence
PERSPECTIVES In science, new perspectives are engines of

progress. Advances occur as existing beliefs are
ON BEHAVIOUR challenged, a debate ensues, and scientists seek
Psychologists’ focus on biological, psychologi- new evidence to resolve the debate. Sometimes,
cal, and environmental factors that influence the best-supported elements of contrasting per-
behaviour is not new; this focus has been an spectives are merged into a new framework,
integral part of psychology’s history. But just which in turn will be challenged by still newer
how did psychology’s scope become so broad? viewpoints.
In part, it happened because psychology has If you have ever met someone who views
4. What are the world differently from the way you do, then
perspectives roots in such varied disciplines as philosophy,
medicine, and the biological and physical sci- you know that perspectives matter. Similarly,
on behaviour?
Cite four ways ences. As a result, different ways of viewing perspectives serve as lenses through which psy-
in which they people, called perspectives, became part of chologists examine and interpret behaviour.
can influence psychology’s intellectual traditions (Figure 1.5). To illustrate this point, let’s consider the case
psychological of Ray, who was a shy student when he first
science. entered university. Ray knew he was shy, espe-
cially around women, yet he wasn’t sure why.
He had been nervous on the few dates he had
gone on in high school. During his first term at
university, Ray met some women he liked but
was afraid to ask them out. He didn’t make male
friends either. By winter, he was depressed and
his schoolwork suffered. After a good spring
break visit with his family, Ray turned things
around. He studied hard, did well in class, and
made friends with some guys in the dorm. His
mood improved and soon thereafter he met
Kira. Kira was attracted to Ray but sensed his
shyness, so she asked Ray out. They’ve been
dating for a year and Ray is happy. He and Kira
have even discussed marriage.
Soon we’ll briefly look at Ray’s case through
the lens of six psychological perspectives. But
first, to better understand how these perspec-
tives evolved, let’s examine psychology’s roots
FIGURE 1.5 Youth and beauty . . . or maturity and and two of its earliest schools of thought.
wisdom? What we perceive depends on our perspec-
tive. When you examine this drawing, you will see either Psychology’s Intellectual Roots
a young woman or an old one. Now try changing your
perspective. The ear and necklace of the young woman Humans have long sought to understand them-
are the left eye and mouth of the old woman. selves, and for ages the mind–body problem
Source: Public Domain. “My wife and my mother-in-law. They has occupied the centre of this quest. Is the
are both in this picture - find them” by W.E. Hill. mind—the inner agent of consciousness and
thought—a spiritual entity separate from the Around this time, Charles Darwin’s (1809–
body, or is it part of the body’s activities? 1882) theory of evolution was generating soci- 5. Contrast the
positions of
Many early philosophers held a position of etal shock waves. Opponents attacked his theory
dualism and
mind–body dualism, the belief that the mind is because it seemed to contradict philosophical monism as they
a spiritual entity not subject to physical laws that and religious beliefs about the exalted nature of apply to the
govern the body. But if the mind is not composed human beings. Evolution implied that the mind “mind–body”
of physical matter, how could it become aware was not a spiritual entity, but rather the product problem.
of bodily sensations, and how could its thoughts of biological continuity between humans and
exert control over bodily functions? French phi- other species. Darwin’s theory also implied that
losopher and scientist René Descartes (1596– scientists might gain insight about human behav-
1650) proposed that the mind and body interact iour by studying other species. By the late 1800s,
through the brain’s tiny pineal gland. Although a convergence of intellectual forces provided the
Descartes placed the mind within the brain, he impetus for psychology’s birth.
maintained that the mind was a spiritual, non-
material entity. Dualism implies that no amount
of research on the physical body (including the
Early Schools: Structuralism
brain) could ever hope to unravel the mysteries and Functionalism
of the nonphysical mind. The infant science of psychology emerged in
Another view, monism (from the Greek word 1879, when Wilhelm Wundt (1832–1920) estab-
monos, meaning “one”), holds that mind and lished the first experimental psychology labo-
body are one and that the mind is not a separate ratory at the University of Leipzig in Germany
spiritual entity. To monists, mental events cor- (Figure 1.6). There he helped train the first gen-
respond to physical events in the brain, a posi- eration of scientific psychologists. Among these
tion advocated by English philosopher Thomas were August Kirschmann and James Baldwin,
Hobbes (1588–1679). Monism helped set the stage both of whom were founding members of the
for psychology because it implied that the mind Department of Psychology at the University of
could be studied by measuring physical processes Toronto, and George Humphrey, who began the
within the brain. The stage was further set by John tradition of research in experimental psychol-
Locke (1632–1704) and other philosophers from ogy at Queen’s University in Kingston, Ontario © Archives of the History
the school of British empiricism, which held that (Wright & Myers, 1982). One of Wundt’s gradu- of American Psychology—
The University of Akron
all ideas and knowledge are gained empirically— ate students, Englishman Edward Titchener
that is, through the senses. According to empiri- (1867–1927), later established a psychology labo- FIGURE 1.6 At the
cists, observation is a more valid approach to ratory in the United States at Cornell University. University of Leipzig
knowledge than is pure reason, because reason is Wundt and Titchener believed that the mind could in 1879, Wilhelm
fraught with the potential for error. This idea bol- Wundt established
be studied by breaking it down into its basic com-
the first laboratory
stered the development of modern science, whose ponents, as a chemist might break down a com- of experimental psy-
methods are rooted in empirical observation. plex chemical compound. Their approach came chology to study
Discoveries in physiology (an area of biology to be known as structuralism, the analysis of the structure of the
that examines bodily functioning) and medicine the mind in terms of its basic elements. mind.
also paved the way for psychology’s emergence. In their experiments, structuralists used the
By 1870, European researchers were electrically method of introspection (“looking within”) to
stimulating the brains of laboratory animals and study sensations, which they considered the
mapping the surface areas that controlled various basic elements of consciousness. They exposed
body movements. Additionally, medical reports participants to all sorts of sensory stimuli—
were linking damage in different areas of patients’ lights, sounds, tastes—and trained them to
brains with various behavioural and mental describe their inner experiences. Although this
impairments. This mounting evidence of the rela- method of studying the mind was criticized as
tion between brain and behaviour supported the being too subjective, and it died out after a few
view that empirical methods of the natural sciences decades, the structuralists left an important
could be used to study mental processes. Indeed, mark by establishing a scientific tradition for
in the mid-1800s German scientists had already studying cognitive processes.
established a new field called psychophysics, In the United States, structuralism eventu-
6. Compare
the study of how psychologically experienced ally gave way to functionalism, which held the goals of
sensations depend on the characteristics of physi- that psychology should study the functions of structuralism and
cal stimuli (e.g., how the perceived loudness of a consciousness rather than its structure. Here’s a functionalism.
sound changes as its physical intensity increases). rough analogy to explain the difference between
12 CHAPTER ONE
structuralism and functionalism: Consider your

hands. A structuralist would try to explain their
movement by studying how muscles, tendons,
and bones operate. In contrast, a functionalist
would ask, “Why do we have hands? How do
they help us adapt to our environment?” The
functionalists asked similar questions about
mental processes and behaviour. They were
influenced by Darwin’s evolutionary theory,
which stressed the importance of adaptation
in helping organisms survive and reproduce in
their environment.
William James (1842–1910), a leader in the © Archives of the History of American Psychology
functionalist movement, taught courses in
physiology, psychology, and philosophy at FIGURE 1.8 Mary Whiton Calkins founded a psychol-
ogy laboratory at Wellesley College, where she taught
Harvard University (Figure 1.7). James helped for over 30 years. She studied memory and dreams,
widen the scope of psychology to include the and in 1905, she became the first female president of
study of various biological and mental pro- the American Psychological Association.
cesses, and overt behaviour. Like Wundt,
James trained psychologists who went on to
distinguished careers. Among them was Mary
Whiton Calkins (1863–1930), who became the The psychodynamic perspective searches for
first female president of the American Psy- the causes of behaviour within the inner work-
chological Association in 1905 (Figure 1.8). ings of our personality (our unique pattern of
Although functionalism no longer exists as a traits, emotions, and motives), emphasizing the
school of thought within psychology, its tra- role of unconscious processes. Sigmund Freud
dition endures in two modern-day fields: (1856–1939) developed the first and most influ-
cognitive psychology, which studies mental ential psychodynamic theory (Figure 1.9).
processes, and evolutionary psychology, which
Psychoanalysis: Freud’s Great Challenge
emphasizes the adaptiveness of behaviour.
In late 19th century Vienna, Freud was a young
physician intrigued by the brain’s mysteries.
7. What causal The Psychodynamic Perspective: Some of his patients experienced such symp-
factors are the The Forces Within
focus of the toms as blindness, pain, paralysis, and phobias
psychodynamic Have you ever been mystified by why you (i.e., intense unrealistic fears) that were not
perspective? behaved or felt a certain way? Recall the case of caused by any apparent bodily malfunction
Ray, the student described earlier in this chap-
ter, who could not understand why he was shy.
© Science Photo Library/Photo Researchers, Inc.

Library of Congress Prints and Photographs Division, LC-3B19621
FIGURE 1.7 William James, a leader of functional-
ism, helped establish psychology in North America. His FIGURE 1.9 Sigmund Freud founded psychoanalysis.
multi-volume book Principles of Psychology (1890/1950) For more than 50 years, he probed the hidden recesses
greatly expanded the scope of psychology. of the mind.
or disease. Thus, Freud reasoned that the led to important discoveries. Additionally,
causes must be psychological. Moreover, if Freud’s work forever broadened the face of psy-
patients were not producing their symptoms chology to include the study and treatment of
consciously, Freud reasoned that the causes psychological disorders.
must be hidden from awareness—they must
be unconscious. Freud eventually treated his Modern Psychodynamic Theory
patients by using a technique called free asso- Modern psychodynamic theories continue to
ciation, in which the patient expressed any explore how unconscious and conscious aspects
thoughts that came to mind. To Freud’s surprise, of personality influence behaviour (Barber &
patients eventually described painful and long- Sharpless, 2015). However, they downplay the
“forgotten” childhood experiences, often sexual role of hidden sexual and aggressive motives
in nature. After patients remembered and men- and focus more on how early relationships with
tally “relived” these traumatic experiences, their family members and other caregivers shape the
symptoms often improved. views that people form of themselves and oth-
Freud became convinced that an unconscious ers (Kernberg, 1984, 2000). In turn, these views 8. What
part of the mind profoundly influences behav- can unconsciously influence a person’s relation- observations
iour, and he developed a theory and a form ships with other people throughout life. convinced Freud
of psychotherapy called psychoanalysis— To explain Ray’s shyness, a modern psy- of the importance
the analysis of internal and primarily uncon- chodynamic psychologist might examine of unconscious
scious psychological forces. He also proposed Ray’s conceptions of himself and his parents. and childhood
determinants of
that humans have powerful inborn sexual Ray’s shyness may stem from a fear of rejec-
adult behaviour?
and aggressive drives and that because these tion of which he is unaware. This fear may
desires are punished in childhood, we learn to be based on conceptions that he developed 9. In what
fear them and become anxious when we are of his parents as being rejecting and disap- sense, according
aware of their presence. This anxiety leads us proving, views that now unconsciously shape to Freud, is
to develop defence mechanisms, which are psy- his expectations of how relationships with the human in
chological techniques that help us cope with women and men will be. continuous
anxiety and the pain of traumatic experiences. The psychodynamic perspective dominated internal conflict?
Repression, a primary defence mechanism, pro- thinking about personality, mental disorders,
tects us by keeping unacceptable impulses, feel- and psychotherapy for the first half of the 20th
ings, and memories in the unconscious depths century, and it continues to influence psychol-
of the mind. All behaviour, whether normal or ogy and the practice of psychotherapy (Ryle,
“abnormal,” reflects a largely unconscious and 2010). Although most contemporary psycho-
inevitable conflict between the defences and logical scientists reject Freud’s particular
internal impulses. This ongoing psychological version of the unconscious mind, modern psy-
struggle between conflicting forces is dynamic chological research has identified brain mech-
in nature, hence the term psychodynamic. To anisms that produce unconscious emotional
explain Ray’s extreme shyness around women, reactions and has shown that many aspects
Freud might have explored whether Ray is of information processing occur outside of
unconsciously afraid of his sexual impulses and awareness (Bargh & Morsella, 2010; LaBar &
therefore avoids putting himself into dating sit- LeDoux, 2006).
uations where he would have to confront those
hidden impulses.
Freud’s theory stirred great controversy.
The Behavioural Perspective:
Even some of his followers disagreed with The Power of the Environment
aspects of the theory, especially its heavy The behavioural perspective focuses on the
emphasis on childhood sexuality. Other psy- role of the external environment in governing
chologists viewed the theory as difficult to test. our actions. From this perspective, our behav-
Nevertheless, Freud’s ideas stimulated research iour is jointly determined by habits learned from
on such topics as dreams, memory, aggression, previous life experiences and by stimuli in our
and mental disorders. One review of over 3000 immediate environment.
scientific studies examining Freud’s ideas found
support for some aspects of his theory, whereas Origins of the Behavioural Perspective
other aspects were unsupported or contradicted The behavioural perspective has roots in the
(Fisher & Greenberg, 1996). But even where philosophical school of British empiricism.
Freud’s theory wasn’t supported, it ultimately According to the early empiricist John Locke, at
14 CHAPTER ONE
birth the human mind is a tabula rasa—a “blank to bring them up in and I’ll guarantee
tablet” or “slate”—upon which experiences are you to take any one of them at random
written. In this view, human nature is shaped and train him to become any type of
purely by the environment. specialist I might select—doctor, law-
In the early 1900s, experiments by Rus- yer, artist, merchant-chief and, yes, even
sian physiologist Ivan Pavlov (1849–1936) beggar-man and thief, regardless of his
revealed how learning occurs when events talents, penchants, tendencies, abilities,
are associated with each other. Pavlov vocations, and race of his ancestors.
found that dogs automatically learned to (1925, p. 82)
salivate to the sound of a new stimulus,
Behaviourists sought to discover laws that
such as a tone, if that stimulus was repeat-
govern learning, and they believed that the
edly paired with food. Meanwhile, American
same basic principles of learning applied to
psychologist Edward Thorndike (1874–1949)
all organisms. B.F. Skinner (1904–1990) was a
examined how organisms learn through the con-
leading 20th century behaviourist (Figure 1.11).
sequences of their actions. According to Thorn-
Although Skinner didn’t deny that people have
dike’s (1911) law of effect, responses followed
thoughts and feelings, he maintained that “No
by satisfying consequences become more likely
account of what is happening inside the human
to recur, and those followed by unsatisfying
body, no matter how complete, will explain the
consequences become less likely to recur. Thus,
origins of human behaviour” (1989b, p. 18).
learning is the key to understanding how experi-
Skinner believed that the real causes of behav-
ence moulds behaviour.
iour reside in the outer world: “A person does
Behaviourism not act upon the world, the world acts upon
him” (1971, p. 211). His research, based largely
Behaviourism, a school of thought that empha-
on studying rats and pigeons under controlled
sizes environmental control of behaviour
laboratory conditions, examined how behaviour
through learning, began to emerge in 1913. John
is influenced by the rewarding and punishing
B. Watson (1878–1958), who led the new move-
consequences that it produces.
ment, strongly opposed the “mentalism” of the
In the case of our shy student, Ray, a behav-
structuralists, functionalists, and psychoana-
iourist might focus on Ray’s past dating experi-
lysts (Figure 1.10). He argued that the proper
ences. In high school, the first time Ray invited
subject matter of psychology was observable
a girl to a dance, he was turned down. Later, he
behaviour, not unobservable inner conscious-
had a crush on a girl and they went out once,
ness. Humans, he said, are products of their
learning experiences, and he issued the follow-
ing challenge:
Give me a dozen healthy infants, well-
formed, and my own specialized world
10. What are

the important
causal factors in
behaviour within
the behavioural
perspective?
How was
this school
of thought
influenced
by British
empiricism? © Sam Falk/Photo Researchers, Inc.
© Culver Pictures, Inc.
FIGURE 1.11 B.F. Skinner, a leading behaviourist,
FIGURE 1.10 John B. Watson founded the school of argued that mentalistic concepts were not necessary to
behaviourism. He published Psychology as the Behav- explain behaviour and that learning principles could be
iorist Views It in 1913. used to enhance human welfare.
after which she turned him down. Though ner- Cognitive Behaviourism
vous, he asked out a few girls after that but was In the 1960s and 1970s, a growing number
turned down each time. Such punishing con- of psychologists showed that such cognitive
sequences decreased the likelihood that Ray processes as attention and memory could be
would ask someone out in the future. Fortu- rigorously studied by using sophisticated exper-
nately, Kira asked Ray out, and the positive con- iments. This ability led some behaviourists to
sequences they experienced on their first date challenge radical behaviourism’s view that men-
reinforced their behaviour, increasing the odds tal life was off-limits as a topic for scientific
that they would go out again. study. A leading cognitive behaviourist is Albert © Linda A. Cicero/
Skinner believed that through “social engi- Bandura (Figure 1.12), who was born in Alberta Stanford News Service
neering,” society could harness the power of the in 1925, received his B.A. from the University of
environment to change behaviour in beneficial FIGURE 1.12 Albert
British Columbia in 1949, and received his Ph.D. Bandura has played
ways. His approach, known as radical behav- from the University of Iowa in 1952. Since 1953, a key role in merg-
iourism, was considered extreme by many he has taught at Stanford University, where he ing the cognitive and
psychologists, but he was esteemed for his sci- promotes the view that the environment exerts behavioural perspec-
entific contributions and for focusing attention its effects on behaviour not by automatically tives into cognitive
on how environmental forces could be used to “stamping in” or “stamping out” behaviours, as behaviourism.
enhance human welfare. In the 1960s, behav- Watson or Skinner maintained, but rather by
iourism inspired powerful techniques known affecting our thoughts. In cognitive behav- 11. What
collectively as behaviour modification. iourism, learning experiences and the envi- is cognitive
These techniques, aimed at decreasing problem ronment affect our behaviour by giving us behaviourism?
behaviours and increasing positive behaviours the information we need to behave effectively How does it differ
by manipulating environmental factors, are (Bandura, 1969, 2002). Cognitive behaviourism from radical
still used widely today (Eldevik et al., 2010; remains an influential viewpoint to this day. behaviourism?
Miltenberger, 2016). A cognitive behaviourist might say that Ray’s
Behaviourism’s insistence that psychology past dating rejections were punishing, leading
should focus only on observable stimuli and him to expect that further attempts at romance
responses resonated with many who wanted would be doomed. In turn, these expectations
psychology to model itself on the natural sci- of social rejection inhibited him from asking
ences. Behaviourism dominated North Amer- women out and even from making male friends.
ican research on learning into the 1960s,
challenged psychodynamic views about the 12. How does
The Humanistic Perspective: the humanistic
causes of psychological disorders, and led to
effective treatments for some disorders. But
Self-Actualization and Positive conception of
radical behaviourism’s influence waned after Psychology human nature
and motivation
the 1970s, as interest in studying mental pro- In the mid-20th century, as the psychodynamic differ from that
cesses expanded (Robins et al., 1999). Still, and behavioural perspectives vied for domi- advanced by
behaviourists continue to make important con- nance within psychology, a new viewpoint psychoanalysis
tributions, and their discovery of basic laws of called humanism arose to challenge them both. and behavi
learning was one of the greatest contributions The humanistic perspective emphasized free ourism?
made by 20th-century American psychology. will, personal growth, and the attempt to find
meaning in one’s existence.
Humanists rejected psychodynamic con-
Thinking critically cepts of humans as being controlled by uncon-
scious forces, and rejected behaviourism’s view
ARE THE STUDENTS LAZY? of humans as mere reactors to the environment.
Imagine that you are a high school teacher.
Instead, such humanistic theorists as Abraham
Whenever you try to engage your students in a Maslow (1908–1970) proposed that each of us
class discussion, they gaze into space and hardly has an inborn force toward self-actualiza-
say anything. You start to think that they’re just tion, the reaching of one’s individual potential
a bunch of lazy kids. From a radical behavioural (Figure 1.13). When humans develop in a supportive
perspective, is your conclusion reasonable? How
might you improve the situation?
environment, the positive inner nature of a person
emerges. In contrast, misery and pathology occur
Think about it, and then see the Answers section
when environments frustrate our innate tendency
at the end of the book.
toward self-actualization. Humanists emphasized
the importance of personal choice, responsibility,
16 CHAPTER ONE
3. What is the
1 The Cognitive Perspective:
conception of The Thinking Human
human nature
The cognitive perspective examines the
advanced by
the cognitive
nature of the mind and how mental processes
perspective? influence behaviour. In this view, humans are
information processors whose actions are gov-
erned by thought.
Origins of the Cognitive Perspective

Two of psychology’s earliest schools of thought,
structuralism and functionalism, reflected the
cognitive perspective. Recall that structural-
ists attempted to identify the basic elements of
consciousness, while functionalists explored
© Diego Azubel/epa/Corbis the purposes of consciousness. Other pioneer-
ing cognitive psychologists, such as Hermann
FIGURE 1.13 The humanistic perspective empha-
14. What does sizes the human ability to surmount obstacles in the Ebbinghaus (1850–1909), studied memory.
Gestalt mean? drive toward self-actualization. By the 1920s, German scientists had formed
How does this a school of thought known as Gestalt psy-
meaning relate chology, which examined how the mind orga-
to the goals and personality growth, and positive feelings of self-
worth. To humanists, the meaning of our existence nizes elements of experience into a unified or
findings of Gestalt “whole” perception (“Gestalt” roughly translates
psychology? resides squarely in our own hands.
Thinking about Ray’s shyness and loneliness, as “whole” or “organization”). They argued that
a humanist might say that no matter how many perceptions are organized so that “the whole is
rejections Ray has had in the past, he must take greater than the sum of its parts.” As an exam-
personal responsibility for turning things around. ple, consider the illusion, discovered by Queen’s
A humanist also might wonder whether, in his psychologists Kang Lee and Alejo Freire (1999),
first year at university, Ray’s happiness and sense shown in Figure 1.14. Although the oval win-
of self-worth were resting too heavily on his dows through which you view the three faces
hope for a good romantic relationship. By focus- are identical, for most people the one in which
ing on building a few friendships, Ray wisely the internal features of the face are stretched
found another way to satisfy what Maslow (1954) appears longer, and the one in which the fea-
called belongingness, our basic human need for tures are compressed appears shorter, than the
social acceptance and companionship. window with the “normal” face. Another inter-
Few early humanists were scientists and, esting point is that facial orientation is impor-
historically, humanism has had a more lim- tant. Slowly turn this page upside down and
ited impact on mainstream psychological sci- watch the difference in the size of the oval win-
ence than have other perspectives. Still, it has dows diminish. Gestalt psychologists believed
inspired important areas of research. Humanist that this tendency to perceive wholes is, like
Carl Rogers (1902–1987) identified key aspects other forms of perceptual organization, built
of psychotherapy that led to constructive into our nervous system.
changes in clients. Humanistic concepts also Gestalt psychology stimulated interest in
stimulated research on self-esteem and self- such topics as perception and problem solv-
concept (Verplanken & Holland, 2002). ing; but, like structuralism and functionalism, it
Humanism’s focus on self-actualization and eventually disappeared as a scientific school. As
growth is seen in today’s growing positive psy- behaviourism’s anti-mentalistic stance strength-
chology movement, which emphasizes the ened in North America during the 1920s and
study of human strengths, fulfillment, and opti- 1930s, the study of the mind was relegated to
mal living ( Hogan, 2014; Lambert, Passmore, & the back burner.
Holder, 2015; Lopez, Pedrotti & Snyder, 2015).
Rather than focusing on “what’s wrong with our Renewed Interest in the Mind
world” (e.g., mental disorders, conflict, preju- In the 1950s, interest in studying cognitive
dice), positive psychology examines how we processes regained ground. In part, this inter-
can nurture what is best within ourselves and est stemmed from psychologists’ involvement
society to create a happy and fulfilling life. during World War II in designing information
language and that children come to understand

language as a set of “mental rules.” This heated
debate convinced many psychologists that
language was too complex to be explained by
behavioural principles and instead needed to be
examined from a cognitive perspective.
Interest in cognition grew in other areas. For
example, a theory by Swiss psychologist Jean
Piaget (1896–1980), which explained how chil-
dren’s thinking becomes more sophisticated
with age, gained widespread recognition in
North America. Overall, psychologists’ interest
in mental processes swelled by the 1960s and
1970s—a period that sometimes is referred to as
the cognitive revolution.
The Modern Cognitive Perspective

Cognitive psychology, which focuses on the
study of mental processes, embodies the cog-
nitive perspective. Cognitive psychologists
study the processes by which people reason,
make decisions, solve problems, form percep-
tions, and produce and understand language.
Many, such as Elizabeth Loftus, study memory
and factors that distort it (Figure 1.15). Cogni-
tive psychologists explore the nature of atten-
tion and consciousness and have increasingly
studied how unconscious processes influence
behaviour.
FIGURE 1.14 This illusion illustrates the Gestalt prin- Cognitive neuroscience, which uses sophis-
ciple that the whole is often greater than the sum of its ticated electrical recording and brain-imaging
parts. The three ovals surrounding the faces appear to techniques to examine brain activity while
be of different size, but they are identical (see text). people engage in cognitive tasks, is a rapidly
Prove this by measuring the length of each oval. This
growing area that represents the intersection
illusion can be reduced by inverting the page.
Source: Based on Lee K, Freire A, 1999, “Effects of face
configuration change on shape perception: A new illusion”
Perception 28(10) 1217–1226.
displays, such as gauges in airplane cockpits,

that enabled military personnel (e.g., pilots) to
recognize and interpret that information quickly
and accurately. Computer technology, in its
infancy at that time, provided new information-
processing concepts and terminology that psy-
chologists adapted to the study of memory and
attention (Broadbent, 1958). A new metaphor
developed—the mind as a system that pro-
cesses, stores, and retrieves information—and it
remains influential today.
On another front in the 1950s, behaviour-
ists and linguists debated how children acquire
language. The behaviourists, led by Skinner,
claimed that language is acquired through basic © Siner Jeff
principles of learning. The linguists, led by FIGURE 1.15 Cognitive psychologist Elizabeth Loftus
Noam Chomsky (b. 1928), argued that humans studies the nature of memory and how memories
are biologically “preprogrammed” to acquire become distorted.
18 CHAPTER ONE
of cognitive psychology and the biological per- much social psychological research examines
spective within psychology. Cognitive neuro- social cognition: how people form impressions
scientists seek to determine how the brain goes of one another, how attitudes form and can
about its business of learning language, acquir- be changed, how our expectations affect our
ing knowledge, forming memories, and per- behaviour, and so forth. Intersecting the bio-
forming other cognitive activities (Hans et al., logical perspective (which we discuss next),
2013; Posner & Rothbart, 2007b). social psychologists have increasingly exam-
From a cognitive perspective, we can examined the biological bases of social thinking and
ine Ray’s shyness in terms of how he processes behaviour. For example, it appears that social
information. The few times he went on dates, pain, which can occur when people reject or
Ray’s nervousness may have caused him to focus ostracize us, shares many of the same brain cir-
on the slightest things that weren’t going well, cuits that underlie physical pain (Lieberman &
while failing to notice other cues that suggested Eisenberger, 2009).
his date was having a good time. Ray also may
be remembering those events as much more The Cultural Component
5. Define
1
culture and unpleasant than they actually were, and his inter- Culture refers to the enduring values, beliefs,
norms. What pretation of past dating failures may be based on behaviours, and traditions that are shared by
functions does a faulty reasoning. Ray believes he was rejected a large group of people and passed from one
culture serve? because of his personal qualities (“I’m not inter- generation to the next. All cultural groups
esting enough”) and therefore expects that future develop their own social norms, which are rules
dates will also be unsuccessful. If Ray correctly (often unwritten) that specify what behaviour
attributed the rejections to some situational fac- is acceptable and expected for members of that
tor (“Clarissa was already interested in some- group. Norms exist for all types of social behav-
one else”), then he would not necessarily expect iours, such as how to dress, how to respond
other women to reject him in the future. to people of higher status, or how to act as a
woman or a man (Figure 1.16). For culture to
endure, each new generation must internalize,
The Sociocultural Perspective: or adopt, the norms and values of the group as
The Embedded Human their own. Socialization is the process by which
Humans are social creatures. Embedded within culture is transmitted to new members and
a culture, each of us encounters ever-chang- internalized by them.
ing social settings that shape our actions and Throughout much of the 20th century,
values, our sense of identity, and our very psychological research largely ignored non-
conception of reality. The sociocultural per- Western groups. Even within Western societ-
spective examines how the social environment ies, for decades participants in psychological
and cultural learning influence our behaviour, research typically were White and came from
thoughts, and feelings. middle- or upper-class backgrounds. There
were important exceptions, however, such as
The Social Psychological Component research by Kenneth Clark (1914–2005) and
For over a century, social psychologists have Mamie Clark (1917–1983) and others, which
studied how the presence of other people influ- examined how discrimination and prejudice
ences our behaviour, thoughts, and feelings influenced the personality development of
(Triplett, 1898). The word presence includes African-American children (Clark & Clark,
actual physical presence (e.g., you’re in a 1947; Figure 1.17).
group), implied presence (e.g., you’re dressing Over time, psychologists increasingly began
for a party, aware that at the party people will to study diverse ethnic and cultural groups.
evaluate how you look), and imagined presence Today the growing field of cultural psychology
(e.g., driving a car, you slow down because (sometimes called cross-cultural psychology)
you incorrectly think the car behind you is an explores how culture is transmitted to its mem-
unmarked police car). The social psychological bers and examines psychological similarities and
approach overlaps with many other perspec- differences among people from diverse cultures
tives. For example, like behaviourism, social (Schaller et al., 2010). Research findings in cul-
psychology pays special attention to how the tural psychology regarding differences in how
environment influences our behaviour, but its Easterners and Westerners think and reason have
emphasis is narrowed to the social environ- challenged long-held assumptions about how
ment. Consistent with a cognitive perspective, the mind operates and highlight the influence of
(left) Julie Jacobson/AP Photo/The Canadian Press; (right) © Eldad Rafaeli/Corbis
FIGURE 1.16 Social norms differ across cultures and over time within cultures. The idea of women engaging in
aggressive sports or military combat is unthinkable in many cultures. A few generations ago, it was also unthink-
able in Canada.
culture on our thought processes (Guan, Chen, to those of the group and personal identity is
Levin, Bond, Luo, Xu, & Han, 2015; Nisbett, Peng, defined largely by the ties that bind one to the
Choi, & Norenzayan, 2001). extended family and other social groups. The
One important difference among cultures is largest differences seem to exist between North
the extent to which they emphasize individual- Americans, who tend to both more individualis- 16. Contrast
ism versus collectivism (Triandis & Suh, 2002). tic and less collectivistic than individuals in most individualistic
and collectivistic
Most industrialized cultures of northern Europe cultures, and Chinese, who show the opposite pat-
societies.
and North America promote individualism, an tern (Jaing & Gore, 2015). However, even within
emphasis on personal goals and self-identity a single culture there are variations in these
based primarily on one’s own attributes and characteristics—for example, between African
achievements. In contrast, many Asian, African, Americans and European Americans (Oyserman,
and South American cultures nurture collectiv- Coon, & Kemmelmeier, 2002). These differences
ism, in which individual goals are subordinated are created by social learning experiences that
begin in childhood and continue throughout our
lives in the form of social customs.
Thinking about Ray’s lonely first year in uni-
versity, the sociocultural perspective again leads
us to Ray’s expectations of social rejection and
beliefs about why past social rejections occurred.
We also can ask how his cultural upbringing and
other social factors contributed to his shy behav-
iour. Throughout his teen years, cultural norms
for male assertiveness may have put pressure on
Ray. His shyness may have evoked teasing and
other negative reactions from his high school
Library of Congress Prints and Photographs Division, peers, increasing his feelings of inadequacy by
LC-USZ62-112521 the time he reached university. As for Ray and
Kira’s dating relationship, we might examine how
FIGURE 1.17 Psychologists Kenneth Clark and
Mamie Clark studied the development of racial identity
norms regarding courtship and marriage dif-
among African-American children. Kenneth Clark also fer across cultures. We consider cross-cultural
wrote books on the psychological impact of prejudice attitudes toward love and marriage in our first
and discrimination. Research Foundations feature.
20 CHAPTER ONE
The Research Foundations feature in each chapter presents a

classic study in some detail.
Research
Foundations
WOULD YOU MARRY SOMEONE YOU TABLE 1.2 Love and Marriage in 11 Cultures
DIDN’T LOVE? If someone had all the other qualities you desired, would
you marry this person if you were not in love with him/her?
Introduction
Percentage
Would you marry someone you did not love? According
Country No Yes Not Sure
to one theory, people in individualistic cultures are more
likely to view romantic love as a requirement for marriage India 24 49 27
because love is a matter of personal choice (Goode, 1959). Thailand 34 19 47
In collectivistic cultures, concern for the extended family Pakistan 39 50 11
plays a larger role in marriage decisions.
Philippines 64 11 25
Psychologist Robert Levine and his colleagues (1995)
examined college students’ views about love and marriage. Japan 64 2 34
Whereas previous research focused on American students, Hong Kong 78 6 16
these authors studied students from 11 countries. They Australia 80 5 15
also examined whether students from collectivistic and eco-
Mexico 83 10 7
nomically poorer countries would be less likely to view love
as a prerequisite to marriage. England 84 7 9
Brazil 86 4 10
Method United States 86 4 10
The researchers administered language-appropriate ver-
sions of the same questionnaire to 1163 female and male
college students from 11 countries. The key question was and economically poorer countries were less likely to view
“If someone had all the other qualities you desired, would love as a prerequisite to marriage.
you marry this person if you were not in love with him/her?”
Discussion
The students responded “No,” “Yes,” or “Not Sure.” The
researchers determined each country’s economic status Among most of our own students, the notion that you marry
and collectivistic versus individualistic orientation from data someone you love is a truism. They are surprised—as per-
gathered by previous cross-cultural investigators. haps you are—that many students in other countries would
consider marrying someone they did not love. This study
reminds us that as members of a particular culture, it is easy
Results to mistakenly assume that “our way” is the “normal way.”
Within each country, the views of female and male stu- As in all research, we must think critically and interpret the
dents did not differ significantly. In contrast, beliefs across results carefully. For example, among those students who said
countries varied strongly (Table 1.2). In India, Thailand, and they would marry someone without being in love, would it be
Pakistan, most students said they would marry or at least accurate to conclude that they view love as irrelevant to mar-
consider marrying someone they did not love. In the Philip- riage? Not necessarily, because other research has found that
pines and Japan, a sizable minority—just over a third—felt “mutual attraction/love” is viewed across most cultures as a
the same way. In contrast, students from the other coun- desirable quality in a mate (Buss, 1989). Thus, the results
tries overwhelmingly rejected the notion of marrying some- of this study suggest only that in some cultures love is not
body they did not love. Overall, students from collectivistic viewed as an essential prerequisite to enter into marriage.
Source: Robert Levine, Suguru Sato, Tsukasa Hashimoto, and Jyoti Verma (1995). Love and marriage in eleven cultures. Journal of Cross-Cultural Psy-
chology, 26, 554–571. Table 2. Copyright © 1995 SAGE Publications. Reprinted by permission of SAGE Publications, Inc.1
1
The citation system used in psychology lists the authors, year of publication, title, journal or book, volume number of the journal, and page numbers.
17. What
three classes The Biological Perspective: a prominent part of the field, but its influence has
increased dramatically over recent decades.
of causal The Brain, Genes, and Evolution
factors does
the biological The biological perspective examines how brain Behavioural Neuroscience
perspective processes and other bodily functions regulate Ray and Kira are in love. They study and eat
focus on? behaviour. Biological psychology has always been together. They hold hands and kiss. Yet a year
earlier, Ray was depressed. What brain regions,

neural circuits, and bodily chemicals enable us to
feel love, pleasure, and depression, and to read,
study, and feel hunger? These questions per-
tain to behavioural neuroscience (also called
physiological psychology), which examines brain
processes and other physiological functions that
underlie our behaviour, sensory experiences,
emotions, and thoughts (Rolls, 2010).
An early pioneer of biological psychology,
American Karl Lashley (1890–1958), trained rats
to run mazes and then measured how surgically
produced lesions (damage) to various brain
areas affected the rats’ learning and memory.
His research inspired other psychologists to
map brain regions involved in specific psycho- © Michael Phelps
logical functions (Figure 1.18). For example,
at McGill University in Montreal, James Olds FIGURE 1.19 Behavioural neuroscientists use positron-
emission tomography (PET) scans to measure brain activ-
and Peter Milner (1954) discovered that some
ity as people perform various tasks. Viewed from above,
areas of the brain were specialized for provid- each image pictures a horizontal slice of the brain with
ing animals with pleasurable sensations. As will the front of the brain at the top. Yellow and red indicate
be described in Chapter 8, W.B. Scoville and regions of greatest activity: visual task (top left), auditory
Brenda Milner (1957), in the course of treating a task (top centre), cognitive task (top right), memory task
patient named H.M. who suffered from epilepsy, (bottom left), and motor task (bottom right).
found that damage to some areas of the human
brain was associated with severe memory loss. brain areas as people experience emotions, per-
Another pioneer, Canadian Donald O. Hebb ceive stimuli, and perform tasks (Figure 1.19). 18. What
(1904–1985), proposed that changes in the con- Read more about imaging studies in the Focus methods do
nections between nerve cells in the brain pro- behaviour
on Neuroscience feature. These advances have
vide the biological basis for learning, memory, geneticists use
led to new areas of study that link various psy- to investigate
and perception. His influential theory inspired chological perspectives. For example, cognitive the role of
research that eventually led to the discovery neuroscience—the study of brain processes that genetic factors
of neurotransmitters, which are chemicals underlie thinking and information processing— in animal
released by nerve cells that allow them to com- represents an intersection of cognitive psychol- and human
municate with one another. ogy and behavioural neuroscience. behaviour?
Today, modern brain-imaging techniques
allow psychologists to watch activity in specific Behaviour Genetics
Psychologists have had a long-standing inter-
est in behaviour genetics, the study of how
behavioural tendencies are influenced by genetic
factors (Jaffee, Price, & Reyes, 2013; Plomin &
Haworth, 2009). Animals can be selectively bred
not only for physical traits, but also for such
behavioural traits as aggression. This breeding is
done over generations by mating highly aggres-
sive males and females. In Thailand, where gam-
bling on fish fights is a national pastime, selective
breeding has produced the highly aggressive Sia-
mese fighting fish. The male of this species will
instantly attack his own image in a mirror.
Identical human twins, who result from the
© Archives of the History of American Psychology splitting of a fertilized egg and therefore have
FIGURE 1.18 Karl Lashley was a pioneer of physi- the same genetic makeup, are more similar
ological psychology (behavioural neuroscience). He to each other on many behavioural traits than
examined how damage to various brain regions affected are fraternal twins, who result from two differ-
rats’ ability to learn and remember. ent fertilized eggs and therefore are no more
22 CHAPTER ONE The Focus on Neuroscience feature in each chapter highlights how
rapidly developing cutting-edge technology is paving the way for
groundbreaking imaging studies that give new insights into the
Focus on workings of the human brain and its relationship to behaviour.
Neuroscience
THE NEUROSCIENCE OF IMAGING studies are the source of the often-quoted myth that we use
STUDIES only 10 percent of our brain (we actually use it all).
With the development of new technologies, the focus
Early attempts to image or map the human brain relied on has shifted to imaging the intact brain. Fox (1997) notes
relatively inaccurate, and, in some cases, subjective, meth- that the number of imaging studies is growing at an expo-
ods. Franz Joseph Gall and his colleague J.C. Spurzheim nential rate. In the early 1980s, fewer than 15 imaging
developed the “science” of phrenology in the early 19th papers were presented, on average, at the annual meeting
century. According to historian E.G. Boring (1950), as a of the Society for Neuroscience. At the 2005 meeting, the
young boy, Gall had noticed a relationship between eye number was up to 745. Tuomi shows a similar increase
prominence and memory—he believed that those with in PubMed studies (see Figure 1.20). In 2012, more than
pronounced eyes had superior memories. Gall went on to 20 articles using fMRI were published every day and the
study the relationship between various mental character- PubMed data base contains over 100 000 imaging studies
istics and the shape of one’s head, producing a number (Tuomi, 2013). In every chapter of this text, we will highlight
of mental maps based on the bumps and valleys found on imaging studies in an effort to give a clearer understanding
the skull. Presumably, the bigger the bump, the more brain of the human mind.
tissue underneath and, consequently, the more processing
power. Gall’s maps are completely inaccurate: Language
and memory are not reflective of brain tissue behind your 2000
eyes. However, the general notion that different functions 1800
are mediated by different areas of the brain was an idea 1600
whose time had come.
1400
Number of papers
Much of the early work on localization of function involved

1200
the examination of patients who had very specific brain inju-
ries that resulted in a very specific mental or behavioural 1000
loss (e.g., the case of Phineas Gage discussed in Chap- 800
ter 3). Upon autopsy, one could examine the nature and 600
extent of the brain injury and relate this to functional loss. 400
However, this method was not very exact and there were
200
relatively few patients to examine. In the laboratory, it was
possible to have much more precision. Shepherd Franz and 0
87 88 89 90 91 92 93 94 95 96 97 98 99 00 01 02 03 04
his student Karl Lashley began a series of experiments in Year
the early 1920s designed to investigate the effects of spe-
cific tissue loss. Using animal subjects, various brain areas FIGURE 1.20 Growth in imaging abstracts at the annual
were removed and results were noted. To their surprise, a Society for Neuroscience meeting (adapted from Fox, 1997).
great deal of cortex could be removed with relatively small Source: Tuomi, Ilkka. “Educational Neurosciences—More Problems
losses in function. Many believe that the Franz and Lashley than Promise?” Fig. 1. p. 10. (Bangkok 2013). © UNESCO 2013.
similar genetically than are non-twin siblings. extremely shy, inhibited emotional style that
This greater behavioural similarity is found even seems to be biologically based and persists into
when identical twins have been reared in differ- adulthood (Kagan, 1989; Newman et al., 1997).
ent homes and dissimilar environments (Lykken, Dating rejections may have reinforced Ray’s
2006). Studies of twins and adoptees can tell us a natural reluctance to ask women out.
great deal about the relative influences of genet-
ics and parenting in children’s behaviour, though Evolutionary Psychology
measuring these influences can be tricky. For In his theory of evolution, Darwin (1859) noted
19. What is example, the parents who pass on their genes to that within a species some members possess
meant by natural
a child also engage in parenting practices that specific traits to a greater extent than do other
selection? What
is its role in
are influenced by some of those same genes, members (Figure 1.21). Through a process he
physical and making it difficult to tease apart the influences called natural selection, if an inherited trait
behavioural of nature and nurture on behaviour. gives certain members an advantage over oth-
evolution? Thinking about Ray, perhaps he inherited ers (such as increasing their ability to attract
a tendency to be shy. Some infants display an mates or escape from danger), these members
Evolutionary psychology seeks to explain

20. According
how evolution shaped modern human behav-
to evolutionary
iour (Buss, 2005). Evolutionary psychologists
psychology, how
stress that human mental abilities and behav- do biological
ioural tendencies evolved along with a changing and behavioural
body (Tooby & Cosmides, 2005). According to evolution
one theory, as our human-like ancestors devel- influence each
oped new physical abilities (such as the abil- other?
ity to walk upright, thus freeing the use of the
arms and the hands), they began to use tools
and weapons and live in social groups (Pil-
beam, 1984). Helping each other was important
Library of Congress Prints and Photographs Division, LC-USZ62-52389
for the evolutionary fitness of the entire group
FIGURE 1.21 Charles Darwin, a British naturalist, for- (Kurzban, Burton-Chellew, & West, 2015). Cer-
mulated a theory of evolution that revolutionized scien- tain psychological abilities—thought, language,
tific thinking. and the capacity to learn and solve problems—
became more important to survival as our
will be more likely to survive and pass on these ancestors had to adapt to new ways of living.
characteristics to their offspring. In this way, Attraction to particular physical features such
species evolve as the presence of adaptive traits as facial symmetry may be an evolved adapta-
increases within the population over generation, as a symmetrical face and smooth skin are
tions. Traits that put certain members at a dis- indicators of a healthy potential mate (Rhodes,
advantage tend to become less common within 2006). Our ancestors who were attracted to such
a species over time because members having features were more likely to have healthy babies
those traits will be less likely to survive and and therefore to pass on those genes to future
reproduce. As environments change, the adap- generations, compared to individuals who did
tiveness of a trait may increase or decrease. not share this preference.
Thus, through natural selection, a species’ biol- Within any generation, genetically based
ogy evolves in response to environmental con- variations in brain structure and functioning
ditions (Figure 1.22). occur among individuals. Ancestors whose
brain characteristics better supported adap-
tive mental abilities were more likely to survive
and reproduce. Thus, through natural selection,
adaptations to new environmental demands
contributed to the development of the brain,
just as brain growth contributed to the further
development of human behaviour.
Evolutionary psychologists also attempt to
21. According
explain human social behaviour. The notion
to sociobiology,
that evolutionary pressures have stimulated the what is the
development of brain mechanisms that allow us ultimate
to learn, think, reason, and socialize more effec- importance of
tively is generally accepted today. However, evolved social
one evolutionary theory (and there are many behaviours? On
theories) is more controversial. Sociobiology what bases has
© Michael Willmer Forbes/Tweedie/Photo Researchers, Inc. (Wilson, 1980) holds that complex social behav- this position
iours are also built into the human species as been criticized
FIGURE 1.22 Natural selection pressures result in by other
physical changes. The peppered moth’s natural colour products of evolution. Sociobiologists argue
that natural selection favours behaviours that theorists?
is that of the lighter insect. However, over many gen-
erations, peppered moths who live in polluted urban increase the ability to pass on one’s genes to
areas have become darker, not from the pollution but the next generation. These social behaviours
because moths who inherited slightly darker coloration include aggression, competition, and domi-
blended better into their grimy environment. Thus, they
nance in males, and cooperative and nurturing
were more likely to survive predators and pass on their
“darker” genes to their offspring. However, a trip into tendencies in females. Indeed, sex differences
the countryside to visit their light-coloured relatives in reproduction are significant. For example,
could easily prove fatal for these darker urban insects. sociobiologists Martin Daly and Margo Wilson,
24 CHAPTER ONE
of McMaster University, note that females have human social behaviour. Evolutionary theorists
a greater investment in the reproductive pro- with a more cultural orientation suggest that the
cess. Women have less opportunity to repro- evolved brain structures that underlie psycholog-
duce (usually only one egg per month and, in ical mechanisms (such as the ability to use lan-
Canada, produce only one or two children on guage) developed to enhance adaptation to the
average) than males. They also have a greater demands of social and group living rather than
health risk during pregnancy and delivery, and simply to further the survival of one’s genes.
in Canada, tend to be the primary caregiver
after divorce. Thus, perhaps through natural
selection men and women have become biologi-
USING LEVELS
cally predisposed to seek somewhat different OF ANALYSIS TO
qualities in a mate (Buss, 2007). A major point is INTEGRATE THE
that, in the eyes of sociobiologists, one’s genetic
survival (i.e., the transmission of one’s genes)
PERSPECTIVES
is more important than one’s own physical sur- As summarized in Table 1.3, psychology’s six
vival. This principle can explain certain altruis- major perspectives (presented in the order we
tic behaviours, including giving up one’s life to discussed them) provide differing conceptions of
save children or relatives. Although such behav- human nature. Fortunately, we can distill their
22. What iour is hardly in the survival interests of the essence into the simple three-part framework that
three levels of
individual, it serves a higher purpose: It keeps we introduced earlier. Behaviour can be exam-
analysis allow
one’s genes alive in the gene pool to live on in ined at biological, psychological, and environ-
us to incorporate
causal factors descendants (Sober & Wilson, 1998). mental levels. At the biological level of analysis,
suggested by Many critics (e.g., Caporael, 1997) believe we can study behaviour and its causes in terms of
each of the that sociobiology overemphasizes innate bio- brain functioning, hormones, and genetic factors
perspectives? logical factors at the expense of cultural and shaped over the course of evolution. At the psy-
social learning factors in explaining complex chological level of analysis, we might look to the
TABLE 1.3 Comparison of Six Major Perspectives on Human Behaviour

Psychodynamic Behavioural Humanistic Cognitive Sociocultural Biological
Conception of The human as The human as The human The human as The human as The human as
human nature controlled by inner reactor to the as free-agent, thinker social being animal
forces and conflicts environment seeking self- embedded in a
actualization culture
Major causal Unconscious Past learning Free will, Thoughts, Social forces, Genetic and
factors in motives, conflicts, experiences choice, and anticipations, including evolutionary
behaviour and defences; and the stimuli innate drive planning, norms, social factors; brain
early childhood and behavioural toward self- perceptions, interactions, and biochemical
experiences and consequences actualization; attention, and group processes
unresolved conflicts that exist in search for and memory processes in
the current personal processes one’s culture
environment meaning of and social
existence environment
Predominant Intensive Study of learning Study of Study of Study of Study of brain-
focus and observations processes meaning, cognitive behaviour behaviour
methods of of personality in laboratory values, and processes, and mental relations; role
discovery processes in and real-world purpose in life; usually processes of hormones
clinical settings; settings, with study of self- under highly of people and biochemical
some laboratory an emphasis concept and its controlled in different factors in
research on precise role in thought, laboratory cultures; behaviour;
observation emotion, and conditions experiments behavioural
of stimuli and behaviour examining genetics
responses people’s research
responses to
social stimuli
cognitive perspective and analyze how thought, we are operating at the environmental level of
memory, and planning influence behaviour. Bor- analysis. However, if Ray and Kira adopt those
rowing from the psychodynamic and humanistic cultural values and make them part of their
perspectives, we can examine how motives and identities, this represents the psychological
personality traits influence behaviour. Finally, at level of analysis. Similarly, we might describe
the environmental level of analysis, the behav- a family environment as abusive, but also
ioural and sociocultural perspectives lead us to describe an abused child’s tendency to worry
examine how stimuli in the physical and social and feel anxious, as well as discuss the chemi-
environment shape our behaviour, thoughts, and cal changes in the child’s brain that underlie
feelings. this anxiety, which moves us from the environ-
A full understanding of behaviour often mental, to the psychological, and then to the
moves us back and forth between these three biological levels of analysis. The discussion in
levels. Consider Ray and Kira. When we this chapter’s Frontiers feature suggests some
describe the culture in which they were raised, other ways in which the perspectives and levels
such as its religious values and social customs, might interact.
In Review
• Several perspectives have shaped psychology’s freedom and choice, psychological growth, and
scientific growth. Each perspective views human self-actualization.
nature differently and focuses on different • The cognitive perspective views humans as
causes of behaviour. information processors who think, judge,
• Psychology’s intellectual roots lie in philoso- and solve problems. Its roots lie in the early
phy, biology, and medicine. In the late 1800s, schools of structuralism, functionalism, and
Wundt and James helped found psychology. Gestalt psychology. Piaget’s work on cogni-
Structuralism, which examined the basic com- tive development, the study of linguistics, and
ponents of consciousness, and functionalism, the advent of computers sparked new interest
which focused on the purposes of conscious- in mental processes. Cognitive neuroscience
ness, were psychology’s two earliest schools of studies brain processes that underlie mental
thought. activity.
• The psychodynamic perspective calls atten- • The sociocultural perspective examines how the
tion to unconscious motives, conflicts, and social environment and cultural learning influ-
defence mechanisms that influence personality ence our behaviour and thoughts. Cultural psy-
and behaviour. Freud’s psychoanalytic theory chologists study how culture is transmitted to
emphasized unconscious sexual and aggressive its members and examine similarities and dif-
impulses and early childhood experiences that ferences among people from various cultures.
shape personality. An orientation toward individualism versus col-
• With roots in 18th-century British empiricism, lectivism represents one of many ways in which
the behavioural perspective emphasizes how the cultures vary.
external environment and learning shape behav- • With roots in physiology, medicine, and Darwin’s
iour. Behaviourists, such as Watson and Skin- theory of evolution, the biological perspective
ner, believed that psychology should study only examines how bodily functions regulate behav-
observable stimuli and responses, not unobserv- iour. Physiological psychologists study brain
able mental processes. They argued that the key processes and other physiological functions that
to changing behaviour is modifying the environ- underlie our behaviour, sensory experiences,
ment. Behaviourists discovered basic laws of emotions, and thoughts. Behaviour geneticists
learning through controlled research with labo- study how behaviour is influenced by our genetic
ratory animals and successfully applied these inheritance. Evolutionary psychologists examine
principles to enhance human welfare. behaviour in terms of its adaptive functions and
• Humanists reject the notion that people are seek to explain how evolution has biologically
controlled by unconscious forces or merely predisposed modern humans toward certain
react to environmental stimuli. Instead, the ways of behaving.
humanistic perspective emphasizes personal
26 CHAPTER ONE
The Frontiers feature presents a discussion of current and

future directions in psychological theory and research.
Frontiers
CULTURE, LANGUAGE, AND BEHAVIOUR are two ways to group the three words: either by category
(teacher, doctor) or by relationship (teacher, homework).
The behavioural and sociocultural perspectives emphasize A comparison group of European-American students at the
the role of the environment in the development of behav- University of Michigan (English only) had been tested in an
iour. They tell us that we are moulded by our unique learn- earlier study. The results indicated very different sorting strat-
ing histories and shaped by the culture into which we are egies by the European-American students compared to the Chi-
born. Our learning and cultural experiences influence not nese students. At Michigan, the students sorted by category,
only our behaviour, but also how we view ourselves (i.e., more or less ignoring the possible relationships. The Chinese
our “cultural identity”) and the world. The behavioural per- students used the opposite strategy. Their sorts reflected the
spective seems straightforward: Our behaviour is shaped by relationships among the words, rather than category member-
learning. But just how does culture influence our behaviour? ship. Chinese students sorted this way regardless of their
Many researchers have argued that language and culture testing language, although the students from Beijing were
are intimately related (e.g., Vygotsky, 1962). In the most more likely to use relationship sorts when the test language
extreme version of this approach, Whorf (1956) suggested that was Chinese. Most likely, the difference between the Hong
language influences thought and cognition directly. According Kong students and Beijing students reflects the age at which
to Whorf, the language we use changes the way we think about English is learned. For the Hong Kong students, English is
the world. We can make cognitive distinctions among things we learned much earlier, often in conjunction with formal language
encounter only if we have a means to describe them. For exam- training. This early learning would result in a shared internal
ple, Whorf suggested that a culture using a language without representational system for both languages.
a past tense (such as the Hopi Indians of the United States) Thus, according to Ji et al. (2004), culture influences
would have difficulty remembering past events. these cognitive sorting patterns, independent of language.
The idea that culture, through language, determines How is this possible? They suggest that the value of relation-
how we think is a bit overstated, as various authors have ships is reinforced much more strongly in Chinese culture
suggested (e.g., Rosch, 1973). Nonetheless there are than in North American culture. Chinese people pay more
clear influences of both culture and language on cognition attention to the social environment than do their American
and behaviour. Consider some recent work by Li-Jun Ji at counterparts, who value autonomy (e.g., Ji, Schwartz, &
Queen’s University. Ji and colleagues (Ji, Zhang, & Nisbett, Nisbett, 2000). These values are reflected in both the family
2004) recruited Chinese students at Hong Kong University and school environments and become an integral part of how
and Beijing University. All students were bilingual—they the world is perceived. Language’s influence fine-tunes these
spoke both English and Chinese. They were presented with preferences, and yet it cannot overcome the influence of
two different sorting tasks. Each involved looking at sets of culture. Ji has also demonstrated the influence of culture on
three words (e.g., teacher, doctor, homework) and deciding pain perception (Hseih, Tripp, & Ji, 2011), statistical thinking
which two were most closely related. One task was pre- (Spina, Ji, Ross, & Zhang, 2010), and the importance of past
sented in English, and the other in Chinese. Note that there versus future events (Guo, Ji, Spina & Zhang, 2012).
(left) © Ron Stroud/Masterfile; (right) Ariel Skelley/Getty Images
FIGURE 1.23 Culture and language influence cognition. The value that Chinese culture places on relationships and the contrast-
ing value North American culture places on autonomy are reflected in the Chinese and English languages, and in turn in the way
their respective speakers think and categorize concepts.
An Example: Understanding Moving from a biological to a psychological

level of analysis provides additional understanding
Depression of depression and its causes. For example, many
To appreciate how the biological, psychological, studies have shown that depression is associated
and environmental levels of analysis can help with a particular thinking style in which the person
us understand an important behaviour, let us interprets events in a pessimistic way (Beck, 2002;
briefly summarize what is known about one of Strunk & Adler, 2009). Depressed people can find
the most commonly experienced psychological the black cloud that surrounds every silver lining.
problems in our culture, namely, depression. They tend to blame themselves for negative things
Most of us have probably experienced feelings that occur, while taking no personal credit for the
of sadness, grief, or “the blues” at some time in good things that happen in their lives, and they gen-
our lives. These feelings, often accompanied by erally feel that the world, the self, and the future
such biological reactions as loss of appetite and are bleak and hopeless (Beck, 1991). The Canadian
sleep difficulties, are usually normal responses to psychologist Norman Endler (1982) has provided
negative events or meaningful losses that we have an autobiographical account of what he himself
experienced. However, when these emotional felt like during a period of clinical depression.
responses remain intense over a long period, and Are some personality patterns more prone to
when they are accompanied by thoughts of hope- depression than others? Many psychodynamic
lessness and an inability to experience pleasure, theorists believe that severe losses or rejections
we have crossed the boundary between a normal in childhood help to create a personality style that
reaction and clinical depression (Rubin, 2000). causes people to overreact to future losses, setting
Depression has sometimes been referred to the stage for later depression. In support of this
as the “common cold” of emotional disturbances 23. What does
notion, studies of depressed patients show that
because it is experienced by so many people. the biological
they are more likely than nondepressed people level of analysis
Even if we consider only severe depressive disor- to have experienced the loss of a parent through tell us about
ders, studies indicate that about 8–10 percent of death or separation during childhood (Bowlby, the causes of
Canadians can expect to experience depression 2000a; Brown & Harris, 1978). Depression is also depression?
in their lifetime. The rate for women is twice that related to childhood histories of abuse, paren-
for men (Gotlib & Hammen, 2010; Satcher, 2000). tal rejection, and family discord (Esterbrooks, 24. What kinds
Let’s begin at the biological level of analysis. Kotake, Raskin, & Bumgarner, 2016; Li. D’Arcy, & of psychological
First, genetic factors appear to be involved in at Meng, 2015; Hammen, 1991). People who have causal factors
least some cases (Edvardsen et al., 2009). In one been subjected to severe loss and neglect may have been
study, relatives of people who had developed a develop pessimistic personalities that predispose identified in
major depression before age 20 were eight times them to slide into depression in the face of later depression?
more likely to eventually become depressed life stresses. In addition, certain personality fac-
than were relatives of nondepressed people 25. Which
tors such as perfectionism, low self-esteem, and
(Weissman et al., 1984). causal factors
a lack of “mattering” make an individual more in depression
Depression is also related to biochemical fac- prone to depression (Cha, 2016). are seen at the
tors and sleep/wakefulness rhythms in the brain. Finally, the environmental level of analysis environmental
Of special interest are certain chemicals, known reveals several factors that play a major role in level of
as neurotransmitters, that are involved in the depression. According to the behavioural view, analysis?
transmission of nerve impulses within the brain. depression is a reaction to a non-rewarding
One line of evidence proving that these substances environment. A vicious cycle begins when the
are important is the fact that the most effective environment provides fewer rewards for the
antidepressant drugs seem to operate by restor- person. As depression intensifies, such people
ing a normal balance of these neurotransmitters feel so bad that they stop doing the things that
(Deutschenbaur, Beck, Kiyhankhadiv, Muhl- ordinarily give them pleasure, a pattern that
hauser, Borgwardt, Walter & Lang, 2016; Roland, decreases environmental rewards still further.
1997). Also, researchers have found disrup- To make matters worse, depressed people com-
tions in biological rhythms that underlie sleep plain a good deal, seek excessive reassurance
and dreaming in the brain waves of depressed and support from others, and generally become
people (Buysse et al., 1997; Farina et al., 2003). less likeable. These behaviours eventually begin
If researchers interfere with the “depressive” to alienate others and cause them to shy away
brain rhythm by waking depressed people when from the depressed person. The net result is a
it is occurring, those awoken feel less depressed worsening environment with fewer rewards,
afterward (Berger et al., 1997). a reduction in support from others, and the
28 CHAPTER ONE
unhappiness and hopeless pessimism that char- nations, women are about twice as likely as men
acterize chronic depression (Hopko & Mullane, to report feeling depressed, whereas no such
2008; Lewinsohn et al., 1985; Nezlek et al., 2000). sex difference is found in developing countries
The sociocultural environment also affects (Culbertson, 1997; Gibson, Baker, & Milner,
depression. Although depression is found in 2016; Nolen-Hoeksema, 2006). In Canada, the
virtually all cultures, both its symptom pattern rate is somewhat lower (about 8 percent; Health
and its causes may reflect cultural differences. Canada, 2002). Why should this be? At present,
For example, feelings of guilt and personal inad- we do not have the answer, but we must wonder
equacy seem to predominate in North Ameri- what it is about more technologically advanced
This feature can and western European countries, whereas cultures that would produce a sex difference
will appear in bodily symptoms of fatigue, loss of appetite, that does not show up in developing countries.
each chapter and sleep difficulties are more often reported We’ll discuss depression more fully in Chap-
to help you in Latin, Chinese, and African cultures (Brislin, ter 16. For now, let’s summarize the causal
compare and 1993; Lopez & Guarnaccia, 2000). Cross-cultural factors in depression that we’ve discussed by
contrast levels
studies also have shown that in developed coun- grouping them into the three levels of analysis
of analysis.
tries, such as the United States and other Western (Figure 1.24).
Causal Factors in Depression

Levels of Analysis
It’s important to realize that some of the factors we’ve described above can
act as a cause but also be an effect. For example, depression (cause) ENVIRONMENTAL
may lead to a decrease in social support (effect), and in turn, decreased • Prior losses and rejections,
social support (cause) can deepen the person’s depression (effect). especially early in life, may lead people
Also recognize that the causes of depression may vary from case to overreact to current losses or rejections.
to case, and that multiple causes can combine or interact with one • A significant decrease in pleasurable experiences
another. Interaction means that the way in which may help trigger depression.
one factor influences behaviour depends • Social support may decrease if people avoid the
depressed person.
on the presence of another factor.
• Cultural norms may influence how people react to
For example, someone who BIOLOGICAL negative events and express unhappiness.
experiences a minor setback
• People’s genetic inheritance
may become depressed influences their susceptibility toward
if she or he has a strong developing depression.
biological predisposition • Abnormal activity of neurotransmitters in the
for depression or a brain can cause depression.
highly pessimistic • Antidepressant drugs restore more normal levels
thinking style. The of neurotransmitter activity and relieve symptoms of
same setback might depression for many people.
barely faze a person PSYCHOLOGICAL
who has a weak
• A pessimistic thinking style and negative
biological predisposition
interpretations of events may trigger or intensify
for depression or an depression.
optimistic thinking style. • Perfectionistic expectations can make people overly
Thus, just as boiling water sensitive to how other people evaluate them.
softens celery and hardens • Heightened sensitivity to loss or rejection may lead
an egg, the same environmental people to overreact to setbacks.
factor can affect two people differently,
depending on their biological and psychological
makeup.
You’ve now seen how a levels-of-analysis approach can
be applied to examining depression. Focus on another
aspect of human behaviour that interests you, and think
about—even generally—how it might be examined at
the biological, psychological, and environmental levels.
FIGURE 1.24
Summary of Major Themes have evolved during each species’ history

26. Summarize
because they facilitated adaptation and survival.
We have now surveyed the six major perspec- six important
tives that shape psychological thought and the • Behaviour and mental processes are strongly themes in
levels of analysis at which behaviour is stud- affected by the cultural environment in contemporary
ied. What has our excursion shown us about the which they develop. In an increasingly mul- psychology.
science of psychology and its subject matter? ticultural world, there is a growing need to
The following principles are widely accepted understand and appreciate the role of cul-
by psychologists and are seen repeatedly as we tural factors in behaviour.
explore the realm of behaviour:
• As a science, psychology is empirical, PSYCHOLOGY TODAY 27. What is
meaning that it favours direct observation meant by the
over pure intuition or reasoning as a means We will begin with a brief history of Canadian interaction of
of attaining knowledge about behaviour. psychology. As shown in Table 1.4, Canadian causal factors?
In Chapter 2 and throughout the book, we universities were established by the British
study the empirical methods that are used to in the mid-1800s to educate their children, first in
observe behaviour and identify its causes. Nova Scotia and Upper Canada, and later, in the
early 1900s, in Western Canada (Wright & Myers,
• Though committed to an objective study of
1982). The table also shows that psychology as an
behaviour, psychologists recognize that our
independent discipline is a very young science.
experience of the world is subjective and that
Courses in psychology were taught in the early
we respond to a psychological reality created
1900s at all of the universities listed in the table,
by our own thought processes, motives, and
generally as part of Philosophy Departments (e.g.,
expectations. Many of these influences oper-
this was the case at Queen’s University until 1948).
ate beyond our conscious awareness.
The earliest independent Psychology Department
• As our levels-of-analysis theme shows us, was created at McGill University in 1924. Other
behaviour is determined by multiple causal universities taught psychology in combined “Phi-
factors that can interact with one another in losophy and Psychology” Departments from the
complex ways. This interaction increases the 1930s until the late 1950s (e.g., McMaster Univer-
challenge of understanding behaviour. sity, University of Alberta, University of British
• Nature and nurture not only combine to Columbia). In the 1960s, the number of gradu-
shape our behaviour, but also influence each ate departments in psychology in Canada more
other. Our biological endowment helps to than doubled; among the universities that devel-
determine the kinds of experiences we can oped graduate schools in that decade were Laval,
have, and biological processes are, in turn, Carleton, York, Waterloo, Calgary, Simon Fraser,
influenced by our experiences. and Victoria (see Wright & Myers, 1982).
• Behaviour is a means of adapting to environ- Modern-day psychology in Canada and the
mental demands, and psychological capacities United States is more diversified and robust
In Review
• Factors that influence behaviour can be orga- norms as children, those norms reflect a char-
nized into three broad levels of analysis. The acteristic of our environment. However, once we
biological level of analysis focuses on brain pro- adopt norms as our own, they become a part of
cesses, hormonal and genetic influences, and our world view and now represent the psychologi-
evolutionary adaptations that underlie behaviour. cal level of analysis.
The psychological level of analysis examines • Biological, psychological, and environmental
mental processes and psychological motives, factors contribute to the development of depres-
and how they influence behaviour. The environ- sion. These factors can also interact to influence
mental level of analysis calls attention to physi- a given behaviour. It may take only a mild set-
cal and social stimuli, including cultural factors, back to trigger depression in a person who has
that shape our behaviour and thoughts. a strong biological predisposition toward depres-
• To understand behaviour, we often move back sion, whereas a person who does not have
and forth between these levels of analysis. For such a biological predisposition may become
example, when we are first exposed to cultural depressed only after suffering a severe setback.
30 CHAPTER ONE
TABLE 1.4 A Brief History of Canadian Psychology Departments by Founding Date*

University Date Founded Date Psychology Department Established
Dalhousie University 1838 1948
Queen’s University 1841 1948
McGill University 1843 1924
University of Toronto 1850 1926
University of Ottawa 1866 1963
University of Manitoba 1877 1936
University of Western Ontario 1878 1931
McMaster University 1887 1958
University of Alberta 1908 1959
University of Saskatchewan 1908 1947
University of British Columbia 1915 1958
Université de Montréal 1919 1942
*Founding dates of the 12 Canadian universities with doctoral programs in psychology developed before 1960 (derived from
data presented in Wright, M.J., & Myers, C.R. (1982). History of Academic Psychology in Canada. Toronto, ON: C.J. Ho.).
than ever before. Because of psychology’s enor- For many people, the term psychologist
mous breadth, no psychologist can be an expert evokes the image of a “therapist” or “counsel-
on all aspects of behaviour. You have already lor.” Although many psychologists are, in fact,
encountered some of psychology’s major subclinical psychologists who diagnose and treat
fields throughout the chapter, and Table 1.5 people with psychological problems, many other
introduces several more. psychologists have no connection with therapy
TABLE 1.5 Major Specialty Areas within Psychology

Specialty Major Focus
Animal behaviour Study of nonhuman species in natural or laboratory environments; includes genetics, brain
(comparative) processes, social behaviour, evolutionary processes
Cognitive and behavioural Examination of brain and hormonal processes that underlie behaviour; behaviour genetics and
neuroscience evolutionary psychology are sometimes grouped under cognitive and behavioural neuroscience
Clinical Diagnosis and treatment of psychological disorders; research on causes of disorders and treatment
effectiveness
Cognitive Study of mental processes such as memory, problem solving, planning, consciousness, and
language (psycholinguistics)
Counselling Consultation with clients on issues of personal adjustment; vocational and career planning; interest
and aptitude testing
Cultural/cross-cultural Study of cultural transmission, psychological similarities and differences among people from
different cultures
Developmental Study of physical, mental, emotional, and social development across the entire lifespan
Educational Study of psychological aspects of the educational process; curriculum and instructional research;
teacher training
Experimental Research (typically laboratory experiments, often with nonhumans) on basic processes such as
learning, perception, and motivation
Industrial/organizational Examination of behaviour in work settings; study of factors related to employee morale and performance;
development of tests to select job applicants; development of machines and tasks to fit human capabilities
Personality Study of individual differences in personality and their effects on behaviour; development of
personality tests
Quantitative Measurement issues and data analysis; development of mathematical models of behaviour
Social Examination of how the social environment—the presence of other people—influences an
individual’s behaviour, thoughts, and feelings
in any form. These psychologists work as basic organization consisting primarily of researchers,
or applied researchers in their chosen subfield. has grown to 20 000 members in just two decades
Even within clinical psychology there are scien- (APS, 2009). Both the APA and the APS have
tists who spend most of their time doing research international members in dozens of countries.
on the causes of mental disorders and the effects The actual number of psychologists in the
of various kinds of treatment. different subfields of psychology in Canada is
A career in most of the subfields described unknown. According to the Canadian Psycholog-
in Table 1.5 requires a doctoral degree based on ical Association’s (CPA) Strategic Plan for 2008–
four to six years of training beyond the bach- 2013, it has over 6000 members (this includes
elor’s degree. Graduate training in psychology 1643 graduate and undergraduate students) in
includes broad exposure to the theories and body 32 different sections. The CPA, which was cre-
of knowledge in the field, concentrated study in ated by 38 psychologists in 1939, is the national
one or more of the subfields, and extensive train- Canadian organization for psychologists, but
ing in research methods. In some areas, such many psychologists do not belong to the CPA.
as clinical, counselling, school, and industrial/ We do know that there are over 11 000 clinical
organizational psychology, an additional year or psychologists in Canada, according to a recent
more of supervised practical experience in a hos- CPA survey, with the largest number, per capita,
pital, clinic, school, or workplace setting is gener- in Quebec. There are also many nonclinical psy-
ally required. Note, however, that psychologists chologists with Master’s and Ph.D. degrees work-
who perform mental-health services are not the ing in school, university, hospital, industrial, and
same as psychiatrists. Psychiatrists are medical other settings who need to be counted.
doctors who receive additional specialized train- Besides the fascinating subject matter of
ing in diagnosing and treating mental disorders. psychology, the rich variety of career options
The American Psychological Association and work settings available to the well-trained
(APA), founded in 1892, is the largest individual professional attracts many people to a career
psychological association in the world. Its 150 000 in psychology. Figure 1.25 shows some of the
members and 56 divisions represent not only the major settings in which psychologists in the
subfields shown in Table 1.5, but also areas that United States work (we should expect similar
focus on psychology’s relation to the arts, reli- Canadian statistics). Many psychologists teach,
gion, the military, the environment, sports, social engage in research, or apply psychological prin-
issues, the law, and the media (APA, 2002). The ciples and techniques to help solve personal or
American Psychology Society (APS), a newer social problems.
School districts
3.9%
Other
Hospitals 8.7%
and clinics
Industry and
12.0%
government
6.5%
Colleges and
Human services medical schools
7.0% 30.6%
Private practice
31.4%
FIGURE 1.25 Work settings of psychologists.

Source: Copyright © 2009 by the American Psychological Association. Adapted with permission from Table 4, “Employment
Characteristics of APA Members by Membership Status, 2009” from 2009 APA Directory. Compiled by Center for Workforce
Studies. American Psychological Association. 2009 (http://www.apa.org/workforce/publications/09-member/table-04.pdf). No
further reproduction or distribution is permitted without written permission from the American Psychological Association.
32 CHAPTER ONE
Psychologists in all the areas shown research on learning and memory conducted
28. Describe in Table 1.5 engage in basic research and within the areas of educational and experi-
three important
applied work. Some do one or the other; some mental psychology has provided practical
principles of
effective time do both. As we shall see throughout the book, guidelines that can enhance your academic
management. we can apply psychological principles discov- performance. Our first Applications feature
ered through basic psychological research to provides some research-based pointers that
many areas of our lives and to the solution can help you be more successful in your
of important social problems. For example, coursework.
The Applications feature demonstrates how principles from

basic research can be applied to everyday life.
Applications
ACADEMIC PERFORMANCE be read or amount of material to be studied). Achieving these

ENHANCEMENT STRATEGIES goals is rewarding, and such success strengthens your study
skills and increases your feelings of mastery.
Four classes of strategies—time management, study skills, Like any other skill, time management requires practice.
test-preparation strategies, and test-taking skills—are par- The important tasks are (1) creating written schedules,
ticularly useful for increasing your learning and academic (2) prioritizing, and (3) constantly monitoring your progress
performance, both in this course and throughout your edu- so you can modify your weekly schedule as necessary. The
cational experience. effort put into time management is more than repaid. Work-
ing smart can be as important as working hard.
Effective Time Management
University life imposes conflicting demands that can chal- Studying More Effectively
lenge even the most organized student. However, if you
Once you have planned your study time, you will want to use
manage your time efficiently, you can allocate the time
that time most effectively. Where you study can make a differ-
needed for study and have a clear conscience when it’s
ence. Choose a place where you can concentrate and where
time for recreational activities and relaxation.
there are no distracting influences. Most students can study
First, it is essential to develop a written schedule. You
better in a quiet library than in front of a TV or in the middle of
have exactly 168 hours in every week, no more, no less. A
a Student Union cafeteria. According to a principle of learning
written schedule forces you to decide how you are going to
that we study in Chapter 7, an excellent practice is to choose a
allocate your time to meet particular course demands and
quiet place where you do nothing but study. In time, that place
increases your commitment to the plan. Begin your master
will become associated with study behaviours, and it will be
schedule by writing in all your class meetings and other
easier to study there (Watson & Tharp, 1997).
responsibilities, such as your job schedule. Then block
How you study is vital to your academic success. Rather
in definite study times, taking into account how long you
than simply reading material and passively letting it soak
can study efficiently at one time and avoiding times when
in, you must engage in an active learning process to study
you are likely to be tired. Try to distribute your study times
most effectively. Psychological research confirms the value
throughout the week. If possible, schedule some of your
of an active approach to learning (Glaser & Bassok, 1989).
study times immediately before enjoyable activities so that
For example, when you read a chapter in a textbook, don’t
you can use these as rewards for studying.
just start reading from the beginning. First, look over the
Once your study times are set, you are ready to apply the
chapter outline. Then go to the end of the chapter and read
time management principle of prioritizing (Lakein, 1973). We
the chapter summary, which reviews the chapter’s main
all tend to work on routine or simple tasks while putting off
points. You then will have a good idea of the information
the most demanding ones until we “have more time.” Unfor-
you are going to be processing.
tunately, this method can result in never getting to the major
tasks (such as a term paper or a major reading assignment)
until it is too late to devote sufficient time to them. Prioritiz-
The Directed Questions Method
ing means asking yourself weekly or even daily, “What is the One of the most effective study methods we’ve encountered
most important thing to get done?” Do that task first, then in our many years of teaching psychology is what we’ve
move to the second most important, and so on. termed the Directed Questions Method. It is an active learning
Often the large or important task is too big to complete all procedure that requires you to prepare questions about the
at once. Time management experts tell us to break down the material you are reading. Research has shown that respond-
large task into smaller tasks that can be completed at spe- ing to questions promotes better recall (Moreland et al.,
cific times (Haynes, 1997). Also, define each task in terms 1997; Pauk & Fiore, 2000). In a major review of the scientific
of a specific but realistic goal (e.g., the number of pages to literature on learning aids, Richard Hamilton (1985) reviewed
continued
35 different experimental studies in which the use of “adjunct many were mystified that they were not doing as well as their
questions” was compared with control conditions in which high-achieving peers (Watson & Tharp, 1997).
participants simply read textual material. He found that using The time management and study strategies we’ve dis-
questions like ours resulted in a superiority of about 20 per- cussed can be very helpful when preparing for tests. First,
cent in the retention of material. With our own students over the written study schedule helps you allocate sufficient
the years, this approach has proven so successful that we study time, distribute your learning of the material over time,
chose to make it an integral learning tool in this text in the and avoid the need to cram at the last minute. Cramming, or
form of the directed questions found in the margins. These massed learning, is a less effective way to study because
questions cover major facts and concepts you should know. it is fatiguing and taxes your memory abilities. Moreover, it
Our directed questions can be supplemented by additional often increases test anxiety, which can interfere with both
questions of your own. These questions will be an invaluable the learning process and actual test performance (Chapell
study aid when you prepare for tests. Here’s how the directed et al., 2005; Sarason & Sarason, 1990). The ideal situation
questions method works. as you near an exam is to have a solid familiarity with the
As you read the material in a textbook, compose a ques- material through previous study and to use the time before
tion about each important point that is made. This forces you the test to reinforce and refine what you already know at a
to actively identify what is being communicated. Put the num- more general level. The directed questions approach can pay
ber of the question in the margin next to the place where the big dividends in the final days before an exam if you’ve paid
answer is found. Do the same thing for your lecture notes. the price required to prepare them.
You can now study from your lists of questions and men- As you prepare for tests, it’s also vital to repeatedly
tally recite the answers to yourself, referring back to your assess how well you understand the material. Unfortu-
text and lecture notes to make sure that you are answering nately, research suggests that in general, students are
them correctly. The questions are written in such a way that not highly accurate in judging how well they comprehend
they serve as a stimulus or prompt for the correct response, textbook material that they’ve just read (Dunlosky & Lipko,
resulting in thorough learning. 2007). This inaccuracy can lead to overconfidence as you
The Directed Questions Method has two other benefits. prepare for tests. You should try to answer the directed
Research shows that there is almost no relation between questions in the margin after reading each section, but more
what students think they know and how well they actually importantly, you should assess your understanding later on,
perform on tests (Glenberg et al., 1987; Pressley et al., after a time delay (Thiede & Anderson, 2003). For example,
1987). However, the specific questions that you prepare in after completing all the readings for your upcoming test, you
the Directed Questions Method allow you to appraise your can attempt to answer the directed questions again. Don’t
current level of mastery. Second, the method can reduce just look at a question and say, “Yeah, I know the answer”;
test anxiety. You are likely to go into a test more confident, actually verbalize or write out the answer and then refer back
and such confidence tends to enhance performance (Ban- to the textbook to see whether your answer is accurate.
dura, 1997). Active learning using any method, such as
directed questions, requires more effort than passive read-
Test-Taking Strategies
ing does, but it results in more facts being absorbed and
more principles being understood (Estes & Vaughn, 1985). Some students are more effective test-takers than others.
They know how to take advantage of the kind of test they are
Preparing for Tests taking (e.g., multiple-choice or essay format) to maximize their
performance. This skill is called test-wiseness (Fagley, 1987).
Introductory psychology is not an easy course. In fact, it is
often a very demanding one because of the sheer amount 1. Because you have a time limit in which to complete a
of material that is covered and the many new concepts that test, use the time wisely. Check your progress occa-
must be mastered. Many students who take the course are sionally to make sure that you are on track. Answer
relatively new to university and don’t realize that the price to the questions you know first (and, in the case of essay
be paid for success far exceeds the demands that existed in exams, the ones that count for the most points). Do
high school. Moreover, many students are not aware of how not get bogged down on a question you find difficult to
hard high achievers actually work. In one study, students in answer. Mark it and come back to it later.
an introductory psychology class were asked to record the 2. On essay exams, organize your answer before you begin
number of hours outside class that they devoted to the course writing. Make a rough outline of the points you want to
over a period of several weeks. When the students who were make. On essay exams, try to cover all the critical points
failing the course were compared with those who were getting in enough detail to communicate what you know without
A grades, the researchers found that the failing students were needless verbiage.
spending only a third as many hours studying as were the A 3. On a test in an introductory psychology course, you are
students (who were spending about two hours of active study likely to have multiple-choice questions. As you read each
for every hour spent in class). Yet the failing students thought multiple-choice question, try to answer it without looking
they were studying as much as anyone else in the class, and at the alternatives. Then look at the answer options. If you
continued
34 CHAPTER ONE
find your answer among the alternatives, that alternative is The performance enhancement skills of time manage-
probably the correct one. Nonetheless, read all the other ment, study skills, test-preparation strategies, and test-
alternatives to make sure that you choose the best one. wiseness can help you improve your academic performance.
4. A widely held belief among both professors and students Remember, however, that such skills are not acquired over-
is that one should not change answers on multiple-choice night; they require effort and practice. Psychology is an ideal
tests because the first guess is most likely to be correct. course in which to acquire or refine them because the sub-
Psychologists have studied this belief and have found it ject matter (e.g., learning, memory, problem solving, motiva-
to be untrue. Ludy Benjamin and his colleagues (1984) tion) often pertains to the very principles you are perfecting.
reviewed 20 different studies that investigated the conse- Some of the Applications features in other chapters also may
quences of changing answers. They concluded that chang- help you enhance your academic performance. These include
ing an answer is far more likely to result in a wrong answer • self-control of behaviour (see Chapter 7)
becoming a correct one than vice versa. More recently, • improving memory (see Chapter 8)
psychologists Justin Kruger, Derrick Wirtz, and Dale Miller
• coping with stress—including test anxiety (see Chapter 15)
(2005) obtained similar findings in a study of 1561 univer-
sity students. The results are summarized in Figure 1.26.
By a 2:1 ratio, more changed answers went from wrong to
right than from right to wrong and, by nearly a 3:1 ratio, Incorrect to
more students who changed answers ended up with higher incorrect
23%
rather than lower exam scores. Yet, most students still
believed that as a general test-taking strategy, changing Incorrect to
answers was harmful. Kruger et al. called this “the first correct
Correct to 52%
instinct fallacy.” Therefore, don’t be reluctant to change an incorrect
answer if you are fairly sure that another alternative is bet- 25%
ter. At the same time, don’t out-think yourself by attaching
some esoteric meaning to an alternative so that it could
possibly be correct. Most multiple-choice alternatives are
fairly straightforward and are not meant to trick you.
5. Many multiple-choice items have one or two alternatives
that you can rule out immediately. Eliminate them first, and
then choose your answer from the remaining alternatives,
FIGURE 1.26 Researchers analyzed the eraser marks on
which are likely to have at least a grain of truth in them. 6412 exams taken by introductory psychology students. Con-
6. Some questions have “all of the above” as an alter- trary to popular wisdom, changing one’s answer was twice as
native. If one of the other three or four alternatives is likely to result in gaining points than in losing points.
clearly incorrect, eliminate this option; if you are sure at Source: Based on Kruger, J. Wirtz, D., & Miller, D.T. (2005)
least two of the other alternatives are correct but are not Counterfactual thinking and the first instinct fallacy. Journal of
sure about the third, choose “all of the above.” Personality and Social Psychology, 88, 725–735.
29. What does

educational
psychology
research tell us
about the effects
of directed
questions on
retention of In Review
information?
Why do they have • Psychologists specialize in numerous subfields • You can use principles derived from psycho-
these effects? and work in many settings. Their professional logical science to enhance your learning and
activities include teaching, research, clinical increase your likelihood of performing well on
30. What kinds work, and application of psychological principles tests. These include time-management princi-
of strategies are to solve personal and social problems. ples, strategies for studying more effectively,
used by test-wise • Psychologists today conduct research and pro- test-preparation strategies, and techniques for
students when vide services around the globe. test-taking.
they take tests?
The Gaining Direction feature takes you back to the opening story
Gaining Direction and presents some possible answers to the questions posed.
What are the The opening scenario for Chapter 1 deals with are involved? Could the disaster have been
issues? issues of depression, mental illness, suicide, brain avoided? The brain plays a prominent role in the
structures, intelligence, and genius. Why would second story. How can someone with no musi-
someone want to deliberately crash a plane? If cal or artistic talent suddenly become a virtuoso?
the co-pilot wanted to kill himself, why did he What is the role of the damaged brain areas?
have to take 150 people with him? Could this ill- How do they interact with other areas that pro-
ness have been treated? What brain structures mote genius? Is there a genius in all of us?
What do How is the brain organized? Why are depressed individuals at a higher risk
we need to How does one area of the brain interact with for suicide?
know? another? How can you treat depression?
Can a brain region suppress talent? Should individuals with a history of depression
What is it that produces genius? be allowed to care for others in high-risk
Can we all become a genius if we know how to situations?
alter the brain? How can psychological theory help us
What causes depression? understand events in the “real world”?
Where can Look back at the icons in this chapter. What Consider the Research Foundations feature. There
we find the psychological principles (or research) are pre- are cross-cultural differences in love . . . might
information to sented that may help us understand some of the there be cultural differences in mental illness?
issues? Look back on the section that discusses How might neuroimaging studies mentioned in
answer these
approaches to depression. Does this offer any the Focus on Neuroscience feature help us under-
questions? clues to the causes of suicide? Are there any stand the biological underpinnings of intelligence
theories we should investigate? Which of the per- and genius? What chapters of the text should we
spectives helps us understand depression best? look at to find these answers?
Answers:
Jumbled paragraph 1
According to research at Cambridge University, it doesn’t matter what order the letters in a word are, the
only important thing is that the first and last letters are at the right place. The rest can be a total mess,
and you can still read it without a problem. This is because we do not read every letter by itself but the
word as a whole. (Note: In the jumbled version of this paragraph, the author of the paragraph misspelled
research by adding an extra h.)
Jumbled paragraph 2
A politician denied the manslaughter of a colleague, but was convicted and developed severe medical
conditions in prison, where he died. Administration of anticoagulant drugs potentiated the effects of
another drug, and respiratory failure resulted.
Basic vs. applied research articles
1. Basic
2. Applied
3. Applied
4. Basic
5. Basic
CHAPTER
Studying Behaviour
Scientifically 2
CHAPTER SCIENTIFIC PRINCIPLES IN PSYCHOLOGY Experimenter Expectancy Effects
OUTLINE Scientific Attitudes Replicating and Generalizing the Findings
Research Foundations: Bystander Intervention Frontiers: Does ESP Exist?
Gathering Evidence: Steps in the Scientific Process ETHICAL PRINCIPLES IN HUMAN

Two Approaches to Understanding Behaviour AND ANIMAL RESEARCH
Defining and Measuring Variables Ethical Standards in Human Research
Focus on Neuroscience: The Neuroscience Ethical Standards in Animal Research
of the Human Brain at Work
CRITICAL THINKING IN SCIENCE
METHODS OF RESEARCH AND EVERYDAY LIFE
Descriptive Research: Recording Events
Applications: Evaluating Claims in Research
Correlational Research: Measuring Associations and Everyday Life
between Events
Experiments: Examining Cause and Effect
THREATS TO THE VALIDITY OF RESEARCH

Confounding of Variables
Placebo Effects
I have no special talents. I am only passionately curious.

—Albert Einstein
Etienne LeBel has

been getting a lot What are the
of attention lately. issues here?
A g r a d u a t e o f We s t e r n
University in London, Ontario,
What do we need
Dr. LeBel does research on to know?
prejudice, stereotyping, and
on the replication of studies
Where can we find
published in journals. It is the information
this last area of interest that to answer the
has caught the media spot- questions?
light. LeBel has commented
that many of the classic stud-
ies in psychology are not
really as strong as we would Castleski/Shutterstock
like to think. For example,
the Festinger and Carlsmith (1959) study on cognitive dissonance has been cited by vir-
tually every psychology textbook in the field and most research papers on the topic of
attitude change. However, of the three dependent variables measured in the study, only one
was significant.
He and 270 other researchers associated with the Reproducibility Project attempted to replicate
100 studies published in several journals in 2008. In only 39 cases was the same result found. The
Festinger and Carlsmith study has also been heavily criticized by others, and LeBel notes that he
has even received hate mail from senior colleagues. Nonetheless, the article by the Reproducibility
Project was published in the prestigious journal Science, and other journals have started to revise
their own reporting standards.
Psychology is not alone in this publication controversy—other authors have reported that only 6
of 53 papers in cancer biology journals could be reproduced.
S
cience frequently has all the mystery of a and methods that form the foundation of psy-
detective story. Something happens that chological science.
we need to explain and we have to search
for the answers in both obvious and the hid-
den places. When we find an answer, we have Scientific Attitudes
to test it against the facts to see if it will stand Curiosity, skepticism, and open-mindedness
on its own. And if it doesn’t make sense, we are driving forces behind scientific inquiry.
have to look harder before coming to a final Like a child who constantly asks “Why?” the
conclusion. good scientist has an insatiable curiosity. And
In this chapter, we explore principles like a master detective, the good scientist is an
and methods that form the foundation of incurable skeptic. Each claim is met with the
psychological science. These principles reply “Show me your evidence,” and even when
also promote a way of thinking—critical a mystery appears to be solved, the good scien-
thinking—that can serve you well in many tist asks, “Might there be a better explanation?”
aspects of your life. Scientists also must remain open-minded to
conclusions that are supported by facts, even if
SCIENTIFIC PRINCIPLES those conclusions refute their own beliefs.
To illustrate the scientific approach to 1. What key
IN PSYCHOLOGY problem solving, let us examine a specific scientific
At its core, science is an approach to asking study (see the Research Foundations fea- attitudes did
and answering questions about the universe ture). Ideas for this study were prompted by Darley and
around us. Certainly, there are other ways we the murder of Kitty Genovese in New York. Latané display?
learn about the world and ourselves—through Here is a synopsis of the story. Following the
2. How does
reason, intuition, and common sense; religion Kitty Genovese murder, two psychology pro-
Darley and
and spirituality; the arts; and the teachings of fessors in New York City, John Darley of New
Latané’s
family, friends, and others. What distinguishes York University and Bibb Latané of Columbia research
science from these approaches is a process University, met for dinner. They were so curi- illustrate the
guided by certain principles: the scientific ous about how 38 people could witness such basic steps of
method (Fossion & Zapata-Fonseca, 2015). The a violent crime and not even call the police the scientific
scientific method was used by physicists and that they decided to investigate further. Darley process?
chemists for several centuries to make great and Latané also were skeptical of the media’s
progress in determining the laws of the physi- “bystander apathy” explanation; they believed
cal sciences. Psychologists took much longer it was unlikely that every one of the bystand-
to adopt the scientific method for behavioural ers could have been apathetic. They noted that
science because the subject matter is not as the bystanders could see that other neighbours
tangible as that in the physical sciences. Calcu- had turned on their lights and were looking
lating the speed of a thrown ball by measuring out their windows. Each bystander might have
time and distance is much more straightfor- been concerned about Kitty Genovese’s plight
ward than measuring a person’s intelligence. In but assumed that someone else surely would
this chapter, we explore in detail the principles help or call the police.
38 CHAPTER TWO
Research
Foundations
BYSTANDER INTERVENTION attempt to clear the smoke by waving their hands, opening a
window, and so forth, but they did not report the emergency.
Introduction Group condition. With three people in the room, we might
Darely and Latané (1968) were moved by the story of Kitty expect at least one of them to react quickly. However, only four
Genovese in 1964. Genovese was a young woman who was people reported the emergency and only one of them left room
attacked by a knife-wielding assailant as she returned to her within four minutes after the smoke appeared. As in the confed-
New York City apartment. She was stabbed repeatedly and erate condition, the average notice time was 20 seconds.
raped in an attack that lasted about 30 minutes, during which All participants were interviewed after the experiment
time her screams and pleas for help were witnessed by 38 was over. Those people who had reported the smoke typi-
of her neighbours. Yet none of them assisted her, and by the cally said that they were not sure what it was, but thought
time someone had called the police, she had already died. that it should be checked out. Participants who did not
Darely and Latané particularly wondered how 38 people could report the emergency constructed a number of possible
witness an attack and not do anything. What was it about an scenarios for what the smoke might be, ranging from
emergency situation that resulted in lack of action? They sug- steam or smog to “truth gas” pumped in to insure accurate
gested that three decisions would have to be made before an responses on the questionnaire.
individual would intervene in any emergency. First, the person
would have to notice the event, then the event must be seen Discussion
as an emergency, and finally, the individual would have to take The results clearly support the unresponsive bystander effect.
responsibility for action. Furthermore, these decisions would People were more likely to report the smoke in the alone condi-
be influenced by the number of bystanders present at the tion than in either of the group conditions. Darley and Latané’s
scene—the more bystanders, the less likely anyone would do decision-making model appears to be correct. Participants in
anything. The following study was designed to test the effects the group conditions took four times longer to notice the smoke
of number of bystanders on reporting an emergency. than those in the alone condition. Furthermore, people who did
not help came up with a variety of explanations for the smoke
Method that downplayed the emergency nature of the situation. It was
Participants were seated in a small room and observed smog or truth gas, not something that could be related to a
through a one-way window. They were either alone in the room, fire. In essence, they had failed to interpret the situation as
in a group of three, or with two other people (confederates) an emergency. Why might this occur? After all, participants
who actually worked for the experimenter. All participants were could possibly be in danger. Darley and Latané suggest that
asked to fill out a questionnaire. After they finished the sec- in ambiguous situations, we tend to look to other people for
ond page, “smoke” began to pour into the room through a information. So in the group conditions, you look at the other
wall vent. The smoke was actually a stage fog used for theatre people in the room to see if they are concerned. If they do not
productions. The confederates were instructed to ignore the seem to be concerned and no one is doing anything, you will
smoke when it entered and to do nothing about it. Observers consequently decide that this cannot be a real emergency.
behind the one-way window recorded when participants first When you are alone, you do not have this source of information
noticed the smoke, what they did while in the room, and at available, so you must decide for yourself what to do.
what time they left the room to report the smoke to the experi-
menter. If no one reported the potential emergency within six
minutes, the experiment was terminated. Design
Question: Does the number of bystanders witnessing
Results
an emergency influence helping behaviour?
Alone condition. Participants noticed the smoke within five
Type of Study: Experimental
seconds and would typically get up, go over to the vent,
and examine it. On average, participants left the room and
reported the smoke within two minutes after noticing it. Independent Dependent
Seventy-five percent reported the emergency before the Variables Variables
experiment was stopped. Number of people in • Time to notice the
Confederate condition. In sharp contrast to the alone the room smoke
condition, only one person ever reported the smoke when • Time to report the
emergency
two unresponsive bystanders were present. Average time to
notice the smoke was 20 seconds. People in the room would
Studying Behaviour Scientifically 39
Darley and Latané reasoned that the pres- studies, theories, and other information that
ence of multiple bystanders produced a diffu- might help answer their question already exist. 3. What is a
hypothesis?
sion of responsibility, a psychological state Then they form a hypothesis. Noting that each
in which each person feels decreased personal bystander probably knew that other bystand-
responsibility for intervening. They performed ers were witnessing Kitty Genovese’s plight,
several experiments to test their explanation. Darley and Latané proposed that a diffusion
of responsibility reduced the likelihood that
any one bystander would intervene. This ten-
Gathering Evidence: tative explanation is then translated into a
Steps in the Scientific Process hypothesis, a specific prediction about some
Science involves a continuous interplay phenomenon that often takes the form of an
between observing and explaining events. Fig- “If-Then” statement: “In an emergency, IF mul-
ure 2.1 shows the following five steps, which tiple bystanders are present, THEN the likeli-
reflect how scientific inquiry often proceeds. hood that any one bystander will intervene is
reduced.”
Step 1: Identify a Question of Interest. Curi-
osity sparks the first step: identifying a ques- Step 3: Test Hypothesis by Conducting
tion of interest. From personal experiences, Research. The third step is to test the hypoth-
news events, scientific articles, books, and other esis by conducting research. Latané and Darley
sources, scientists observe something that piques (1968) staged an “emergency” in their labora-
their interest, and they ask a question about it. tory and recorded people’s responses. Under-
Darley and Latané observed that nobody helped graduate participants were asked to fill out a
Kitty Genovese and then asked, “Why?” questionnaire, either alone or in groups. Shortly
after beginning the questionnaire, smoke began
Step 2: Gather Information and Form Hypoth- to pour into the room. Would anyone notice the
esis. Next, scientists determine whether any smoke and would anyone seek help?
Examining bystander intervention: Why do people sometimes fail to help a victim in need during an emergency, even
when there is little or no personal risk? What factors increase or decrease the likelihood that a bystander will intervene?
1. IDENTIFY Question of Interest

Kitty Genovese is murdered. The attack lasts over 30 minutes. Neighbours watched but failed to call the police
until it was too late. The public is shocked. Why did no one help?
2. GATHER Information and FORM Hypothesis

A diffusion of responsibility may have occurred.
Hypothesis: IF multiple bystanders are present, THEN a diffusion of responsibility will decrease each bystander’s
likelihood of intervening.
3. TEST Hypothesis by Conducting Research

Create an “emergency” in a controlled setting.
Manipulate (control) the perceived number of bystanders.
Measure whether and how quickly each participant helps the victim.
4. ANALYZE Data, Draw Tentative Conclusions, and REPORT Findings

The data reveal that helping decreases as the perceived number of bystanders increases. The hypothesis is
supported. (If data do not support the hypothesis, then revise the hypothesis or procedures and retest.)
5. BUILD a Body of Knowledge; Ask Further Questions; Conduct More Research; Develop and Test Theories
Additional experiments support the hypothesis. A “Theory of Social Impact” is developed based on these findings.
Test the theory directly by deriving new hypotheses and conducting new research.
FIGURE 2.1 Using the scientific method.

40 CHAPTER TWO
% Who Helped are related to one another. Theories are broader

80
than hypotheses, and in psychology theories
Alone typically specify lawful relations between certain
behaviours and their causes. For example, dozens
of experiments reveal that diffusion of respon-
50 sibility has occurred across many situations
(Latané & Nida, 1981). Latané then combined the
principle of diffusion of responsibility with other
30 principles of group behaviour to develop a broad
theory of social impact, which has been used to
10 explain a variety of social behaviours (DiFonzo
Three-person group
et al., 2013; Latané & Bourgeois, 2001). Scientists
use theories to develop new hypotheses, which
1 2 3 4 5 6
are then tested by conducting more research. In
Time in minutes
this manner, the scientific process becomes self-
FIGURE 2.2 Participants were in room either alone correcting. When research consistently supports
or with two other people. When smoke started entering the hypotheses derived from a theory, confidence
the room, those who were alone were more likely to in the theory increases. If predictions made by the
report the incident to the experimenter, and they did so theory are not supported, then it will need to be
faster than people in groups of three. modified or, ultimately, discarded.
Source: Adapted from Latané and Darley (1968). Group
inhibition of bystander intervention in emergencies. Journal of
Personality and Social Psychology, 10(3), pp. 215–221. Two Approaches to
Understanding Behaviour
Step 4: Analyze Data, Draw Tentative Conclu-
Humans have a strong desire to understand why
sions, and Report Findings. At the fourth step,
things happen. Why do scientists favour the pre-
researchers analyze the information (called
ceding step-by-step approach to understanding
data) they collect, draw tentative conclusions,
behaviour over the approach typically involved
and report their findings to the scientific com-
in everyday common sense—hindsight?
munity. As Figure 2.2 shows. Latané and Darley
found that most participants who were alone Hindsight (After-the-Fact Understanding)
actually sought out the experimenter for help.
Philosopher Søren Kierkegaard stated, “Life
In the groups of three, people were much less
is lived forwards, but understood backwards.”
likely to define the situation as an emergency
Perhaps the most common method we use to
and to seek help. These findings support the dif-
try to understand behaviour in our everyday
fusion of responsibility hypothesis and illustrate
life is hindsight (i.e., after-the-fact) reasoning.
how research can contradict such common-
Indeed, when you report the results of some of
sense adages as “There’s safety in numbers.”
the research described in this book, you might
Latané and Darley then submitted a report
hear the following comment: “Big deal—I knew
describing their research to a scientific journal.
that all along.” However, there is a problem with
Expert reviewers favourably judged the qual-
4. What is using hindsight explanations based on com-
ity and importance of the research, so the jour-
a theory? mon sense and folk knowledge to understand
nal published the article. Publishing research is
How does it behaviour. For example, suppose two high
essential to scientific progress. It allows fellow
differ from a school sweethearts promised each other undy-
scientists to learn about new ideas and findings,
hypothesis? ing love before going off to different universi-
to evaluate the research, and to challenge or
ties and when they came home for the holidays
5. Explain the expand on it.
they broke up. The well-known proverb “Out
major drawback Step 5: Build a Body of Knowledge. At the fifth of sight, out of mind” can explain this result.
of hindsight step, scientists build a body of knowledge about But, suppose, instead, the opposite happened.
understanding. When the sweethearts came home, they were
the topic in question. They ask further questions
(e.g., What other factors affect bystander inter- more in love than ever and got married. The
6. What
vention?), formulate new hypotheses, and test proverb “Absence makes the heart grow fonder”
approach to
understanding those hypotheses by conducting more research. explains this result. So which proverb is true;
do scientists As evidence mounts, scientists may attempt to or, are there other reasons for their behaviour—
prefer? Why? build theories. A theory is a set of formal state- for example, the breakup occurred when sweet-
ments that explains how and why certain events hearts met new partners at university?
The main problem with relying solely on

hindsight reasoning is that related past events
can be explained in many creative, reasonable,
and sometimes contradictory, ways. There is
no sure way to determine which—if any—of
the alternatives is correct. Despite this prob-
lem, hindsight reasoning can provide valuable
insights and is often the foundation on which
further scientific inquiry is built. For example,
Darley and Latané’s diffusion of responsibility
explanation was initially based on after-the-fact
reasoning about the Genovese murder.
Understanding through Prediction,

Control, and Theory Building
Whenever possible, scientists prefer to test their
understanding of “what causes what” more
directly. If we understand the causes of a given
behaviour, then we should be able to predict the FIGURE 2.3 Is the scientist’s claim of discovering
conditions under which that behaviour will occur an “eternal life potion” a testable hypothesis? Yes,
in the future. Furthermore, if we can control those because it is possible to show the hypothesis to be
conditions (e.g., in the laboratory), then we should false. If people drink it but still die, then we have
refuted the hypothesis. Therefore, it is testable. It is,
be able to produce that behaviour.
however, impossible to absolutely prove true. Even
Latané and Darley’s research illustrates this after living for a million years, a person who drank the
approach. They predicted that because of a dif- potion could die the next day.
fusion of responsibility, the presence of multiple
Copyright © 2004 by Sidney Harris. ScienceCartoonsPlus.
bystanders during an emergency would reduce com. Reprinted with permission.
individual assistance. Next, they carefully staged
an emergency and varied the number of bystand- theory will displace it. The displacement of old
ers. Their prediction was supported. Understand- beliefs and theoretical frameworks by new ones
ing through prediction and control is a scientific is the essence of science (Klahr & Simon, 1999).
alternative to hindsight understanding. Finally, although scientists use prediction as 7. Describe the
Theory development is the strongest test of a test of “understanding,” this does not mean characteristics of
scientific understanding because good theo- that prediction requires understanding. Even a a good theory.
ries generate an integrated network of predic- child can predict that thunder will follow light-
tions. A good theory has several important ning without knowing why it does so. Our pri-
characteristics: meval ancestors undoubtedly could predict that
• It incorporates existing facts and observa- eating certain plants would make them sick,
tions within a single broad framework. In without understanding principles of human
other words, it organizes information in a physiology. But prediction based on under-
meaningful way. standing (i.e., “theory building”) has important
advantages: It satisfies our curiosity, increases
• It is testable. It generates new hypotheses and
knowledge, and generates principles that we
predictions whose accuracy can be evaluated
can apply to new situations.
by gathering new evidence (Figure 2.3).
• The predictions made by the theory are sup- Defining and Measuring Variables
ported by the findings of new research.
Psychologists study variables and the relations
• It conforms to the law of parsimony: If two
among them. A variable, quite simply, is any
theories can explain and predict the same
characteristic or factor that can vary. People’s
phenomena equally well, the simpler theory
sex, height, hair colour, age, income, and grade
is the preferred one.
point average (GPA) are variables: They vary
Even when many successful predictions sup- from one person to another, and many also vary
port a theory, it is never regarded as an absolute within a given person over time.
truth. It is always possible that future observation Many variables that psychologists study rep-
will contradict it, or that a newer, more accurate resent abstract concepts that cannot be observed
42 CHAPTER TWO
directly. For example, “self-esteem,” “stress,” and definitions translate abstract concepts into
“intelligence” are concepts that refer to people’s something observable and measurable.
internal qualities. We might say that Tyra has To illustrate, suppose we want to study the
high self-esteem, Shaun is intelligent, and Claire relation between stress and academic perfor-
feels stressed, but how do we know this? We can’t mance among university students. How shall we
directly look inside their heads and see “self- operationally define our variables? “Academic
esteem,” “stress,” and “intelligence”; yet such con- performance” could mean a single test score,
cepts must be capable of being measured if we a course grade, or one’s overall performance.
are to study them scientifically. For our study, let’s operationally define it as
8. Why are Because any variable may mean differ- students’ final exam scores in an introductory
operational ent things to different people, scientists must chemistry course. We also have many options
definitions define their terms clearly. And when conduct- for operationally defining exam stress. How
important? ing research, scientists must also define vari- might you operationally define “exam stress” at
ables operationally. An operational definition a biological, psychological, and environmental
defines a variable in terms of the specific proce- level of analysis? Think about this, and then see
dures used to produce or measure it. Operational Figure 2.4.
Measuring Exam Stress

Levels of Analysis
Of course, we do not have to limit ourselves to one operational
definition of stress or of academic performance. By incorporating ENVIRONMENTAL
multiple levels of analysis, we might measure students’ pre-exam • We can measure aspects of the
stress hormones and self-reported worry, their nervous habits academic environment that create greater
during the exam, and the exam’s difficulty. We can then examine or lesser demands on students, such as the
difficulty of the exam, the overall course grading
how these different stress measures relate to immediate exam scale, time pressures and room noise during the
performance and students’ overall GPAs. This exam, and the level of achievement expectations set
strategy of measuring a conceptual by the students’ parents.
variable (i.e., a “construct”)
in multiple ways can yield BIOLOGICAL
a much more complete • Before, during, and after the
picture than does using a final exam, we can physiologically
single type of measure. measure students’ stress hormone
levels, heart rate, respiration rate, muscle
tension, and sweating.
PSYCHOLOGICAL
• Two weeks before the final exam, we can
administer a personality test to students that
measures their self-reported, general level of
anxiety over taking exams.
• Just before the final exam, we can ask students to
report their level of worry, tension, and anxiety.
• During the exam, we can directly observe nervous
behaviours, such as fingernail biting, foot wiggling,
and hair pulling.
If you were designing a research study, what

measures would you choose to operationally define
exam stress?
FIGURE 2.4
(a) (b) (c)

(left) © Richard T. Nowitz/Photo Researchers; (centre) Comstock Images/Getty Images; (right) © Spencer Grant/PhotoEdit
FIGURE 2.5 (a) Self-report, (b) physiological, and (c) behavioural measures are important scientific tools for psychologists.
Measurement is challenging because psy- desirability bias. They had respondents rate
chologists study incredibly varied and complex their familiarity with a large number of items
processes. Some processes are directly observ- on a questionnaire, of which 20 percent didn’t
able, but others are not. Fortunately, psycholo- exist (e.g., cholarine). The social desirability
gists have numerous measurement techniques bias is high when respondents confidently
at their disposal (Figure 2.5). claim familiarity with a large number of non-
existent items.
Self-Reports and Reports by Others We also can gather information about some-
Self-report measures ask people to report on one’s behaviour by conducting interviews with
their own knowledge, beliefs, feelings, experi- or administering questionnaires to other people,
ences, or behaviour. This information is often such as parents, spouses, and teachers, who
gathered through interviews or questionnaires. know the person. For example, job supervisors
The accuracy of self-report measures hinges on might be asked to rate workers’ competence or
people’s ability and willingness to respond hon- motivation. As with self-reports, researchers try
estly, especially when research questions focus to maximize participants’ honesty in reporting
on sensitive topics, such as sexual habits and about other people.
drug use.
Participants’ self-reports may be distorted Measures of Overt Behaviour
by a social desirability bias, the tendency Another measurement approach is to record
to respond in a socially acceptable manner overt (i.e., directly observable) behaviour.
rather than according to how one truly feels In an experiment on learning, we might mea-
or behaves. University of British Columbia sure how many errors a person makes while
researcher Delroy Paulhus (1991) suggests performing a task. In an experiment on drug
that researchers can minimize the social effects, we might measure people’s reaction 9. Describe
desirability bias by wording questions so time—how rapidly they respond to a stimulus the major ways
that social desirability is not relevant or, if (such as the turning on and off of a light)— psychologists
measure
that is impossible, by guaranteeing respon- after ingesting various amounts of alcohol. In
behaviour,
dents anonymity and confidentiality so they the bystander emergency experiment, Latané and suggest
can respond honestly without fear of future and Darley (1968) recorded whether and how a limitation of
consequences (e.g., questions about taking quickly students reported a potential fire. In each method.
drugs or having unsafe sex). These measures experiments on “thinking” in preverbal infants,
presume respondents give honest responses. researchers have measured how long infants
Paulhus, Harms, Bruce, and Lysy (2003) devel- look at various familiar and novel visual tar-
oped the Over-Claiming Questionnaire (OCQ) gets or if they turn to look at off-centred famil-
to measure the degree of a respondent’s social iar versus novel sound sources.
44 CHAPTER TWO
Psychologists also develop coding systems school records, which contained such things
to record different categories of behaviour. as student suspensions and number of trips to
While a parent and child jointly perform a task, the principal’s office, that were gathered both
we might code the parent’s behaviour into such before and after the program was implemented
categories as “praises child,” “assists child,” and (Pelham et al., 2005).
“criticizes child.” Observers must be trained to
Psychological tests. Psychologists develop
use the coding system properly so that their
and use specialized tests to measure many types
measurements will be reliable—consistent
of variables. For example, personality tests,
observations. If two observers watching the
which assess personality traits, often contain
same behaviours repeatedly disagree in their
questions that ask how a person typically feels
coding (e.g., one says the parent “praised” and
or behaves (e.g., “True or False: I prefer to be
another says the parent “assisted”), then the
alone rather than attend social gatherings.”). In
data are unreliable and of little use.
essence, such tests are specialized self-reports.
10. What is Humans and other animals may behave
Other personality tests present ambiguous stim-
unobtrusive differently when they know they are being
uli (e.g., pictures that could have different mean-
measurement? observed. To counter this problem, research-
ings), and personality traits are judged based
ers may disguise their presence or use unob-
upon how a person interprets these stimuli.
trusive measures, which record behaviour in
Other psychological tests consist of perfor-
a way that keeps participants unaware that cer-
mance tasks. For example, intelligence tests may
tain responses are being measured. For exam-
ask people to assemble objects or solve arithme-
ple, if we ask people to report their mood on
tic problems. Neuropsychological tests help to
a questionnaire, then they are aware that we’re
diagnose normal and abnormal brain function-
measuring their mood. Instead, we could have
ing by measuring how well people perform men-
people perform tasks that assess their moods in
tal and physical tasks, such as recalling lists of
ways that are not obvious to them, such as rat-
words or manipulating objects (Abramowitz &
ing pleasant and emotionally neutral pictures,
Caron, 2010; Goodale & Milner, 1992).
and reading various types of words (Kiecolt-
Glaser et al., 2008). Robinson et al. (2012) report Physiological measures. Psychologists also
that thermal imaging also is a good predictor for record physiological responses to assess what
mood state. people are experiencing. Measures of heart
Psychologists also gather information about rate, blood pressure, respiration rate, hormonal
behaviour by using archival measures, which secretions, and brain functioning have long
are records or documents that already exist. For been the mainstay of biopsychologists, but these
example, to evaluate the effectiveness of a pro- measures have become increasingly important
gram to reduce schoolchildren’s disruptive class- in many other areas of psychology (see this
room behaviours, researchers have examined chapter’s Focus on Neuroscience feature).
In Review
• The scientific process proceeds through several understanding through prediction, control, and
steps: (1) asking questions based on some theory building.
type of observation; (2) gathering informa- • A good theory organizes known facts, gives rise
tion and formulating a testable hypothesis; to additional hypotheses that are testable, is
(3) conducting research to test the hypothesis; supported by the findings of new research, and
(4) analyzing the data, drawing tentative con- is parsimonious.
clusions, and repor ting one’s findings to the
scientific community; and (5) building a body • An operational definition defines a concept or
of knowledge by asking further questions, con- variable in terms of the specific procedures used
ducting more research, and developing and to produce or measure it.
testing theories. • To measure behaviour, psychologists obtain peo-
• In everyday life, we typically use hindsight to ples’ self-reports and reports from others who
explain behaviour. Hindsight is flawed because know the participants, directly observe behaviour
there may be many possible explanations for using unobtrusive measures, analyze archival
behaviour and no way to ascertain which one data, administer psychological tests, and record
is correct. Psychologists prefer to test their physiological responses.
Focus on
Neuroscience
THE NEUROSCIENCE OF THE HUMAN production, and visual perception and action. For example,
BRAIN AT WORK James, Culham, Humphrey, Milner, and Goodale (2003)
used fMRI scans to measure the activation level in D.F.’s
Neuroscientists use various techniques to identify localiza- ventral and dorsal streams during both visual recognition
tion of behavioural function in specific areas of the brain. tests and object-directed grasping tasks. As predicted from
They have used the case study method to test patients the behavioural results, D.F.’s loss of visual object recogni-
with damage to a specific area of the brain to uncover which tion was associated with absent/abnormal ventral-stream
of their abilities are preserved and which are lost, in an activation, while her dorsal stream regions showed normal
attempt to identify the functions of different brain struc- activation during object grasping tasks. Finally, Valyear, Cul-
tures (e.g., see Chapter 3; classic study of Phineas Gage). ham, Sharif, Westwood, and Goodale (2006) used fMRI to
A modern example is the work of Mel Goodale, at the Univer- study the activity in the normal human brain and found the
sity of Western Ontario. In the 1990s, Goodale and Milner predicted differential ventral and dorsal stream activation
(1992) studied a patient (D.F.) who experienced carbon during the performance of visual object recognition tasks
monoxide poisoning. D.F. suffered damage to one cortical versus object grasping (orientation) tests. Clearly, brain-
visual processing area (the ventral stream) but had no dam- imaging technology gives neuroscientists a powerful tool to
age in another cortical visual area (the dorsal stream; see study the localization of function.
Figure 2.6). When D.F. was shown objects (e.g., a rod), she
couldn’t identify them, their shape, or their orientation (i.e.,
she had lost visual object recognition). But when D.F. was
asked to grab the rod presented in different orientations Dorsal
and positions, she showed normal anticipatory hand open-
ing, rotated her hand into the correct orientation, accurately
reached out and grabbed the rod (i.e., she had retained
normal visually guided reaching). The case study of D.F. Dorsal stream
provided compelling evidence from purely behavioural data
that visual object recognition and action are processed inde-
pendently by the ventral and dorsal streams, respectively.
As discussed in Chapter 1, recent advances in brain-
Anterior Posterior
imaging technology have allowed neuroscientists to mon-
itor neural activity in the intact brain of a person during
mental or physical tasks (e.g., Talbot, 2003). PET and fMRI Ventral stream
scans actually measure changes in local blood flow or oxy-
gen content, which have been shown to reflect local neu-
ral activity (Logothetis et al., 2001). Neuroscientists have Ventral
used brain-imaging technology to map the neural activity
of clinical patients with psychiatric disorders (e.g., schizo-
phrenia, Alzheimer’s disease) and patients suffering from
FIGURE 2.6 Navigating the brain. When discussing anatomy,
we often use the standard terminology shown here. Thus, the
brain damage (e.g., Thompson et al., 2000; Partain, 2006),
dorsal stream runs along the upper surface of the cortex; the
as well as to explore the development of normal and abnor- ventral stream runs along the bottom surface. In addition, we
mal brain functions. Using imaging techniques, scientists often use the terms medial to describe a structure toward the
have identified neural pathways involved in various mental centre of the brain and lateral to indicate one toward the brain’s
operations, emotional regulation, language perception and outer surface.
Physiological responses can have their own and specific psychological processes is rapidly
interpretive problems, the main one being that expanding (Rolls, 2010).
we don’t always understand what they mean. In sum, psychologists can measure behav-
For example, if a person shows increased iour in many ways, and each has advantages
heart rate and brain activity in a particular and disadvantages. To gain greater confi-
situation, what emotion or thought is being dence in their findings, researchers may use
expressed? Nevertheless, our knowledge about several types of measures within a single
links between patterns of physiological activity study.
46 CHAPTER TWO
METHODS OF gathered through observation, interviews, psy-

chological tests, physiological recordings, and
RESEARCH task performance, or from archival records.
Like detectives searching for clues to solve a Case studies have several advantages. First,
case, psychologists conduct research to gather when a rare phenomenon occurs, this method
evidence about behaviour and its causes. The enables scientists to study it closely. Second, a
research method chosen depends on the prob- case study may challenge the validity of a the-
lem being studied, the investigator’s objectives, ory or widely held scientific belief. Third, a case
and ethical principles. study can be a vibrant source of new ideas and
hypotheses that subsequently may be examined
by using more controlled research methods. Case
Descriptive Research:
studies have provided important insight into
Recording Events such diverse topics as brain functioning (see this
The most basic goal of science is to describe chapter’s Focus on Neuroscience feature), child
phenomena. In psychology, descriptive development, mental disorders, and cultural
research seeks to identify how humans and influences. Consider the following example.
other animals behave, particularly in natural Normally, human infants gain weight rap-
settings. It provides information about the idly after birth; not doing so can have a negative
diversity of behaviour and may yield clues impact on their later physical and intellectual
about potential cause–effect relations that development. When medical causes are ruled out,
are later tested experimentally. Case stud- this “failure to thrive” is related to poverty and/
ies, naturalistic observation, and surveys are or parenting neglect. Researchers at Surrey Place
research methods commonly used to describe Centre in Toronto developed a training program
behaviour. for mothers with intellectual disabilities who are
at high risk for infant neglect (Feldman, Garrick,
Case Studies: Treating Cases of Failure & Case, 1997). First, the researchers recorded the
to Thrive (Starvation) in Human Infants child’s weight weekly to diagnose failure to thrive
11. What is a A case study is an in-depth analysis of an indi- (baseline). Next, the mothers were instructed in
case study? vidual, a group, or an event. By studying a sin- feeding and nutrition for six weeks ( treatment).
Identify its gle case in detail, researchers typically hope to Finally, the child’s weight was recorded over
advantages. the next three years (follow-up). The results are
discover principles of behaviour that are true
for people or situations in general. Data may be shown in Figure 2.7. Clearly, during the baseline,
Change in weight
Baseline Treatment Follow-up
(family (parent
2.0 physician) training
Child’s weight in kilograms
and
1.5
where “0” = percentile
physician)
1.0
0.5
–0.5
–1.0
–1.5
–2.0
2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32 34 36 44 46 85
Age of child
(months)
FIGURE 2.7 An example of a case study of a failure-to-thrive infant who stopped growing shortly after birth.
Weight on the y-axis is given in kilograms relative to the 5th percentile (95 percent of the infants of that age are
above the horizontal line at 0 on the y-axis). During the Baseline, the infant was 0.8 kg below the 5th percentile;
but, during Treatment, when the parent received training in feeding and nutrition, the infant rapidly gained weight to
a safe level. The infant remained at a normal weight for the next few years (Follow-up).
Source: Figure adapted from Feldman, M.A., Garrick, M., & Case, L. (1997). “The effects of parent training on weight gain of
nonorganic-failure-to-thrive children of parents with intellectual disabilities.” Journal on Developmental Disabilities, 5, 47–61.
this child remained small relative to the general

population, rapidly gained weight to a safe level
during treatment, and continued to thrive for the
next few years during the follow-up, suggesting
that the treatment program was very effective.
Case studies have several limitations. First,
they are a poor method for determining cause– 12. What are the
effect relations. In our failure-to-thrive case major limitations
study, the treatment may have caused the infant’s of case studies?
weight gain; alternatively, some other change in
the mother’s and infant’s lives could have been
responsible, or the symptoms may have ended
© Bill Aron/PhotoEdit
simply because of the passage of time. Second,
case study findings may not generalize to other FIGURE 2.8 Psychologists conduct naturalistic obser-
people or situations. In the failure-to-thrive case vations in many settings, including the schoolyard.
study, perhaps the treatment was only beneficial
for that particular mother. To establish the gen- study, psychologists recorded children’s play-
eralization of a principle (e.g., maternal educa- ground interactions during recess and lunch
tion can reduce instances of failure to thrive), periods at two elementary schools in Toronto
investigators must conduct more case studies, (Hawkins, Pepler, & Craig, 2001). Their main
use other research methods, and test a variety goal was to describe peer interventions during
of cultural groups. Third, observers may not be episodes of schoolyard bullying. How often do
objective in gathering and interpreting the data. schoolmates intervene? What strategies do they
While this issue may not apply to our failure-to- use? Are peer interventions effective?
thrive example (i.e., weight measures are rela- To answer these questions, the researchers
tively objective), measurement bias (also called developed coding systems so that the children’s
observer bias) can occur in any type of research. behaviour could be classified into meaningful cat-
Case studies are particularly worrisome because egories. To illustrate, here are three of ten catego-
often they are based on an observer’s subjec- ries representing different intervention strategies:
tive impressions. A skeptical attitude requires • Verbal Assertion: Verbally requesting that the
that claims based on case studies be followed bullying stop (e.g., “Stop it,” “Knock it off”)
up by more controlled methods before they are • Physical Assertion: Physically separating the
accepted. In everyday life, we should adopt a bully and victim, but not physically attacking
similar skeptical view. When encountering claims either one
based on a case example or an anecdote, remem-
ber that the case may be atypical or the person • Physical Aggression: Hitting, pushing, shoving,
making the claim may be biased. Try to seek out or otherwise physically engaging the bully or
other evidence to evaluate the claim. victim
Overall, of the 306 bullying episodes observed,
Naturalistic Observation: Bullying schoolmates were present 88 percent of the time
in Canadian Schoolyards but intervened in only 19 percent of the episodes.
In naturalistic observation, the researcher In order, the three most common types of inter- 13. What is
observes behaviour as it occurs in a natural vention were verbal assertion alone, physical naturalistic
setting, and attempts to avoid influencing that aggression alone, and verbal assertion combined observation, and
behaviour (Figure 2.8). For example, by observ- with physical assertion. Recently, a number of what is its major
ing African chimpanzees in the wild, British schools have adopted anti-bullying policies, and advantage?
researcher Jane Goodall (1986) and other scien- those schools with such policies are indeed less
14. What
tists found that chimpanzees display behaviours, likely to have problems with bullying (Azeredo,
problems can
such as making and using tools, that were for- Rinaldi, deMoraes, Levy, & Menezes, 2015). occur when
merly believed to lie only within the domain of Like case studies, naturalistic observation does conducting
human capabilities (Lonsdorf, 2006). not permit clear causal conclusions. In the real naturalistic
Naturalistic observation is also used to study world, many variables simultaneously influence observations?
human behaviour. Consider bullying in schools, behaviour, and they cannot be disentangled with
a topic that has received increasing attention this research technique. Bias in how research-
from psychologists (Kanetsuna, Smith, & Morita, ers interpret what they observe is also possible.
2006). Were you ever bullied at school? If so, did Finally, even the mere presence of an observer
any schoolmates step in to help? In a three-year may disrupt a person’s or animal’s behaviour.
48 CHAPTER TWO
Thus, researchers may disguise their presence so significantly different from the averaged personal-
that participants are not aware of being observed. ity scores of individual members on the same char-
Fortunately, when disguise is not feasible, people acteristics. To illustrate, the national characters of
and other animals typically adapt to and ignore the Canadian and U.S. samples were similar for
the presence of an observer as time passes. This neuroticism (e.g., anxiety, hostility, depression,
process is called habituation, and researchers impulsiveness) and agreeableness (e.g., altruism,
may delay their data collection until participants compliance, modesty); but the averaged individu-
have habituated to the observers’ presence. als’ ratings on themselves were much higher for
agreeableness and much lower on neuroticism for
Survey Research: Does Your Own Canadians than for the U.S. respondents, and both
Personality Match the Canadian profiles were significantly different from their
National Character? respective national characters. Terracciano et al.
In survey research, information about a topic concluded that while the cultural stereotype of a
is obtained by administering questionnaires or national character may define national identity,
interviews to many people. Political polls are a it does not reflect the actual, assessed personality
well-known example, but surveys also ask about traits of members of that culture.
participants’ behaviours, experiences, and atti- Terracciano et al. surveyed only 3989 adults.
tudes on wide-ranging issues. For example, Ter- So how is it possible to obtain accurate estimates
racciano et al. (2005) addressed the following of the stereotypic national character of various
question: Does the stereotypical “national charac- cultures? Two key concepts in survey research
ter” of a culture (with regard to neuroticism, extra- are population and sample. A population con-
version, openness to experience, agreeableness, sists of all the individuals about whom we are
and conscientiousness) actually match the aver- interested in drawing a conclusion. Terracciano et
aged scores for individual members of that culture al. wanted to know the stereotypic national char-
on those personality characteristics? Eighty-six acter and actual personality characteristics of
researchers administered two questionnaires (one adult populations in 49 cultures. Clearly, it would
measured “national character”; the other mea- be impossible to study everyone. Therefore, they
sured the respondent’s own personality) to individ- surveyed a sample, that is, a subset of individuals
uals from 49 cultures around the world, including drawn from the larger population of interest.
students at York University (by L.E. Ayearst), the To draw valid conclusions about a popula-
University of British Columbia (by D.L. Paulhus), tion from a survey, the sample must be repre-
and the University of Winnipeg (by P.D. Trapnell). sentative: A representative sample is one
Responses showed that there was a consensus that reflects the important characteristics of
on each culture’s national character. However, the population (Figure 2.9). A sample com-
the national character personality profile was posed of 80 percent males would not represent
G H
F
Unrepresentative E
sample D
Population
A
C
H A B
G B Sampling
procedure
F
C
H A
E D
G B
F C
Representative
sample E D
FIGURE 2.9 A representative sample possesses the important characteristics of the population in the same pro-
portions. Data from a representative sample are more likely to generalize to the larger population than data from
an unrepresentative sample.
a student body in which only 45 percent are questionnaires and telephone surveys (see Kraut
men. To obtain a representative sample, survey et al., 2004). For example, Nosek, Banaji, and
researchers typically use a procedure called Greenwald (2002) measured attitudes toward
random sampling, in which every member of and stereotypes of social groups of over 1.5 mil-
the population has an equal probability of being lion “drop-in” respondents at their website who
chosen to participate in the survey. A common were recruited through news media, links from
variation of this procedure, called stratified other Internet sites and search engines, and
random sampling, is to divide the population word of mouth.
into subgroups based on such characteristics as Internet questionnaires can be problem- 15. Explain what
gender or ethnic identity. If the population is 45 atic because researchers do not have much representative
percent male, then 45 percent of the spaces in control over data quality; respondents can sampling is,
the sample would be allocated to men and 55 lie about their ages, identities, and genders, and why survey
percent to women. Random sampling is then and anonymity permits respondents to answer researchers
used to select the individual women and men frivolously or maliciously. Also, sample bias use it.
who will be in the survey. can occur because, unlike randomly dialing
When a representative sample is surveyed, telephone numbers, there is no method for 16. What
we can be confident (though never completely randomly sampling the population of Internet are some
certain) that the findings closely portray the users. Kraut et al. noted that Internet users in advantages and
disadvantages of
population as a whole. This is the strongest 2002 were more likely than the general U.S.
survey research?
advantage of survey research. Modern political population to be young, to be white, and to
opinion polls use such excellent sampling proce- have children. Gosling, Vazire, Srivastava,
dures that, just prior to elections, they can rea- and John (2004) evaluated these concerns
sonably predict who will win a national election by comparing personality questionnaire data
from a sample of about 1000 people. from over 360 000 Internet respondents with
In contrast, unrepresentative samples can that from 510 publications where traditional
produce distorted results. Other things being questionnaires were used. Gosling et al.
equal, large samples are better than small acknowledged that Internet samples are not
ones, but it is better to have a smaller repre- without flaws—their Internet sample was not
sentative sample than a larger, unrepresenta- representative of the general population—
tive one. A famous example is a mail survey but their sample was more representative
of almost two million voters in 1936, which than the undergraduate psychology student
was carried out by Literary Digest magazine. samples used in many questionnaire stud-
This survey predicted that U.S. Republican ies. Moreover, Internet survey results have
presidential candidate Alf Landon would eas- been shown to be less influenced by issues
ily defeat Democratic candidate Franklin Roo- such as missing data and socially desirable
sevelt. When the election took place, Roosevelt responding than those of paper-based surveys
won in a landslide! (Truell, Bartlett, & Alexander, 2002; Wood,
How could a prediction based on two mil- Nosko, Desmarais, Ross, & Irvine, 2006),
lion people be so massively wrong? The answer suggesting that the Internet can be a useful
is that the survey’s sample was unrepresenta- research tool. Furthermore, recent research
tive of the population that actually voted. The suggests that data from Internet surveys has
researchers obtained names and addresses from similar properties to the same type of data
telephone directories, automobile registration collected by the standard paper-and-pencil
lists, and magazine subscription lists. In 1936, format (Kalaitzaki, Birtchnell, Hammond, &
most poor Americans did not have telephones, DeJong, 2015; Vésteinsdóttir, Reips, Joinson, &
cars, or magazine subscriptions. Thus, the sam- Thorsdottir, 2015).
ple under-represented poorer socioeconomic In scientific research, surveys are an efficient
groups and over-represented wealthier people: method for collecting a large amount of infor-
bad sample, bad prediction. In sum, always con- mation about people’s opinions, experiences,
sider the nature of the sample when interpreting and lifestyles, and they can reveal changes in
survey results. people’s beliefs and habits over many years. But
The World Wide Web revolution in the 1990s there also are several major drawbacks to sur-
produced a massive electronic interconnection veys. First, survey data cannot be used to draw
of people around the world on the Internet, conclusions about cause and effect. Second,
allowing psychologists to collect questionnaire surveys rely on participants’ self-reports, which
data from thousands of subjects quickly and at can be distorted by social desirability bias, inter-
virtually no cost compared with paper-based viewer bias, peoples’ inaccurate perceptions of
50 CHAPTER TWO
their own behaviour, and misinterpretation of Correlational Research:

survey questions. Third, unrepresentative sam-
ples can lead to faulty generalizations about
Measuring Associations
how an entire population would respond. And between Events
finally, even when surveys use proper random What factors distinguish happily married couples
sampling procedures, once in a while—simply from those headed for divorce? Do first-born
by chance—a sample that is randomly chosen children differ in personality from later-born chil-
will turn out not to be representative of the dren? Is monetary wealth related to happiness?
larger population. Overall, in properly con- These and countless other psychological ques-
ducted professional and scientific surveys, this tions ask about associations between naturally
happens less than 5 percent of the time, but it occurring events or variables. To examine such
does happen. relationships, scientists typically conduct corre-
Note, in this chapter, while we give exam- lational research, which in its simplest form has
ples of descriptive statistics (e.g., line graphs three components:
in Figures 2.2 and 2.6, pie graphs in Figure 2.9,
1. The researcher measures one variable (X), such
and percentage differences among groups),
as people’s birth order.
we focus on experimental design of studies
rather than statistical procedures. A compre- 2. The researcher measures a second variable (Y),
such as a personality trait.
hensive introduction to statistical methods
relevant to survey results and group observa- 3. The researcher statistically determines whether
tions are covered in the Appendix following X and Y are related.
Chapter 17. Remember that correlational research involves
measuring variables, not manipulating them.
Naturalistic observation and surveys often
are used not only to describe events, but also
to study associations between variables. For
Thinking critically example, in the naturalistic observation study
of schoolyard bullying, the researchers exam-
SHOULD YOU TRUST INTERNET ined associations between the children’s sex and
AND POP MEDIA SURVEYS? peer intervention (Hawkins et al., 2001). They
Tom fills out a political-attitude survey posted on found that girls were more likely to intervene
the Internet. Claire mails in a dating-satisfaction when the bully and victim were female, and
survey that came in a fashion magazine to which
boys were more likely to intervene when the
she subscribes. Sam responds to a local TV news
phone-in survey on a tax issue (“Call our number, bully and victim were male.
press 1 to agree, 2 to disagree”). For each
survey, can the results be trusted to reflect the Correlation Does Not Establish Causation
general public’s attitudes? Diener and Seligman (2002) asked 222 university
Think about it, and then see the Answers section students to complete questionnaires measuring
at the end of the book. their general levels of positive and negative emo-
tions, personality traits, social relationships, and
In Review
• The goal of descriptive research is to identify how • Surveys involve administering questionnaires or
organisms behave, particularly in natural settings. interviews to many people. Most surveys study
Case studies involve the detailed study of a person, a sample of people that is randomly drawn from
group, or event. Case studies often suggest impor- the larger population. Representative samples
tant ideas for further research, but they are a poor allow researchers to estimate the responses
method for establishing cause–effect relations. of the entire population. Unrepresentative sam-
• Naturalistic observation can yield rich descrip- ples can lead to inaccurate estimates. Survey
tions of behaviour in real-life settings and per- results also can be distorted by interviewer bias
mits examination of relations between variables. or biases in the way participants report about
Researchers must avoid influencing the partici- themselves.
pants they observe.
(a) Social relationships and happiness are correlated Second, the association between social rela-
17. Explain the
Better social Greater tionships and happiness may be artificial, or
main goal of
relationships happiness what scientists call spurious (not genuine). correlational
(X ) (Y) Although social relationships and happiness research
are statistically related, it may be that neither and how it is
variable has any causal effect on the other. A achieved.
(b) Bidirectionality problem
third variable, Z, may really be the cause of
Does X cause Y ? why some people have better social relation- 18. Why are
Better social Greater ships and also why those people are happier. we unable to
relationships happiness draw causal
For example, Z might be a certain personality
(X ) (Y) conclusions from
Does Y cause X ? style. Diener and Seligman also reported that
very happy people were, in general, more out- correlational
Better social Greater
findings?
relationships happiness going and agreeable and tended to worry less.
(X ) (Y) Perhaps this personality style makes it easier
for people to establish good social relation-
ships. At the same time, this style may help
(c) Third-variable problem
people soak up more joy from life and there-
fore feel happier. Thus, on the surface it looks
There may as if social relationships and happiness are
Better social be no causal Greater causally linked, but in reality this may be due
relationships relation happiness
between X to only Z (in this case, personality style).
(X ) (Y)
and Y This interpretive problem is called the
third-variable problem: Z is responsible for
what looks like a relation between X and Y
(Figure 2.10c). As Z varies, it causes X to
Personality style (Z) change. As Z varies, it also causes Y to change.
The net result is that X and Y change in uni-
FIGURE 2.10 (a) Students who have better social
relationships are happier. But why does this association son, but this is caused by Z, not by any direct
occur? (b) Good social relationships could cause people effect of X or Y on each other. In sum, we can-
to become happier or, conversely, being a happier person not draw causal conclusions from correlational
could make it easier to form good social relationships. data, which is the major disadvantage of cor-
This is the bidirectionality problem. (c) There may be no relational research.
causal link between social relationships and happiness.
Other variables, such as personality traits (e.g., having
a more outgoing, agreeable disposition), may be part of
The Correlation Coefficient
the true common origin of better social relationships and A correlation coefficient is a statistic that 19. How do
of happiness. This is the third-variable problem. indicates the direction and strength of the rela- positive and
tion between two variables. Variables can be negative
correlated either positively or negatively. A correlations
satisfaction with life. They found that very happy positive correlation means that higher scores differ?
people had stronger, more satisfying social rela- on one variable are associated with higher
tionships than unhappy people (Figure 2.10a). It scores on a second variable. Thus, social rela- 20. How is
is tempting to conclude from these findings that tionships and happiness are positively corre- a correlation
stronger social relationships cause people to lated so that more satisfying relationships are coefficient
be happier, but correlational research does not associated with higher levels of happiness. Simi- interpreted?
allow us to draw such a conclusion. First, the larly, people’s height and weight are positively
direction of causality could be opposite; perhaps correlated (i.e., in general, taller people tend to
being happy causes people to have stronger weigh more).
social relationships. For example, maybe happi- A negative correlation occurs when higher
ness makes a person more receptive to going out scores on one variable are associated with
and forming close relationships. In correlational lower scores on a second variable. Job satisfac-
research, you must consider the possibility that tion and job turnover are negatively correlated,
variable X (social relationships) has caused vari- which means that workers who are more satis-
able Y (happiness), that Y has caused X, or that fied with their jobs tend to have lower rates of
both variables have influenced each other. This turnover (e.g., quitting, being fired). Likewise,
interpretive problem is called the bidirectionality students’ test anxiety and exam performance
(i.e., two-way causality) problem (Figure 2.10b). are negatively correlated (i.e., students with
52 CHAPTER TWO
Correlation as a Basis for Prediction

Thinking critically Why conduct correlational research if it does
not permit clear cause–effect conclusions?
DOES EATING ICE CREAM CAUSE PEOPLE One benefit is that correlational research can
TO DROWN? help to establish whether relations found in the
Nationally, ice cream consumption and drownings laboratory generalize to the outside world. For
are positively correlated. Over the course of the example, suppose that laboratory experiments
year, on days when more ice cream is consumed,
there tend to be more drownings. Are these two
show that talking on a telephone while operat-
variables causally related? What causal possibili- ing a driving simulator causes people to get into
ties should you consider? more simulated crashes. Correlational studies,
Think about it, and then see the Answers section while not demonstrating a cause–effect relation-
at the end of the book. ship, can at least establish whether there is a
real-world association between driver cellphone
usage and automobile accident rates. (By the
way, there is.) A second benefit is that correla-
higher levels of test anxiety tend to perform tional research can discover associations that
more poorly on exams). are subsequently studied under controlled labo-
Correlation coefficients range from values ratory conditions. Third, for practical or ethi-
of +1.00 to –1.00. The plus or minus sign tells cal reasons, some questions cannot be studied
you the direction of a correlation (i.e., whether with experiments but can be examined with cor-
the variables are positively or negatively correlational methods. We cannot experimentally
related). The absolute value of the statistic tells manipulate how religious someone is, but we
you the strength of the correlation. The closer can measure people’s religiousness and deter-
the correlation is to +1.00 (a perfect positive mine whether it is associated with other vari-
correlation) or –1.00 (a perfect negative cor- ables, such as personality traits.
21. Explain how relation), the more strongly the two variables Another benefit is that correlational data
correlational are related. Therefore, a correlation of –0.59 allow us to make predictions. If two variables
research can be indicates a stronger association between X are correlated, either positively or negatively,
used to predict and Y than does a correlation of +0.37. A zero knowing the score of one variable helps us esti-
behaviour. correlation (0.00) means that X and Y are not mate the score on the other variable. For exam-
related statistically: As scores on X increase ple, students’ high school GPAs help admissions
or decrease, scores on Y do not change in any officers predict how well they are likely to do
orderly fashion. Figure 2.11 illustrates three at university, as illustrated in the made-up data
scatterplots—graphs that show the correlation pictured in the scatterplot in Figure 2.12. You
between two variables. (For more detailed infor- can see that higher high school GPAs are asso-
mation about the correlation coefficient, see the ciated with higher first-year university GPAs.
Appendix following Chapter 17.) The scatterplot also shows that this positive
(a) A positive correlation (b) Zero correlation (c) A negative correlation

Variable Y (grade point)
High High High

Score
on Y
Score on X
Low Low Low
Low High Low High Low High
Variable X Variable X Variable X
(hours of studying (number of apples (hours of TV watched
per week) consumed per week) per week)
FIGURE 2.11 Scatterplots depict correlations between variables. The horizontal axis represents variable X, and the
vertical axis, variable Y. Each data point represents a specific pair of X and Y scores, such as in (a) the number of
hours a week a student studies (X) and that student’s grade point average (Y). The three scatterplots show (a) a strong
positive correlation, (b) a zero correlation (0.00), and (c) a strong negative correlation, for hypothetical sets of data.
4.0 Experiments: Examining Cause

First-year university grade
and Effect
3.5
Do you ever drive while talking on a cellphone?
point average (Y)
Dalhousie University researchers Ishigami and

3.0 Klein (2009) note that “there are more than
19.3 million cellphone subscribers in Canada”
(p. 157), and talking on cellphones while driv-
2.5
ing is increasing. Fitch et al. (2013) report that
drivers were talking on their phones almost 11
2.0 percent of the time that the vehicle was mov-
70% 75% 80% 85% 90% 95% ing. Moreover, correlational studies reveal
High school grade point average (X) that cellphone (hand-held and hands-free) use
while driving is associated with a substantially
FIGURE 2.12 Data for a hypothetical sample of 50 increased risk of having a vehicular collision
students. The horizontal axis represents variable X, the (Dozza, Flannagan, & Sayer, 2015; McEvoy et
students’ high school grade point average (GPA). The al., 2005; Ishigami & Klein, 2009), fuelling the
vertical axis represents variable Y, the same students’
fire of a sometimes passionate public and politi-
first-year university GPA. Variables X and Y are mod-
erately correlated because, while most students who cal debate. But as you just learned, correlation
had high grades in high school also had high grades in does not establish causation. How then can we
university, there were a number of cases in which high obtain a clearer causal picture?
grades in high school were followed by low grades in In contrast to descriptive and correlational
university, and vice versa. methods, experiments are a powerful tool
for examining cause-and-effect relations. An
experiment has three essential characteristics:
correlation is not perfect. Some students who
have high school GPAs that are high achieve an 1. The researcher manipulates (i.e., controls)
average or a poor GPA in their first year at uni- one or more variables. In the simplest pos-
versity; conversely, others with low high school sible experiment, the researcher manipulates
GPAs excel at university. Still, even a moderate one variable by creating two different condi-
correlation between high school and university tions to which participants are exposed. For
GPAs is useful to admissions officers, especially example, we could create a variable called
when high school GPAs are used with other “cellphone use” by randomly assigning half
variables—such as awards and extracurricular of our participants to drive without talk-
activities—that also help to estimate university ing on a cellphone and assigning the other
performance. participants to drive while conversing on a
Remember, we are not saying that higher hands-free cellphone. These would represent
high school GPAs cause better first-year univer- the two groups (conditions) in the experi-
sity performance, only that they help to predict ment (i.e., Drive Only condition; Drive + Cell-
it. Similarly, business, government, and military phone Use condition).
organizations spend millions of dollars develop- 2. The researcher measures whether this
ing screening tests that correlate with work per- manipulation inf luences other variables
formance and therefore help to predict how well (i.e., variables that represent the participants’
applicants will do on the job. responses). For simplicity, let’s focus on just
In Review
• Correlational research measures the association • Causal conclusions cannot be drawn from cor-
between naturally occurring variables. A positive relational data. Variable X may cause Y; Y may
correlation means that higher scores on one vari- cause X; or some third variable (Z) may be the
able are associated with higher scores on a second true cause of both X and Y. Nevertheless, if two
variable. A negative correlation occurs when higher variables are correlated, then knowing the scores
scores on one variable are associated with lower of one variable will help to predict the scores of
scores on a second variable. the other.
54 CHAPTER TWO
of the experiment. For example, while each

participant is driving, there will be no passen-
gers and no CD or radio playing. It also would
be ideal to expose the Drive + Cellphone Use
and the Drive Only participants to the same
travel routes and also the same traffic and
weather (e.g., temperature, visibility) condi-
tions. By doing so, any differences we find in
braking performance between the two groups
could not possibly be due to these extrane-
ous environmental factors. To achieve this
type of rigorous environmental control, and
also for ethical reasons of safety, let’s do what
Courtesy of Human Factors and Ergonomics Society most researchers have done: employ a highly
advanced, realistic driving simulator in a labo-
FIGURE 2.13 A simulator used in several experi- ratory environment rather than have people
ments that examine how talking on a cellphone while
drive in actual traffic (Figure 2.13).
driving affects drivers’ performance. The simulator can
be programmed to display various driving conditions, The logic behind this approach is
such as city (shown here) and highway traffic. straightforward:
one measure of driving performance, called • Start out with equivalent groups of participants.
22. Describe
the logic of “braking reaction time”: how quickly a driver
• Treat them equally in all respects except for
experimentation. depresses the car’s brake pedal when another
the variable that is of particular interest (in
vehicle in front of the car slows down.
this case, cellphone use).
23. What are 3. The researcher attempts to control extrane-
• Isolate this variable and manipulate it (create
independent ous factors that might influence the outcome
and dependent Drive Only and Drive + Cellphone conditions).
variables? How • Measure how the groups respond (braking
are they related? reaction time).
Sample of participants If the groups respond differently, then the
most plausible explanation is that these differ-
ences were caused by the manipulated variable
Random (Figure 2.14).
assignment
Experimental Control
Independent and Dependent Variables
Independent group group The term independent variable refers to the fac-
variable drive + cellphone use drive only
(cause) tor that is manipulated or controlled by the exper-
condition condition
imenter. In our example, cellphone use is the
independent variable. The dependent variable
is the factor that is measured by the experi-
menter and that may be influenced by the inde-
Dependent Measure Measure
pendent variable. In this experiment, braking
variable braking braking
(effect) reaction time reaction time reaction time is the dependent variable. An easy
way to keep this distinction clear is to remember
that the dependent variable depends on the inde-
pendent variable. Presumably, braking reaction
time will depend on whether the driver is talking
Statistically
compare performance
on a cellphone. The independent variable is the
of the two groups cause, and the dependent variable is the effect.
Our experiment thus far has only one depen-
dent variable, but we could have many. In addi-
FIGURE 2.14 The logic of designing an experiment. tion to braking reaction time, we could measure
The experimenter manipulates whether people talk on
a cellphone while driving, measuring their driving per-
how frequently drivers fail to detect lights or
formance, and attempts to treat them equally in every road signs, and so on. This way, we could learn
other way. This method creates an experimental group more about how cellphone conversations affect
and a control group. driving performance.
Dependent start of the study. For example, suppose that

Independent Variable in our experiment the Drive + Cellphone group
Variable (Cause) (Effect) displayed poorer driving performance than
the Drive Only group. If the participants in the
General Drive + Cellphone Safe Driving
level Use Drive + Cellphone group, on average, happened
to have less driving experience or poorer vision
Operational Drive + Cellphone Braking
than the Drive Only participants, then these
level Use versus Drive reaction time
Only
factors—not talking on a cellphone—might
have been why they performed more poorly.
To address this issue, researchers typi-
Experimental and Control Groups cally use random assignment, a procedure in
The terms experimental group and control group which each participant has an equal likelihood 24. Why are
are often used when discussing experiments. An of being assigned to any one group within an control groups
experimental group is the group that receives experiment. Thus, a participant would have a important?
a treatment or an active level of the independent 50 percent chance of being in the Drive + Cell-
variable. A control group is not exposed to the phone group and a 50 percent chance of being in 25. Why do
treatment or receives a zero-level of the indepen- the Drive Only group; that determination would researchers
dent variable. The purpose of the control group be made randomly. This procedure does not randomly assign
eliminate the fact that participants differ from participants to
is to provide a standard of behaviour to which
one another in driving experience, visual acu- the conditions in
the experimental group can be compared. In our an experiment?
experiment, participants in the Drive + Cellphone ity, or other personal factors. Instead, random
group represent the experimental group (or assignment is used to balance these differences
26. Identify an
experimental condition), and participants in the across the various conditions of the experiment. alternative to
Drive Only condition represent the control group It increases our confidence that, at the start of using random
(or control condition). an experiment, participants in the various con- assignment in
Note that in an experiment, the independent ditions are equivalent overall. experiments.
variable MUST HAVE at least two levels. Many A second experimental design is called a
experiments have an experimental (treatment) repeated measures (or within subjects) 27. Why do
and a control (no treatment) group. However, design; in this design, each participant is researchers
in some experiments, the concept of a control exposed to all the conditions of an independent manipulate two
group may not apply. For example, in a taste- variable. For example, we could measure how independent
skillfully the same people drive when talking on variables in
test experiment in which participants taste
a cellphone versus when not talking on a cell- the same
and rate how much they like Coca-Cola versus
experiment?
Pepsi-Cola, each drink represents an experi- phone. By doing so, such factors as the partici-
mental condition and we simply make a direct pants’ driving experience and visual acuity are
comparison between them. held constant across the different conditions of
Experiments with one independent variable the experiment, and therefore we can rule them
often include more than two experimental groups. out as alternative explanations for any results
In our driving-performance study, we could add we obtain.
a third condition in which other participants talk This approach, however, can create problems
on a hand-held cellphone (rather than a hands- if not used properly. Suppose that every partici-
free phone) while driving, and even add other pant drove the simulation the first time without
conditions in which participants don’t converse conversing on the cellphone, and then drove it
on a cellphone but instead listen to the radio or the second time while having phone conversa-
talk with a passenger. The Drive Only participants tions. If participants drove more poorly while
would still represent the control group, and we talking on the cellphone, what would be the
could now compare how various types of poten- cause? Distraction created by the phone conver-
tial distractions affect driver performance. sation? Perhaps. But perhaps the participants
became bored, fatigued, or overconfident by the
Two Basic Ways to Design an Experiment time they drove the route for the second time.
One common experimental design is called To avoid this problem, researchers use coun-
a between groups (or between subjects) terbalancing, a procedure in which the order
design because each group in the experiment of conditions is varied so that no condition has
is composed of a different set of participants. an overall advantage relative to the others. Half
To draw meaningful conclusions, the various the participants would drive the simulation first
groups of participants must be equivalent at the while having cellphone conversations, and then
56 CHAPTER TWO
drive it again without phone conversations. For (Y; e.g., driving performance) differs depending
the remaining participants, this order would be on the various conditions of another indepen-
reversed. dent variable (X2; e.g., traffic density).
As before, our first independent variable
Manipulating Two Independent Variables: would be cellphone use (Drive Only versus
Effects of Cellphone Use and Traffic Drive + Cellphone). But now we would add a
Density on Driving Performance second independent variable, “Traffic Density,”
To better capture the complexity of real life, by creating two or more conditions that differ
researchers often study several causal factors in the amount of traffic that the driver encoun-
within a single experiment by manipulating two ters. For example, let’s create “low density” and
or more independent variables simultaneously. “high density” conditions by programming our
Suppose we want to know how cellphone use driving simulator to display only one other car
and traffic density influence drivers’ perfor- on the travel route, or many other cars on the
mance. We could design separate experiments, travel route.
one to examine cellphone use and the other traf- We now have two independent variables,
fic density, but it typically is better to manipu- each of which has two conditions: cellphone
late both independent variables within the same use (Drive Only, Drive + Cellphone) and Traf-
experiment. This approach allows us to exam- fic Density (Low, High). As Figure 2.15a shows,
ine not only (1) how cellphone use and traffic combining these two independent variables
density each independently influence drivers’ within the same experiment creates four unique
performance, but also (2) whether cellphone conditions: (1) driving only, in low traffic den-
use has different effects, depending on whether sity; (2) driving only, in high traffic density;
traffic is heavier or lighter. In scientific terms, (3) driving while talking on the phone, in low
we are asking whether there is an interaction traffic density, and (4) driving while talking on
between cellphone use and traffic density. The the phone, in high traffic density.
concept of interaction means that the way in David Strayer and his colleagues (2003) con-
which one independent variable (X1; e.g., cell- ducted such an experiment. College undergrad-
phone use) influences the dependent variable uates drove a simulated 40-mile (64-kilometre)
Cellphone Use
(independent variable #1)
Traffic Density
(independent variable #2) Drive Drive + cellphone use
1200
+ Drive
Braking reaction time (milliseconds)
Drive + cellphone use

Low traffic density 1100
Drive in low Drive + phone in low 1000

traffic density traffic density
900
+ 800
High traffic density
700
Drive in high Drive + phone in high

traffic density traffic density 0
Low traffic High traffic
(a) (b) density density
FIGURE 2.15 Cellphone use, traffic density, and driving performance. (a) Simultaneously manipulating two independent variables—
cellphone use and traffic density—creates four conditions in this design. (b) Average braking reaction time to multiple decelerations by a
simulated pace car.
Source: Data from Strayer, D.L., Drews, F.A., & Johnston, W.A. (2003). “Cell-phone induced failures of visual attention during simulated driving.” Journal of
Experimental Psychology: Applied, 9, 23–32.
route that had multiple lanes in each direction. Figure 2.15b shows the results for one of the
Every student had cellphone conversations in dependent variables: braking reaction time.
some sections of the route and no phone conver- When traffic density was high, on average it
sations in the remaining sections. All phone con- took participants 179 milliseconds longer to
versations took place with a research assistant. depress their brake pedals when talking on
Each student’s task was to follow a pace car the hands-free cellphone than when not talk-
travelling in the right lane. The low and high ing on the phone. When traffic density was
traffic-density conditions were created by ran- low, braking reaction times were only 29 mil-
domly assigning each student to drive the entire liseconds slower when talking on the phone.
route either with no other cars on the highway Strayer and his colleagues (2003) concluded
(other than the pace car), or with a steady flow that, overall, talking on a cellphone while
of cars appearing in the left lane (high density driving caused drivers’ responses to be more
condition). sluggish, especially when traffic density was
For every student, the pace car braked and high. In fact, three accidents occurred in the
slowed down 32 times over the course of the high-density, Drive + Cellphone condition, all
route. If the student failed to brake in response, involving participants’ cars rear-ending the
he or she would eventually collide with the pace pace car. No accidents occurred in the other
car. The researchers measured several aspects conditions. Table 2.1 summarizes key features
of driving performance, including students’ of the research methods we have discussed, as
braking reaction time and whether they had any well as some limitations of experiments, which
collisions. we will discuss next.
TABLE 2.1 An Overview of Research Methods

Method Primary Feature Main Advantages Main Disadvantages
Case studies An individual, group, or event Provides rich descriptive Poor method for establishing
is examined in detail, often information, often cause–effect relations. The
by using several techniques suggesting hypotheses for person or event may not be
(observations, interviews, further study. Can study representative. Often relies
psychological tests). rare phenomena in-depth. heavily on the researcher’s
subjective interpretations.
Naturalistic observation Behaviour is observed in the Can provide detailed Poor method for establishing
setting in which it naturally information about the cause–effect relations.
occurs. nature, frequency, and Observer’s presence, if
context of naturally occurring known, may influence
behaviour. participants’ behaviour.
Surveys Questions or tests are A properly selected, Unrepresentative samples
administered to a sample representative sample may yield misleading
drawn from a larger typically yields accurate results. Interviewer bias and
population. information about the social desirability bias can
broader population. distort the findings.
Correlational studies Variables are measured Correlation allows prediction. Correlation does not imply
and the strength of the May help establish causation because of the
association is determined. how well findings from bidirectionality problem
Naturalistic observation and experiments generalize to and the third-variable
surveys also are often used more natural settings. Can problem, which can create a
to examine associations examine issues that cannot confounding of variables.
between variables. be studied ethically or
practically in experiments.
Experiments Independent variables Optimal method for Confounding of variables,
are manipulated and their examining cause–effect placebo effects, and
effects on dependent relations. Ability to experimenter expectancies
variables are measured. control extraneous factors can threaten the validity of
helps rule out alternative causal conclusions.
explanations.
58 CHAPTER TWO
In Review
• A well-designed experiment is the best way to equivalent at the start of the study. This is
examine cause–effect relations. Experiments called a between groups design.
have three essential characteristics: (1) one • In other experiments, the same participants are
or more variables called independent variables exposed to all the conditions, but the order in
are manipulated; (2) their effects on other vari- which the conditions are presented is counterbal-
ables called dependent variables are measured; anced. This is called a repeated measures design.
and (3) extraneous factors are eliminated or
reduced so that cause–effect conclusions can • Researchers can examine several causal factors
be drawn. The independent variable is viewed within a single experiment by simultaneously
as the cause, and the dependent variable as manipulating two or more independent variables.
the effect. The separate influence of each variable on behav-
iour can be determined, as well as any interactions
• In some experiments, different participants are between them—that is, when particular combina-
randomly assigned to different conditions, cre- tions of variables produce distinct effects.
ating experimental and control groups that are
THREATS TO THE three groups. The experimental group listened

to 10 minutes of a Mozart sonata (an uptempo,
VALIDITY OF RESEARCH “happy sounding” piece of music); one con-
Although the experimental approach is a pow- trol group listened to 10 minutes of relaxation
erful tool for examining causality, research- instructions; the other control group listened to
ers must avoid errors that can lead to faulty silence. The Mozart group performed much bet-
conclusions. Validity refers to how well an ter on a subsequent test of spatial abilities than
experimental procedure actually tests what it the two control groups. This led the popular
is designed to test. We will discuss two gen- press to conclude that listening to music makes
eral classes of validity: internal and external you smarter (see www.mozarteffect.com).
validity. Internal validity represents the What is wrong with this conclusion? Can you
degree to which an experiment supports clear identify another major factor that could have
causal conclusions. If an experiment is well produced these results? Perhaps students who
designed and properly conducted, we can be listened to the music performed better on the
confident that the independent variable really spatial task because they were in a better mood
was the cause of differences in the dependent or had a higher arousal level from having had
variable. Such an experiment would have an enjoyable experience compared with the no-
high internal validity. For example, because music groups. Both factors—the independent
Latané and Darley’s bystander experiment variable (music versus no music) and another
was conducted carefully and had proper con- variable (mood: happy and excited versus neu-
trols, it had high internal validity. We can be tral and bored)—differed between experimen-
confident that it was the presence of multiple tal and control groups. These two variables,
bystanders (and not some other factor) that like strands of a rope, were intertwined so that
caused participants to help the seizure victim either one or both could have caused the group
less often and more slowly. But if an experi- differences in performance.
ment contains important flaws (see the next William Thompson, at York University, and
section for an example), it will have low inter- Glenn Schellenberg and Gabriela Husain, at
nal validity because we no longer can be sure the University of Toronto (2001), tested for this
what caused the differences in the dependent suspected confound by assigning university stu-
variable. dents to either a Mozart sonata (happy music)
or an Albinoni adagio (sad music) group. Half
of each music group heard 10 minutes of the
Confounding of Variables music, while the other half sat in silence (con-
To introduce the concept of “confounding,” control groups), at the end of which everyone was
sider an experiment on the “Mozart” effect. In given the standard spatial abilities task (paper-
1993, Rauscher, Shaw, and Ky tested university folding and cutting). The results, shown in
students who were randomly assigned to one of Figure 2.16, replicated the Mozart effect—those
Mozart effect An essential point to remember is that this

16 confounding of variables prevents one from
Average paper folding score Music
15 Silence drawing clear causal conclusions, and therefore
14 it ruins the internal validity of the experiment.
13 The simplest way to eliminate this problem is
12 to keep the mood level constant across the dif-
11 ferent music conditions. If this were done—that
is, if we used music by Handel and other com-
10
posers, all of which induced a joyful, aroused
9
mood, then we would expect that all the music
8
Mozart Albinoni
groups would do better on spatial tests than the
Music group silent controls.
Confounding is a key reason why causal con-
FIGURE 2.16 The Mozart effect—music enhancing clusions cannot be drawn from correlational
performance on a cognitive task (paper-folding) relative research. Recall the third-variable problem
to silent controls. In this two-factor study, two music shown in Figure 2.10. If variables X (e.g., level of
groups, a Mozart (happy piece) group versus an Albi-
happiness) and Y (e.g., quality of social relation-
noni (sad piece) group, and silent controls are com-
pared. The enhanced performance is likely due to the
ships) are correlated, a third variable, Z (e.g.,
happy mood induction rather than Mozart’s music in personality style), may be mixed up with X and
particular (see text for details). Y, so we cannot tell what has caused what. Thus,
Z is just another type of confounding variable.
hearing Mozart performed better than those
who heard silence. However, the Mozart group Placebo Effects
also did better than the Albinoni group, which
performed similarly to the silent control group. In medical research, the term placebo refers
Clearly, improved spatial ability was not simply to a substance that has no pharmacological
due to listening to music. Ratings of subjective effect. In experiments testing the effectiveness
enjoyment, positive mood, and arousal were of new drugs for treating diseases, one group
also measured, and they were higher for those of patients—the treatment group—receives
who heard Mozart rather than Albinoni. Thomp- the actual drug being investigated (e.g., via
son et al. used a mathematical adjustment pills or injections). A second group, the pla-
to statistically “equate” the groups on mood/ cebo control group, receives only a placebo
arousal/enjoyment and found that the difference (e.g., pills composed of inactive ingredients
between the Mozart and Albinoni groups’ perfor- or injections of saline). Typically, participants
mances on the spatial task disappeared. Thus, are told that they will be given either a drug
they concluded that the Mozart effect is an arti- or a placebo, but they are not told which one
fact of arousal and positive mood. they will receive.
Confounding of variables means that two The rationale for this procedure is that
patients’ symptoms may improve solely 28. Explain why
variables are intertwined in such a way that we
because they expect that the drug will help confounding
cannot determine which one has influenced a decreases the
dependent variable. In the initial experiment on them. If 40 percent of patients receiving the
actual drug improve, but 37 percent of the internal validity
the Mozart effect, the mood level for the experi- of experiments.
mental and control group varied along with lis- placebo-control patients show similar improve-
tening to Mozart or silence. The mood level is ment, then we have evidence of a placebo
29. Explain how
called a confound or a confounding variable. effect: People receiving a treatment show a the “placebo
change in behaviour because of their expecta- effect” can cloud
tions, not because the treatment itself had any the interpretation
specific benefit (Leech et al., 2012; Ray, 2000; of research
Group 1 Group 2 Group 3
Figure 2.17). In fact, verbal suggestion alone results.
Independent Mozart Silence Relaxation seems sufficient to generate a placebo effect
variable for the treatment of itching (Darragh, Chang,
(presence of Booth, & Consedine, 2015).
music) Placebo effects decrease internal validity
Confounding High Low Low by providing an alternative explanation for
variable (mood/ why responses change after exposure to treat-
joy/activity level) ment. This problem applies to evaluating all
60 CHAPTER TWO
with the researcher’s hypothesis. Scientists

can take several steps to avoid experimenter
expectancy effects. For example, research-
ers who interact with participants in a study
or who record participants’ responses are
often kept blind to (i.e., not told about) the
hypothesis or the specific condition to which
a participant has been assigned. This makes it
less likely that these researchers will develop
expectations about how participants “should”
behave.
The double-blind procedure, in which
© Andrew Rubtsov/Alamy Stock Photo.
both the participant and the experimenter are
FIGURE 2.17 Throughout history, placebo effects kept blind as to which experimental condition
have fostered the commercial success of many prod- the participant is in, simultaneously minimizes
ucts that had no proven physiological benefit. Herbal participant placebo effects and experimenter
medicines are one of today’s “health crazes.” Do they expectancy effects. In research testing drug
really work? If so, is it because of placebo effects or
effects, each participant receives either a real
the herbs’ chemical properties? The best way to answer
this question is through experiments that include pla-
drug or a placebo but does not know which.
cebo control groups. People who interact with the participants (e.g.,
those who dispense the drugs or measure par-
ticipants’ symptoms) also are kept unaware
of which participants receive the drug or pla-
types of treatments, not just those that test the
cebo. This procedure minimizes the likelihood
effectiveness of drugs. For example, suppose
that the researchers will behave differently
that depressed patients improve (i.e., become
toward the two groups of participants, and it
less depressed) while receiving psychother-
reduces the chance that participants’ own
apy. Is this due to the specific procedures and
expectations will influence the outcome of the
content of the psychotherapy itself, or might
experiment (Figure 2.18).
it be merely a placebo effect resulting from
their positive expectations that the therapy
would help them? In the failure-to-thrive case
30. Why do we discussed earlier, the infant’s weight gain
experimenter may have been a placebo effect. The mother
expectancy may have taken better care of her infant sim-
effects lower the ply because of the attention she received from
internal validity
the researchers rather than the training she
of experiments?
received in feeding and proper nutrition. Simi-
31. How do
larly, suppose that business managers feel
researchers more confident after taking a leadership train-
minimize ing program or that anxious people become
experimenter more relaxed after learning how to meditate.
expectancy By carefully designing experiments to include
effects? placebo control conditions, researchers can
determine whether behaviour change truly
is caused by the various interventions or
whether a placebo effect might have played “IT WAS MORE OF A ‘TRIPLE-BLIND’ TEST.
a role. THE PATIENTS DIDN’T KNOW WHICH ONES
WERE GETTING THE REAL DRUG, THE
DOCTORS DIDN’T KNOW, AND I’M AFRAID,
Experimenter Expectancy Effects NOBODY KNEW”
Researchers typically have a strong commit- FIGURE 2.18 Although the double-blind technique
ment to the hypothesis they are testing. In psy- is a powerful tool for controlling participants’ and
chology, the term experimenter expectancy researchers’ expectations, scientists try to avoid the
effects refers to the subtle and unintentional infamous “triple-blind procedure.”
ways researchers influence their participants Copyright © 2000 by Sidney Harris. ScienceCartoonsPlus.
to respond in a manner that is consistent com. Reprinted with permission.
Replicating and Generalizing to test the overall significance of the findings.

In a meta-analysis, each study is treated as a
the Findings “single participant,” and its overall results are
Returning to our hypothetical experiment on analyzed with those of the other studies. Meta-
cellphone use, let’s suppose that participants’ analyses inform researchers about the direc-
driving performance was impaired while they tion and statistical strength of the relationships
talked on their cellphones. If our experiment between two variables. Many researchers
was conducted properly, then it will have high consider meta-analysis to be the most objec-
internal validity and thus we can be confident tive way to integrate the findings of multiple
that talking on cellphones, and not some other studies and reach overall conclusions about
factor, caused the driving impairment. There behaviour.
32. How does
remain, however, other questions that we must Increasingly, psychologists are paying external validity
ask: Would similar results be found with other more attention to cross-cultural replication: differ from
types of participants or while driving under dif- examining whether findings generalize across internal validity?
ferent road or traffic conditions? different cultures. For example, researchers
This question focuses on external validity, in Canada, Israel, Japan, and the United States
the degree to which the results of a study can attempted to replicate Latané and Darley’s
be generalized to other populations, settings, (1968) findings on bystander helping behav-
and conditions. Typically, judgments about iour. Latané and Nida (1981) used a meta-
external validity concern the generalizability analysis to review 66 bystander experiments,
of underlying principles. If talking on a cell- some performed in laboratories with students
phone impairs drivers’ braking reaction time and others taking place in such real-life set-
by 140 milliseconds in our experiment but only tings as subways, liquor stores, and work-
by 120 milliseconds in subsequent experiments places. The number of bystanders who were
with young drivers, then the 20 millisecond dif- present varied across different experiments,
ference is not the issue. Rather, it is that the gen- different types of helping behaviour were
eral principle—“talking on a cellphone impairs measured, and both women and men were
drivers’ performance”—has successfully gener- tested. The vast majority of experiments con-
alized to younger drivers. firmed the original finding.
To determine external validity, either we or Research findings that fail to replicate may
other scientists need to replicate our experi- lead to better research and new discoveries as
ment. Replication is the process of repeat- scientists search for clues to explain why the
ing a study to determine whether the original results were different from one study to another.
findings can be duplicated. If our findings are For example, not all experiments showed that
successfully replicated, especially when study- driving impairment was due to cellphone use.
ing other types of participants and driving Further research is needed to sort out the fac-
conditions, we become more confident in con- tors, such as different driving conditions, that
cluding that cellphone use impairs driving per- might account for such results.
formance. Indeed, in simulation experiments, Studies that consistently fail to replicate
talking on a cellphone while driving has been the original results of earlier research may
found to interfere with driving performance in suggest that the original research was flawed
rural and urban environments of varying com- or that the finding was a fluke. Even so, the
plexity, among younger and older drivers, and scientific process has done its job and pre-
when using hand-held and hands-free phones vented us from getting caught in a blind alley.
(Ishigami & Klein, 2009; Strayer & Drews, 2004; Ultimately, the accountability for the results
Törnros & Bolling, 2006). In fact, younger driv- of experiments rests with individual research-
ers are more likely to use a cellphone while ers and the scientific and academic com-
driving and they show smaller safety margins munity, a self-policing professional group.
(Dozza et al., 2015). Psychologists are expected to use the high-
In typical experiments, the responses of est standards for gathering their data and to
each participant are analyzed. When research- hold their original data in trust for a reason-
ers review a number of experiments that are able period of time to give members of the
trying to replicate an effect, as Ishigami and research community an opportunity to exam-
Klein did, they use a meta-analysis—a statis- ine the data. This chapter’s Frontiers feature
tical procedure for combining the results of highlights why replication is such an impor-
different studies that examine the same topic tant component of the scientific process.
62 CHAPTER TWO
Frontiers
DOES ESP EXIST? the committee requires that presently known natural, physi-
cal, or psychological explanations be ruled out. To date, it
Do you believe in ESP (extrasensory perception), such as has not judged any psychic claims to be valid.
mental telepathy (transmitting thoughts between minds), What about paranormal demonstrations by self-
clairvoyance (remotely sensing a current object or event), proclaimed psychics, such as using mental powers to bend
or precognition (foretelling the future)? How about other spoons? In 1964, James Randi, a magician and expert in
paranormal phenomena? Surveys around the world reveal the art of psychic fraud, began offering $10 000 to any-
widespread public belief in the paranormal (Alcock, 2003). one who could demonstrate paranormal ability under his
In a 2005 Gallup Poll, 73 percent of American adults stated scrutiny. Today, the offer is $1 million and still no one has
that they believe in at least one of the following ten paranor- collected (although a Toronto psychic known as Nikki is
mal phenomena: “extra sensory perception (ESP—41 per- seriously considering the challenge). Predictions made by
cent of the respondents acknowledged belief in this item), leading psychics in national newspapers also yield dismal
haunted houses (37 percent), ghosts (32 percent), [mental] results (Emery Jr., 2001).
telepathy (31 percent), clairvoyance (26 percent), astrology In 2011, however, Daryl Bem, a psychology professor
(25 percent), communication with the dead (21 percent), witches at Cornell University, published a paper in a major scien-
(21 percent), reincarnation (20 percent), and channelling tific journal that outlined the results of nine studies that he
spiritual entities (9 percent)” (Musella, 2005, p. 5). Many claims demonstrate retroactive influences of future events on
Canadian adults also hold paranormal beliefs (Lyons, 2005). individuals’ current responses (think premonition or precogni-
Should this surprise us? For decades, a steady diet of tion). By reversing the order of procedures from classic psy-
movies, TV shows, and novels has fed our imagination with chological studies, Bem purports to have measured effects
characters who possess psychic abilities, such as telepa- on thinking of some cause that takes place in the future.
thy (e.g., The Mentalist; Medium; Ghost Whisperer; Profes-
sor Xavier, X-Men), and psychokinesis: the direct mental
influence of physical objects and systems (e.g., Yoda, Star
Wars; Jean Gray, X-Men; Sylar, Heroes). Compared to nonbe-
lievers, believers tend to be more open to new experiences
and are more fantasy prone (Smith et al., 2009). Both
correlational studies and experiments find an association
between exposure to paranormal media content and belief
in paranormal phenomena (Sparks & Miller, 2001).
Paranormal beliefs also have other sources. For one
thing, many people claim to have had a paranormal experi-
ence (Kunzendorf et al., 2007). For another, popular books
and websites written by parapsychologists (e.g., scientists
from various fields who study paranormal phenomena) pro-
claim strong scientific support for several paranormal phe-
nomena, including ESP (Parapsychology Association, 2008;
Radin, 2009). However, many scientists and other skeptics
say ESP does not exist. Believers and skeptics disagree
about the rigour of some parapsychological research and
about how high the standards of scientific evidence should
be set. Adopting a scientific attitude means we should
approach this issue with open-minded skepticism; that is,
we should apply rigorous standards of evaluation, as we do
to all phenomena (Cardeña, Lynn, & Krippner, 2000). Either
way, the ability of independent investigators to replicate ini-
tial research findings is a central scientific standard.
When tested under controlled conditions in well-designed
experiments and replications, claim after claim of psychic FIGURE 2.19 Modern society bombards us with scientific
ability has evaporated. The Committee for Skeptical Inquiry, and pseudoscientific claims. Some publications do promote
founded in 1976, consists of psychologists, other scien- healthy skepticism and critical thinking, such as Skeptical
tists, philosophers, and magicians who are experts in the Inquirer magazine.
art of fakery. To conclude that a phenomenon is psychic, Used by permission of the Skeptical Inquirer magazine (www.csicop.org)
continued
For example, in studies that look at effects of priming, or from a panel of professionals. Is it possible that premoni-
eliciting, emotions on activation of concepts in our minds, tion and precognition exist? Many researchers are skepti-
researchers typically report that presenting (even sublimi- cal, as evidenced by the controversy this article stirred up in
nally) a positive word to participants on a computer screen the scientific community. Most responses to the article and
facilitates (i.e., speeds up) identification of subsequent posi- to Bem’s claims have focused on flawed methodology and
tive images and slows identification of negative images. Like- unsound research practices (Wagenmakers, Wetzels, Bors-
wise, priming negative emotions in a participant by flashing a boom, & Van Der Maas, 2011), while others have cited this
negative word on a computer screen has been shown to facil- publication as an example of some of the deficiencies and
itate identification of negative images compared to response biases that exist in psychological science today (Lebel &
times to positive images (Fazio, 2001; Klauer & Musch, Peters, 2011), as well as the crucial role of replication in
2003). Two of the studies that Bem reported involved a rever- drawing conclusions from research. So far it seems no one
sal of this procedure and of the priming effect: participants has replicated the findings reported by Bem (see Galek,
were faster to respond to positive words before they had LeBeouf, Nelson, & Simmons, 2012).
been “primed” by a positive picture than in trials were the Critical thinking requires us to have a reasoned skepti-
positive word was followed by a negative picture. Bem called cism that demands solid scientific evidence but not a blind
this “retroactive priming,” and argues that the presentation skepticism that rejects the unknown as impossible. In our
of the emotionally congruent images after the participants’ opinion, at present there is no generally accepted, conclu-
responses to the words was facilitating those responses to sive scientific evidence to support the existence of ESP.
the words, acting backwards in time. Research continues, and while the burden of proof lies with
This is a somewhat unusual example, given that the arti- those who believe in the paranormal, evaluations of their
cle was authored by a highly respected member of his field claims should be based on scientific evidence rather than
and published in a high ranking journal after critical review on preconceived positive or negative expectations.
In Review
• An experiment has high internal validity when it is • The double-blind procedure prevents placebo
well designed and permits clear causal conclusions. effects and experimenter expectancy effects
• Confounding occurs when the independent vari- from biasing research results.
able becomes mixed up with an uncontrolled vari- • External validity is the degree to which the find-
able. Confounding ruins internal validity because ings of a study can be generalized to other popu-
we can no longer tell which variable caused the lations, settings, and conditions. By replicating
changes in the dependent variable. (repeating) a study under both similar and dis-
• Internal validity is weakened by (1) placebo similar circumstances, researchers can examine
effects, in which the mere expectation of receiv- its external validity.
ing a treatment produces a change in behaviour, • Researchers can assess external validity by
and (2) experimenter expectancy effects, which statistically combining the results of many
are the subtle ways a researcher’s behaviour studies that test the same variables by using
influences participants to behave in a manner meta-analysis.
consistent with the hypothesis being tested.
ETHICAL PRINCIPLES regulations and guidelines developed by

national psychological organizations.
IN HUMAN AND ANIMAL
RESEARCH Ethical Standards in Human
Psychologists sometimes walk an ethical tight- Research
rope when they study important problems, In Canada, university research in large part is
weighing the knowledge and possible appli- funded by one of three national government
cations to be gained against potential risks to agencies: the Canadian Institutes of Health
which research participants may be exposed. Research (CIHR), the Natural Sciences and
Investigators are obliged to adhere to a set of Engineering Research Council (NSERC), and
ethical standards based on both government the Social Sciences and Humanities Research
64 CHAPTER TWO
Council (SSHRC). These three agencies devel- • Provide informed consent—that is, explain
oped a “tri-council policy for ethical conduct for all aspects of the procedure and ensure that
research involving humans,” which universities the procedure is understood. Oral or written
must follow if they receive funding from any of consent is usually required, and assurance is
the three councils. Universities are required to given that one can withdraw from the study
have ethics review boards (ERBs) that review without penalty. For those not able to give
the ethical issues involved in every research informed consent (e.g., children, seriously
proposal (Figure 2.20). If a proposed study is disturbed mental patients), consent must be
considered ethically questionable, or if the obtained from parents or guardians.
rights of participants are not sufficiently pro- • Take all reasonable steps to ensure that con-
tected, then the methods must be modified or sent is not given under coercion.
the research cannot be conducted. The ERBs
• Ensure privacy and confidentiality.
ensure that human participants have given
informed consent and are ensured privacy and The use of incomplete disclosure, or
confidentiality. deception, that occurs when participants are
The Canadian Psychological Association misled about the nature of a study, is highly
33. Describe the (CPA) published a “Canadian Code of Ethics
major ethical
controversial. In and Latané and Darley’s (1968)
for Psychologists” (2000, 3rd edition; www.cpa bystander experiment, for example, partici-
issues in human
.ca; search “ethics”) to cover the behaviour of pants were not told that the researchers were
research and
how participants’ psychologists engaged in research, direct ser- studying how participants would respond to an
rights are vice, teaching, administration, legal cases (e.g., emergency or that the procedures might cause
protected. as expert witnesses), or any other role related them stress. They were misled about the true
to the discipline of psychology. Psychologists nature of the experiment. Proponents of decep-
34. Why must do the following: tion research argue that, when studying certain
does some types of behaviours, deception is the only way
• Protect and promote the welfare of
research involve to obtain natural, spontaneous responses from
deception? What participants.
participants. In other words, Latané and Dar-
ethical principle • Avoid doing harm to participants.
ley’s participants had to believe the emergency
does deception • Not carry out any studies unless the probable
violate?
was significant and real. Clearly, incomplete
benefit is proportionately greater than the risk. disclosure violates the principle of informed
consent. The guidelines permit incomplete dis-
closure only when no other feasible alternative
is available and when the scientific, educa-
tional, or applied benefits clearly outweigh the
ethical costs of deceiving participants. If incom-
plete disclosure is used, participants must be
debriefed—told the true purpose of the study
at the end of the experiment.
Most psychological studies do not involve
incomplete disclosure, and deception research
has decreased in recent decades (Nicks, Korn, &
Mainieri, 1997). Still, many scientists oppose the
use of deception under any circumstance, and
the debate continues (Barrera & Simpson, 2012;
Hertwig & Ortman, 2008).
What about ethics in the use of the Inter-
net for surveys and observational research?
Psychologists can do observational studies by
joining virtual communities to record and ana-
lyze dialogues between participants (e.g., join-
ing hate groups or therapeutic online groups).
(top) © Annabella Bluesky/Photo Researchers, Inc.; (bottom) © Volker Pittenger (2003) notes that Internet research-
Steger/Photo Researchers, Inc.
ers must take special care to ensure that they
FIGURE 2.20 Ethical standards are designed to pro- protect participants’ privacy and confidential-
tect the welfare of both human and animal subjects in ity, obtain informed consent, and debrief par-
psychological research. ticipants. These actions can be difficult when
deception is used (e.g., posting false comments tri-council granting agency requires university
designed to evoke reactions from members ERBs (which usually include nonscientists) to
of hate groups or therapeutic online groups) review and approve all animal research propos-
because Internet respondents can drop out at als. Most ERBs follow the rules set down by the
any point in the study. Indeed, many authors Canadian Council on Animal Care in its Guide
suggest that standard review protocols be to the Care and Use of Experimental Animals,
applied any Internet research (e.g., Graber & Vol. 1 (1993). This manual instructs researchers
Graber, 2013; Saunders, Kitzinger, & Kitzinger, to provide humane care and treatment, minimize
2015). Despite ethical challenges, the research pain and discomfort, and avoid unnecessary use
opportunities provided by using the Internet of experimental animals.
make efforts to overcome them worth it. Most psychologists and university psychol- 35. What are the
Finally, it should be noted that participants ogy majors believe that animal research is nec- justifications for,
and criticisms
generally enjoy participating in psychological essary for scientific progress in psychology
of, research in
research. In a survey of several thousand intro- (Plous, 1996a, 1996b). They do not agree with
which animals
ductory psychology students at Queen’s Univer- the A merican Anti-Vivisection Society, which are harmed?
sity, 93 percent reported that their experiences maintains that animals should never be used
as research participants were pleasant and in research “which is not for the benefit of the
informative. animals involved” (Goodman, 1982, p. 61). Pro-
ponents point to important medical and psy-
chological advances made possible by animal
Ethical Standards in Animal
research (Baldwin, 1993). For example, had
Research Pasteur not subjected some dogs to suffering,
According to the APA’s Committee on Animal he could not have developed the rabies vaccine
Research and Ethics (CARE, 2005), animals are that has saved the lives of countless animals
subjects in 7 to 8 percent of psychological stud- as well as humans. Supporters ask such ques-
ies, including research done in both wild and tions as “Does the prospect of finding a cure
controlled settings. Rodents and birds make up for cancer or identifying the causes of psycho-
90 percent of the animals studied; nonhuman logical disorders justify exposing some animals
primates account for another 5 percent. Some to harm?” Proponents also note that animal
psychologists study these animals to discover research has benefited animals. For example,
principles that shed light on human behaviour, using learning principles discovered in studies
while others do so to learn about the behaviour with dogs, researchers have changed the behav-
of other species. iour of coyotes, bears, and other wild animals
In Canada, both CPA and federal government that were endangering humans or livestock,
codes of ethics state that experimental animals thereby sparing those wild animals from exter-
should not be subjected to pain, stress, or priva- mination (Gustavson & Gustavson, 1985).
tion unless no alternative procedure is available The use of animals in research continues to be
and the research is justified by prospective scien- debated both outside and within the psychological
tific or educational benefits. This determination, community (Hobson-West, 2012; Leven & Reppy,
however, is not always easy to make. For exam- 2015). Although animal research has declined
ple, should researchers be allowed to inject a slightly in recent decades, the ethical questions
chemical into an animal’s brain to study the rela- remain as vexing as ever. What is encouraging is
tionship between brain-chemistry imbalance and that the welfare of animals in research is receiving
memory impairment in humans? The Canadian the careful attention it deserves.
In Review
• Psychological research follows extensive ethical exposed be justified by the potential importance
guidelines. In human research, key issues are of the research.
the use of informed consent, the participants’ • Before human and animal research can be
right to privacy, the degree of risk, and the use conducted, it must be reviewed and approved
of deception. by ethics review boards that often include
• Ethical guidelines require that animals be treated nonscientists.
humanely and that the risks to which they are
66 CHAPTER TWO
CRITICAL THINKING benefits you will derive from your psychology

course.
IN SCIENCE AND Throughout this chapter, you have seen how
EVERYDAY LIFE critical thinking, a healthy dose of skepticism,
and the scientific method help scientists solve
We are exposed to a great deal of information
puzzles of mind and behaviour. As critical think-
about human behaviour—some of which is
ers, we should recognize that our beliefs and
accurate and much of which is not. Especially in
emotions can act as psychological blinders that
the popular media, we encounter oversimplifica-
36. As a critical allow us to accept inadequate evidence uncriti-
tions, overgeneralizations, and pseudoscientific
thinker, what cally, especially when this evidence supports
misinformation: bunk and psychobabble that
questions our current views. This tendency does not mean
should you ask
is made to sound scientific. To be an informed
that we should be so skeptical of everything
when someone consumer, you must be able to critically evalu-
that we end up believing nothing at all. Rather,
makes a claim or ate research and identify features that limit the
we need to balance open-mindedness with a
assertion? validity of conclusions. Critical-thinking skills
healthy skepticism and evaluate evidence for
can also help you avoid being misled by claims
what it is worth. Critical thinking is the focus of
made in everyday life, such as those in adver-
the following Applications feature, which pres-
tisements. Thus, enhancing your critical-think-
ents three examples of research claims for you
ing skills may be one of the most important
to analyze.
Applications
EVALUATING CLAIMS IN RESEARCH before the bull and, like a Spanish matador, waved a cape
AND EVERYDAY LIFE to incite the bull to charge. As the bull thundered toward
him, the researcher pressed a button on a radio transmit-
To give you an opportunity to practise critical-thinking ter that he held in his other hand. This sent a signal that
skills, we present brief descriptions of a research study, caused the microelectrode to electrically stimulate the bull’s
an advertisement, and a newspaper article. Have some caudate nucleus. Suddenly, the bull broke off its charge
fun and see if you agree with the claims made. In each and stopped. Each time this sequence was repeated the
case, you can facilitate critical thinking by asking yourself bull stopped its charge. The researcher concluded that the
the following questions: caudate nucleus was indeed the “aggression-off” centre of
1. What claim is being made? the brain.
Stimulating the caudate nucleus caused the bull to
2. Who is making the claim? Is the source trustworthy and
stop charging, but does this demonstrate that the caudate
credible?
nucleus is an aggressive-off centre? Why or why not? (Hint:
3. What evidence is presented and how good is it? What other bodily functions might the caudate nucleus help
4. Are there other plausible explanations for the conclu- to regulate that would cause the bull to stop charging?)
sions being drawn?
5. What additional evidence would help to reach a clearer Example 2: Vacations and Burglaries
conclusion?
A newspaper advertisement appeared many times in sev-
6. What is the most reasonable conclusion to draw? eral American cities. The headline “While You’re on Vacation,
Burglars Go to Work” is followed by this statement: “Accord-
Example 1: A Lot of Bull ing to crime statistics, more than 26 percent of home bur-
Deep inside the brain of humans and other mammals is a glaries take place between Memorial Day and Labor Day”
structure called the caudate nucleus. Years ago, a promi- (U.S. holidays in late May and early September). The ad
nent researcher hypothesized that this part of the brain is then offers a special summer sale price for installation of a
responsible for turning off aggressive behaviour. The scien- home security system. In sum, the ad implies that burglar-
tist was so confident in his hypothesis that he bet his life ies are particularly likely to occur while people are away on
on it. A microelectrode was implanted inside the caudate summer vacation. How do you feel about this claim and its
nucleus of a large, aggressive bull. The researcher stood supporting evidence?
continued
Example 3: Will Staying Up Late Cause You helps to regulate movement; it is not an aggression-off cen-
to Forget What You Have Studied? tre in the brain.
The headline of a newspaper article reads “Best Way to
Retain Complex Information? Sleep on It, Researcher Says.” Analysis 2: Vacations and Burglaries
The article begins, “Students who study hard Monday First, precisely how much is “more than 26 percent”? We
through Friday and then party all night on weekends may don’t know for sure but can assume that it is less than 27
lose much of what they learned during the week, accord- percent, because it would be to the advertiser’s advan-
ing to a sleep researcher.” The researcher is then quoted tage to state the highest number possible. The key prob-
as saying, “It appears skewing the sleep cycle by just lem is the Memorial Day to Labor Day time period, which
two hours can have this effect. Watching a long, late-night typically represents between 26 and 29 percent of the
movie the night following a class and then sleeping in the days of the year. Therefore, about 26 percent of burglaries
next morning causes students to not learn what they had occur during about 26 percent of the year. Wow! Techni-
thought they’d learn. They’ll not lose it all—just about 30 cally, the ad is correct: Burglars do go to work in the sum-
percent.” mer while you’re on vacation. But the ad also may mislead
Next, the experiment was described. University students people. Burglars seem to be just as busy as at other times
learned a complex logic game and then were assigned to of the year.
one of four sleep conditions. Students in the control condi- Analysis 3: Will Staying Up Late Cause You
tion were allowed to have a normal night’s sleep. Those in
to Forget What You Have Studied?
Condition 2 were not allowed to have any sleep, whereas
It could be true that going to bed and waking up later than
students in Conditions 3 and 4 were awakened only when
usual might cause you to forget more of what you stud-
they went into a particular stage of sleep (we’ll learn about
ied. However, the article does not provide evidence for this
sleep stages in Chapter 6). A week later everyone was
claim. Look at the four conditions carefully. To test this
tested again. Participants in Conditions 3 and 4 performed
claim, an experiment would need to include a condition in
30 percent worse than the other two groups.
which a student went to bed later than usual, slept through
Re-examine the experimental conditions, and then iden-
the night, and then awakened later than usual. But in this
tify what is wrong with the claims in the first paragraph.
experiment, the control group slept normally, and the three
experimental conditions examined only the effects of get-
Critical Analyses of the Claims ting no sleep or losing certain types of sleep.
Analysis 1: A Lot of Bull When reading newspaper or magazine articles, look
Perhaps the caudate nucleus plays a role in vision, mem- beyond the headlines and think about whether the evidence
ory, or movement, and stimulating it momentarily caused truly supports the claims. Were you able to pick out some
the bull to become blind, forget what it was doing, or alter flaws in these claims before you read the analyses? Criti-
its movement. Perhaps the bull simply became dizzy or cal thinking requires practice, and you will get better at it if
experienced pain. These are all possible explanations for you keep asking yourself the six critical-thinking questions
why the bull stopped charging. In fact, the caudate nucleus listed earlier.
In Review
• Critical thinking is an important life skill. How- • In science and everyday life, critical thinking
ever, we should also be open-minded to ideas can prevent us from developing false impres-
that are supported by solid evidence, even when sions about how the world operates and from
they conflict with our preconceptions. being duped in everyday life by unsubstantiated
• There is no generally accepted, replicable scien- claims.
tific evidence to support the existence of para-
normal phenomena.
68 CHAPTER TWO
Gaining Direction
What are the For the opening scenario, we need to focus study “worked”? Is it possible that results could
issues? on the entire process of doing research. How be due to chance? Should we expect a study to
do we design a study? How can we determine be replicable? What do we do if we cannot get
if it is a “good” study? Is there a difference the same results? Are there possible biases in
between experimental research and correla- journal reporting that may lead to publication
tional research? How do we determine when a errors?
What do What is the scientific process for studying How can you control for possible bias?
we need to psychological phenomena? How do you replicate a study?
know? What are independent and dependent variables? How can you determine if an effect is due to
Are there any sources of bias that can enter chance?
into an experiment?
Where can Look back over the chapter and identify the validity. Perhaps we need to conduct a meta-
we find the components of the scientific method. Then analysis. It would be a good idea to examine the
information to examine how we go about designing an experi- studies mentioned by LeBel and his colleagues.
ment. What kinds of factors do we need to Do you see any problems with them? Finally,
answer these
control? How do we determine statistical sig- we need to account for the failure to replicate—
questions? nificance? Look at the factors that influence what should we do next?
CHAPTER
Biological Foundations
of Behaviour 3
CHAPTER THE NEURAL BASES OF BEHAVIOUR Research Foundations: Wilder Penfield and
a Cortical Map
OUTLINE Neurons
The Hierarchical Brain: Structures and Behavioural
The Electrical Activity of Neurons
Functions
How Neurons Communicate: Synaptic Transmission
Frontiers: Mirror Neurons and Autism Spectrum
Applications: Understanding How Drugs Affect Disorder
Your Brain
Focus on Neuroscience: The Neuroscience of Music
THE NERVOUS SYSTEM
The Peripheral Nervous System
The Central Nervous System
The brain is the last and grandest biological frontier, the most complex thing we have
yet discovered in our universe. It contains hundreds of billions of cells interlinked
through trillions of connections. The brain boggles the mind.
—James Watson
Most people will readily

recognize Brad Pitt. The What are the
hair, mustache, and goa- issues here?
tee are classic features. But if you
ever meet Brad Pitt, he will prob- What do we need
ably not be able to recognize you to know?
again. Not because he sees so many
people or because he does not pay Where can
attention. Brad Pitt cannot remem- we find the
ber faces. It is as if the person’s information
facial features were not committed to answer the
to memory for him. He does realize questions?
that the face belongs to a person
and could even tell you if the per-
son is happy or sad. Once he knows
who it is, he can remember every-
thing about that individual. He just DFree/Shutterstock.com
cannot tell you who the face belongs to. Many people have a similar problem, including primatolo-
gist Jane Goodall and neurologist Oliver Sacks.
In severe cases of this disorder, individuals cannot even recognize themselves in a mirror.
70 CHAPTER THREE
THE NEURAL BASES to the cell body. There, in the soma, the incom-
ing information is combined and processed.
OF BEHAVIOUR The surface of the cell body also has receptor
The brain is a grapefruit-size mass of tissue that areas that can be directly stimulated by other
feels like jelly and looks like a greyish cauli- neurons. Extending from one side of the cell
flower. One of the true marvels of nature, it has body is a single axon, which conducts elec-
been termed “our three-pound universe” (Hooper & trical impulses away from the cell body to
Teresi, 1986). To understand how the brain other neurons, muscles, or glands. The axon
controls our experience and behaviour, we must branches out at its end to form a number of
first understand how its individual cells function axon terminals—as many as several hundred
and how they communicate with one another. in some cases. Each axon may connect with
dendritic branches from other neurons, making
it possible for a single neuron to pass messages
Neurons to as many as 50 000 other neurons (Kolb &
Specialized cells called neurons are the basic Whishaw, 2003; Simon, 2007). Given the struc-
1. Name the building blocks of the nervous system. These ture of the dendrites and axons, it is easy to
three main parts nerve cells are linked together in circuits, not imagine how there can be trillions of intercon-
of the neuron
unlike the electrical circuits in a computer. At nections in the brain, making it capable of per-
and describe
their functions.
birth, your brain contained about 100 billion forming the complex psychological activities
neurons (Bloom, 2000; Kolb & Whishaw, 1989). that are of interest to psychologists.
2. Which To put this number in perspective, if each neu- Neurons can vary greatly in size and shape.
structural ron were a centimetre long and they were More than 200 different types of neurons have
characteristics placed end to end, the resulting chain would been identified using an electron microscopes
permit the circle the Earth more than 24 times. (Nolte, 1998). A neuron with its cell body in
many possible Each neuron has three main parts: a cell your spinal cord may have an axon that extends
interconnections body, dendrites, and an axon (Figure 3.1). almost a metre to one of your fingertips; on the
among neurons? The cell body, or soma, contains the struc- other hand, a neuron in your brain may have
tures needed to keep the neuron alive, and its an axon less than a millimetre long. Regardless
3. How do glial nucleus contains the genetic information that of their shape or size, neurons share a common
cells differ from determines how the neuron develops and func- overall structure and function.
neurons? What
tions. Emerging from the cell body are branch- Neurons are supported in their functions
three functions
do they have like fibres called dendrites (from the Greek by glial cells (from the Greek word for glue).
in the nervous word for tree). These specialized receiving Glial cells surround neurons and hold them in
system? units are like antennas that collect messages place. Glial cells also manufacture or transport
from neighbouing neurons and send them on nutrients, form the myelin sheath around some
Dendrites
Cell
membrane
Nucleus
Myelin
sheath
Node of
Ranvier
Soma
(cell body)
Axon
terminals
Axon
FIGURE 3.1 Structural elements of a typical neuron. Stimulation received by the dendrites or soma (cell body)
may trigger a nerve impulse, which travels down the axon to stimulate other neurons, muscles, or glands. Some
axons have a fatty myelin sheath interrupted at intervals by the nodes of Ranvier. The myelin sheath helps to
increase the speed of nerve conduction.
Biological Foundations of Behaviour 71
axons, and absorb toxins and waste materials just that, a channel in the membrane that can open
that might damage neurons. During prenatal to allow certain ions to pass through.
brain development, as new neurons are being The chemical environment inside the neu-
formed, glial cells send out long fibres that ron differs from its external environment in 4. What causes
the negative
guide newly divided neurons to their eventual significant ways, and the process that allows
resting potential
place in the brain (Fernichel, 2006). Within the a nerve impulse to be is created involves the of neurons?
nervous system, glial cells outnumber neurons exchange of electrically charged atoms called When is a
about ten to one (Herculano-Houzel, 2014). ions. In the salty fluid outside the neuron, there neuron said to
Another function of glial cells is to protect are positively charged sodium ions (Na+) and be in a state of
the brain from toxins. Many foreign substances negatively charged chloride ions (Cl-). Inside polarization?
can pass from the circulation into the differ- the neuron are large negatively charged pro-
ent organs of the body but cannot pass from tein molecules (anions or A-) and positively
the blood into the brain. A specialized bar- charged potassium ions (K+). The high concen-
rier, the blood-brain barrier, prevents many tration of sodium ions in the fluid outside the
substances, including a wide range of tox- cell, together with the negatively charged pro-
ins, from entering the brain. The walls of the tein ions inside, results in an uneven distribu-
blood vessels within the brain contain smaller tion of positive and negative ions that makes
gaps than elsewhere in the body, and they the interior of the cell negative compared to the
are also covered by a specialized type of glial outside (Figure 3.2), This internal difference of
cell (Cserr & Bundgaard, 1986). Together, the around 70 millivolts (thousandths of a volt) is
smaller gaps and glial cells keep many foreign called the neuron’s resting potential. At rest,
substances from gaining access to the brain. the neuron is said to be in a state of polariza-
Recent research has found evidence for much tion. That is, the neuron is in some ways like a
more complex glial function, such as a role in battery with an internal electrical potential that
modulating the communication among neurons allows it to do work.
(Todd, Serrano, Lacaille, & Robitaille, 2006;
Zhang & Haydon, 2005). The Action Potential
In research that won them the Nobel Prize in 5. What
The Electrical Activity of Neurons Medicine and Physiology, neuroscientists Alan chemical
Hodgkin and Andrew Huxley found that if changes cause
Neurons do two important things: generate elec- the process of
they stimulated the neuron’s axon with a mild
tricity and release chemicals that allow them to depolarization
electrical stimulus, the interior voltage differ-
communicate with other neurons and with mus- that creates
ential shifted suddenly from -70 millivolts to
cles and glands. graded and
+40 millivolts. Hodgkin and Huxley had forced
Let’s first consider how they generate elec- action potentials?
the axon to generate a nerve impulse, or action
tricity; how the nerve impulses occur. Nerve How do these
potential. An action potential is a sudden
activation involves three basic steps: potentials differ?
reversal in the neuron’s membrane voltage, dur-
1. At rest, the neuron has an electrical resting ing which the membrane voltage momentarily
potential due to the distribution of positively moves from -70 millivolts (inside) to +40 mil-
and negatively charged chemicals (ions) livolts (Figure 3.2). This shift from negative to
inside and outside the neuron. positive voltage is called depolarization.
2. When stimulated, a flow of ions in and out Exploring what happens in the neuron to
through the cell membrane reverses the elec- cause the action potential, Hodgkin and Huxley
trical charge of the resting potential, produc- found that the key mechanism is the movement
ing an action potential, or nerve impulse. of sodium and potassium ions across the cell
membrane; Figure 3.2 shows what happens. In
3. The original distribution of ions is restored,
a resting state, the neuron’s sodium and potas-
and the neuron is again at rest.
sium channels are closed, and the concentra-
Let’s now flesh out the details of this remarkable tion of Na+ ions is 10 times higher outside the
process. Like other cells, neurons are surrounded neuron than inside it (Figure 3.2a). But when a
by body fluids and separated from this liquid neuron is stimulated sufficiently (Figure 3.2b),
environment by a protective membrane. This cell sodium channels open. Attracted by the nega-
membrane is a bit like a selective sieve, allowing tive protein ions inside, positively charged
certain substances to pass through ion channels sodium ions flood into the axon, creating a
into the cell while refusing or limiting passage to state of depolarization (remember, when it
other substances. An ion channel is quite literally comes to electrical charges, opposites attract!).
72 CHAPTER THREE
+
Na+ Na Na+ Na+ Sodium Potassium Sodium ions Potassium
Na+ Na+ Na+ Sodium channel channel
+ channel channel
+ Na Na+ Na+ – –
+ + + +
– s
Stimulu –
–
–70mV –
– – e
resting + A K+ + of charg
potential K+ K + A– Action Na+
+ Flow
Na Na+ Na+
K+ potential
A– K+ produced
Axon
membrane
(a) The 10:1 concentration of sodium (Na+) ions outside (b) Sodium channels open and sodium ions flood into the axon.
the neuron and the negative protein (A–) ions inside Note that the potassium channels are still closed.
contribute to a resting potential of –70mV.
Action potential
K+ K+ K+ Sodium ions +40
Potassium ions
+ + + + + +
flow out
0
Voltage (millivolts)
Sodium
– – ions flow in
–
– Na+
– – + Na++ Return to
Na + arge
Resting Potassium of ch resting
potential Flow Resting
ions potential
potential
restored
–70
Refractory period
(c) Sodium channels that were open in (b) have now closed
and potassium channels behind them are open, allowing 1 2 3 4 5
potassium ions to exit and restoring the resting potential at that
point. Sodium channels are opening at the next point. (d) Time (milliseconds)
FIGURE 3.2 From resting potential to action potential. When a neuron is not being stimulated, a difference in electrical charge of
about -70 millivolts (mV) exists between the interior and the surface of the neuron. (a) This resting potential is caused by the uneven
distribution of positively and negatively charged ions, with a greater concentration of positively charged sodium ions kept outside the cell
by closed sodium channels, and the presence of negatively charged protein (A-) ions inside the cell. In addition, the action of sodium-
potassium pumps helps to maintain the negative interior by pumping out three sodium (Na+) ions for every two positively charged potas-
sium (K+) ions pumped into the cell. (b) Sufficient stimulation of the neuron causes an action potential. Sodium channels open for an
instant, and Na+ ions flood into the axon, reversing the electrical potential from -70 mV to +40 mV. (c) Within a millisecond, the sodium
channels close and many K+ ions flow out of the cell through open potassium channels, helping to restore the interior negative potential.
As adjacent sodium channels are opened and the sequence in (b) and (c) is repeated, the action potential moves down the length of the
neuron. (d) Shown here are the changes in potential that would be recorded from a particular point on the axon. After a brief refractory
period during which the neuron cannot be stimulated, another action potential can follow.
In an instant, the interior now becomes positive flows down the length of the axon to the axon
in relation to the outside, creating the action terminals, like a row of dominoes. Immedi-
potential. In a reflex action to restore the rest- ately after an impulse passes a point along the
ing state, the cell closes its sodium channels, axon, however, there is a recovery period as
and positively charged potassium ions flow K+ ions flow out of the interior. During this
out through their channels, restoring the nega- absolute refractory period, the membrane
tive resting potential (Figure 3.2c). Eventually, is not excitable and cannot generate another
the excess sodium ions flow out of the neuron, action potential. This places an upper limit on
and the escaped potassium ions are recovered. the rate at which nerve impulses can occur. In
The resulting voltage changes are shown in humans, the limit is about 300 impulses per sec-
Figure 3.2d. ond (Kolb & Whishaw, 2005). It also means that
Once an action potential occurs at any point once an action potential starts it travels in only
on the membrane, its effects spread to adja- one direction, from soma along the axon to the
cent sodium channels and the action potential dendrites.
It’s all or nothing. One other feature of the The myelin sheath is most commonly found
action potential is noteworthy. For a specific in the nervous systems of higher animals. In
type of neuron, action potentials occur at a many nerve fibres, including important motor
uniform and maximum intensity, or they do nerves in humans, the myelin sheath is not com-
not occur at all; this is the all-or-none law. pletely formed until after birth. The increased
Like pressing the shutter release of a cam- efficiency of neural transmission that results
era, either there is enough change to trigger is partly responsible for the gains that infants
shutter release or nothing happens; pressing exhibit in muscular coordination, such as the
the shutter release button harder does not ability to walk, as they grow older (Cabeza
change this—it is hard enough to take a pic- et al., 2005).
ture or nothing happens. Neurons function The tragic effects of damage to the myelin
much the same. Either there is enough of a coating can be seen in people who suffer from
change to trigger an action potential or noth- multiple sclerosis. This progressive disease
ing happens. The negative potential inside the occurs when the person’s own immune system
axon has to be changed from -70 millivolts attacks the myelin sheath. The effect is much
to about -50 millivolts (the action potential like stripping the insulation off of wires in an
threshold) by the influx of sodium ions into electrical circuit. Damage to the myelin sheath
the axon before the action potential will be disrupts the delicate timing of nerve impulses,
triggered. Changes in the negative resting resulting in jerky, uncoordinated movements
potential that do not reach the –50 millivolts and, in the final stages, paralysis (Olsen &
action potential threshold are called graded Akirav, 2015).
potentials. Under certain circumstances,
graded potentials caused by several neurons How Neurons Communicate:
can add up to trigger an action potential in the
postsynaptic neuron, but changes below the
Synaptic Transmission
threshold usually go no further. The nervous system operates as a giant com-
For a neuron to function properly, sodium munications network, and it requires that nerve
and potassium ions must enter and leave the impulses be communicated from one neuron to
membrane at just the right rate. Drugs that alter another. The famous Spanish anatomist San-
this system can decrease or even prevent neu- tiago Ramón y Cajal and the British scientist
ral functioning. For example, local anaesthetics Charles Sherrington demonstrated that neurons
such as Novocain and Xylocaine attach them- were individual cells that did not make actual
selves to the sodium channels, stopping the flow physical contact with each other, but communi-
of sodium ions into the neurons. This stops pain cated at a synapse, a functional (not physical)
impulses from being sent by the neurons (Ray & connection between a neuron and its target.
Ksir, 2004). Originally, this idea was controversial: How
could a neuron influence the functioning of the
The Myelin Sheath heart, a skeletal muscle, or another neuron if
Many axons that transmit information these cells did not actually touch? The contro-
throughout the brain and spinal cord are cov- versy persisted until the 1920s, when Otto Loewi 6. What is the
in a series of simple but elegant experiments nature and
ered by a myelin sheath, a fatty, whitish
demonstrated that neurons released chemi- importance
insulation layer derived from glial cells dur- of the myelin
ing development. The myelin sheath is much cals, and it was these chemicals that carried
sheath? Which
like the plastic insulation on an electrical wire. the message from one neuron to the next cell
disorder results
The myelin sheath is interrupted at regular in the circuit (Loewi, 1935, 1960). Otto Loewi from inadequate
intervals by the nodes of Ranvier, where the won the Nobel Prize for his discovery of chemi- myelinization?
myelin is either extremely thin or absent. The cal neurotransmission. With the advent of the
nodes make the myelin sheath look a bit like electron microscope, researchers were able to
sausages placed end to end (Figure 3.1). In actually see that there is indeed a tiny gap or
unmyelinated axons, the action potential trav- space, called the synaptic cleft, between the
els down the axon length like a burning fuse. axon terminal of one neuron and the dendrite of
In myelinated axons, electrical conduction the next neuron.
can skip from node to node, and these “great
leaps” from one gap to another account for Neurotransmitters
high conduction speeds of more than 300 kilo- We now know that, in addition to generat-
metres per hour. ing electricity, neurons produce and release
74 CHAPTER THREE
substances called neurotransmitters, chemi- room key (neurotransmitter) can have an effect
cals that carry messages across the synapse (opening a door) when it is inserted in to the
to either excite or inhibit the activity of the correct lock (receptor site).
next cell. This process of chemical communi-
cation involves five steps: synthesis, storage, Excitation, Inhibition, and Deactivation
release, binding, and deactivation. In the syn- The binding of a transmitter molecule to the
thesis stage, the chemical molecules are formed receptor site produces a chemical reaction that
inside the neuron. The molecules are then stored can have one of two effects on the postsynap-
in chambers called synaptic vesicles within tic neuron, making it either more or less likely
the axon terminals. When an action potential that the postsynaptic neuron will generate an
comes down the axon, these vesicles move to action potential. In some cases, the reaction will
the surface of the axon terminal and release the depolarize (excite) the postsynaptic cell mem-
chemical neurotransmitter into the fluid-filled brane by stimulating the inflow of sodium or
space between the axon of the sending (presyn- other positively charged ions, making it more
aptic) neuron and the membrane of the receiv- likely the neuron will reach the threshold to
ing (postsynaptic) neuron. The molecules of generate an action potential. Neurotransmit-
neurotransmitter cross the synaptic space and ters that create depolarization are called excit-
7. How do bind (attach) to receptor sites—large pro- atory transmitters. This stimulation, alone or in
neurotransmitters tein molecules embedded in the receiving neu- combination with activity at other excitatory
achieve the
ron’s cell membrane. These receptor sites have synapses on the dendrites or the cell body,
processes of
a specially shaped surface that fits a specific may exceed the action potential threshold and
excitation and
inhibition of transmitter molecule, much like a lock accom- cause the postsynaptic neuron to fire an action
postsynaptic modates a single key (Figure 3.3). Once the potential.
neurons? neurotransmitter has bound to a receptor site In other cases, the chemical reaction cre-
it can have an effect, much like the way your ated by the docking of a neurotransmitter at its
Nerve impulse
Transmitter will Transmitter will
fit receptor not fit receptor
Axon of
presynaptic neuron
Postsynaptic
Presynaptic membrane
(sending) containing
neuron receptors
Axon terminal Receptor

molecules
Ne (b)
Axon
ur
al
imp
Synthesis of neurotransmitter
u
Approaching Transmitter
lse
Synaptic
vesicles
Storage in synaptic vesicles
Postsynaptic Release into synaptic space

(receiving)
neuron Postsynaptic membrane
Synaptic space containing receptors
Binding to receptor sites
Dendrites
Deactivation through
reuptake or breakdown
(a) (c)
FIGURE 3.3 A synapse between two neurons. The action potential travels to the axon terminals, where it stimulates the release of
transmitter molecules from the synaptic vesicles. These molecules travel across the synapse and bind to specially keyed receptor sites
on the dendrite of the postsynaptic neuron (a). The lock-and-key nature of neurotransmitters and receptor sites is shown in (b). Only trans-
mitters that fit the receptor will influence membrane potentials. (c) Neurotransmitter activity moves from synthesis to deactivation. If the
neurotransmitter has an excitatory effect on the neuron, the chemical reaction creates a graded or an action potential. If the neurotrans-
mitter has an inhibitory effect, the negative potential inside the neuron increases and makes it more difficult to trigger an action potential.
Depolarizes Increases
Excitatory
neuron’s likelihood of
Neurotransmitter
membrane action potential
Hyperpolarizes Decreases
Inhibitory
neuron’s likelihood of
Neurotransmitter
membrane action potential
FIGURE 3.4 Neurotransmitters have either excitatory or inhibitory effects on postsynaptic neurons. Excitatory
transmitters depolarize the postsynaptic neuron’s cell membrane, making it less negative and thereby moving it
toward the action potential threshold. Inhibitory neurons hyperpolarize the membrane, making it more negative and
therefore more difficult to excite to an action potential.
receptor site will hyperpolarize the postsynap- Most commonly used, and abused, psycho-
tic membrane by stimulating ion channels that active drugs influence one of these steps in
allow positively charged potassium ions to flow chemical neurotransmission. Drugs may target
out of the neuron or negatively charged ions, the transmitter’s receptor, binding to the recep-
such as chloride, to flow into the neuron. This tor in place of the neurotransmitter, or one
makes the membrane potential even more nega- of the steps in the synthesis or release of the
tive and makes it more difficult for excitatory neurotransmitter. Drugs can also alter synap-
transmitters at other receptor sites to depolar- tic transmission by influencing how the trans-
ize the neuron to its action potential threshold. mitter is cleared from the synaptic cleft after it
Transmitters that create hyperpolarization are has been released. A drug’s exact psychologi-
thus inhibitory in their function (Figure 3.4). cal effects, however, are determined not by its
Every neuron is constantly bombarded with actions at the synapse, but by which specific
excitatory and inhibitory neurotransmitters chemical transmitter it targets. This chapter’s
from other neurons, and the interplay of these Applications feature provides information
influences determines whether the cell fires an on how some commonly used drugs influence
action potential or not. The action of an inhibi- neurotransmission.
tory transmitter from one presynaptic neuron
may prevent the postsynaptic neuron from Specialized Transmitter Systems
reaching the action potential threshold, even if Through the use of chemical transmitters,
it is receiving excitatory stimulation from sev- nature has found an ingenious way of dividing
eral other neurons at the same time. An exqui- up the brain into systems that are uniquely sen-
site balance between excitatory and inhibitory sitive to certain messages. At present, 100 to 150
processes must be maintained if the nervous different substances are known or suspected
system is to function properly. The process of transmitters in the brain, but there may be many
inhibition allows a fine-tuning of neural activity more (Fain, 1999; Kolb & Whishaw, 2005). Each
and prevents an uncoordinated discharge of the substance has a specific excitatory or inhibi-
nervous system, as occurs in a seizure, when tory effect on certain neurons. The chemical
large numbers of neurons fire off action poten- specificity protects the brain from “crosstalk”
tials in a runaway fashion. and allows specific chemical systems to serve
Once a neurotransmitter molecule binds to specific functions. Table 3.1 lists several of the
its receptor, it continues to activate or inhibit more important neurotransmitters that have
the neuron until it is shut off, or deactivated. been linked to psychological phenomena.
This deactivation occurs in two major ways Two widespread neurotransmitters are sim-
(Fain, 1999). Some transmitter molecules are ple amino acids, glutamate, or glutamic acid, 8. Describe
deactivated by other chemicals located in the and gamma-aminobutyric acid, or GABA. Both two methods
synaptic space that break them down into their glutamate and GABA are found throughout the by which
neurotransmitter
chemical components. In other instances, the central nervous system, and hence have some
molecules are
deactivation mechanism is reuptake, in which role in mediating virtually all behaviours. Gluta- deactivated at
the transmitter molecules are reabsorbed into mate is excitatory and has a particularly impor- the synapse.
the presynaptic axon terminal. When the recep- tant role in the mechanisms involved in learning
tor molecule is vacant, the postsynaptic neuron and memory. Improving one’s memory, how-
returns to its former resting state, awaiting the ever, cannot be as simple as enhancing gluta-
next chemical stimulation. mate activity. Since it has a powerful excitatory
76 CHAPTER THREE
Applications
UNDERSTANDING HOW DRUGS and taking them with alcohol can be deadly when their
AFFECT YOUR BRAIN depressant effects on neural activity are combined with the
alcohol’s effects (Schatzberg et al., 2010).
Drugs affect consciousness and behaviour by influencing Caffeine is a stimulant drug that increases the activity
the activity of neurons. According to Health Canada, 11 per- of neurons and other cells. It is an antagonist for the trans-
cent of Canadians between ages 15 and 19 smoke tobacco, mitter adenosine, which inhibits the release of excitatory
and that number increases to 20 percent among Canadians transmitters. By reducing adenosine activity, caffeine helps
aged 20 to 24 (Canadian Tobacco Use Monitoring Survey, produce higher rates of cellular activity. Although caffeine is
Health Canada, 2012). These are the lowest rates since a stimulant, it is important to note that contrary to popular
Health Canada began keeping tobacco use statistics in belief, caffeine does not counteract the effects of alcohol
1985. Among Canadians aged 15 to 24, 34 percent have and sober people up. What someone who has been drinking
used cannabis at some point in their life and 15.1 per- needs is a ride home with a driver who is sober—not a cup
cent have used some type of illicit drug, such as ecstasy, of coffee.
cocaine/crack, or amphetamines, or hallucinogenic drugs Nicotine is an agonist for the excitatory transmitter ACh.
like LSD (Health Canada, 2011). Alcohol is present at many Its chemical structure is similar enough to ACh to allow it
university and college parties, in restaurants, at sporting to fit into ACh binding sites and create action potentials.
events, and in the refrigerator or cupboard of many Cana- At other receptor sites, nicotine stimulates dopamine activ-
dian homes. In 2011, 71 percent of those aged 15–24 had ity, which is an important chemical mediator for motivation
used alcohol in the past year, and among drinkers in that and reward. This stimulation may help account for nicotine’s
age group, 21 percent exceeded Health Canada’s low-risk powerful addictive properties.
drinking guidelines (Health Canada, 2011). Almost all stu- Amphetamines are stimulant drugs that boost arousal
dents ingest caffeine in coffee, chocolate, cocoa, and soft and mood by increasing the activity of the excitatory neu-
drinks. Considering the amount of drugs that we ingest, it is rotransmitters dopamine and norepinephrine. They do so
important to have some knowledge of what these drugs are in two major ways. First, they cause neurons to release
doing within the brain. greater amounts of these neurotransmitters. Second, they
Most psychoactive drugs produce their effects by either inhibit reuptake, allowing dopamine and norepinephrine to
increasing or decreasing the actions of neurotransmitters. An keep stimulating postsynaptic neurons (Ksir et al., 2008).
agonist is a drug that increases the activity of a neurotransmit-
ter. Agonists may (1) enhance a neuron’s ability to synthesize,
store, or release neurotransmitters; (2) mimic the action of a
neurotransmitter by binding with and stimulating postsynaptic
receptor sites; or (3) make it more difficult for neurotrans-
mitters to be deactivated, such as by inhibiting reuptake. An
antagonist is a drug that inhibits or decreases the action of
a neurotransmitter. An antagonist may (1) reduce a neuron’s
ability to synthesize, store, or release neurotransmitters; or
(2) prevent a neurotransmitter from binding with the postsyn-
aptic neuron by fitting into and blocking the receptor sites on
the postsynaptic neuron. With the distinction between agonist
and antagonist functions in mind, let’s consider how some
commonly used drugs work within the brain.
Alcohol is a depressant drug that has both agonist and
antagonist effects. Although alcohol can have a wide range
of effects, in the concentrations that people consume it, © Jim Arbogast/Photodisc/Getty Images
alcohol’s effects are due to its agonist and antagonist
actions (Levinthal, 2010). As an agonist, alcohol stimu- FIGURE 3.5 Brain activity is being altered in several ways in
this scene. Nicotine from the cigarette smoke is activating ace-
lates the activity of the inhibitory transmitter GABA, thereby
tylcholine and dopamine neurons, increasing neural excitation.
depressing neural activity. As an antagonist, it decreases
The alcohol is stimulating the activity of the inhibitory transmitter
the activity of glutamate, an excitatory transmitter. The GABA and decreasing the activity of an excitatory transmitter,
effect is a powerful slowing of neural activity that inhibits glutamate, thus depressing brain functions. The possibility of
normal brain functions, including clear thinking, emotional a drink having been spiked with one of the powerful and poten-
control, and motor coordination. Sedative drugs, including tially deadly “date rape” sedative drugs could place any of
barbiturates and tranquilizers, also increase GABA activity, these women at great risk.
continued
Cocaine produces excitation, a sense of increased mus- drugs are powerful sedatives that suppress general neural
cular strength, and euphoria. Like amphetamines, cocaine activity by enhancing the action of the inhibitory transmit-
increases the activity of norepinephrine and dopamine, but it ter GABA (Levinthal, 2010). Rohypnol is about 10 times
does so in only one major way: It blocks their reuptake. Thus, more potent than Valium. At high doses or when mixed
amphetamines and cocaine have different mechanisms of with alcohol or other drugs, these substances may lead to
action, but both drugs produce highly stimulating effects on respiratory depression, loss of consciousness, coma, and
mood, thinking, and behaviour. The powerfully motivating even death. Rohypnol also decreases neurotransmission in
and rewarding properties of these drugs is thought to be due areas of the brain involved in memory, producing an amne-
to their actions on dopamine (Blum et al., 2012). sia effect that may prevent users from remembering the
We should comment on two other drugs that, unfor- circumstances under which they ingested the drug or what
tunately, are also found on college campuses. Rohypnol happened to them afterwards. GHB, which makes its victim
(flunitrazepam, known as roofies or rope) and GHB (gamma appear drunk and helpless, is now a restricted drug, and
hydroxybutyrate, known as easy lay) are so-called “date slipping it into someone’s drink is a criminal act. Increas-
rape” drugs. Party-goers sometimes add these drugs to ingly, women are being advised against accepting opened
punch and other drinks in hopes of lowering drinkers’ inhibi- drinks from fellow revellers or leaving their own drinks unat-
tions and facilitating nonconsensual sexual conquest. These tended at parties (Figure 3.5).
effect, over-activation of glutamate will induce the brain more sensitive to GABA, although in a
seizure activity within the brain, especially less specific way than the anti-anxiety benzodi- 9. Describe
within the cerebral cortex. Whereas glutamate azepines. The symptoms of intoxication reflect the roles of
has a powerful excitatory effect, GABA is an the progressive inhibition of brain function with (a) acetylcholine,
inhibitory neurotransmitter. GABA is especially (b) dopamine,
increasing GABA-induced inhibition.
(c) serotonin,
important for motor control and the control of Perhaps the best understood neurotransmit-
and (d)
anxiety. For example, the drugs most commonly ter is acetylcholine (ACh), which is involved endorphins in
used to treat anxiety disorders, the benzodiaz- in memory and muscle activity. Underproduc- psychological
epines, act by enhancing GABA activity. A com- tion of ACh is thought to be an important fac- functions.
monly used drug, alcohol, acts, in part, to make tor in Alzheimer’s disease, a degenerative brain
TABLE 3.1 Some Neurotransmitters and Their Effects

Neurotransmitter Major Function Disorders Associated with Malfunctioning
Glutamate Excitatory; found throughout the brain; involved in the
(glutamic acid) control of all behaviours, especially important in learning
and memory
GABA (gamma- Inhibitory transmitter; found throughout the brain; involved Destruction of GABA-producing neurons in
aminobutyric acid) in controlling all behaviours, especially important in anxiety Huntington’s disease produces tremors and loss
and motor control of motor control, as well as personality changes
Acetylcholine (ACh) Excitatory at synapses involved in muscular movement and Memory loss in Alzheimer’s disease
memory (undersupply)
Muscle contractions, convulsions (oversupply)
Norepinephrine Excitatory and inhibitory functions at various sites; Depression (undersupply)
involved in neural circuits controlling learning, memory, Stress and panic disorders (oversupply)
wakefulness, and eating
Serotonin Inhibitory at most sites; involved in mood, sleep, eating, Depression, sleeping, and eating disorders
and arousal, and may be an important transmitter
underlying pleasure and pain
Dopamine Can be inhibitory or excitatory; involved in voluntary Parkinson’s disease and depression
movement, emotional arousal, learning, motivation, (undersupply)
experiencing pleasure Schizophrenia (oversupply)
Endorphin Inhibits transmission of pain impulses Insensitivity to pain (oversupply)
Pain hypersensitivity, immune problems
(undersupply)
78 CHAPTER THREE
disorder involving profound memory impair- attach to dopamine receptors and block dopa-
ment that afflicts between 5 and 10 percent of all mine from having its effects. Such blockade of
people over 65 years of age (Morris & Becker, dopamine is effective in treating symptoms of
2005). Reductions in ACh weaken or deactivate schizophrenia, and led to the theory that schizo-
neural circuitry that stores memories. phrenia is due to overactivity in specific dopa-
ACh is also an excitatory transmitter at the syn- mine systems (Howes, McCutcheon, & Stone,
apses where neurons activate muscle cells (Sher- 2015). Dopamine has also been associated with
wood, 1991). Drugs that block the action of ACh, the motivating and rewarding properties of the
therefore, can prevent muscle activation, result- major drugs of abuse (Blum et al., 2012).
ing in muscular paralysis. One example occurs in Quite a different mechanism occurs in the
botulism, a serious type of food poisoning that treatment of depression. Depression involves
can result from improperly canned food. The abnormal sensitivity to serotonin, a neu-
toxin formed by the botulinum bacteria blocks rotransmitter that influences mood, eating,
the release of ACh from the axon terminal, result- sleep, and sexual behaviour. Antidepressant
ing in a potentially fatal paralysis of the muscles, drugs increase serotonin activity in several
including those of the respiratory system. The ways. Drugs like Prozac, known as selective
opposite effect on ACh occurs with the bite of the serotonin-reuptake inhibitors (SSRIs), block the
black widow spider. The spider’s venom produces reuptake of serotonin from the synaptic space,
a torrent of ACh, resulting in violent muscle con- allowing serotonin molecules to remain active
tractions, convulsions, and even death. and exert their mood-altering effects. Other
The neurotransmitter dopamine mediates a antidepressant drugs work on a different deac-
wide range of functions, including motivation, tivating mechanism; they inhibit the activity of
reward, and feelings of pleasure; voluntary enzymes in the synaptic space that deactivate
motor control; and control of thought processes. serotonin by breaking it down into simpler
Understanding the neurotransmitter dopamine chemicals. In so doing, they prolong serotonin
has also had a profound impact on our underactivity at the synapse.
standing of several diseases. In Parkinson’s dis- Endorphins are another important family of
ease, one specific group of dopamine-producing neurotransmitters. Endorphins reduce pain
neurons degenerate and die. As dopamine is lost and increase feelings of well-being. They bind to
in the affected brain areas, there is a concomi- the same receptors as the ones activated by opi-
tant loss of voluntary motor control. The symp- ate drugs, such as opium and morphine, which
toms of Parkinson’s disease are most commonly produce similar psychological effects. The abil-
treated with a drug (L-DOPA) that increases the ity of people to continue to function despite
amount of dopamine within the brain. The treat- severe injury is due in large part to the release
ment of emotionally disturbed people was revo- of endorphins and their ability to act as analge-
lutionized by the development the antipsychotic sics. We will discuss the endorphins in greater
drugs; the drugs that started the so-called “psy- detail when we discuss pain.
chiatric revolution” of the 1950s. These drugs Most neurotransmitters have their excitatory
are still widely used today. Antipsychotic drugs or inhibitory effects only on specific neurons
In Review
• Each neuron has dendrites, which receive nerve to the amount of stimulation being received,
impulses from other neurons; a cell body (soma), whereas action potentials obey the all-or-none
which controls the vital processes of the cell; law, occurring at full intensity if the action
and an axon, which conducts nerve impulses to potential threshold of stimulation is reached.
adjacent neurons, muscles, and glands. The myelin sheath increases the speed of neu-
• Neural transmission is an electrochemical pro- ral transmission.
cess. The nerve impulse, or action potential, • Passage of the impulse across the synapse is
is a brief reversal in the electrical potential of mediated by chemical transmitter substances.
the cell membrane as sodium ions from the Neurons are selective in the neurotransmitters
surrounding fluid flow into the cell through that can stimulate them. Some neurotransmit-
sodium ion channels, depolarizing the axon’s ters excite neurons, whereas others inhibit firing
membrane. Graded potentials are proportional of the postsynaptic neuron.
that have receptors for them. Others, called the song we’re hearing with the memory of that
neuromodulators, have a more widespread song stored elsewhere in the brain. The activity
and generalized influence on synaptic transmis- of interneurons makes possible the complexity
sion. These substances circulate through the of our higher mental functions, emotions, and
brain and either increase or decrease (i.e., mod- behavioural capabilities.
ulate) the sensitivity of neurons to their specific The nervous system can be broken down into
transmitters. Neuromodulators play impor- several interrelated subsystems (Figure 3.6).
tant roles in functions such as eating, sleep, The two major divisions are the central ner-
and stress. Thus, some chemical transmitters vous system, consisting of all the neurons in
have very specific effects (neurotransmitters), the brain and spinal cord, and the peripheral
whereas others (neuromodulators) have more nervous system, composed of all the neurons
general effects on neural activity. that connect the central nervous system with
the muscles, glands, and sensory receptors.
10. What
THE NERVOUS SYSTEM The Peripheral Nervous System
are the three
major types
The nervous system is the body’s master con- of neurons?
The peripheral nervous system contains all the
trol centre. Three major types of neurons carry What are their
neural structures that lie outside of the brain and
out the system’s input, output, and integration functions?
spinal cord. Its specialized neurons help to carry
functions. Sensory neurons carry input mes-
out the input and output functions that are neces-
sages from the sense organs to the spinal cord 11. Differentiate
sary for us to sense what is going on inside and
and brain. Motor neurons transmit output between the
outside our bodies and to respond with our mus- central nervous
impulses from the brain and spinal cord to the
cles and glands. The peripheral nervous system system and
body’s muscles and organs. Finally, there are
has two major divisions, the somatic nervous the peripheral
neurons that link the input and output functions.
system and the autonomic nervous system. nervous system.
Interneurons, which far outnumber sensory
What are the
and motor neurons, perform connective or asso- two divisions of
ciative functions within the nervous system. The Somatic Nervous System
the peripheral
For example, interneurons allow us to recog- The somatic nervous system consists of the nervous system?
nize a tune by linking the sensory input from sensory neurons that are specialized to transmit
Nervous system
Central nervous system Peripheral nervous system

(CNS) (PNS)
Brain Spinal cord
Somatic system Autonomic system

(voluntary muscle (controls smooth
activation) muscle, cardiac
Forebrain Midbrain Hindbrain muscle, and glands;
basically involuntary)
Thalamus Hypothalamus Sympathetic Parasympathetic

Cerebellum Brain stem (generally activates) (generally inhibits)
Cerebrum Limbic system Corpus

(cerebral cortex) callosum Pons Medulla
Reticular formation
(begins at the level of the
Hippocampus Amygdala Nucleus medulla and runs up through
accumbens the midbrain to the forebrain)
FIGURE 3.6 Structural organization of the nervous system.

80 CHAPTER THREE
messages from the eyes, ears, and other sensory nervous system, which controls the glands and
receptors, and the motor neurons that send mes- the smooth (involuntary) muscles that form the
sages from the brain and spinal cord to the mus- heart, the blood vessels, and the lining of the
cles that control our voluntary movements. The stomach and intestines. The autonomic system
axons of sensory neurons group together like the is largely concerned with involuntary functions,
many strands of a rope to form sensory nerves, such as respiration, circulation, and digestion, and
and motor neuron axons combine to form motor it is also involved in many aspects of motivation,
nerves. (Inside the brain and spinal cord, nerves emotional behaviour, and stress responses. It con-
are called tracts.) As you read this page, sensory sists of two subdivisions, the sympathetic nervous
neurons located in your eyes are sending impulses system and the parasympathetic nervous system
into a complex network of specialized visual (Figure 3.7). Typically, these two divisions affect
tracts that course through your brain. At the same the same organ or gland in opposing ways.
12. Describe the time, motor neurons are stimulating the eye move- The sympathetic nervous system has an
two divisions of ments that allow you to scan the lines of type and activation or arousal function, and it tends to act
the autonomic turn the pages. The somatic system thus allows as a total unit. For example, when you encounter
nervous system, you to sense and respond to your environment. a stressful situation, your sympathetic nervous
as well as
system simultaneously speeds your heart so it
their roles in The Autonomic Nervous System can pump more blood to your muscles, dilates
maintaining
homeostasis. The body’s internal environment is regulated your pupils so more light can enter the eye and
largely through the activities of the autonomic improve your vision, slows down your digestive
Parasympathetic Sympathetic
Eyes
Contracts pupils Dilates pupils

(enhanced vision)
Lungs
Constricts bronchi Relaxes bronchi

(increased air to lungs)
Heart
Slows heart beat Accelerates, strengthens heart

beat (increased oxygen)
Stomach,
intestines
Inhibits activity
Stimulates activity
(blood sent to muscles)
Blood vessels
of internal
organs
Contracts vessels
Dilates vessels (increased blood pressure)
FIGURE 3.7 The sympathetic branch of the autonomic nervous system arouses the body and speeds up its vital
processes, whereas the parasympathetic division slows down body processes. The two divisions work together to
maintain equilibrium within the body.
system so that blood can be transferred to the peripheral nervous system with the brain, and
muscles, increases your rate of respiration so the brain itself.
your body can get more oxygen, and, in general,
mobilizes your body to confront the stressor. The Spinal Cord
Compared with the sympathetic branch, which
Most nerves enter and leave the central nervous
tends to act as a unit, the parasympathetic sys-
system by way of the spinal cord, a structure that
tem is far more specific in its opposing actions,
in a human adult is 40 to 45 centimetres long and
affecting one or a few organs at a time. The para-
about 2.5 centimetres in diameter. The spinal cord’s
sympathetic nervous system slows down body
neurons are protected by the vertebrae (bones of
processes and maintains or returns you to a state
the spine). When the spinal cord is viewed in cross-
of rest. Thus, your sympathetic system speeds
section (Figure 3.8), its central portion resembles
up your heart rate; your parasympathetic system
an H or a butterfly. The H-shaped portion consists
slows it down. By working together to maintain
largely of grey-coloured neuron cell bodies and
equilibrium in our internal organs, the two divi-
their interconnections. Surrounding the grey mat-
sions can maintain homeostasis, a delicately
ter are white-coloured myelinated axons that con-
balanced or constant internal state. Some acts
nect various levels of the spinal cord with each
also require a coordinated sequence of sympa-
other and with the higher centres of the brain.
thetic and parasympathetic activities. For exam-
Entering the back side of the spinal cord along its
ple, sexual function in the male involves penile
length are sensory nerves. Motor nerves exit the
erection (through parasympathetic dilation of
spinal cord’s front side.
blood vessels) followed by ejaculation (a primar-
Some simple stimulus-response sequences,
ily sympathetic function; Masters et al., 1988).
known as spinal reflexes, can be triggered at
the level of the spinal cord without any involve-
The Central Nervous System ment of the brain. For example, if you touch
More than any other system in our body, the something hot, sensory receptors in your skin
central nervous system distinguishes us from trigger nerve impulses in sensory nerves that
other creatures. This system contains the spi- flash into your spinal cord and synapse inside
nal cord, which connects most parts of the with interneurons. The interneurons then excite
To the brain
Sensory neurons
(incoming information)
Interneurons
Spinal cord
Motor neurons
(outgoing information)
Muscle pulls
Skin finger away
receptors
FIGURE 3.8 A cross-section of the spinal cord shows the organization of sensory and motor nerves. Sensory and
motor nerves enter and exit the spinal cord on both sides of the spinal column. Interneurons within the H-shaped spinal
grey matter can serve a connective function, as shown here, but in many cases, sensory neurons also can synapse
directly with motor neurons. At this level of the nervous system, reflex activity is possible without involving the brain.
82 CHAPTER THREE
motor neurons that send impulses to your hand

so that it pulls away from the hot object. Other E F
interneurons simultaneously carry the “Hot!”
message up the spinal cord to your brain, but 3 2
5
it is a good thing that you don’t have to wait for
the brain to tell you what to do in such emer- D
gencies. Getting messages to and from the brain 4 A C
takes slightly longer, so the spinal cord reflex
system significantly reduces reaction time, and,
in this case, potential tissue damage. B
1 6
The Brain
The 1.4 kilograms of protein, fat, and fluid that FIGURE 3.9 The Trail Making Test consists of a ran-
13. How do domly scattered set of numbers and letters. On this
you carry around inside your skull is the real
spinal reflexes timed test, the patient must connect the numbers and
occur?
“you.” It is also the most complex structure in the
letters consecutively with a continuous line, or “trail”
known universe and the only one that can won- (i.e., A to 1 to B to 2 to C to 3, and so on). People with
der about itself. As befits this biological marvel, certain kinds of brain damage have trouble alternating
your brain is the most active energy consumer between the numbers and letters because they cannot
of all your body organs. Although the brain retain a plan in memory long enough, and poor test
accounts for only about 2 percent of your total performance reflects this deficit.
body weight, it consumes about 20 percent of the
oxygen you use in a resting state (Simon, 2007). of damage the person may have. Neuropsycholog-
Moreover, the brain never rests; its rate of energy ical tests of this kind have provided much infor-
metabolism is relatively constant day and night. mation about brain–behaviour relations.
In fact, when you dream, the brain’s metabolic
rate actually increases slightly (Simon, 2007). Destruction and stimulation techniques. Exper-
How can this delicate ball of greyish tissue imental studies are another useful method of
discover the principle of relativity, build the learning about the brain (Tatlisumak & Fisher,
Hubble Telescope, and produce great works of 2006). Researchers can produce brain damage
art, music, and literature? Answering such ques- (lesions) under carefully controlled conditions in
tions requires the ability to study the brain and which specific nervous tissue is destroyed with
how it functions. To do so, neuroscientists use a electricity, with cold or heat, or with chemicals.
diverse set of tools and procedures. They also can surgically remove some portion of
the brain and study the consequences. Most exper-
Unlocking the Secrets of the Brain iments of this kind are performed on animals, but
humans also can be studied when accident or dis-
More has been learned in the past three decades
ease produces a specific lesion or when abnormal
about the brain and its role in behaviour than
brain tissue must be surgically removed.
was known in all the preceding ages. This knowl-
An alternative to destroying neurons is stim-
edge explosion is due in large part to revolu-
ulating them, which typically produces oppo-
tionary technical advances that have provided
site effects. A specific region of the brain can
scientists with new research tools, as well as to
be stimulated by a mild electric current or by
the contributions of psychological research on
chemicals that excite neurons. Electrodes can
brain–behaviour relations. Investigators use a
be permanently implanted so that the region of
variety of methods to study the brain’s structures
interest can be stimulated repeatedly. Some of
and activities.
these electrodes are so tiny that they can stim-
Neuropsychological tests. Psychologists have ulate individual neurons. In chemical stimula-
14. Describe developed a variety of neuropsychological tests tion studies, a tiny tube is inserted into the brain
four methods to measure verbal and non-verbal behaviours that so that a small amount of the chemical can be
used to study are known to be affected by particular types of delivered directly to the area to be studied. The
brain–behaviour brain damage (Vakil, 2012). These tests are used in neurosurgeon Wilder Penfield, of the Montreal
relations. clinical evaluations of people who may have suf- Neurological Institute, pioneered brain sur-
fered brain damage through accident or disease. gery with an awake, interacting patient. Pen-
They are also important research tools. For exam- field stimulated specific points of cortex with
ple, Figure 3.9 shows a portion of a Trail Making a mild electrical current in an attempt to map
Test, used to test memory and planning. Scores on out the functions of the cerebral cortex (see the
the test give an indication of the type and severity Research Foundations feature).
Research
Foundations
WILDER PENFIELD AND A CORTICAL MAP of small levels of electrical current applied to specific points
on the surface of the cerebral cortex (Figure 3.10).
Introduction
The idea that specific behaviours could be traced to specific Method
brain areas emerged during the 19th century. The physiolo- The patient would have local anaesthetics applied to the
gists Gustav Fritsch and Eduard Hitzig found that electrical scalp and remain awake and alert during surgery. When
stimulation of discrete areas of a dog brain would reliably the brain was exposed, small levels of electrical current
produce movements. The English neurologist John Hugh- were applied to specific points on the surface of the cere-
lings Jackson published a series of papers detailing his bral cortex. Patients provided verbal reports of what they
observations of the behaviour of patients with brain dam- experienced during the stimulation and any visible body
age. Paul Broca and Carl Wernicke found that damage to movement would be noted. Patient reports and the doctors’
specific parts of the cerebral cortex were associated with observations were transcribed for later analysis. Application
specific language deficits. Such seminal work suggested of the electrical stimulation was done blind; the patient did
that you could trace different functions, even sophisticated not know where Penfield would stimulate and whether it
functions such as the ability to produce or comprehend lan- would be applied to a new site or a previously tested site.
guage, to specific brain areas. The brain, it seemed, could
be studied and understood much the way any other internal
Results
organ could be studied and understood.
Early in the 20th century, however, progress in under- Much of Penfield’s early work concentrated on areas sur-
standing brain function within psychology slowed as rounding the central sulcus, the large fold separating the
behaviourism became the dominant orientation. Within psy- frontal cortex and the parietal cortex. Stimulation in front
chology, the early and mid-20th century saw the work of of this fold, within the frontal cortex, produced movement,
Edward L. Thorndike, Ivan Pavlov, John B. Watson, and then and the movement produced was reliably related to the spe-
B.F. Skinner gain prominence. Learning was king; it was cific part of the cortex stimulated. For example, stimula-
learning, not brain structure, that determined what a person tion deep within the fold elicited movement of the toes and
would become and do, learning was what turned one per- the feet, while stimulation to the side elicited movement
son into an artist and another into a thief. Furthermore, the of the face, mouth, or tongue. Stimulation behind the fold, in
behaviourists argued that psychology, as a science, should the parietal cortex, produced no movement; rather patients
study only what was objectively observable: behaviour.
According to the behaviourists, you could not tell, figura-
tively or literally, what was going on inside someone’s head.
But then a series of publications by a neurosurgeon rocked
the field. The behaviourists had said that you could not
study what was going on in the brain, but a neurosurgeon at
the Montreal Neurological Institute was doing exactly that.
The neurosurgeon was Wilder Penfield and studied the func-
tions of specific areas of the brain with awake and alert sur-
gical patients. Since the patients were fully conscious, they
could describe and explain what they experienced during
the procedure. Penfield performed brain surgery in this way
primarily because the knowledge gained helped to guide his
hand as a surgeon. As Penfield (1975) wrote, “The patient
continued to be in the foreground of my concern, but in the
background there was an urge to exploration” (ix).
Penfield worked mostly with patients who suffered from
severe, uncontrollable epilepsy, and his task as a surgeon
was to remove the damaged brain tissue that was responsi-
ble for the epileptic seizures. Since there are no pain recep-
tors within the CNS, a patient could have local anaesthetics
The Canadian Press Archive Photo
applied to the scalp and remain awake and alert during sur-
gery without experiencing any undue discomfort. With the FIGURE 3.10 Internationally renowned Montreal neurologist
cooperation of such patients, Penfield explored the effects Wilder Penfield.
continued
84 CHAPTER THREE
reported somatic sensory experiences, such as a light across patients than the motor and somatosensory effects.
touch, a brush, or an itch. The effects were repeatable and In a minority of cases, the stimulation elicited unequivocal
consistent across different patients. Penfield mapped the reports of memories or complex experiences such as hear-
body onto the brain and his work produced the first func- ing music, but in most cases, there was no subjective expe-
tional maps of the motor cortex and sensory cortex (similar rience or only something vague and poorly defined.
to the one in Figure 3.11). Penfield mapped the body onto the brain for motor con-
trol and the sense of touch, and provided early tantaliz-
Discussion ing hints about the functions of the temporal lobes. In the
If Penfield had mapped only the motor cortex and the decades since Penfield performed surgery, our interpreta-
somatosensory cortex, his contribution to understanding tion of his results has grown increasingly sophisticated and
the human brain would have been substantial, but Penfield our tools more elaborate and less invasive, although similar
also explored other areas of cortex, as guided by the sur- cortical mapping is still used. Our modern understanding of
gical situation. Here, now, were reports not just of motor the cerebral cortex, like modern neurosurgery, owes a great
control and experiencing sensations of touch, but reports deal to the pioneering work of Wilder Penfield.
from patients of smelling roses, hearing voices, and recall-
ing memories from their past—experiences likened to déjà Design
vu elicited by mild electrical stimulation of the brain. In
describing the reports of one patient, known as D.F., Pen- Question: What are the functions of different areas
field wrote, “D.F. could hear the instruments playing a mel- of the cerebral cortex?
ody. I re-stimulated the same point thirty times (!) trying to Type of Study: Correlational
mislead her, and dictated each response to a stenographer.
Each time I re-stimulated, she heard the melody again”
(1975, p. 22). Another patient, M.M., reported somatic sen- Variable X
Variable Y
sations, such as a tingling in the left thumb in response to Location of
stimulation to the Effect of stimulation
stimulation at one point, but in response to stimulation of
cerebral cortex (visible reaction or
the temporal lobe, there were memories, or parts of mem- participant report)
ories: “activations of the stream of consciousness from
the past” (Penfield, 1975, p. 24). The reports of memories
were reliable within the same patient but less consistent
A recent advance in these techniques is tran- placing larger electrodes on the scalp to measure
scranial magnetic stimulation or TMS (Van the activity of large groups of neurons with the
De Ruit, Perenboom & Grey, 2015). TMS uses a electroencephalogram (EEG) (Figure 3.12a, b).
magnetic coil placed close to the person’s head Although the EEG is a rather gross measure that
to generate a magnetic field that disrupts activ- taps the electrical activity of thousands of neurons
ity in the brain region just under the coil. This in many parts of the brain, specific EEG patterns
allows the activity of specific brain areas to correspond to certain states of consciousness,
be disrupted temporarily without any form of such as wakefulness and sleep. Clinicians also
surgery or other invasive action. Together with use the EEG to detect abnormal electrical pat-
its use to explore the functions of brain areas terns that signal the presence of brain disorders.
close to the scalp, TMS has also been used to Researchers are especially interested in changes
treat stroke, multiple sclerosis, migraine, and in the EEG record that accompany specific psy-
some chronic pain diseases (Groppa et al., 2012; chological events, such as presentation of a
Lefaucheur et al., 2012). sensory stimulus. Changes in the EEG that accom-
pany such events are called event-related poten-
Electrical recording. Because electrodes can
tials (ERPs).
record brain activity as well as stimulate it, it
15. How are is possible to “eavesdrop” on the electrical con- Brain imaging. The newest tools of discovery
CT scans, PET
versations occurring within the brain. Neurons’ are imaging techniques that permit neuroscien-
scans, and MRIs
electrical activity can be measured by insert- tists to peer into the living brain (Figure 3.12c).
produced, and
how is each ing small electrodes into particular areas of the The most important of these technological “win-
used in brain brain or even into individual neurons. dows” are CT scans, PET scans, and magnetic
research? In addition to measuring individual voices, resonance imaging (MRI). CT scans and MRIs
scientists can tune in to “crowd noise” by are used to visualize brain structure, whereas
Corpus callosum Thalamus Cerebrum

Bridge of fibres passing Relay centre for incoming Sensing, thinking, learning,
information between the sensory information emotion, consciousness, and
two cerebral hemispheres voluntary movement
Nucleus accumbens
Limbic system structure
involved in motivation
and reward Amygdala
Hypothalamus involved in emotion and
Regulates basic biological aggression
needs: hunger, thirst,
temperature control Hippocampus
involved in learning and
Pituitary gland memory
“Master” gland that regulates
other endocrine glands Pons Cerebellum
Involved in sleep Coordinates fine muscle
and arousal movement, balance
Brain stem
Reticular formation
Group of fibres that carries
stimulation related to sleep and Spinal cord
arousal through brain stem Transmits information between
brain and rest of body; handles
Medulla simple reflexes
Regulates vital functions
such as breathing and
circulation
(inset): © Martin M. Rotker/Science Source/Photo Researchers, Inc.
FIGURE 3.11 The major structures of the brain and their functions are shown as they would appear if the brain was sectioned at its
midline, as in the photo.
PET scans and fMRIs allow scientists to view Whereas CT scans provide pictures of brain
brain activity (Bremner, 2005). structures, positron emission tomography
Developed in the 1970s, computerized axial (PET) scans measure brain activity, including
tomography (CT) scans use X-ray technol- metabolism, blood flow, and neurotransmitter
ogy to study brain structures (Andreason, 1998). activity (Hornak, 2000; Ron & David, 1997). PET
A highly focused beam of X-rays takes pictures is based on the fact that glucose, a natural sugar,
of narrow slices of the brain. A computer ana- is the major nutrient of neurons. Thus, when
lyzes the X-rayed slices and creates pictures of neurons are active, they consume more glucose.
the brain’s interior from many different angles To prepare a patient for a PET scan, a harm-
(Figure 3.12d). Pinpointing where injuries or dete- less form of radioactive glucose is injected into
rioration have occurred helps to clarify relations the bloodstream and travels to the brain. The
between brain damage and psychological func- energy emitted by the radioactive substance is
tioning. CT scans are 100 times more sensitive measured by the PET scan, and the data are fed
than standard X-ray procedures, and the techno- into a computer that uses the readings to pro-
logical advance was so dramatic that its devel- duce a colour picture of the brain on a display
opers, Allan Cormack and Godfrey Hounsfield, screen (Figure 3.12c, g). Researchers can tell
were awarded the 1979 Nobel Prize for Medicine. how active particular neurons are by measuring
86 CHAPTER THREE
(b)
(a)
(c)
(d) (e)
(f) (g)
(a): © Larry Mulvehill/Science Source/Photo Researchers, Inc.; (c): © Richard Price/Getty Images; (d): © Mike Hill/AGE Fotostock; (e): © Don Farrall/Getty Images;
(f): © Dr. Scott T. Grafton/Visuals Unlimited; (g): Can McCoy/Rainbow
FIGURE 3.12 Measuring brain activity. (a) The electroencephalogram (EEG) records the activity of large groups of neurons in the brain
through a series of electrodes attached to the scalp. (b) The results appear on an EEG readout. (c) Various brain scanning machines, such as
the one shown here, produce a number of different images. (d) The CT scan uses narrow beams of X-rays to construct a composite picture
of brain structures. (e) MRI scanners produce vivid pictures of brain structures. (f) Functional MRI (fMRI) procedures take images in rapid suc-
cession, showing neural activity as it occurs. (g) PET scans record the amount of radioactive substance that collects in various brain regions
to assess brain activity.
the amount of radioactive glucose that accumu- Magnetic resonance imaging (MRI) com-
lates in them. If a person is performing a mental bines features of CT and PET scans and can be
reasoning task, for example, then a researcher used to study both brain structures and brain
can tell by the glucose concentration pattern activity (Chakeres, Nornstein, & Kangarlu,
which parts of the brain were activated by the 2000). MRI creates images based on how atoms
task (Raichle, 1994). in living tissue respond to a magnetic pulse
delivered by the device. MRI can make The Hierarchical Brain: Structures
out details one-tenth the size of what CT scans can
detect, and it distinguishes much better between
and Behavioural Functions
different types of brain tissue (Leondes, 1997). In an evolutionary sense, your brain is far older
than you are, for it represents perhaps 500 mil- 16. In what
To obtain an MRI, the researcher places the part
sense might
of the body to be studied in the hollow core of a lion years of evolutionary development and
the structure
long magnetic cylinder and exposes the atoms fine-tuning (Striedter, 2005). The human brain
of the human
in the subject’s body to a uniform magnetic field. can be likened to a living archaeological site, brain mirror
The field is then altered, and when the magnetic with the more recently developed structures evolutionary
field is shut off, the magnetic energy absorbed built atop structures from the distant evolu- development?
by the atoms in the tissue emits a small electri- tionary past. The structures at the brain’s core
cal voltage. The voltage is picked up by detec- govern the basic physiological functions, such
tors and relayed to a computer for analysis. In as breathing and heart rate, that keep us alive.
addition to providing colour images of the tis- These we share with all other vertebrates (ani-
sue, MRI also can tell researchers which chemi- mals having backbones). Built upon these basic
cals (such as neurotransmitters) are active in structures are newer systems that involve pro-
the tissue (Figure 3.12e). gressively more complex functions: sensing,
The conventional MRI yields pictures taken emoting, wanting, thinking, reasoning. Evolu-
several minutes apart. A functional MRI (fMRI) tionary theorists believe that as genetic varia-
can produce pictures of blood flow in the brain tion and recombination sculpted these newer
taken less than a second apart (Baert et al., structures over time, natural selection favoured
1999). Researchers now, quite literally, can their retention because animals who had them
watch “live” presentations as different regions were more likely to survive in changing envi-
of the brain “light up” when subjects are given ronments. The crowning feature of brain devel-
various types of tasks to perform. Researchers opment is the cerebrum, the biological seat of
thereby can identify brain regions involved in Einstein’s scientific genius, Mozart’s creativity,
specific psychological functions (Figure 3.12f). Mother Teresa’s compassion, and that which
Advances in brain research have made this makes you a unique human being.
area one of the most exciting frontiers of psy- The major structures of the human brain,
chology. Driven by their intense desire to “know together with their psychological functions, are
thyself,” researchers studying the brain are begin- shown in Figure 3.12. The brain traditionally has
ning to expose its many secrets. Yet many impor- been divided into three major subdivisions: the
tant questions remain, which should not surprise hindbrain, which is the lowest and most primi-
us, for, as one observer noted, “If the brain were tive level of the brain; the midbrain, which lies
so simple that we could understand it, we would above the hindbrain; and the forebrain.
be so simple that we couldn’t” (Pugh, 1977).
In Review
• The nervous system is composed of sensory • The autonomic nervous system consists of sym-
neurons, motor neurons, and interneurons (asso- pathetic and parasympathetic divisions. The sym-
ciative neurons). Its two major divisions are the pathetic system has an arousal function and tends
central nervous system, consisting of the brain to act as a unit. The parasympathetic system
and spinal cord, and the peripheral nervous slows down body processes and is more specific
system. The latter is divided into the somatic in its actions. Together, the two divisions maintain
system, which has sensory and motor func- a state of internal balance, or homeostasis.
tions, and the autonomic nervous system, which • Discoveries about brain–behaviour relations are
directs the activity of the body’s internal organs made by using techniques such as neuropsycho-
and glands. logical tests, electrical and chemical stimulation
• The spinal cord contains sensory neurons and of the brain, electrical recording, and brain-
motor neurons. Interneurons inside the spinal imaging techniques. Recently developed meth-
cord serve a connective function between the ods for producing computer-generated pictures
two. Simple stimulus-response connections can of structures and processes within the living
occur as spinal reflexes. brain include CT and PET scans and MRI.
88 CHAPTER THREE
The Hindbrain their graceful movement abilities (Altman &

17. Which As the spinal cord enters the brain, it enlarges to Bayer, 1996).
behavioural form the structures that compose the stalk-like The motor control functions of the cerebellum
functions are brain stem. Attached to the brain stem is the other are easily disrupted by alcohol, producing the
controlled by major portion of the hindbrain, the cerebellum. coordination difficulties that police look for in
the hindbrain their roadside tests of sobriety (Ito, 1984). Intox-
structures, The brain stem: Life support systems. The icated people may be unable to walk a straight
namely, the medulla is the first structure encountered after line or touch their nose with their index finger
medulla, the leaving the spinal cord. Well developed at birth, (Figure 3.13). Physical damage to the cerebel-
pons, and the 3.8 centimetre–long medulla plays an impor- lum results in severe motor disturbances char-
the cerebellum? tant role in vital body functions, such as heart
What occurs acterized by jerky, uncoordinated movements,
rate and respiration. Because of your medulla, as well as an inability to perform habitual move-
with damage
these functions occur automatically. Damage to ments, such as walking. The behavioural effects
to these
structures? the medulla usually results in death or, at best, the of a rapidly developing cerebellar tumour are
need to be maintained on life support systems. apparent in the following clinical case:
Suppression of medulla activity can occur at high
levels of alcohol intoxication, resulting in death Ed could no longer walk a straight line.
by heart or respiratory failure (Blessing, 1997). His gait involved wide separation of his
The medulla is also a two-way thoroughfare legs. The timing of his steps was jerky and
for all the sensory and motor nerve tracts com- irregular, causing him to lurch from side to
ing up from the spinal cord and descending side. . . . By the fifth day he could no longer
from the brain. Most of these tracts cross over stand without assistance, and he began to
within the medulla, so the left side of the brain display rapid and jerky eye movements. Ed
receives sensory input from and exerts motor was admitted to a hospital, where imaging
control over the right side of the body, and the techniques revealed a cerebellar tumor.
right side of the brain serves the left side of Surgical removal of the tumor resulted in
the body. Why this crossover occurs is one a marked improvement in his motor coor-
of the unsolved mysteries of brain function. dination. (Gazzaniga et al., 1979)
The pons (meaning bridge in Latin) lies just
above the medulla, and it indeed serves as a
bridge carrying nerve impulses between higher
and lower levels of the nervous system. The pons
also has clusters of neurons that help to regulate
sleep and are involved in dreaming, and it con-
tains motor neurons that control the muscles and
glands of the face and the neck. Like the medulla,
the pons helps to control vital functions, especially
respiration, and damage to it can produce death.
The cerebellum: Motor coordination centre.
The cerebellum (meaning little brain in Latin) Cerebellum
does indeed look like a miniature brain attached
to the rear of the brain stem directly above the
pons. Its wrinkled cortex, or covering, consists
mainly of grey cell bodies (grey matter). The
cerebellum is concerned primarily with mus-
cular movement coordination, but it also plays
a role in certain types of learning and memory.
Specific motor movements are initiated in
higher brain centres, but their timing and coor-
dination depend on the cerebellum (De Zeeuw &
Cicirata, 2005). The cerebellum regulates
complex, rapidly changing movements that
require exquisite timing, such as those of a bal- © Brand X Pictures
let dancer or a competitive diver. Within the FIGURE 3.13 The movement-control functions of the
animal kingdom, cats have an especially well- cerebellum are easily disrupted by alcohol, providing the
developed cerebellum, helping to account for neural basis for the sobriety tests administered by police.
The Midbrain wakefulness in a sleeping animal (Marshall &

Lying just above the hindbrain, the midbrain Magoun, 1997). As you might expect, severe
contains clusters of sensory and motor neu- damage to the reticular formation can produce
rons, as well as many sensory and motor fibre a permanent coma (Pendlebury, 2007).
tracts that connect higher and lower portions Attention is an active process in which only
of the nervous system. The sensory portion of important or meaningful sensory inputs get
the midbrain contains important relay centres through to our consciousness. Other inputs
for the visual and auditory systems. Here, nerve have to be toned down or completely blocked
impulses from the eyes and ears are organized out or we’d be overwhelmed by stimulation. The
and sent to forebrain structures involved in descending reticular formation plays an impor-
visual and auditory perception (Kolb & Whishaw, tant part in this process, serving as a kind of
2003). The midbrain also contains motor neu- gate through which some inputs are admitted
rons that control eye movements. For example, while others are blocked out by signals coming
if you see movement out of the corner of your down from higher brain centres (Van Zomeren &
eye, midbrain activity causes your eyes to swing Brouwer, 1994). If you can focus on these words
toward the source of the movement to identify it. and “block out” distractions such as other
sights, sounds, and body sensations, then your
The reticular formation: The brain’s reticular formation is doing its job.
gatekeeper. Buried within the midbrain is a
The Forebrain 18. Describe the
finger-shaped structure that extends from the
roles played by
hindbrain up into the lower portions of the fore- The most profound biological difference between the ascending
brain. This structure receives its name from its your brain and that of other animals is the size and descending
resemblance under a microscope to a reticu- and complexity of your forebrain, or cerebrum. reticular
lum, or net. The reticular formation acts as The forebrain consists of two large cerebral formation. Why
a kind of sentry, both alerting higher centres hemispheres, a left side and a right side, that is it called
of the brain that messages are coming and then wrap around the brain stem. The outer portion the “brain’s
either blocking those messages or allowing of the forebrain has a thin covering, or cortex, gatekeeper”?
them to go forward. The reticular formation has and there are a number of important structures
an ascending part, which sends input to higher buried in the central regions of the hemispheres.
regions of the brain to alert it, and a descending
The thalamus: The brain’s sensory input. The
portion, through which higher brain centres can 19. What is
thalamus is located above the midbrain. It resem-
either admit or block out sensory input. the role of the
bles two small footballs, one within each cerebral
The reticular formation has attracted a great thalamus in
hemisphere. The thalamus is an important sen-
deal of interest from psychologists because of its sensory input,
sory processing and relay station, sometimes lik- and possibly
central role in consciousness, sleep, and atten-
ened to a switchboard that organizes inputs from in thought and
tion. The ascending reticular formation rouses
sense organs and routes them to the appropriate perceptual
higher centres in the brain, preparing them to
areas of the brain. The visual, auditory, and body disorders?
receive input from our sense organs. Without
senses (balance and equilibrium) all have major
reticular stimulation of higher brain regions,
relay stations in the thalamus. In each case, nerve
sensory messages do not register in conscious
tracts from the sensory receptors (e.g., the eyes or
awareness, even though the nerve impulses may
the ears) are sent to specific areas of the thalamus.
reach the appropriate higher areas of the brain.
There they synapse with neurons that send the
It is as if the brain is not “awake” enough to
messages on their way to the higher brain regions
notice them. In fact, some general anaesthetics
that create our perceptions (Jones, 2006). Recent
work by deactivating neurons of the ascending
evidence indicates that the thalamus has func-
reticular formation, producing a state of uncon-
tions that go beyond that of a simple relay station;
sciousness in which the sensory impulses that
it functions as an active, dynamic filter selecting
ordinarily would be experienced as pain never
what information is passed to higher brain regions
“register” in the sensory areas of the brain
(Alitto & Usrey, 2015). The only sense that does
involved in pain perception (Simon, 2007).
not send information through the thalamus is the
Sleep, wakefulness, and attention also are
evolutionarily ancient sense of smell.
affected by the reticular formation. In a classic
series of experiments in the late 1940s, research- The basal ganglia: Movement Surrounding and
ers discovered that electrical stimulation of dif- enveloping the thalamus is a group of at least
ferent portions of the reticular formation can five distinct structures that are collectively
produce instant sleep in a wakeful cat and sudden called the basal ganglia. The basal ganglia is
90 CHAPTER THREE
critical for voluntary motor control. Whereas glands of the endocrine system), the hypothala-
the cerebellum is critical for controlling reflex- mus directly controls many hormonal secretions
ive, automatic, and rapid movements, the basal that regulate sexual development and behav-
ganglia plays an important role in the deliberate iour, metabolism, and reactions to stress.
and voluntary control of movement, especially
in initiating voluntary movements. That you can The limbic system: Memory and goal-directed
reach out and pick up your coffee mug when you behaviour. As we continue our journey up
want to indicates that your basal ganglia is func- through the brain, we come to the limbic sys-
tioning. One example that illustrates the role of tem: a set of structures lying deep within the
the basal ganglia is Parkinson’s disease. In Par- cerebral hemispheres. These structures, which
kinson’s disease, the neurons that supply dopa- are shaped like a wishbone, have an important
mine to the basal ganglia degenerate and die. partnership with the hypothalamus. The limbic
Since dopamine is lost from the basal ganglia, system helps to coordinate behaviours needed
the basal ganglia does not function properly, to satisfy motivational and emotional urges
and the ability to initiate voluntary movement that arise in the hypothalamus, and it is also
is lost. Initially, the signs of Parkinson’s disease involved in memory. The limbic system
are small tremors of the hands and head, but as appears to organize many instinctive activities
the basal ganglia loses more and more of its sup- in lower animals, such as mating, attacking,
ply of dopamine, the tremors become shaking, feeding, and fleeing from danger (Davis, 1992).
then slow and jerky movements, then slow and Human behaviours are similarly organized into
jerky movements that can be performed only if goal-directed sequences. If certain parts of
there is assistance with initiating the movement. your limbic system were injured, you would be
For example, many spouses, family, or friends unable to carry out organized sequences of
of patients with Parkinson’s disease have stories actions to satisfy your needs. A small distrac-
about how the patients will stop at a curb or a tion would make you forget what you had set
corner and stay frozen, apparently unable to out to do.
move, but with a small push to get them started, Two key structures in the limbic system are
they will begin walking again. When the basal the hippocampus and the amygdala. The hippo
ganglia has been largely depleted of dopamine campus is involved in forming and retrieving
and hence does not function, there is complete memories. Damage to the hippocampus can
20. What
paralysis. Patients at the advanced stages of result in severe memory impairment for recent
role does the
hypothalamus Parkinson’s disease cannot move when they events and an inability to transfer information
have in want to; they cannot get up from a chair, get out from short-term memory to long-term memory
motivated of bed, or hold a book. If, however, the move- (Scoville & Milner, 1957; Isaacson, 2002). The
behaviour, ment depends on other, older brain structures, amygdala organizes emotional response pat-
hunger, such as the cerebellum, they can perform it. terns, particularly those linked to aggression
pleasure-pain, and fear (LeDoux, 1998). Electrically stimulat-
and hormonal The hypothalamus: Biological drives. The hypo- ing certain areas of the amygdala causes ani-
functions? thalamus (literally, “under the thalamus”) consists mals to snarl and assume aggressive postures
of tiny groups of neuron cell bodies that lie at the (Figure 3.14), whereas stimulation of other areas
21. What is
base of the brain, above the roof of the mouth. The results in a fearful inability to respond aggres-
the possible
relation hypothalamus plays a major role in controlling sively, even in self-defence. For example, a nor-
between the many different basic biological drives, including mally aggressive and hungry cat will cower in
hypothalamus sexual behaviour, temperature regulation, eating, fear from a tiny mouse placed in its cage. The
and the drinking, aggression, and the expression of emo- amygdala is a key part of a larger control system
limbic system tion. Damage to the hypothalamus can disrupt all for anger and fear that also involves other brain
regarding these behaviours. For example, destruction of one regions (Borod, 2000). An interesting recent
emotion and area of a male’s hypothalamus results in a com- study of two individuals with localized, bilateral
motivation? plete loss of sexual behaviour; damage to another damage to the amygdala found that the typical
What roles portion produces an overwhelming urge to eat avoidance of risky financial decisions (so-called
do the that results in extreme obesity (Morrison, 2006). “loss aversion”) was dramatically reduced in
hippocampus
The hypothalamus has important connec- both patients (De Martino, Camerer, & Adolphs,
and amygdala
play in tions with the endocrine system, the body’s col- 2010). This finding suggests that the amygdala
psychological lection of hormone-producing glands. Through has a role in inhibiting potentially risky actions.
functions? its connection with the pituitary gland (the An interesting feature of the amygdala is that
master gland that exerts control over the other it can produce emotional responses without the
Hippocampus
Thalamus
Hypothalamus
Amygdala
Pituitary gland
(a) (b)
© Karl Ammann/Corbis
FIGURE 3.14 The limbic system structures are shown in (a). Electrical stimulation of the amygdala, as in (b), can
produce an immediate aggressive response.
higher centres of the brain “knowing” that we Electrical stimulation of the hypothalamus
are emotionally aroused. This phenomenon may activates neurons within that brain region
provide an explanation for clinicians’ obser- and also activates axons that are going from
vations of “unconscious” emotional responses neuron cell bodies in the midbrain to a limbic
(LeDoux, 1998). structure called the nucleus accumbens. It is
In 1953, James Olds and Peter Milner were con- the activation of axons going to the nucleus
ducting an experiment to study the effects of elec- accumbens that is important for reward and
trical stimulation of the reticular formation in rats. motivation (Wise, 1996; Wise & Rompre,
One of the electrodes missed the target and was 1989). For example, Roy Wise, then of Con-
mistakenly implanted in the hypothalamus. The cordia University in Montreal, has shown that
investigators noticed that whenever this rat was the reward value of electrical stimulation of
stimulated, it repeated whatever it had just done, the hypothalamus can be either amplified or
as if it had been rewarded for that behaviour. In diminished by drugs that enhance or block,
a variety of learning situations, other animals respectively, dopamine actions within the
with similarly implanted electrodes also learned nucleus accumbens (Wise, 2004). This brain
and performed behaviours in order to receive area has also been linked to the rewarding
what was clearly an electrical reward. Some rats and motivating effects of drugs of abuse.
would press a lever thousands of times an hour to Drugs such as cocaine, amphetamines, opi-
receive the electrical stimulation, and would con- ates, nicotine, and alcohol, all stimulate the
tinue to do so until they dropped from exhaustion. release of dopamine in the nucleus accum-
The scientists concluded that they had found the bens of the limbic system (Blum et al., 2012).
“pleasure centre” in the brain (Olds, 1958; Olds and Other researchers, such as Alain Gratton of
Milner, 1954; White & Milner, 1992; Wise, 1996). McGill University, have found that naturally
Humans who have had electrodes implanted occurring rewards such as food, sexually rel-
in their brains to search for abnormal brain tis- evant cues, and sexual behaviour also lead
sue have reported experiencing pleasure when to the release of dopamine from axon termi-
electrically stimulated in these same brain nals in the nucleus accumbens (Hernandez &
regions (Heath, 1972). One patient reportedly Hoebel, 1988; Mitchell & Gratton, 1991; Phillips
proposed marriage to the experimenter while et al., 1992). Interestingly, Gratton has shown
being so stimulated. Thus, a misplaced elec- that not only do drugs of abuse and preferred
trode led to a discovery that neural events have foods activate the nucleus accumbens, but
important roles in motivation, and suggested also cues that reliably predict the arrival of
that the hypothalamus was the brain area criti- drugs or food have a similar effect (Gratton &
cal for motivation and reward. Wise, 1994; Kiyatkin & Gratton, 1994).
92 CHAPTER THREE
The Cerebral Cortex: Crown of the Brain spontaneously crude [limb] movements.
The cerebral cortex, a two-thirds centimetre- (Cairns, 1952, p. 109)
thick sheet of grey (unmyelinated) cells that Because the cortex is wrinkled and convo-
form the outermost layer of the human brain, luted, like a wadded-up piece of paper, a great
is the crowning achievement of brain evolu- amount of cortical tissue is compressed into
tion. Fish and amphibians have no cerebral a relatively small space inside the skull. Per-
cortex, and the progression from more primi- haps 75 percent of the cortex’s total surface
tive to more advanced mammals is marked by a area lies within its fissures, or folds. Three of
dramatic increase in the proportion of cortical these fissures are important landmarks. One
tissue. In humans, the cortex constitutes fully large fissure runs up the front and along the
80 percent of brain tissue (Kolb & Whishaw, top of the brain, dividing it into right and left
2003; Simon, 2007). hemispheres. Another major fissure within
The cerebral cortex is not essential for phys- each hemisphere divides the cerebrum into
ical survival in the way that the brain stem front and rear halves, and the third fissure runs
structures are, but it is essential for a human from front to rear along the side of the brain.
quality of living. How much so is evident in On the basis of these landmarks, neurologists
this description of patients who, as a result of have divided each hemisphere into four lobes:
an accident during prenatal development, were frontal, parietal, occipital, and temporal
born without a cerebral cortex: (Figure 3.15).
22. What are Some of these individuals may survive Each of the four cerebral lobes is associated
the four lobes for years, in one case of mine for twenty with particular sensory and motor functions
of the brain, years. From these cases, it appears that (also shown in Figure 3.15). Speech and skeletal
and where are the human [lacking a cortex] sleeps and motor functions are localized in the frontal lobe.
they located? wakes; . . . reacts to hunger, loud sounds, The area governing body sensations is located in
and crude visual stimuli by movement the parietal lobe immediately behind the central
of eyes, eyelids, and facial muscles; . . . fissure, which separates the frontal and parietal
may see and hear, . . . may be able to taste lobes. The brain’s visual area is located in the
and smell, to reject the unpalatable and occipital lobe at the back of the brain. Finally,
accept such food as it likes. . . . [They can] messages from the auditory system are sent to a
utter crude sounds, can cry and smile, region in the top of the temporal lobe (Robinson,
showing displeasure when hungry and 1997). Although different areas of cortex are
pleasure, in a babyish way, when being associated with specific functions, many com-
sung to; [they] may be able to perform plex behaviours involve the integrated activity
Primary motor cortex Somatic sensory cortex

(voluntary movement) (body sensations)
Parietal lobe
Frontal lobe
Broca’s area
Wernicke’s area
(speech formation)
(speech
understanding)
Occipital lobe
Primary auditory cortex
surrounded by higher-order Primary visual cortex
auditory cortex (hearing) surrounded by higher-
order visual cortex (sight)
Temporal lobe
Brain stem
Cerebellum
Spinal cord (motor control)
FIGURE 3.15 Division of the brain into frontal, parietal, occipital, and temporal lobes, and localization of sensory
and motor functions in the cortex. The remainder is primarily association cortex, consisting of interneurons involved
in complex psychological functions, such as perception and reasoning.
across many areas of cortex (see the Focus on in different parts of the motor cortex, and the
Neuroscience feature). The large areas in Fig- amount of cortex devoted to each area depends
ure 3.15 that are not associated with sensory or on the complexity of the movements that are
motor functions (about three-fourths of the cor- carried out by the body part. Note, for exam-
tex) are association cortex, which are involved ple, that the amount of cortical tissue devoted
in mental processes such as thought, memory, to your fingers is far greater than that devoted
and perception. to your torso, even though your torso is much
Most sensory systems send information to larger. If we electrically stimulate a particular
specific regions of the cerebral cortex. Motor point on the motor cortex, then movements
systems that control the activity of skeletal occur in the muscles governed by that part of
muscles are situated in other cortical regions. the cortex.
The basic organization of the cortex’s sensory
The sensory cortex. Specific areas of the cor-
and motor areas is quite similar in all mammals,
tex receive input from our sensory receptors.
from rats to humans. Let’s explore these regions
With the exception of taste and smell, at least
more closely.
one specific area in the cortex has been identi-
The motor cortex. The motor cortex, which fied for each of the senses. 23. Differentiate
controls the 600 or more muscles involved in The somatic sensory cortex receives sen- between sensory,
voluntary body movements, lies at the rear of sory input that gives rise to our sensations of motor, and
the frontal lobe adjacent to the central fissure. heat, touch, cold, and our senses of balance and association
cortex.
Each hemisphere governs movement on the body movement (kinesthesis). It lies in the pari-
opposite side of the body. Thus, severe dam- etal lobe just behind the motor cortex, separated
24. How are
age to the right motor cortex would produce from it by the large fissure that divides the frontal
the somatic
paralysis in the left side of the body. The left lobe from the parietal lobe. As in the case of the sensory and
side of Figure 3.16 shows the relative organiza- motor system, each side of the body sends sen- motor cortexes
tion of function within the motor cortex. As you sory input to the opposite hemisphere. Like the organized?
can see, specific body areas are represented motor area next to it, the somatic sensory area
Motor cortex Somatic sensory

cortex
Should
Elbo
k
er
Arm
Nec
k
w
n Trunk
Wr
Tru
Arm
Th
nd
Hip
is
um
rs
Knee
t
Hip Ha
ge
b
Ne Knee Fin m
b
ck u
Leg Th
Brow e
Foot Ey
Eye Ankle se
No
Toes
Face Face
Toes
Lips Lips
Genitals
Teeth
Jaw
Gums
Jaw
gue
Ton To
Swallowing Intra- n gu
abdominal Pharynx e
FIGURE 3.16 Both the somatic sensory cortex and the motor cortex are highly specialized so that every site is associated with a par-
ticular part of the body. The amount of cortex devoted to each body part is proportional to the sensitivity of that area’s motor or sensory
functions. Both the sensory and motor cortex are arranged in an upside-down fashion and serve the opposite side of the body.
Source: Adapted from Penfield/Rasmussen. The Cerebral Cortex of Man. © 1950 Gale, a part of Cengage Learning, Inc. Reproduced with permission.
www.cengage.com/permissions.
94 CHAPTER THREE
is basically organized in an upside-down fashion, cortex toward the top of the head, while stimula-
with the feet being represented near the top of the tion of the forehead increased activity near the
brain. Likewise, the amount of cortex devoted lower part of the somatosensory cortex (Servos,
to each body area is directly proportional to Engel, Gati, & Menon, 1999). That is, the represen-
that region’s sensory sensitivity. The organiza- tation of the face in the somatosensory cortex may
tion of the sensory cortex is shown on the right be upside-down, with the chin toward the top. This
side of Figure 3.16, as is the proportion of cortex position would better align the head with the rest
devoted to each body area. As far as your sen- of the body since an upside-down representation of
sory cortex is concerned, you are mainly fingers, the head within the somatosensory cortex would
lips, and tongue. Notice also that the organization place the chin nearer the neck and shoulders.
of the sensory cortex is such that the body struc-
25. Where are Speech comprehension and production. Two
tures it serves lie side by side with those in the
Wernicke’s and specific areas that govern the understanding and
motor cortex, an arrangement that enhances sen-
Broca’s areas? production of speech are also located in the cor-
How are they sory-motor interactions in the same body area.
tex (Figure 3.17). Wernicke’s area in the tempo-
involved in The senses of hearing and sight are well rep-
ral lobe is involved in language comprehension.
speech? resented in the cortex. The auditory area lies on
The area is named for Carl Wernicke, who in 1874
the surface of the temporal lobe at the side of
discovered that damage to this cortical region left
each hemisphere. Each ear sends messages to
patients unable to understand written or spoken
the auditory areas of both hemispheres, so the
speech. Broca’s area in the frontal lobe is neces-
loss of one temporal lobe has little effect on hear-
sary for normal speech production. The neural cir-
ing. The major sensory area for vision lies at the
cuits in and around Broca’s area are important for
rear of the occipital lobe. Here messages from
the ability to perform the sequences of fine-motor
the visual receptors are analyzed, integrated,
movements needed to speak, and are involved in
and translated into sight. As in the auditory sys-
the abilities to use grammar and find the correct
tem, each eye sends input to both hemispheres.
Within each sensory area, neurons respond to
particular aspects of the sensory stimulus; they Broca’s area Motor cortex Wernicke’s area
are tuned in to specific aspects of the environ- Formulates Stimulates Processes
ment. Thus, certain cells in the visual cortex fire a speech muscles incoming
only when we look at a particular kind of stimu- response and that produce speech and
stimulates speech comprehends it
lus, such as a vertical line or a corner (Hubel & motor cortex
Wiesel, 1979). In the auditory cortex, some neu-
rons fire only in response to high tones, whereas
others respond only to tones having some other
specific frequency. Many of these single-cell
responses are present at birth, suggesting that we
are “pre-wired” to perceive many aspects of our
sensory environment (Shair et al., 1991). None-
theless, the sensory cortex, like other parts of the
brain, is also sensitive to experience. For example,
when people learn to read Braille, the area in the
sensory cortex that receives input from the finger-
tips increases in size, making the person more sen-
sitive to the tiny sets of raised dots (Pool, 1994).
The representation of the body along the
somatosensory cortex shown in Figure 3.16 has
the head oriented with the top of the face toward
the top of the cortex and the chin lower down the
side of the cortex. Philip Servos of Wilfrid Laurier
University, together with colleagues at the Uni-
versity of California and the Robarts Research
Institute of Western University, have provided FIGURE 3.17 Cortical areas involved in language.
evidence that this well-known representation Wernicke’s area is important in the comprehension of
may be wrong. Using fMRI measurements, Ser- spoken or written speech. Broca’s area is involved in
vos and colleagues found that stimulation of the the production of speech, and the motor cortex stimu-
chin increased activity within the somatosensory lates the speech production muscles.
word (Saffran, Schwartz, & Martin, 1980; Dama-

sio, 1989). Its discoverer, Paul Broca, found that
damage to this frontal area left patients with the
ability to comprehend speech but not to express
themselves in words or sentences. These two
speech areas normally work in concert when you
are conversing with another person. They allow
you to comprehend what the other person is say-
ing and to express your own thoughts (Werker
& Tees, 1992). In this example, input is sent from
the ears to the auditory cortex and is routed to
Wernicke’s area for comprehension. When you
decide to reply, nerve impulses are sent from Wer-
nicke’s area to Broca’s area, and impulses passed
on from Broca’s area to the motor cortex result in
the mouthing of a verbal response. This sequence (a)
illustrates a key action principle of brain function-
ing: Even relatively simple acts usually involve
the coordinated action of several brain regions.
1 2 1 3
Association cortex. Association cortex, found 26. What is the
role of the
within all lobes of the cerebral cortex, is criti-
association
cally involved in the highest level of mental 1, 4 5, 9 cortex, the
functions, including perception, language, and “silent areas”?
thought. These areas are sometimes referred to
as “silent areas” because electrically stimulating 6, 10
them does not give rise to either sensory experi- 3, 11 2, 14
ences or motor responses. This fact has proba-
8
bly helped to promote the widely cited myth that
most humans use only 10 percent of their brain
power. Nothing could be farther from the truth. (b) 7, 15
Damage to specific parts of the association (photo): Chris F. Payne/The McGill News/McGill University Archives,
cortex causes disruption or loss of functions such Photographic Collection. PN000387
as speech, understanding, thinking, and problem FIGURE 3.18 Donald Olding Hebb (1904–1985) was
solving. As we might expect, since the association one of the towering figures in psychology and neurosci-
cortex is involved in higher mental processes, ence during the 20th century. A native of Chester, Nova
the amount of association cortex increases dra- Scotia, Hebb received his undergraduate education at
matically as we move up the brain ladder from Dalhousie University and his Ph.D. at Harvard. After brief
lower animals to human beings. It constitutes periods at the Montreal Neurological Institute, Queen’s
University, and the Yerkes Laboratories of Primate Biol-
about 75 percent of the human cerebral cortex
ogy, Hebb accepted a position at McGill University,
and accounts for humans’ superior cognitive where he published an enormously influential book, The
abilities. Our mass of association cortex has been Organization of Behavior: A Neuropsychological Theory
described by one scientist as “evolution’s missing (1949). Although he made many contributions, Hebb is
link” (Skoyles, 1997). He suggests that its mental best remembered and still frequently cited for his work
flexibility and learning capacity have allowed us on how learning, memory, and thought arise from activity
to upgrade our cognitive skills and to acquire new within the cerebral cortex. Hebb proposed a mechanism
for learning and memory (now called the Hebb synapse),
mental skills specific to our human way of life,
an explanation of how groups of neurons formed cir-
such as reading and mathematics, more quickly cuits based on use (cell assemblies), and the idea that
than could have occurred through natural selec- thought is the sequential activation of cell assemblies.
tion alone. Pioneering work on how such activ-
ity is represented within the cortex was done by
D.O. Hebb of McGill University (see Figure 3.18). Oliver Sacks (1985). A patient, Dr. P., had suf-
The importance of the association cortex is fered brain damage that disrupted communica-
demonstrated in people who suffer from agno- tion between the visual cortex and cortical areas
sia, the inability to identify familiar objects. One concerned with the nature of objects. Dr. P. could
famous case was described by the neurologist describe items in detail but could not identify
96 CHAPTER THREE
them. On one occasion, “He reached out his hand His contractors, who regarded him as the
and took hold of his wife’s head, tried to lift it off, most efficient and capable foreman in their
to put it on [his head]. He had apparently mis- employ previous to his injury, considered
taken his wife for a hat!” (Sacks, 1985, p. 9). the change in his mind so marked that
they could not give him his place again.
The frontal lobes: The human difference. Some The equilibrium or balance, so to speak,
neuroscientists have suggested that the entire between his intellectual faculties and
period of human evolutionary existence could animal propensities, seems to have been
well be termed the “age of the frontal lobe” destroyed. He is fitful, irreverent, indulging
(Krasnegor et al., 1997). This mass of cortex at times in the grossest profanity (which
residing behind our eyes and forehead hardly was not previously his custom), manifest-
exists in mammals such as mice and rats. The ing but little deference for his fellows,
frontal lobes constitute about 3.5 percent of the impatient of restraint or advice when it
cerebral cortex in the cat, 7 percent in the dog, conflicts with his desires . . . devising many
and 17 percent in the chimpanzee. In a human, plans of future operations, which are no
the frontal lobes constitute 29 percent of the sooner arranged than they are abandoned
cortex. The site of such human qualities as self- in turn for others. . . . His mind is radically
awareness, planning, initiative, and responsibil- changed, so decidedly that his friends and
ity, the frontal lobes are in some respects the acquaintances say that he is “no longer
most mysterious and least understood part of the Gage.” (Harlow, 1868, pp. 339–340)
brain. As we explore in this chapter’s Frontiers
feature, the frontal cortex has recently been As the tragic accident to Phineas Gage shows
found to contain neurons that are active both us, biological and psychological processes are inti-
when an activity is planned and performed, but mately related. Physical damage to Gage’s brain
also when watching another perform this action. changed his thinking and behaviour so radically
Early indications about the functions of the that a psychologically different person emerged.
frontal cortex come from the tragic case of Much of what we know about the frontal lobes
Phineas Gage. The year was 1848. As the Ver- comes from detailed studies of patients who
mont winter approached, a railroad construc- have experienced brain damage, starting with
tion crew hurried to complete its work on a new
track. As a blasting crew prepared its charges,
the dynamite accidentally exploded. A spike
more than a metre long and weighing almost
6 kilograms was propelled through the face and
head of Phineas Gage, the 25-year-old foreman.
The spike entered through the left cheek, passed
through the brain, and emerged through the top
of the skull (Figure 3.19). Dr. J.M. Harlow, who
treated Gage, described the incident:
The patient was thrown upon his back by
the explosion, and gave a few convulsive
motions of the extremities, but spoke in a
few minutes. He . . . seemed perfectly con-
scious, but was becoming exhausted from
the hemorrhage, . . . the blood pouring
from the top of his head. . . . He bore his
sufferings with firmness, and directed my
attention to the hole in his cheek, saying,
“the iron entered there and passed through
my head.” (Harlow, 1868, pp. 330–332)
Miraculously, Gage survived. Or did he?
FIGURE 3.19 The brain damage suffered by Phineas
His physical health is good, and I am Gage seemed to change him into a new person.
inclined to say that he has recovered. Has From: Damasio, H., Grabowski, T., Frank, R., Galaburda, A.M.,
Damasio, A.R.: The return of Phineas Gage: clues about the
no pain in his head, but says it has a queer brain from the skull of a famous patient. Science, 264:
feeling that he is not able to describe. . . . 1102–1105, 1994.
Frontiers
MIRROR NEURONS AND AUTISM Autism spectrum disorder (ASD) is a group of devel-
SPECTRUM DISORDER opmental disorders characterized by deficits in social
interactions, communication difficulties, stereotyped
A group of researchers at the University of Parma in Italy or repetitive behaviours, and, in some cases, cognitive
were studying the control of movement in monkeys when delays (DSM-5, American Psychiatric Association, 2013).
they made a surprising and completely unexpected discov- Autism and Asperger syndrome are the two best known
ery. The same neurons that became active when a mon- disorders along this spectrum. The suggested role of mir-
key performed an action became active when it observed ror neurons in helping us understand the behaviour of
another monkey perform the same act (Rizzolatti et al., others has led some researchers to suggest that prob-
1996; Rizzolatti & Sinigaglia, 2010). Not only did this lems in the development or functioning of mirror neurons
happen when the monkey saw another monkey perform a may be important in ASD. Some findings have suggested
behaviour, such as reaching for food, these neurons also that the mirror neuron system is affected in ASD (Hamil-
became active when it saw one of the researchers reach ton, 2013), but findings are not consistent (Poulin-Lord
for food. That is, these neurons seemed to react to the et al., 2014).
behaviour of another individual and what mattered was that Yang and Hofman (2015) reviewed and performed a
the behaviour was a deliberate, intentional action that the meta-analysis on research publications on mirror neurons
monkey itself could perform in the future. These neurons in ASD that used fMRI. Thirteen papers published between
are located most importantly in areas of the frontal cor- 2006 and 2015 (with almost half published in 2014 and
tex associated with the planning and execution of deliber- 2015) met their criteria for inclusion. The results of their
ate movements and in sensory areas of the parietal cortex meta-analysis were that compared to typically developed
(look back at Figure 3.15). control participants, those with ASD showed clear evidence
These neurons were named “mirror neurons” because of dysfunction in areas of the frontal and parietal cortices
they became active both when an individual performed an that are part of the mirror neuron system. The results of
action and when that individual observed the same action the meta-analysis indicated that during action observation
performed by another. That is, these neurons “mirror” the and imitation, ASD participants showed deficits in mirror
behaviour of others. Whether I watch you reach for your cof- neuron activity. The brain areas affected are ones that are
fee or I am planning and executing the same action to get thought to help translate observed behaviour into our own
my coffee, the activity in my mirror neurons is the same. motor commands (so-called sensory-to-motor remapping).
Mirror neurons have been suggested to serve a range
of functions. One is that mirror neurons are important for
observational learning. Observational learning is acquiring
a new behaviour by watching someone else perform the
behaviour (we will discuss observational learning in detail
in Chapter 7). Mirror neurons that become active both
when you watch someone perform a deliberate action and
when you yourself perform that action would seem to be
well-suited to a role in supporting observational learning
(Molenberghs, Cunnington & Mattingley, 2009). We do not
always imitate the behaviours we see others perform but
mirror neurons still become active. This has led some to
suggest that mirror neurons may instead contribute to our
understanding of other peoples’ behaviour (Gallese, 2013).
They may also help us understand other peoples’ emotional
state and thus support reactions such as empathy (Braad-
baart et al., 2014).
The exact functions of mirror neurons are still debated
(Yang & Hofman, 2015), but it is clear that mirror neurons
generate a pattern of activity within the observer’s brain
that closely matches what is happening within motor and
Master1305/Shutterstock
sensory areas of the actor’s brain. This may play a role in
learning, understanding language, social interactions, the FIGURE 3.20 When we see someone perform a behaviour
spread of emotional responses within a group, and in under- we generate the same pattern of activity in our mirror neurons
standing others. as though we ourselves were performing that behaviour.
continued
98 CHAPTER THREE
Yang and Hofman concluded that these deficits may con- There are still many questions about mirror neurons, but
tribute to difficulties in being able to understand the actions research on mirror neurons has implications for our under-
of others. standing of learning, social interactions, our ability to under-
The discovery of mirror neurons was surprise, at the time stand others, emotional reactions, and even developmental
of their discovery no one had predicted anything like them. disorders such as ASD.
Phineas Gage and progressing to the pioneering showed parallel evidence of failure in executive
studies performed by Brenda Milner of McGill functions such as judgment, foresight, and impulse
University. Frontal lobe damage results not so control. These early studies have led to research
much in a loss of intellectual abilities as in a loss on the role of the frontal cortex in behavioural
of the ability to plan and carry out a sequence of control, aggression, and criminal behaviour.
actions, and judge the order in which a series of During the 1940s and 1950s, many thousands
events has occurred or will occur in the future of psychiatric patients who suffered from dis-
(Milner, Petrides, & Smith, 1985). turbed and violently emotional behaviour were
The frontal cortex is also involved in emo- subjected to operations called prefrontal lobot-
27. Describe
tional experience. In people with normal brains, omies (Shorter, 1998). The operation was per-
the role of the
PET scans show increased activity in the fron- formed by inserting an instrument with sharp
frontal cortex in
higher mental tal cortex when these people are experiencing edges into the brain, and then wiggling it back
(including feelings of happiness, sadness, or disgust (Lane and forth to sever the nerve tracts that connected
“executive”) et al., 1997). In contrast, patients with frontal the frontal lobes with the subcortical regions
functions. lobe damage often exhibit attitudes of apathy associated with emotion. The calming effect
and lack of concern. They literally don’t seem to was so dramatic that Egas Moniz, the developer
care about anything. of the technique, was awarded a Nobel Prize.
A region of the frontal lobe known as the pre- However, the devastating side effects on mental
frontal cortex has received increasing attention functions that occurred as the executive func-
in recent years. The prefrontal cortex, located tions were destroyed were equally dramatic, and
just behind the forehead, is the seat of the so- the development of antipsychotic drugs resulted
called “executive functions.” Executive functions, in the abandonment of this form of “treatment.”
mental abilities involving goal setting, judgment,
strategic planning, and impulse control, allow Hemispheric Lateralization:
people to direct their behaviour in an adaptive The Left and Right Brains
28. What is fashion (Xue et al., 2009). Deficits in executive The left and right cerebral hemispheres are con-
hemispheric functions seem to underlie a number of problem nected by a broad white band of myelinated
lateralization, behaviours. People with prefrontal cortex disor- nerve fibres. The corpus callosum is a neural
and what do ders seem oblivious to the future consequences bridge that acts as a major communication link
we know about of their actions and seem to be governed only by between the two hemispheres and allows them
the functions immediate consequences (Bechara et al., 1994). to function as a single unit. Despite the fact that
that are Phineas Gage, the railroad foreman described they normally act in concert, there are impor-
concentrated earlier, suffered massive damage to his prefron- tant differences between the psychological
in the left tal cortex when the spike tore through his brain functions that are represented in the two cere-
and right (see Figure 3.19). Thereafter, he exhibited clas- bral hemispheres. Lateralization refers to the
hemispheres?
sic symptoms of disturbed executive functions, relatively greater localization of a function in
becoming behaviourally impulsive and losing his one hemisphere or the other.
capacity for future planning. Medical studies of patients who suffered vari-
A more ominous manifestation of prefron- ous types of brain damage provided the first clues
tal dysfunction was discovered by Adrian Raine that certain complex psychological functions
and colleagues (1997; Steuber et al., 2006). Using were lateralized on one side of the brain or the
brain-imaging techniques, the researchers stud- other. For example, when Broca’s or Wernicke’s
ied 41 violent murderers who had pleaded not speech areas are damaged, the result is aphasia,
guilty by reason of insanity. The murderers’ PET the partial or total loss of the ability to communi-
scans showed clear evidence of reduced activity cate using language. Depending on the location
in the prefrontal cortex. Their murderous acts, of the damage, the problem may lie in recogniz-
which were often random and impulsive in nature, ing the meaning of words, being unable to use
grammar, or in both functions. C. Scott Moss, a right hemisphere is relatively more active when
clinical psychologist who became aphasic in both negative emotions such as sadness and anger
ways for a time as a result of a left hemisphere are being experienced. Positive emotions such
stroke, described what it was like for him: as joy and happiness are accompanied by
relatively greater left-hemisphere activation
I recollect trying to read the headlines of
(Marshall & Fox, 2000).
the Chicago Tribune but they didn’t make
any sense to me at all. I didn’t have any diffi-
culty focusing; it was simply that the words, The split brain: Two minds in one body? Despite
individually or in combination, didn’t have the lateralization of specific functions in the
meaning, and even more amazing, I was two cerebral hemispheres, the brain normally
only a trifle bothered by that fact. . . . I think functions as a unified whole because the two
part of the explanation was that I had hemispheres communicate with each other
[also] lost the ability to engage in self-talk. through the corpus callosum. The functions of
In other words, I didn’t have the ability to the two cerebral hemispheres were most dra-
think about the future—to worry, or antici- matically illustrated by a series of Nobel Prize–
pate or perceive it—at least not with words. winning studies by Roger Sperry (1970) and his
(1972, pp. 4–5) associates.
Like many scientific advances, this discovery
When the right hemisphere is damaged, the resulted from natural human misfortune. Some
clinical picture is quite different. Language func- patients suffer from a form of epilepsy in which
tions are not ordinarily affected, but the person a seizure that begins as an uncontrolled elec-
has great difficulty in performing tasks that trical discharge of neurons on one side of the
demand the ability to perceive spatial relations. brain spreads to the other hemisphere. Neuro-
A patient may have a hard time recognizing faces surgeons found that by cutting the nerve fibres
and may even forget a well-travelled route or, as in of the corpus callosum, they could prevent the
the case of Dr. P., mistake his wife for a hat (Sacks, seizure from spreading to the other hemisphere.
1985). It appears that mental imagery, musical and Moreover, the operation did not seem to disrupt
artistic abilities, and the ability to perceive and other major psychological functions.
understand spatial relationships are primarily Split-brain research was made possible by
right-hemisphere functions (Biller et al., 2006). the way in which our visual input to the brain is 29. What roles
have (a) the
Even among individuals who have not expe- “wired.” Some of the fibres of the optic nerve from
corpus callosum
rienced any brain damage and who do not have each eye cross over at the optic chiasm and travel
and (b) the optic
a history of abnormal brain function, the later- to the opposite brain hemisphere (see Figure 3.21). chiasm played
alization of function can be detected (Kimura, Fibres that transmit messages from the right side in “split-brain”
1973). It is possible to present stimuli such as of the visual field project to the left hemisphere research? Is
words or music, for example, in such a way that and fibres from the left visual field project to it reasonable
the information arrives first in one hemisphere. the right hemisphere. We normally experience a to speak of
The information is quickly and efficiently trans- unified visual world rather than two half-worlds separate “right”
ferred to the other hemisphere, but the hemi- because the hemispheres’ visual areas are con- and “left”
sphere that received the information first has a nected by the corpus callosum. When the corpus brains in normal
head start on processing it. Subtle differences callosum is cut, however, visual input to one hemi- people?
in the abilities of the two hemispheres can be sphere cannot be sent to the other hemisphere.
detected by precisely measuring the speed and In Sperry’s experiments, split-brain patients
accuracy of subjects when the information is focused on a fixation point, a dot on the centre
provided to one hemisphere before the other. of a screen, while slides containing visual stim-
Verbal stimuli such as letters and words are uli (words, pictures, and so on) were flashed
identified more quickly and accurately when to the right or left side of the fixation point
they are presented in such a way that the infor- (Figure 3.22). When words were flashed to the
mation goes first to the left hemisphere while right side of the visual field, resulting in their
recognizing faces or melodies is faster and more being sent to the language-rich left hemisphere,
accurate if that information goes first to the subjects could describe verbally what they had
right hemisphere (Kimura, 1973). seen. They also could write what they had seen
The two hemispheres differ not only in the with their right hand (which is controlled by
cognitive functions that reside there, but also the left hemisphere). However, if words were
in their links with particular types of emotions. flashed to the left side of the visual field and
EEG and imaging studies have shown that the sent on to the right hemisphere, the subjects
100 CHAPTER THREE
Left visual field Right visual field could not describe what they had read on the
Fixation
screen.
point The inability to describe stimuli verbally did
not mean, however, that the right hemisphere
was incapable of recognizing them. If a picture
of an object (e.g., a hairbrush) were flashed to
the right hemisphere, and the left hand (con-
trolled by the right hemisphere) were allowed to
feel many different objects behind the screen,
the person’s hand would immediately select the
brush and hold it up (Figure 3.22c). As long as
the person continued to hold the brush in the left
hand, sending sensory input about the object to
the “non-verbal” right hemisphere, the person
was unable to name it. However, if the brush
were transferred to the right hand, the person
could immediately name it. In other words, until
the object was transferred to the right hand, the
left hemisphere had no knowledge of what the
right hemisphere was experiencing.
Severed Split-brain patients can function adequately
corpus callosum in daily life because visual input is not usually
restricted to only one visual field; we tend to nor-
FIGURE 3.21 The visual system’s anatomy made mally scan the environment and move our gaze
studies of split-brain subjects possible. Images enter-
allowing visually information to fall in both the
ing the eye are reversed by the lens. Optic nerve fibres
from the inner portion of the retina (toward the nose) left and right visual fields and go to both hemi-
cross over at the optic chiasm, whereas the fibres spheres. The “split-mind” phenomena shown in
from the outer portion of the retina do not. As a result, the laboratory appeared because the patients
the right side of each eye’s visual field projects to the were tested under experimental conditions that
visual cortex of the left hemisphere, whereas the left were specifically designed to isolate the func-
visual field projects to the right hemisphere. When the tions of the two hemispheres. Nonetheless, the
corpus callosum is cut, the two hemispheres no longer
results of split-brain research were so dramatic
communicate with each other. By presenting stimuli to
either side of the visual fixation point, researchers can that they led some people (and even some scien-
control which hemisphere receives the information. tists) to promote a conception of brain functions
“With your left hand, select

Picture of hairbrush the object you saw from
flashed on screen “What did you see?” those behind the screen.”
“I don’t know.”
(a) (b) (c)
FIGURE 3.22 A split-brain patient focuses on the fixation point in the centre of the screen. In (a), a picture of a hairbrush is briefly
projected onto the left side of the visual field, thus sending the information to the right hemisphere. In (b), the patient is asked to state
verbally what she saw. She cannot name the object. In (c), she is asked to select the object she saw, and is able to find it with her left
hand. If the object were transferred to her right hand, or if the word were flashed to the right side of the visual field, the information would
be sent to the language-rich left hemisphere, and she would be able to name the object.
as being highly localized and restricted to one

hemisphere or the other. Even today, we hear Thinking critically
about “right brain” education programs and
the untapped potential that they can release. DO THE SEXES DIFFER?
Certainly, there is some degree of localization Does the evidence for activity in both hemispheres
of brain functions, but a far more important during a language task (Shaywitz at el., 1995)
principle is that in the normal brain, most func- prove that women require the use of both sides
tions involve many areas of the brain working of the brain for language? What kids of evidence
would provide information about this question?
together. The brain is an exquisitely integrated
system, not a collection of localized functions. Think about it, and then see the Answers section
Hemispheric lateralization of language. For

many years, scientists have known that for most
people language is primarily a left-hemisphere
function. Why language tends to be localized in stroke patients also suggest that there may be
sex differences in the lateralization of certain 30. How is
the left hemisphere is not clear, but it may have
language
some undiscovered evolutionary significance aspects of language (Ciarello et al., 2009; Lin-
lateralized in the
(Gannon et al., 1998). dell & Lamb, 2008). On the whole, however, the brain? Are there
About 90 percent of people are right-handed, brains of men and women are far more similar sex differences?
and among this majority, 95 percent have left than they are different (Wallentin, 2009).
hemisphere language dominance. Among left-
handers, half have language in the left hemisphere, Plasticity in the Brain: The Role of
25 percent have it localized in the right hemisphere, Experience and the Recovery of Function
and the rest have language functions in both Learn to walk, acquire speech, read, fall in love,
hemispheres. Those who use both hemispheres for and your brain changes in a way that makes you
language functions have a larger corpus callosum, a different person than you were before. Learn-
perhaps because more interhemispheric commu- ing and practising a mental or physical skill
nication is required (Springer, 1997). may change the size or number of brain areas
Left-hemisphere lateralization is the case not involved and alter the neural pathways used in
only for spoken and written language, but also the skill (Cicchetti, 2015; Posner & Rothbart,
for non-verbal kinds of language, such as sign lan- 2007a). This process of brain alteration begins in
guage. PET scans of neural activity show that, just the womb and continues throughout life. It is gov-
as hearing people process speech with their left erned in important ways by genetic factors but
hemisphere, deaf people use the left hemisphere also is strongly influenced by the environment.
to decipher sign language. Likewise, a left-hemi- Neural plasticity refers to the ability of
sphere stroke affects their ability to understand or 31. What is
neurons to change in structure and function
neural plasticity?
produce sign language (Corina et al., 1992). (Cicchetti, 2015; Kolb & Whishaw, 1998). Two
How do age,
Realize, however, that even if your left hemi- aspects of neural plasticity—the effects of early environment, and
sphere is dominant for language, this does not experience on brain development and recovery behaviour affect
mean that your right hemisphere lacks lan- from brain damage—are at the forefront of cur- plasticity?
guage ability. PET scan studies measuring cere- rent research (Ethier, Gallego, & Miller, 2015).
bral blood flow in the brains of normal people Brain development is programmed by com-
indicate that both hemispheres are involved in plex commands from our genes, but how these
speaking, reading, and listening (Leondes, 1997; genetic commands express themselves can be
Raichle, 1994). One notable finding, however, is powerfully affected by the environment in which
that males and females may differ in the extent we develop, including the environment we are
to which certain language functions are later- exposed to in the womb (Fenichel, 2006). There
alized. For example, when viewing randomly is a long history of research indicating the impor-
arranged vowels and consonants and asked if tance of early experience for brain development
two nonsense words rhymed, women showed and neural plasticity. Exposure of the developing
more activity in the right hemisphere than did fetus to drugs, such as alcohol, and other toxins
men (Shaywitz et al., 1995). Brain-imaging stud- can disrupt brain development and produce the
ies indicate that during a language task men lifelong mental and behavioural damage seen in
show greater left hemisphere activation, while fetal alcohol syndrome (Rangmar et al., 2015).
women show activity in both hemispheres There is evidence that being raised in a stimulat-
(Clements et al., 2006). Clinical observations of ing environment leads to lasting changes such
102 CHAPTER THREE
In Review
• The human brain consists of the hindbrain, the limbic system seems to be involved in organiz-
midbrain, and the forebrain, an organization ing the behaviours involved in motivation and
that reflects the evolution of increasingly more emotion.
complex brain structures related to behavioural • The cerebral cortex is divided into frontal, pari-
capabilities. etal, occipital, and temporal lobes. Some areas
• Major structures within the hindbrain include of the cerebral cortex receive sensory input,
the medulla, which monitors and controls vital some control motor functions, and others (the
body functions; the pons, which contains impor- association cortex) are involved in higher men-
tant groups of sensory and motor neurons; and tal processes in humans. The frontal lobes are
the cerebellum, which is concerned with motor particularly important in such executive func-
coordination. tions as planning, voluntary behaviour, and
• The midbrain contains important sensory and self-awareness.
motor neurons, as well as many sensory and • Although the two cerebral hemispheres ordinar-
motor tracts connecting higher and lower parts of ily work in coordination with each other, they
the nervous system. The reticular formation plays appear to have different functions and abilities.
a vital role in consciousness, attention, and sleep. Studies of split-brain patients who have had the
Activity of the ascending reticular formation excites corpus callosum cut indicate that the left hemi-
higher areas of the brain and prepares them to sphere commands language and mathemati-
respond to stimulation. The descending reticular cal abilities, whereas the right hemisphere has
formation acts as a gate, determining which stim- well-developed spatial abilities, but a generally
uli get through to enter into consciousness. limited ability to communicate through speech.
• The forebrain consists of two cerebral hemi- However, recent findings indicate that language
spheres and a number of subcortical structures. functions are less lateralized in women than in
The cerebral hemispheres are connected by the men. Positive emotions are believed to be linked
corpus callosum. to relatively greater left-hemisphere activation
and negative ones to relatively greater right-
• The thalamus acts as a relay and filter through hemisphere involvement. Despite hemispheric
which impulses originating in sense organs are localization, however, most behaviours involve
routed to the appropriate sensory projection interactions between both hemispheres; the
areas. The hypothalamus plays a major role in brain operates as a system.
supporting many different biological drives. The
as larger neurons with more dendritic branches, Apart from practising cognitive tasks, motor
and greater concentrations of acetylcholine, the practice can also lead to neural plasticity
neurotransmitter involved in motor control and throughout life, including during one’s senior
memory (Rosenzweig, 1984). years (Cai et al., 2014).
Research indicates that neural plasticity
is not restricted to early development as was Recovery of function after injury. When an
once thought. For example, experienced string injury results in the destruction of brain tissue,
musicians who do elaborate movements on other neurons must take over the lost functions
the strings with their left hands had a larger of the dead neurons if recovery is to occur. At
right-hemisphere somatosensory area devoted times the brain shows an amazing plasticity
to these fingers than did non-musicians. The and recovery of function, as the following case
corresponding left-hemisphere (right-hand) illustrates:
cortical areas of the musicians and non-
musicians did not differ (Elbert et al., 1995). More Jimmy was a healthy and normal 5-year-
recently, brain plasticity has been explored old child who awoke one day unable to
among healthy seniors and among those recov- speak and slightly paralyzed on the right
ering from brain damage. Among healthy side of his body. A blood vessel in his left
seniors, training in complex cognitive tasks temporal lobe had ruptured and an area
was found, using MRI, to enhance neural activ- of the brain “downstream” from the site of
ity, increase cerebral blood flow, and promote the stroke had died when its blood supply
healthier white matter (Chapman et al., 2015). was cut off. For Jimmy’s father, it was like
Focus on
Neuroscience
THE NEUROSCIENCE OF MUSIC over extended time periods. The ability to integrate informa-
tion across an extended period of time is essential for the
Time to sit back and listen to some music—perhaps even study of music; one or two notes in isolation do not make
sing along with one of your favourite songs. Music has music—music requires the flow of notes over time. The goal
been called the universal language; every known human cul- of the research was to study the brain areas involved in
ture has music and music plays an important role in many the processing and integration of music that are common
social activities (Levitin, 2008). Simple musical instru- across people. The study included both male and female
ments, such as flutes made from the bones of birds, rep- participants, all of whom were right-handed and who had
resent some of humankind’s oldest artifacts and date from little or no musical training. While brain imaging was done,
at least 42 000 years ago (Higham, 2012). Daniel Levi- the participants listened to a musical selection (music by
tin of McGill University has turned the techniques of mod- the late-Baroque composer William Boyce) or to two dif-
ern neuroscience to the study of one of our oldest social ferent control conditions in which the temporal or spectral
endeavours—making and listening to music. characteristics of the music were disrupted. That is, par-
Music activates a wide range of brain areas; there is no ticipants were tested listening to music or when listening to
single “music centre” within the brain (Levitin, 2006). Dif- two other sets of sounds that contained the same simple
ferent aspects of music are processed by different brain auditory elements but that did not have the structure and
areas (Levitin, 2012). Different areas within the main audi- qualities of music.
tory centres of the brain in the thalamus and the temporal The researchers found a distinct set of brain areas that
cortex play a critical role in the early stages of processing showed activity common across participants when they
music. Pitch, how high or low a note is, is represented by a listened to the music but not to the control sounds. There
strip of cortex arranged as a tonotopic map (or tone map), was activity within the auditory areas of the thalamus and
meaning that different pitches are represented by areas the temporal cortex of the right hemisphere. Several spe-
of the brain arranged in an orderly and predictable fash- cific areas within the right frontal cortex showed activity
ion, going from low to high pitch, like the keys of a piano during presentation of the music, as did both sides of
keyboard. That is, notes that are adjacent in pitch are rep- the parietal cortex, but with greater activity in the right
resented by adjacent areas of the primary auditory cortex parietal cortex. There was also activity in areas of the cor-
in the temporal cortex. The different sounds made by dif- tex associated with planning movement. It is interesting
ferent instruments, or timbre, are processed by a different that there was activity in the cortex involved in planning
area of the temporal cortex than where pitch is processed. movement (premotor cortex); these were non-musicians,
This area is found along the sulcus, or fissure, that runs so they could not have been imagining how they would
lengthwise along the middle of the temporal lobe. Tempo play the music they were listening to. This study showed
and rhythm involve areas of the cerebellum and the basal that activity within auditory brain areas and in higher corti-
ganglia; as we discovered earlier, these are both areas cal areas, like the right frontal cortex and right parietal
associated with the control of movement. It is interesting cortex, tracked aspects of musical structure over extended
that tempo and rhythm, aspects of music that tend to elicit periods of time.
movement coordinated with the music (such as toe-tapping,
swaying, and dancing), are associated with activity in motor
areas of the brain. Do you like music? Can music evoke
an emotional reaction from you? Music has been shown to
lead to the release of the neurotransmitter dopamine within
the nucleus accumbens, an event associated with motiva-
tion and reward, and activity within the amygdala, a brain
area associated with emotions. Finally, the most complex
aspects of music, such as remembering melodies, expec-
tations about rhythm, melody and harmony, and musical
attention, involve areas within the frontal and prefrontal cor-
tices (Levitin, 2012).
In an interesting recent study, Levitin and colleagues
investigated how these aspects of music, processed sep-
© Monte S. Buchsbaum, M.D., Mt. Sinai School of Medicine, New York, NY
arately, are put together so that we perceive a coherent
and meaningful piece of music (Abrams et al., 2013). They FIGURE 3.23 Listening to music is not just hearing a series
measured brain activity with fMRI, and used a technique of sounds. Recent research has shown that distinct brain cir-
that allowed them to examine the integration of information cuits are involved when you listen to music.
continued
104 CHAPTER THREE
The work by Daniel Levitin and his colleagues, as well activity within the brain, a pattern that, as far as we know,
as by other neuroscientists interested in music, has shown is unique to music. Listening to music evokes consistent
that when we listen to music our brains do not simply show and distinctive patterns of brain activity in brain areas that
the patterns of activity you would expect from listening to extend beyond primary auditory areas to some of the high-
a series of sounds. Music generates a specific pattern of est and most distinctively human parts of the brain.
reliving a nightmare. His own grandfather unknown factors (Milligan & Schwartz, 1997).
had also suffered a left hemisphere stroke As a result, adults actually have fewer synapses
(late in life). The elderly man never recov- in the brain than do children, despite their more
ered his speech and he remained partially advanced cognitive and motor capabilities.
paralyzed until his eventual death. But for Yet even adults can maintain or recover some
Jimmy, the story had a happier ending. functions after neuron death (Varney & Roberts,
Within three months, Jimmy was again 1999). When nerve tissue is destroyed or neu-
speaking normally, and his paralysis had rons die as part of the aging process, surviving
disappeared completely. He was ready to neurons can restore functioning by modifying
resume the life of a normal 5-year-old. All themselves either structurally or biochemically
that remained of his ordeal was a frighten- (Lomber & Eggermont, 2006). They can alter
ing memory. (Gazzaniga et al., 1979) their structure by sprouting enlarged networks
of dendrites or by extending axons from sur-
Neural reorganization had occurred in viving neurons to form new synapses (Shep-
Jimmy’s brain, allowing other neurons to take herd, 1997). Surviving neurons may also make
over the functions of those that had died. up for the loss by increasing the volume of
The outcomes for Jimmy and his grandfather neurotransmitters they release (Dwyer, 2007).
also illustrate an important general principle: Finally, recent research findings have begun to
Brain damage suffered early in life is less dev- challenge the long-standing assumption of brain
astating than damage suffered as an adult scientists that dead neurons cannot be replaced
(Blosser, 2000). in the mature brain (Kempermann, 2005). The
The brain is clearly capable of greater plas- development of new cells (neurogenesis) has
32. Why ticity early in life. In one study, researchers took been demonstrated in the brains of rodents
do children neurons from the visual cortex of cats and then and primates within the hippocampus, which
typically show
raised the neurons in a culture containing the is involved in memory. In 1998, evidence for
better recovery
of function after nutrients needed for survival. They found that the the birth of new cells in the human adult hip-
brain injury? neurons could survive and create new synapses pocampus appeared (Eriksson et al., 1998).
with other neurons in the culture quite well if they Then, in what could be a landmark scientific
33. Is it true that were taken from kittens who were two to four discovery, psychologist Elizabeth Gould and
at birth you have weeks old but not if they were obtained from older her Princeton colleagues (1999) provided the
all the neurons animals (Schoop, Gardziella, & Muller, 1997). first evidence of neurogenesis in the cerebral
you will ever Studies using the electron microscope may cortex of a primate. Using complex chemical
have? explain why such plasticity is possible early in and microscopic analysis techniques with adult
life. The one- to two-year-old child has about macaque monkeys, Gould’s team tracked newly
50 percent more brain synapses than mature developed neurons from their birthplace in sub-
adults do (Lomber & Eggermont, 2006). This cortical tissue. The immature neurons migrated
greater availability of synapses may help to upward along myelinated nerve tracts into the
explain why children can recover from brain association areas of the cerebral cortex, where
damage more quickly and completely than adults. they sprouted axons and extended them toward
But, sadly, the days of synaptic riches don’t last existing neurons. The researchers speculated
forever. Unused or weaker synapses deteriorate that these new neurons may be involved in
with age so that the brain loses some of its plas- higher-order mental functions, such as com-
ticity (Huttenlocher, 2002). Moreover, cell death is plex learning and memory. If similar results
programmed into every neuron by its genes, and are found in humans, whose brain structures
what some neuroscientists refer to as the neuron’s and functions are similar to those of primates,
“suicide apparatus” is activated by a lack of stim- new light could be shed on brain mechanisms
ulation from other neurons and by many other of information storage and plasticity. It is even
possible that degenerative mental disorders, into any type of neuron or glial cell. These cells
such as Alzheimer’s disease, represent a failure can be injected directly into the brain and, once
or decline in a previously unknown process of in the brain, they can travel to any area, espe-
neuron regeneration in the mature brain. cially developing or degenerating areas. There
Behavioural and lifestyle measures also can they can detect defective cells and develop into
help to preserve brain functioning. In elderly healthy forms of the defective cells. How this is
people, for example, continued intellectual stim- controlled and orchestrated is as yet unknown.
ulation and activity seem to preserve synapses Stem cells have been successfully transplanted
and their resulting cognitive functions, adding into the spinal cords of injured animals where
support to physiological psychologist David they have taken hold and organized themselves
Krech’s statement that “Those who live by their into neural networks (Jung et al., 2009). Although
wits die with their wits” (Krech, 1978). this work is at an early stage, it may herald what
One controversial technique for neurogenesis has never been done before—repair a severed
involves the transplantation into the brain of neu- spinal cord. Investigation of stem cell transplan-
ral stem cells—immature cells that can mature tation into the brain is also underway.
Brain, Behaviour, and Environment

Levels of Analysis
The focus of this chapter has been on the physiology of the nervous system.
This system is the province of neuroscience. Yet, neuroscientists realize ENVIRONMENTAL
that their work at the biological level of analysis is only part of the • Early environment, whether enriched
fascinating and abiding mystery of how brain creates mind; indeed, of or deprived, influences uences brain
how brain is mind. Consider some of the findings we have reviewed in development and behaviour capabilities.
this chapter. • Environmental rewards and punishments
influence what we learn and the neural
representations of that learning.
• The stimuli present at any particular moment trigger
both biological (e.g., brain activation, hormonal,
BIOLOGICAL neurotransmitter) and behavioural processes.
• Every thought, feeling, or • The culture in which we grow up plays an important
behaviour involves the action of the role in psychological development and, as recent
nervous system. In a real sense, our research shows, in how the brain operates.
brain is the locus of who and what we are
as a person.
• The biological level of analysis provides us with
tools, such as brain scans, to study and directly
measure the activity of the nervous system.
• Clinical studies of brain-damaged individuals
by neurologists have provided much evidence PSYCHOLOGICAL
concerning normal brain functions.
• The psychological perspective provides
discoveries on the nature and causes of both
normal and abnormal cognition, emotion, and
behaviour. These provide the basic phenomena that
the biological perspective studies at a biological level.
• The psychological perspective provides the measures
of psychological functions that allow us to relate them
to biological factors, such as genetic or brain activation
variables.
• Plasticity research shows us that psychological factors
influence the brain just as the brain influences
behaviour. New thought and behaviour patterns
create the changes in the brain that underlie
In summary, biological, psychological, and environmental what we call learning, motivation,
factors are all involved in most behaviours, typically emotion, and personality
interacting with one another, and all of them can serve as development.
either cause or effect.
FIGURE 3.24
106 CHAPTER THREE
In Review
• Early experience has an especially profound • When neurons die, surviving neurons can sprout
effect on brain development, but neural plas- enlarged dendritic networks and extend axons to
ticity can occur throughout life. form new synapses. Neurons can also increase
the amount of neurotransmitter substance
• Neural plasticity refers to the ability of neurons they release so that they are more sensitive to
to change in structure and functions. Environ- stimulation.
mental factors, particularly early in life, have
notable effects on brain development. • Recent findings suggest that the brains of
• A person’s ability to recover from brain damage mature primates and humans are capable of
depends on several factors. Other things being producing new neurons.
equal, recovery is greatest early in life and
declines with age.
Gaining Direction
What are the In the June/July 2013 edition of Esquire maga- functioning, especially the processing of visual
issues? zine, Brad Pitt acknowledged that he has a lot information. Brad Pitt, Jane Goodall, and Oliver
of trouble recognizing faces. He simply cannot Sacks all suffer from a form of sensory agno-
remember them. Apparently, he tried faking it sia. Their processing of visual information is
for a while, but people were quite upset with intact—the problem is one of interpretation.
him. They would perceive him as conceited This neurological disorder is called prosopag-
and uncaring. But how is it possible to simply nosia or “face blindness” and it affects up to
lose all memory of a person’s face? To under- 2.5 percent of the North American population.
stand this, we need to examine normal brain
What do How does the brain process sensory How does one lose the ability to identify
we need to information? objects?
know? What is the role of the association cortex? What is visual agnosia?
How does one acquire the ability to identify Is there more than one visual pathway in the
objects? brain?
Where can We need to examine the organization and func- contains a number of association areas. Is there
we find the tion of the cortex. In particular, we need to look a visual association area? What happens when
information at the role of the primary projection areas. Is this area is damaged? Finally, consider the vari-
there an area responsible for visual processing? ous areas that might be involved in object rec-
to answer
Is there only one of these areas? What would ognition. Might we be able to isolate an area
these happen if you damage a visual area? In addi- that is responsible for facial recognition?
questions? tion to the primary projection areas, the cortex
CHAPTER
Genes, Evolution,
and Behaviour 4
CHAPTER GENETIC INFLUENCES EVOLUTION AND BEHAVIOUR
OUTLINE Chromosomes and Genes Evolution of Adaptive Mechanisms
Focus on Neuroscience: Early Experience, Evolution and Human Nature
Epigenetics, and Adolescence Evolutionary Psychology
Behaviour Genetics Techniques Frontiers: Heritability, Evolution, and Politics
Applications: Gene Therapy and Genetic Counselling Research Foundations: Gender Differences
in the Ideal Mate
GENETIC INFLUENCES ON BEHAVIOUR
HOW NOT TO THINK ABOUT BEHAVIOUR
Heredity, Environment, and Intelligence
GENETICS AND EVOLUTIONARY PSYCHOLOGY
Biological Reaction Range, the Environment,
Personality, and Intelligence
Psychology will be based on a new foundation.

—Charles Darwin, 1859
What are the

(both): © Michael Nichols/Magnum
issues here?
Where can
Identical twins Jim Springer and Jim Lewis met for the first time when they were we find the
information to
39 years old. They discovered each other through a landmark University of Minnesota
answer these
study of twins who had been separated shortly after birth and raised by different questions?
adoptive parents. Although they had been raised in different families, the two Jims found
that they had many things in common. Both had married twice and each had a son named James. Both
What do we need
men smoked—and even smoked the same brand of cigarette—and both preferred Miller Lite beer. to know?
Both worked as volunteers for their local police departments as part-time sheriffs, favoured poo-
dles as pets, suffered from the same kind of headache symptoms when under stress, and bit their
fingernails. Both Jims did woodworking as a hobby, and they were the only people in their respec-
tive neighbourhoods to have built a circular bench around a tree in their yard. When given a series
of psychological tests, they were strikingly similar in their pattern of personality traits.
GENETIC INFLUENCES Early in the 20th century, geneticists made

the important distinction between genotype,
Our physical development, including the devel- the specific genetic makeup of an individual,
1. Differentiate
opment of the nervous system, is in large part and phenotype, the observable characteristics
between
directed by an elaborate genetic blueprint produced by that genetic endowment. A person’s
genotype and
phenotype. passed on to us by our parents. These biologi- genotype is like the commands in a computer
cal characteristics set limits on our behavioural software program. Some of the directives are
capabilities. However, our genetic endowment used on one occasion, some on another. Some
combines with environmental forces to deter- directives are never used at all, either because
mine our behaviour. Nature or nurture is not they are contradicted by other genetic directives
an appropriate dichotomy; it should be nature or because the environment never calls them
and nurture. Modern scientists realize that ask- forth. Thus, genotypes are present from con-
ing whether a particular behaviour is caused ception and never change, but phenotypes can
by genetic or environmental factors makes no be affected by other genes and by the environ-
more sense than asking if a triangle is formed ment. For example, geneticists have discovered
by its sides or its corners. Instead, psycholo- that chickens have retained the genetic code for
gists working in the field of behaviour genet- teeth (Kollar & Fischer, 1980). Yet, because the
ics study the ways in which favourable or code is prevented from being expressed, hens’
unfavourable environmental conditions can teeth remains an expression for scarcity.
affect the genetically inherited potential of an The union of two cells, the egg from the
organism. mother and the sperm from the father, is the
beginning of a new individual. Like all other
Chromosomes and Genes cells in the body, the egg and sperm carry
How are physical characteristics passed on within them the material of heredity in the
from parents to their offspring? This question form of rodlike units called chromosomes. A
originated in antiquity, and the ancient Greek chromosome is a tightly coiled molecule of
2. How does physician Hippocrates was one of the first to deoxyribonucleic acid (DNA) that is partly cov-
genetic provide a semi-correct answer. Hippocrates sug- ered by protein. Indeed, the DNA is so tightly
transmission gested that semen contains not body parts, but coiled that if the DNA in a single human cell
pass on from rather some sort of design for the formation of were stretched out, it would be almost 2 metres
parents to the offspring. It was not until 22 centuries later long (Masterpasqua, 2009). The DNA portion of
offspring? that the wisdom of Hippocrates’s answer was the chromosome carries the hereditary blue-
confirmed by Gregor Mendel, a monk whose print in units called genes (Figure 4.1). The
research with garden peas in the 1860s marked many genes carried on each chromosome are
the beginning of modern genetic theory. like a giant computer file of information about
Mendel showed that heredity involves the your characteristics, potentials, and limitations.
passing on of specific organic factors, not a Every moment of every day, the strands of DNA
simple blending of the parents’ characteristics. silently transmit their detailed instructions for
These specific factors might produce visible cellular functioning.
characteristics in the offspring, or they might In humans, every cell in the body except
simply be carried for possible transmission to one type has 46 chromosomes. The exception
another generation. In any case, the offspring is the sex cell (the egg or sperm), which has
of one set of parents do not all inherit the same only 23. At conception, the 23 chromosomes
traits, as is evident in the differences we see from the egg combine with the 23 from the
among brothers and sisters. sperm to form a new cell, the zygote, containing
Each chromosome contains The human body

numerous genes, segments contains 100 trillion
of DNA that contain One chromosome Each nucleus contains Each human cell cells.
instructions to make proteins— of every pair is 46 chromosomes, (except red blood cells)
the building blocks of life. from each parent. arranged in 23 pairs. contains a nucleus.
T
A
C
G A
A
G T
C
T C C
G
FIGURE 4.1 The ladder of life. Chromosomes consist of two long, twisted strands of DNA, the chemical that
carries genetic information in the form of specific sequences of the substances adenine, thymine, guanine, and
cytosine (A, T, G, and C). Every cell in the body (with the exception of red blood cells) carries within its nucleus 23
pairs of chromosomes, each containing numerous genes that regulate every aspect of cellular functioning. Human
DNA has about 3 billion chemical base pairs, arranged as A-T or C-G units.
Source: Human Genome Project. (2007). Retrieved May 16, 2016, from http://www.genome.gov/.
46 chromosomes. The genes within each chro- Dominant, Recessive, and Polygenic Effects
mosome also occur in pairs, so that the off- Genotype and phenotype are not identical,
spring receives one of each gene pair from each because some genes are dominant and some are
parent. Every cell nucleus in your body contains recessive. If a gene in the pair received from the
the genetic code for your entire body. In all mother and father is dominant, the particular
these cells (except for egg and sperm), there are characteristic that it controls will be displayed;
two copies of each gene, one from your mother if the gene is recessive, the characteristic will
and one from your father. Alternative forms of a not show up unless the partner gene inher-
gene that produce different characteristics are ited from the other parent is also recessive. In
called alleles. humans, for example, brown eyes and dark
Genes affect our body’s development and hair are dominant over blue eyes and light hair.
functioning through one general mechanism: Thus, a child will have blue eyes only if both
genes code for the production of proteins. The parents have contributed genes for blue eyes.
estimated 70 000 different types of proteins Even if their traits remain hidden, however,
found in a human (Wahlsten, 1999) control the recessive genes can be passed on to offspring.
structure of individual cells and all the chemical In a great many instances, a number of gene
reactions that go on within those cells, whether pairs combine their influences to create a single 3. Compare
they are reactions necessary to sustain the life phenotypic trait. This action is known as poly- dominant,
of the cell or are changes induced only peri- recessive,
genic transmission, and it complicates the
odically by experience or maturation. It is esti- and polygenic
straightforward picture that would occur if all
mated that about half of all genes target brain influences on
characteristics were determined by one pair of phenotypic
structure and function (Kolb & Whishaw, 2003). genes. It also magnifies the number of possible characteristics.
Each individual gene carries the code for a spe- variations in a trait that can occur. Despite the
cific protein, and when that gene is activated, fact that about 99.9 percent of human genes
the cell produces the specified protein. At dif- are identical among people, it is estimated that
ferent points in development, in response to the union of sperm and egg can result in about
different metabolic demands, or in response to 70 trillion potential genotypes, accounting for
different environmental factors, a gene may be the great diversity in characteristics that occur,
activated and a protein produced or an already even among siblings.
active gene may be “turned off,” and the levels
of a specific protein will then decrease. As the
protein levels within a neuron change, there Epigenetics: Environmental Effects
is a corresponding change in the function of on Genes
that neuron and the neural circuits in which it The term epigenetics was first used in 1940
participates. to refer to lasting changes in gene expression
110 CHAPTER FOUR
during development that were not due to genetic Prior to the modern study of epigenetics few
changes (changes to the genes themselves) would have predicted that the interaction of
but to changes around the genes—epigenetic genes and the environment occurred at such a
changes (Isles, 2015). Epigenetics concerns fundamental level or that the environment and
lasting changes in gene function caused by external factors could lead to lasting changes
external or environmental factors without any in gene function. This chapter’s Focus on
change in the DNA sequence itself. In the past Neuroscience feature explores how aversive
20 years research on epigenetics has exploded. early experience alters gene function in brain
A PsychINFO search of publications for the areas linked to emotion, learning, and memory
year 2015 using the keyword “epigenetics” during adolescence.
returned 599 results, while a similar search for
1995 returned only 16. The study of epigenetics The Human Genome
has changed our understanding of environment- In 1990, geneticists began the Human Genome
gene interactions. Specific patterns of mater- Project, and in 2001, the genetic map was pub-
nal behaviour (Zhang & Meaney, 2010), use of lished, two years ahead of schedule (Interna-
drugs of abuse (Cadet, 2016), nutritional intake tional Human Genome Sequencing Consortium,
(Wen et al., 2015), and even physical exercise 2001; Venter et al., 2001). Canadian geneticists
(Kashimoto et al., 2015) can all lead to lasting were involved in the Human Genome Project
changes in how our genes operate. throughout, and a computer called Deep Maple
The processes of epigenetics work through (really!) at Toronto’s Hospital for Sick Children
4. How can a number of different chemical mechanisms provided the main computer database for the
gene function
that lead to lasting changes in how specific international effort.
change to affect
genes function without altering the DNA The genetic structure in every one of the 23
behaviour long
after the initial sequence. The mechanisms involved in epi- chromosome pairs has been mapped by using
experience? genetics involve activating or silencing spe- methods that allowed the researchers literally
cific genes, or altering how a gene is expressed to disassemble the genes on each chromosome
thus changing the gene product. For example, and study the specific sequence of substances
a process called DNA-methylation will turn that occur in each gene (A, T, G, and C;
a gene “off” preventing it from acting. Other Figure 4.1). The 3.1 billion letters in the entire
processes can alter a gene so that the gene human genome would fill 152 000 newspapers
product is changed. For example, it has been if printed consecutively. The Human Genome
shown that chronic cocaine exposure in rats Project, along with Celera Genomics, reported
alters the ratio of two specific gene products a number of surprises when their projects
in the nucleus accumbens (Isles, 2015), a brain were complete. They discovered humans
area important in motivation and reward as have fewer genes than expected; a human
we saw last chapter. The changes in gene func- has approximately 25 000 genes and not the
tion are long-lasting and some can even be 100 000 originally estimated (Human Genome
passed to subsequent generations (Isles, 2015; Project, 2007). Indeed, we have about the same
Zhang & Meaney, 2010). Together with helping number as a fruit fly. The groups found that
us understand how the environment and our approximately 200 human genes may have
genes interact, epigenetics is gaining increas- arisen from genes that bacteria inserted into
ing attention in the study of psychosis and our early ancestors. As research continues
other disorders (Cadet, 2016; Pal et al., 2016). to explore the functions of our genes, a new
As we will see in Chapter 16, environmental understanding of our genetic makeup may
factors such as stress are important risk fac- lead to the development of effective new medi-
tors for the development of a range of psychi- cal treatments, to a revolution in how thera-
atric disorders. Epigenetic studies are helping peutic drugs are developed, and to a whole
to explain how and why. new understanding of what makes a human
Throughout this chapter we emphasize that and where we came from.
genes are expressed in an environment, and This chapter’s Applications feature high-
that behaviour is not the result of genes or the lights how this understanding, together with
environment but of both. That is, genes and the behaviour genetics techniques discussed
the environment interact. Epigenetics takes in the next section, can raise questions and
this even further and demonstrates that envi- ethical issues associated with gene therapy,
ronmental factors can lead to lasting, even genetic screening, and access to genetic
heritable, changes in how our genes function. information.
Focus on
Neuroscience
EARLY EXPERIENCE, EPIGENETICS, all changes without linking those changes to any specific
AND ADOLESCENCE gene. They also measured changes to a specific gene. The
gene they targeted is one that controls the production of a
Does early experience have a lasting impact? Does the protein (brain-derived neurotrophic factor) that is important
impact of early experience differ from the impact of similar for brain development and for synaptic plasticity. These
experiences later stages in life? Most people would say researchers specifically examined epigenetic changes in
that yes, there is something special about early experience the amygdala and the hippocampus. As you will recall from
and the impact it has on later behaviour. Chapter 3, the amygdala is importantly involved in emotion,
There are indeed good demonstrations of this belief. For especially in fear- and anxiety-related behaviours, and the
example, in his classic studies on maternal behaviour and hippocampus is critically important for memory.
resistance to stress, Michael Meaney and his colleagues Doherty et al. (2016) used an animal model of caregiver
at McGill University found that variations in maternal mistreatment. For their first week of life, one group of rat
care of rat pups during their first two weeks of life pro- pups were with a mother that was in a novel environment
duced lasting changes in the behaviour of those animals. with little bedding material. A novel environment is stress-
This early experience led to differences in the maternal ful, so these pups were with a stressed mother and had
behaviour of those animals when they were adults and inadequate nests. That was the caregiver maltreatment con-
to life-long changes in their ability to recover from stress dition. It is worth noting that although a stressful and rather
(Champagne et al., 2006). As we will see in Chapter 12, bare environment is aversive, this is a relatively low level
the argument that early experience has a lasting impact is of early maltreatment compared to the conditions that the
a well-established idea both within psychology and more young of many species—including human children—can
broadly in our culture. find themselves. There was a group that also was with a
There has, however, been little understanding of the mother that was placed in new environment but she had
types of changes that can support changes in behaviour time to get used to it and recover from the stress. There
long after the actual experience. Recent advances suggest was also ample bedding for this group. A third group was a
a role for epigenetic changes (Zhang & Meaney, 2010). As control that had normal, ample bedding, and the pups and
discussed in this chapter, epigenetics refers to a series of mother stayed in their usual home cage. Maternal behav-
chemical modifications to the DNA that alters gene activity iour was scored for appropriate caregiving behaviours (e.g.,
without changing the DNA itself. The importance of epigen- nursing, grooming the pups) and aversive caregiver behav-
etic mechanisms is that environmental factors, such as a iour (e.g., rough handling or avoiding the pups).
stressful early experience, can lead to a long-lasting, even When these animals were adolescents, two differ-
permanent, regulation of a gene. These epigenetic changes ent types of epigenetic changes were measured in the
are candidates for the types of mechanisms that may sup-
port the lasting impact of early experience. That is, lasting,
even heritable, changes may be due to epigenetic changes
and not to genetic changes.
Adverse experiences early in life are known to increase
the risk for later anxiety and mood disorders, and for persis-
tent deficits in learning and memory (Maccari et al., 2014).
The quality of early caregiving is important for later well-
being, and caregiver maltreatment is an important risk fac-
tor. What mechanisms are involved in this situation has not
been well understood.
Recently, Doherty and her colleagues (Doherty, Forster, &
Roth, 2016) proposed that an epigenetic mechanism, such
DNA methylation, may be involved. DNA methylation is a
chemical process that attaches methyl groups to sites on
the DNA. As a result, that gene is rendered less active or
even left completely inactive. In this research, they exam- © dpa picture alliance archiveAlamy Stock Photo
ined two different classes of epigenetic changes in the FIGURE 4.2 Epigenetic research using an animal model of
adolescent brain after early adverse experiences. They mea- caregiver maltreatment indicates that aversive experiences
sured what is referred to as global changes, which are epi- early in life can lead to a long-lasting change in gene function in
genetic changes to the DNA as a whole and would include brain areas linked to emotion, learning, and memory.
continued
112 CHAPTER FOUR
amygdala and the hippocampus. Researchers measured Recent estimates are that 20 percent of adolescents
both total methylation, which is a global change, and are affected by some form of psychiatric disorder and that
the methylation of a specific gene. Interestingly, male disorder will continue to adversely affect their life through
and female adolescents showed a different pattern of adulthood (Giedd et al., 2014). Discovering how early stress,
changes. Adolescent males showed an impact of early such as caregiver maltreatment, puts the mental health of
maltreatment on the global (nonspecific) measure in the adolescents at risk is important. There is much work to be
hippocampus and amygdala, whereas adolescent females done, especially in linking epigenetic changes to behavioural
showed a change in the gene-specific measure in the outcomes later in life. Nonetheless, this research suggests
amygdala and in a different part of the hippocampus. That that one way early experience can have a lasting impact is by
is, a relatively mild form of early maltreatment had a last- changing how genes function in specific brain areas. Know-
ing impact on epigenetic markers and the effect varied by ing what is changed can potentially lead to preventative mea-
sex and brain area. sures and successful treatment approaches.
Genetic Engineering: The Edge behaviour is controlled by a single gene. Thus,

of Creation the disruption of a behaviour after a gene
Advances in molecular biology enable scientists knockout may help to identify one of the genes
5. Describe the to duplicate and modify the structures of genes involved in the behaviour, but this identifica-
methods used tion does not mean that one gene is wholly
themselves (Peacock, 2010). In recombinant
in recombinant responsible for the behaviour. It is also impor-
DNA research.
DNA procedures, researchers use specific
enzymes to cut the long threadlike molecules tant to note that knocking out a single gene
of genetic DNA into pieces, combine them with may disrupt a wide range of functions. Many of
DNA from another organism, and insert the new the substances found in the body do many dif-
strands into a host organism, such as a bacte- ferent things in different areas of the brain and
rium. Inside the host, the new DNA combination the body. Nonetheless, gene-modification tech-
continues to divide and produce many copies niques may one day enable us to alter genes
of itself. Scientists have used this procedure to that contribute to psychological disorders,
produce materials that are rare or difficult to such as schizophrenia.
obtain otherwise such as human growth hor- Genetic engineering gives humans potential
mone, used treat children who do not produce control over the processes of heredity and evo-
sufficient levels of this hormone for normal lution. But these revolutionary techniques also
growth. give birth to a host of ethical and moral issues
Molecular biologists have developed meth- (Lucassen, 2012). How and when, if ever, should
ods for inserting new genetic material into these techniques be used? To prevent genetic
6. What is viruses that can infiltrate neurons and modify disorders? To propagate desirable human char-
the knockout their genetic structure. These methods are now acteristics? To duplicate or clone exceptional
procedure, and becoming part of the tool kit of physiologi- people? What are the social and environmental
how is it used by consequences of using genetic engineering to
cal psychologists who wish to study genetic
psychologists to greatly extend the healthy lifespan of people?
study behaviour? influences on behaviour. Gene-modification
research by psychologists has focused on pro- Questions such as these are already topics of
cesses such as learning, memory, emotion, intense discussion, as scientific and technologi-
7. What is the cal advances carry us toward uncharted genetic
percentage and motivation (Wahlsten, 1999). One proce-
dure done with animals (typically mice) is to frontiers.
of genetic
resemblance alter a specific gene in a way that prevents it
between parents from carrying out its normal function. This is Behaviour Genetics Techniques
and children, called a knockout procedure because that Knowledge of the principles of genetic trans-
identical and particular function of the gene is eliminated, or mission tells us how genetically similar people
fraternal twins, knocked out. The effects on behaviour are then are, depending on their degree of relatedness
brothers and observed.
sisters, and
to one another. Recall that children get half of
Although gene knockout studies are a pow- their genetic material from each parent. Thus,
grandparents and
grandchildren? erful tool, researchers need to take great care the probability of sharing any particular gene
when interpreting their outcomes. Very little with one of your parents is 50 percent, or 0.50.
Applications
GENE THERAPY AND GENETIC results could cause great psychological suffering. Medical
COUNSELLING ethics experts also fear what would happen if insurance
companies and employers had access to genetic testing
Until recently, biological psychologists had to be content results and the danger of having those kinds of decisions
with studying genetic phenomena that occurred in nature. based on genetic screening. Canada is currently the only
Aside from selective breeding of plants and animals for G8 nation that does not have laws against genetic discrim-
certain characteristics or studying the effects of genetic ination. That is, there are no laws in Canada to prevent
mutations, scientists had limited ways to study the effects businesses, such as insurance companies, from using the
of specific genes on behaviour. Technological advances results of genetic testing in a discriminatory way, such as
now enable them not only to map the human genome and denying insurance coverage for someone who carries the
measure the genotypes of individuals but to modify genes genetic risk for a specific disease. Embryonic screening
themselves (Peacock, 2010). gives parents increased knowledge of what their offspring
In one gene-manipulation approach, the recombi- might be like. Are parents entitled to make abortion deci-
nant DNA procedure discussed earlier, scientists can join sions based on results that tell them whether a child is
together segments of DNA from different sources, creat- likely to be emotionally reactive, possibly obese, or lack-
ing sections of DNA that are not found in nature. This new ing some characteristic valued by the parents (Valverde,
genetic material can then be inserted into a bacterium to 2010)?
produce many copies of the new DNA. The DNA can then Genetic testing combined with the ability to modify the
be inserted into a virus that can enter the CNS and alter genetic makeup of cells presents enormous potential for
the genetic makeup of neurons within the brain. Modified treating some of our most serious illnesses. Current gene
genes have been used to study processes such as learn- therapy, however, is experimental and has not proven very
ing and memory, and to study disorders such depression successful in clinical trials (National Institutes of Health,
and Alzheimer’s disease. For example, gene knockout pro- 2010). Scientific work continues on the development of
cedures have been used to prevent neurons from produc- effective therapies. Gene-modification techniques may one
ing a chemical thought to be involved in the release of the day enable us to alter genes that contribute to psychologi-
neurotransmitter glutamate, and the effects on brain func- cal disorders, such as bipolar disorder and schizophrenia
tion and behaviour have been tested (Ohira et al., 2013). (McGuffin et al., 2005).
Researchers can also use a knock-in procedure to insert a Genetic counsellors help people deal with issues,
new gene into an animal, rather than to remove the actions including ethical issues, that can arise from genetic test-
of an existing gene, as is done with a knockout procedure. ing (Groepper et al., 2015 ). A genetic counsellor provides
For example, researchers have inserted a gene associated
with Alzheimer’s disease into the brain of mice and later
tested the impact on neurotransmission, brain structure,
and behaviour (Dumanis et al., 2013).
As we learn more about the human genome, the assess-
ment and modification of genes heralds advances in the
form of genetic screening and therapy. Currently, more than
1000 DNA-based genetic tests for specific diseases have
been developed (National Institutes of Health, 2010). These
include tests for susceptibility to Alzheimer’s disease, can-
cers, and arthritis. Some tests are used to assist in diag-
nosis, other tests allow couples to assess the likelihood of
conceiving children with gene-related health problems, and
others help to identify a person’s risk for cancers, heart dis-
ease, or some psychiatric disorders. There are now private
companies that, for a fee, will process your DNA sample (usu-
ally obtained from a saliva sample) and report to you your
risk for alcoholism, cancers, Alzhiemer’s disease, Parkinson’s
Juice Images/Getty Images
disease, coronary heart disease, and other disorders.
This capability, however, brings with it serious practical FIGURE 4.3 A genetic counsellor works with other healthcare
and ethical issues (Lucassen, 2012). For example, the professionals, such as obstetricians, to provide advice and sup-
tests are not infallible and many tell you only about sus- port to a couple for whom pregnancy presents special risks
ceptibility or risk. Erroneous results or misinterpretation of because the unborn child may be affected by a genetic disorder.
continued
114 CHAPTER FOUR
information on the inheritance of illnesses; addresses the Genetic counselling in Canada is provided by indi-
concerns of patients, their families, and their healthcare viduals trained specifically as genetic counsellors or by
providers; and supports patients and their families dealing nurses with additional training in genetic counselling. The
with illness. Genetic counsellors usually work as part of a Canadian Association of Genetic Counsellors was formed
team, typically with a geneticist, physicians, and healthcare to suppor t the development of genetic counselling in
professionals from other specialties such as oncologists, Canada and to increase public awareness of the issues
obstetricians, dietitians, social workers, and nurses. involved. It also serves as the national accrediting body
The goal of genetic counselling is to assist individuals for genetic counsellors. Currently, four Canadian universi-
in making decisions about healthcare. Clients may seek ties offer accredited Master’s degree programs in genetic
advice because they have a disorder or because of a family counselling: McGill University, the University of British
member’s illness. Couples with a child affected by a genetic Columbia, Université de Montréal, and the University of
disorder may seek advice as they plan another pregnancy, Toronto. Students entering these programs have a variety
and couples who are planning their first pregnancy may of undergraduate backgrounds, most commonly an under-
want to understand their future child’s disease susceptibil- graduate degree in biology, psychology, or social work. As
ity, especially if they are planning a pregnancy late in life. genetic screening becomes more commonly available and
Currently healthy clients may seek advice about lifestyle more genetic tests are developed, the demand for genetic
changes if they are at risk for developing a disease. counselling is sure to grow.
Brothers and sisters also have a probability of in a particular characteristic within a group
0.50 of sharing the same gene with one another, can be attributed to genetic factors is estimated
since they get their genetic material from the statistically by a heritability coefficient. It
same parents. And what about grandparents? is easy to confuse two terms in this discussion.
Here, the probability of a shared gene is 0.25 Heredity means the passage of characteristics
because, for example, your maternal grand- from parents to offspring by way of genes; heri-
mother passed on half of her genes to your tability means how much of the variation in a
mother, who passed on half of hers to you. characteristic within a population can be attrib-
Thus, the likelihood that you inherited one of uted to genetic differences.
your grandmother’s genes is 0.50 × 0.50, or 0.25. It is important to note that heritability refers
The probability of sharing a gene is also 0.25 to differences, or variance, in the trait across
for half-siblings, who share half their genes with individuals and not to the trait itself. If a char-
their biological parent but none with the other acteristic, such as weight, has a heritability
parent. An adopted child has no genes in com- coefficient of 0.60, this number does not mean
mon with his or her adoptive parents, nor do that 60 percent of my body weight is due to
unrelated people share genes in common. my genes and 40 percent is due to my environ-
Behaviour geneticists are interested in study- ment. If you look around at the other students
ing how hereditary and environmental factors in your psychology class, you will see a range
combine to influence psychological characteris- of body weights. The heritability coefficient is
tics. One important question is the potential role a way of estimating how much of that variation
of genetic factors in accounting for differences is attributable to genetic factors. Furthermore,
between people. The extent to which variation heritability applies only to differences within a
In Review
• Heredity potential is carried within the DNA por- • Genes influence the development, structure, and
tion of the 23 pairs of chromosomes in units function of our body, including our brain, by con-
called genes. Genotype and phenotype are not trolling the production of proteins.
identical because some genes are dominant • Genetic engineering allows scientists to dupli-
while others are recessive. Many characteristics cate and alter genetic material or, potentially, to
are polygenic in origin; that is, influenced by repair dysfunctional genes.
interactions of multiple genes.
group, not to differences between groups. Con- a group of highly advantaged children, those
sider the range of weights apparent within your with plentiful resources, enrichment, and edu-
psychology class, and now think of a different cational support, then you would find a heri-
group, such as a group of individuals from a tra- tability coefficient with a high value. On the
ditional hunter–gatherer society. Differences in contrary, if you studied children with diverse
body weight between your class and the hunter– backgrounds, those whose backgrounds
gatherer group are most likely attributable to range from impoverished to privileged, then
differences in the environment, such as differ- you would find a heritability coefficient with
ences in the availability of high-sugar and high- a much lower value. How can the same char-
fat foods and the amount of physical exercise. acteristic, intelligence, have two very differ-
You could calculate a heritability coefficient ent heritability coefficients? Remember that
for each group and obtain estimates for the the heritability coefficient is a statistical esti-
importance of genetic factors in explaining indi- mate of how much of the variability within a
vidual differences within each group, but your group is due to genetic factors. For the group of
results could not be used to explain differences children from advantaged backgrounds, envi-
between groups. This point is widely misunder- ronmental factors that influence intelligence
stood and misreported in the popular media. would be very similar from one individual to
In considering heritability estimates, such the next and so would be unable to explain indi-
as those shown in Table 4.1, it is important to vidual differences. If the environment does not
know what group was studied (the heritabil- account for the variation in intelligence within
ity estimates shown in Table 4.1 were obtained this group, then the difference could be due to
from studies of mostly middle-class North genetic factors, and the heritability coefficient
Americans). Why does knowing the group would estimate a high value. Within the second
matter? If, for example, you were to obtain a group, which included children from a wide
heritability coefficient for intelligence from range of backgrounds, more of the differences
can be attributed to differences in the environ-
ment, and hence the heritability estimate would
TABLE 4.1 H
eritability Estimates for be low.
Various Human Characteristics
Knowing the level of genetic similarity in fam-
Trait Heritability Estimate ily members and relatives provides a basis for
Height 0.80 estimating the relative contributions of heredity
Weight 0.60 and environment to a physical or psychological
characteristic (Plomin, 1997). If a characteris-
Intelligence (IQ) 0.50–0.70
tic has higher concordance, or co-occurrence,
School achievement 0.40 in people who are more highly related to one
Extraversion 0.36 another, then this points to a possible genetic
Conscientiousness 0.28 contribution, particularly if the people have
Agreeableness 0.28 lived in different environments.
One research method based on this prin-
Emotional stability 0.31 8. How are
ciple is the adoption study, in which a per-
Activity level 0.25 son who was adopted early in life is compared adoption and
Impulsivity 0.45 on some characteristic both with the biologi- twin studies
used to achieve
Antisocial behaviour 0.41 cal parents, with whom the person shares
heritability
Major depression 0.37 genetic endowment, and with the adoptive estimates?
parents, with whom no genes are shared. What have such
Anxiety disorder 0.35
If the adopted person is more similar to the studies shown?
Smoking 0.52 biological parents than to the adoptive par-
Problem drinking 0.26 ents, then a genetic influence is suggested. If
greater similarity is shown with the adoptive
Sources: Bouchard, C., Tremblay, A., Despres, J.P., Nadeau,
parents, then environmental factors are prob-
A., Lupien, P.J., & Theriault, G. (1990). The response to
long-term overfeeding in identical twins. The New England ably more important. In one study of genetic
Journal of Medicine, 322, 1477–1482.; Dunn, J., & Plomin, factors in schizophrenia, Seymour Kety and
R. (1990). Separate lives: Why siblings are so different. colleagues (1978) identified formerly adopted
New York, NY: Basic Books.; Malouf, J.M., Rooke, S.E., &
children who were diagnosed with the dis-
Schutte, N.S. (2008). The heritability of human behavior:
Results of aggregating meta-analyses. Current Psychology, order later in life. They then examined the
27, 153–161. backgrounds of the biological and adoptive
116 CHAPTER FOUR
parents and relatives to determine the rate of Twins are usually raised in the same famil-
schizophrenia in the two sets of families. The ial environment. Thus, we can compare concor-
researchers found that 12 percent of biologi- dance rates or behavioural similarity in samples
cal family members also had been diagnosed of identical and fraternal twins, assuming that,
with schizophrenia, compared with a concor- if the identical twins are far more similar to each
dance rate of only 3 percent of adoptive fam- other than are the fraternal twins, then a genetic
ily members, suggesting a hereditary link. factor is likely to be involved. Of course, it is
Twin studies are one of the more power- always possible that, because identical twins
ful techniques used in behaviour genetics. are more similar to each other in appearance
Monozygotic (identical) twins develop from than are fraternal twins, they might be treated
the same fertilized egg, so they share virtu- more alike and therefore share a more similar
ally all of their genes (there may be subtle environment. This environmental factor could
differences such as variations in numbers of partially account for greater behavioural simi-
alleles and other copy variants) (Figure 4.4). larity in identical twins. To rule out this environ-
Approximately 1 in 250 births produces identi- mental explanation for greater psychological
cal twins. Dizygotic (fraternal) twins develop similarity, behaviour geneticists have adopted
from two fer tilized eggs, so they share an even more elegant research method. Some-
50 percent of their genetic endowment, like times they are able to find and compare sets of
any other set of brothers and sisters. They identical and fraternal twins who were sepa-
occur once in 125 births. rated very early in life and raised in different
Identical twins (1 in 250 births)

Sperm
Egg
One sperm
and one egg
Zygote
divides
Two zygotes with
(a) identical chromosomes (b)
Fraternal twins (1 in 125 births)
Two eggs and Two zygotes with

two sperm different chromosomes
(c) (d)
(b) © L. Clarke/Corbis; (d) © Jim Whitmer
FIGURE 4.4 Identical (monozygotic) twins come from a single egg and sperm as a result of a division of the
zygote. They have all of their genes in common. Fraternal (dizygotic) twins result from two eggs fertilized by two
sperm. As a result, they share only half of their genes.
0.60 twins reared together—completed personality

tests of extraversion (sociability, liveliness,
Correlations within twin pairs
Extraversion
0.50 impulsiveness) and neuroticism (moodiness,
Neuroticism
anxiousness, and irritability). The higher cor-
0.40
relation coefficients reveal that the identi-
0.30 cal twins are more similar to each other than
are the fraternal twins, and that the degree
0.20 of similarity in identical twins on the trait of
neuroticism is almost as great when they are
0.10
reared in different environments as when they
0.00 are reared together (Loehlin, 1992).
Fraternal twins Identical twins Identical twins On the other hand, behaviour genetics stud-
reared together reared apart reared together ies also have demonstrated that environmen-
tal factors interact with genetic endowment
FIGURE 4.5 Degree of similarity on personality mea-
sures of extraversion and neuroticism of 24 000 pairs
in important ways. For example, one adoption
of twins who were reared together and apart. study compared the criminal records of men
Source: Data from Loehlin, J.C. (1992). Genes and environment who were adopted at an early age with the
in personality development. Newbury Park, CA: Sage. criminal records of their biological fathers
and their adoptive fathers. A low incidence
of criminal behaviour was found in the sons
environments (Lykken, Bouchard, McGue, & whose biological fathers had no criminal
Tellegen, 1993). This design permits a better record, even when the adoptive fathers who
basis for evaluating the respective contributions reared them had criminal records. In contrast,
of genes and environment. the criminal behaviour of sons whose bio-
Both adoption and twin studies have led 9. Why are
logical fathers had criminal records was very studies of
behavioural geneticists to conclude that many high, even when their adoptive fathers had no twins raised
psychological characteristics, including intel- criminal records. This pattern clearly points together and
ligence, personality traits, and certain psy- to a genetic component in criminality. But one apart especially
chological disorders, have a notable genetic additional finding deserves our attention: The informative?
contribution. Adoptive children frequently level of criminality was highest of all for those What findings
are found to be more similar to their biologi- sons whose biological and adoptive fathers have occurred in
cal parents than to their adoptive parents, both had criminal records, suggesting a com- such studies?
and identical twins tend to be more similar bined impact of genetic and environmental
to each other on many traits than are frater- factors (Cloninger & Gottesman, 1987). In
nal twins, even when they have been reared this case, heredity and environment com-
in different environments (Bazzett, 2008; bined to create a double whammy for society.
Loehlin, 1992; Plomin & Spinach, 2004). Fig- This finding underscores the conclusion that
ure 4.5 shows the results of one such com- genetic and environmental factors almost
parison. Three groups of twins—identical always interact with each other to influence
twins reared together and apart, and fraternal behaviour.
In Review
• The field of behaviour genetics studies contri- separated in early life and raised in different
butions of genetic and environmental factors environments.
in psychological traits and behaviours. The • Behaviour genetics techniques allow a heritability
major research methods used in attempts to coefficient to be determined for different charac-
disentangle heredity and environmental fac- teristics. The heritability coefficient indicates the
tors are adoption and twin studies. The most extent to which variation in a particular character-
useful research strategy in this area is the istic can be attributed to genetic factors.
study of identical and fraternal twins who were
118 CHAPTER FOUR
GENETIC INFLUENCES have marshalled strong arguments and sound

supporting data. But can both sides be right?
ON BEHAVIOUR Let’s first examine the genetic argument.
Our unique characteristics as individuals arise Suppose that intelligence is totally determined
from the combination of our learning expe- by genes. (No psychologist today would main-
riences and the environment in which we tain that it is, but examining the extreme view
behave acting on a substrate provided by our can be instructive.) In that case, any two indi-
genetic makeup. All our behaviours reflect the viduals with exactly the same genes would have
interaction between genes and the environ- identical test scores, so the correlation between
ment. The best known and most fully explored the test scores of identical (monozygotic) twins
(although still incomplete) studies of the genes– would be close to +1.00. Nonidentical broth-
environment interaction involve intelligence and ers and sisters (including fraternal twins, who
personality. Indeed, our growing understand- result from two fertilized eggs) share only half
ing of intelligence has helped to elucidate how their genes. Therefore, the correlation between
favourable and unfavourable environmental the test scores of fraternal twins and other sib-
conditions act on genetically determined lings should be substantially lower. Extending
potential. Studies of personality have helped the argument, the correlation between a par-
to illustrate how opportunities provided by the ent’s test scores and his or her children’s scores
environment influence the expression of geneti- should be about the same as that between sib-
cally based differences. lings, because a child inherits only half of his or
her genes from each parent.
What do the actual data look like? Table 4.2
summarizes the results from many studies. As
Heredity, Environment,
you can see, the correlations between the test
and Intelligence scores of identical twins are substantially higher
One of the most controversial questions in the than any other correlations. Identical twins sep-
history of psychology is the question: To what arated early in life and reared apart are of spe-
extent are differences in intelligence due to cial interest because they have identical genes
genetic factors, and to what extent does envi- but experienced different environments. The
ronment determine differences in intelligence? correlation for identical twins raised apart is
Since the 19th century, this question has been nearly as high as that for identical twins reared
at the centre of controversy and, at times, bitter together, and higher than that for nonidentical
debate. Proponents on each side of this debate twins raised together (Bouchard et al., 1990;
TABLE 4.2 C
orrelations in Intelligence among People Who Differ in Genetic Similarity
and Who Live Together or Apart
Relationship Percentage of Shared Genes Correlation of IQ Scores
Identical twins reared together 100 0.86
Identical twins reared apart 100 0.75
Nonidentical twins reared together 50 0.57
Siblings reared together 50 0.45
Siblings reared apart 50 0.21
Biological parent—offspring reared by parent 50 0.36
Biological parent—offspring not reared by parent 50 0.20
Cousins 12.5 0.15
Adopted child–adoptive parent 0 0.19
Adopted children reared together 0 0.02
Sources: Based on Bouchard, T.J., & McGue, M. (1981). Familial studies of intelligence: A review. Science, 212, 1055–1059.;
Bouchard, C., Tremblay, A., Despres, J.P., Nadeau, A., Lupien, P.J., & Theriault, G. (1990). The response to long-term
overfeeding in identical twins. The New England Journal of Medicine, 322, 1477–1482.; Plomin, R., DeFries, J.C., & Fulker, D.W.
(2007). Nature and nurture during infancy and early childhood. New York, NY: Cambridge University Press.; Scarr, S. (1992).
Developmental theories for the 1990s: Development and individual differences. Child Development, 63, 1–19.
Plomin et al., 2007). Moreover, as Table 4.2 suggest that the ranges could be as large as 15
shows, IQs of adopted children correlate as to 20 points on the IQ scale (Dunn & Plomin,
highly with their biological parents’ IQs as with 1990). If this is indeed the case, then the influ-
the IQs of the adoptive parents who reared ence of environmental factors on intelligence
them. The pattern is quite clear: The more genes would be highly significant.
people have in common, the more similar they Some practical implications of the reaction
are in IQ. This strong evidence suggests that range concept are illustrated in Figure 4.6. First,
genes play a significant role in intelligence consider persons B and H. They have identi-
(Petrill, 2003). cal reaction ranges, but B develops in a very
Notice, however, that the figure for identical deprived environment and H in an enriched
twins raised together is higher than the figure environment with many cultural and educa-
for identical twins raised apart. The same is true tional advantages. Person H is able to realize her
for other types of siblings raised together and innate potential and has an IQ that is 20 points
raised apart. These findings rule out an entirely higher than person B’s. Now compare persons
genetic explanation. Although one’s genotype C and I. Person C actually has greater intellec-
seems to be an important factor in determining tual potential than person I, but ends up with a
intelligence test scores, it probably accounts for lower IQ as a result of living in an environment
only 50 to 70 percent of the IQ variation among that does not allow that potential to develop.
people in the United States (Bouchard et al., Finally, note person G, who was born with high
1990; Plomin & Spinath, 2004). Thus, environ- genetic endowment and reared in an enriched
ment, too, contributes significantly to intelli- environment. His IQ of 110 is lower than we
gence. Obviously, then, the question with which would expect, suggesting that he did not take
this section began is too simplistic. The real advantage of either his biological capacity or
question should be as follows: How do heredity his environmental advantages.
and environment interact to affect intelligence?
Biological Reaction Range,

the Environment, Personality, Genetically determined
reaction range
and Intelligence 58 Measured
IQ
The concept of reaction range contributes to our 150
C E 10. How does
understanding of genetic–environmental inter- I
actions. The reaction range for a genetically F G the concept of
130 130
influenced trait is the range of possibilities—the D 125
reaction range
upper and lower limits—that the genetic code
120 illustrate the
B H interaction
110 110
allows. Thus, to say that intelligence is geneti- 106 between
cally influenced does not mean that intelligence 100 100
IQ
heredity and
is fixed at birth. Instead, it means that an indi- 90 environment?
86
vidual inherits a range for potential intelligence A
that has upper and lower limits. Environmen-
70
tal effects will then determine where the per-
son falls within these genetically determined 58
boundaries. Each of us has a range of intellec- 50
tual potential that is jointly influenced by two
factors: our genetic inheritance and the oppor-
Deprived Average Enriched
tunities our environment provides for acquiring
Quality of environment
intellectual skills. The diverse abilities measured for intellectual growth
by intelligence tests are undoubtedly influenced
by large numbers of interacting genes, and dif- FIGURE 4.6 Reaction ranges, environment, and
ferent combinations seem to underlie specific intelligence. Genetic endowment is believed to create
abilities (Franic′ et al., 2015). a reaction range within which environment exerts its
effects. Enriched environments are expected to allow
At present, genetic reaction ranges cannot
a person’s intelligence to develop to the upper region
be measured directly, and we do not know if of his or her reaction range, whereas deprived environ-
their sizes differ from one person to another. ments may limit intelligence to the lower portion of the
But studies of IQ gains associated with envi- range. The reaction range may cover as much as 15 to
ronmental enrichment and adoption programs 20 points on the IQ scale.
120 CHAPTER FOUR
Evidence for these types of environmen- to 0.57 (Openness) (Bouchard, 2004). These
tal effects comes from studies of children who results are consistent with studies of other per-
are removed from deprived environments sonality variables, indicating that between 40
and placed in middle- or upper-class adoptive and 50 percent of the personality variations
homes. Typically, such children show a gradual among people are attributable to genotype dif-
increase in IQ on the order of 10 to 12 points ferences (Kandler, 2012). Although personality
(Schiff & Lewontin, 1986). Conversely, when characteristics do not show as high a level of
deprived children remain in their impoverished heritability as is found for intelligence, it is clear
environments, either they show no improve- that genetic factors account for a significant
ment in IQ or they may even deteriorate intel- amount of personality difference.
11. Apart from
lectually over time (Serpell, 2000). These results As discussed earlier, twin studies are par-
genetic makeup,
remind us that intellectual growth depends not ticularly informative for studying the role of
how else are
monozygotic only on genetic endowment and environmental genetic factors because they compare the
twins similar or advantage, but also on personal characteristics degree of resemblance between two individuals
the same? that affect how much we take advantage of our who share virtually all of their genes—monozy-
gifts and opportunities. gotic, or identical, twins—and two who do not—
dizygotic, or fraternal, twins (Rowe, 1999). As
Behaviour Genetics and Personality noted briefly in the section “Behaviour Genetics
Increasingly, personality theorists are working Techniques,” across many psychological char-
to trace differences in personality character- acteristics monozygotic twins are more similar
istics to specific differences in brain activity. to each other than are dizygotic twins, suggest-
Hans Eysenck was one of the first modern per- ing a role for genetics. The issue, however, is
sonality theorists to suggest that personality complicated by the possibility that identical
differences could be traced to differences in twins may also have more similar experiences
brain development or function. The personal- than fraternal twins. Because identical twins are
ity dimension extraversion-introversion, for more similar than fraternal twins in appearance,
example, was argued to reflect differences in size, and physical characteristics, others may
brain arousal (Eysenck, 1967). If such personal- treat them more similarly. Indeed, some parents
ity differences can be traced to specific aspects even dress identical twins in the same clothes,
of brain development or function, then at least making it almost impossible for the twins to
some genetic component would be expected. be treated differently within many contexts
Since Eysenck’s pioneering work, research (Figure 4.7). Even someone who knows the
has indeed found evidence for specific genetic twins may confuse one for the other. One of us
components of some personality characteristics is married to an identical twin. Although she
(South et al., 2015). and her sister did not dress alike or even wear
One prominent personality trait theory is their hair in the same style, from her childhood
called the Five Factor Model (see Chapter 14). to her adulthood, her grandparents called her
Five-factor theorists such as Robert McCrae by her own name about half of the time and by
and Paul Costa (2003) believe that individual her twin’s name about half of the time.
differences in personality can be accounted
for by variation along five personality dimen-
sions or traits known as the Big Five: (1)
Extraversion-Introversion (sociable, outgoing,
adventuresome versus quiet, inhibited, solitary),
(2) Agreeableness (cooperative, helpful, good-
natured versus antagonistic, uncooperative,
suspicious); (3) Conscientiousness (responsible,
goal-directed, dependable versus undependable,
careless, irresponsible); (4) Neuroticism (wor-
rying, anxious, emotionally unstable versus
well-adjusted, secure, calm); and (5) Openness
to experience (imaginative, artistically sensitive
versus unreflective, lacking in intellectual curi- golf9c9333/Getty Images
osity). Twin studies of the heritability of the Big
FIGURE 4.7 Identical twins may be more similar
Five personality traits have found heritability because people treat them similarly, influenced by their
coefficients ranging from 0.42 (Agreeableness) identical appearance, size, and even clothing.
The ideal approach would be to compare per- in personality traits than are fraternal twins,
sonality traits in identical and fraternal twins and it makes little difference whether they
who either were raised together or reared apart. were reared together or in different adoptive
If identical twins who were reared in different families. Contrary to what many personality
environments, by different adoptive families, psychologists had expected, family environ-
are as similar as those reared together, a pow- ment had little influence on personality differ-
erful argument could be made for the role of ences in these studies.
genetic factors. Moreover, this research design One of the best known and largest of these
would allow us to divide the total variation studies was conducted by Lykken, Tellegen, 12. According
among individuals on each personality trait and colleagues at the University of Minnesota. to the results of
into three components: (1) variation attribut- The so-called “Minnesota Twin Study” (in the Minnesota
Twin Study, what
able to genetic factors; (2) variation due to a reference to the university and the partici-
factors were the
shared family environment among those reared pants, not the baseball team) assessed more
most important
together; and (3) variation attributable to other than 400 pairs of twins, including Jim and in determining
factors, such as unique individual experiences. Jim, whom we met at the start of this chap- personality?
The relative influence of these sources of varia- ter. For those twins who were separated and
tion can be estimated by comparing personality reared apart, the median age at separation
test correlations among four groups of twins: was 2.5 months, demonstrating relatively
identical twins reared together, identical twins little shared experience within the same fam-
reared apart, fraternal twins reared together, ily environment. The results of this study are
and fraternal twins reared apart (Plomin & shown in Table 4.3. The four types of twin
Caspi, 1999; Plomin et al., 2007). pairs completed measures of 14 different
Several studies have used this powerful personality traits. Genetic factors accounted
research design to assess the genetic confor 39 to 58 percent of the variation among
tribution to a range of personality traits people in personality trait scores. Surpris-
(Lykken et al., 1993; Pederson et al., 1988; ingly, the degree of resemblance did not dif-
Rhee & Waldman, 2002; Tellegen et al., 1988; fer much whether the twin pair were reared
Yamagata et al., 2006). These studies have together or apart, showing that general fea-
shown that identical twins are far more similar tures of the family environment, such as
TABLE 4.3 E
stimates of the Percentages of Group Variance in 14 Personality Traits
Attributable to Genetic and Environmental Factors
Trait Genetic Familial Environment Unique Environment
Well-being 0.48 0.13 0.39
Social-potency 0.54 0.10 0.36
Achievement 0.39 0.11 0.50
Social closeness 0.40 0.19 0.41
Stress reaction 0.53 0.00 0.47
Alienation 0.45 0.11 0.54
Aggression 0.44 0.00 0.56
Control 0.44 0.00 0.56
Harm avoidance 0.55 0.00 0.45
Traditionalism 0.45 0.12 0.43
Absorption 0.50 0.03 0.47
Positive emotionality 0.40 0.22 0.38
Negative emotionality 0.55 0.02 0.43
Constraint 0.58 0.00 0.42
Note: The variance estimates are based on a comparison of the degree of personality similarity in identical and fraternal twins
who were reared together or apart.
Source: Data from Tellegen, A., Lykken, D.T., Bouchard, T.J., Wilcox, K.J., Segal, N.L., & Rich, S. (1988). Personality similarity in
twins reared apart and together. Journal of Personality and Social Psychology, 54(6), June 1988, pp. 1031–1039.
122 CHAPTER FOUR
emotional climate and degree of affluence,

accounted for little or no variation in any of
the traits. The absence of important effects of
family environment, however, does not mean
that experience does not matter. The individu-
als’ unique experience, such as school expe-
riences, social interactions, and individual
learning experiences, was an important fac-
tor and accounted for 36 to 56 percent of the
variation in individual personality traits. Even
within the same family, individual children
have different experiences while growing up,
and it is this collection of unique experiences
that help to shape personality.
Collaborative work by Tony Vernon at the
13. How might University of Western Ontario and Kerry Jang
genes influence
at the University of British Columbia and their
the tendency to
colleagues has demonstrated a genetic basis
enjoy reading
or participating for a variety of personality and social dimen-
in organized sions. For example, Olson, Vernon, Harris, and
sports? Jang (2001) have shown that attitudes have an
inherited component. They surveyed over 300
pairs of identical and fraternal twins on a wide
variety of attitudinal and personality mea-
sures. Results indicated a significant genetic
influence on 26 of 30 attitudinal measures
and on 18 of 20 personality items. The high-
est heritability coefficients (all greater than © ermes ricci/MaXx Images
0.5) were found for attitudes toward reading FIGURE 4.8 Genetic contribution to roller-coaster
books, abortion without restriction, playing appreciation may be as simple as how genes develop
organized sports, riding roller coasters, and one’s sense of balance.
the death penalty. A factor analysis revealed
that, in general, attitudes toward preservation
of life, equality, and athleticism had the high-
est genetic component. A “roller coaster gene” then that thrilling ride at the fair may give you
may sound like an absurd suggestion, and, as exciting sensations of speed and movement
the authors cautioned, a direct and simple rela- without making you feel dizzy and nauseous
tionship between genes and attitudes is very (Figure 4.8).
unlikely. A more plausible explanation is that Genetic influence has also been reported for
certain inherited factors (e.g., physical char- a tendency to abuse alcohol (Jang, Vernon, &
acteristics such as muscle coordination) may Livesley, 2000), a variety of personality
predispose individuals to prefer certain activi- disorder dimensions (Torgersen et al., 2012),
ties. That is, it is extremely unlikely that there seasonal mood changes (Jang, Lam, Livesley, &
is a “roller coaster gene” that accounts for the Vernon, 1997), anxiety, and novelty seeking
results. Genes do, however, control the devel- (Vormfelde et al., 2006), and even for humour
opment and function of physical characteris- (Vernon et al., 2008) and political attitudes
tics, such as the development and functioning (Bell, Aitken Schemer, & Vernon, 2009). While
of the vestibular system, the inner ear, and there is a genetic component to these person-
other structures that give us our sense of bal- ality characteristics, the contribution of the
ance. On the one hand, if your genetic makeup environment is also important (Bell et al., 2009;
has resulted in a vestibular system that is eas- Plomin, Asbury, & Dunn, 2001), as we saw ear-
ily disrupted, with the consequent feelings of lier for intelligence. Figure 4.9 illustrates some
dizziness and nausea, then you will not enjoy of the biological, environmental, and psycho-
riding on roller coasters. On the other hand, if logical factors that we need to consider when
your vestibular system developed in a way that analyzing behaviour from the perspective of
makes it more robust and less easily perturbed, behaviour genetics.
Behaviour Genetics
Levels of Analysis
Although the focus here has been on genetics and behaviour, all
three scientific levels of analysis—biological, psychological, and ENVIRONMENTAL
environmental—are involved in the context of discovery. • Evolutionary researchers focus
on the environmental factors that have
fostered behavioural adaptations through
natural selection processes.
• Twin studies (especially of twins raised apart)
provide insights into genetic factors as well as
shared and unshared environmental factors.
• Research on the manner in which genetic factors
BIOLOGICAL influence the learning environments that people
select or create through their own behaviour sheds
• Human genome research is light on gene–environment interactions.
unlocking the secrets of our genetic
structure and has already dispelled • Cultural learning can affect the expression of
long-held beliefs, such as that concerning gene-influenced behaviours.
the number of genes in the genome.
• Genes influence the development, structure, and
function off the brain by controlling the production of
proteins.
• Studies on how genes are switched on and off
provide insights into how genetic processes PSYCHOLOGICAL
determine the development of biological
• The psychological products of gene–
structures, such as the brain. Such
environment interactions cannot be studied
knowledge may be the basis for
without an understanding of the behaviours and
revolutionary new medical treatments.
psychological processes of interest. This requires
psychological research and the development
of methods for measuring the psychological
characteristics of interest.
• Adoption and twin studies allow researchers to
estimate the relative contributions of genes and
environment on specific psychological variables.
These contributions have been shown to differ
widely, depending on the behaviour of interest.
Suppose the entire world was consumed by a deadly • Other research focuses on the specific ways
plague that killed most humans. How would the in which environmental and genetic
factors exert their individual and
human genotype be expected to change as a result of combined effects on
this event? By what process would this change occur? behaviour.
FIGURE 4.9
In Review
• The more genetically similar two individuals, the characteristics, indicating an important genetic
higher the correlation between their IQ scores. component in personality traits. Together with
The correlation between even genetically identi- genetic factors, an individual’s unique experi-
cal individuals, however, is not perfect, indicating ences are important for personality; family envi-
an important role for the environment. ronment has little impact.
• Genetic factors contribute a reaction range for • Genetic factors relevant for personality interact
intelligence. Where within that range intelligence with the environment by predisposing an individ-
does develop depends on environmental factors. ual toward particular types of activities because
• Identical twins are more alike than frater- of genetically influenced differences in brain
nal twins across a wide range of personality activity, or other physical characteristics.
124 CHAPTER FOUR
EVOLUTION birth, respond with universal emotions, and

bond with other humans, among other things.
AND BEHAVIOUR Evolutionary psychologists also believe that
In the misty forests and verdant grasslands of important aspects of social behaviour, such as
past eons, our early human ancestors faced aggression, altruism, sex roles, protecting kin,
many environmental challenges as they strug- and mate selection, are the products of evolved
gled to survive. If even one of your ancestors mechanisms. They are quick to point out that no
had not behaved adaptively enough to survive behaviour as such ever evolves; what evolves
and reproduce, he or she would not have passed are genetically produced physical structures
on his or her genes and you would not be here that interact with the demands of the environ-
to contemplate your existence. In this sense, ment to produce a behaviour.
each of us is an evolutionary success story. As
descendants of those successful forebears, we Evolution of Adaptive
carry within us genes that contributed to their Mechanisms
adaptive and reproductive success. The vast
majority of genes we share in common with all Evolution
other humans create the “human nature” that Evolution is a change over time in the fre-
14. Define quency with which particular genes—and the
evolution and makes us like all other people.
The field of evolutionary psychology seeks to characteristics they produce—occur within an
explain how
understand how behavioural abilities and ten- interbreeding population. As particular genes
genetic variation
and natural dencies have evolved over the course of millions become more or less frequent in a population,
selection of years in response to environmental demands. so do the characteristics they influence. Some
produce No behaviour by any organism can occur in the genetic variations arise in a population through
adaptations. absence of biologically based mechanisms mutations, random events and accidents in
that receive input from the environment, pro- gene reproduction during the division of cells.
cess the information, and respond to it (Tooby & If mutations occur in the cells that become
Cosmides, 1992). We begin life with innate bio- sperm and egg cells, then the altered genes will
logically based mechanisms that enable us to be passed on to offspring. Mutations help to
take in, process, and respond to information, create variation within a population’s physical
predisposing us to behave, feel, and even think characteristics. This variation makes evolution
in certain ways (Stearns & Hoekstra, 2005). possible.
In humans, these inborn mechanisms allow Long before Charles Darwin published his
us to learn, remember, speak a language, per- theory of evolution in 1859, people knew that
ceive certain aspects of our environment at animals and plants could be changed over time
by breeding members of a species that shared
desired traits. Although Darwin knew nothing
about genes, he knew that something must be
passed on to the next generation through repro-
duction in order for evolution to occur. Darwin’s
landmark contribution was in specifying the
process by which species change over time as
they adapt to environmental demands.
Natural Selection
Just as plant and animal breeders “select” for
certain characteristics, so, too, does nature.
According to Darwin’s principle of natural
selection, characteristics that increase the
likelihood of survival and ability to reproduce
within a particular environment will be more
likely to be preserved in the population and
Cartoon by Don Wright, © 2001. Reprinted with permission of Tribune therefore will become more common in the spe-
Media Services. cies over time. As environmental changes pro-
FIGURE 4.10 Evolutionary principles are widely dis- duce new and different demands, some different
cussed, and widely enough known to be the subject of characteristics may contribute to survival and
humour. the ability to pass on one’s genes (Barrow, 2003).
In this way, natural selection acts as a set of fil- development of specialized social roles (such
ters, allowing certain characteristics of survivors as “hunter and protector” in the male and
to become more common and those of nonsurvi- “nurturer of children” in the female). It also
vors to become less common and, perhaps, even favoured the development of language, which
extinct over time. The filters also allow “neutral” enhanced social communication and the trans-
variations that neither facilitate nor impede fit- mission of knowledge. Our ancestors’ emerg-
ness to pass through and be preserved in a pop- ing social organization provides an example of
ulation. These neutral variations, sometimes how changes contribute to evolutionary devel-
called evolutionary noise, could conceivably opment. Social roles emerged as a result of
become important in meeting some future envi- biological predispositions, selection pressures
ronmental demand. For example, people differ (e.g., women who were sensitive to the needs
in their ability to tolerate radiation (Vral et al., of their young children likely had more of their
2002). In today’s world, these variations are of children survive; men who provided for their
limited importance, but they could clearly affect children had more of their children survive),
survivability if a future nuclear war were to and emerging social organization. The social
increase levels of radioactivity around the world. roles and social organization, shaped by evo-
As those who could tolerate higher levels of radi- lutionary processes, themselves become selec-
ation survived and those who could not perished, tion pressures that help to shape the species as
the genetic basis for radiation tolerance would it continues to evolve (Geary, 2005; Tooby &
become increasingly more common in the human Cosmides, 1992).
species. Thus, for natural selection to work, indi- Tool use, bipedal locomotion, and social
vidual variation must be present in a relevant organization put new selection pressures on
species characteristic. many parts of the body. For example, the teeth,
the hands, and the pelvis all changed over time
Evolutionary Adaptations in response to the new dietary and behavioural
The products of natural selection are called demands. But the greatest pressure was placed
adaptations. Adaptations allow organisms to on the brain structures involved in the abilities
meet recurring environmental challenges to most critical to the emerging way of life: atten-
their survival, thereby increasing their repro- tion, memory, language, and thought. These
ductive ability. In the final analysis, the name mental abilities became important to survival
of the natural selection game is to pass on one’s in an environment that required the ability to
genes, either personally or through kin who learn quickly and solve problems. In the evolu-
share at least some of them (Dawkins, 2006). tionary progression from Australopithecus (an
Some evolutionary psychologists believe this is early human ancestor who lived about 4 million
why animals and humans may risk or even sac- years ago) through Homo erectus (1.6 million
rifice their lives to protect their kin. to 100 000 years ago) to the human subspecies
Let’s apply these concepts to human evolu- Neanderthal (75 000 years ago), the brain tripled
tion. We begin with the notion that an organism’s in size, and the most dramatic growth occurred
biology determines its behavioural capabilities, in the parts of the brain that are the seat of the
and its behaviour (including its mental abili- higher mental processes (Figure 4.11). Thus,
ties) determines whether it will survive. In this evolved changes in behaviour seem to have con-
manner, successful human behaviour evolved tributed to the development of the brain, just as
along with a changing body (Buss, 1995; Tooby & the growth of the brain contributed to evolving
Cosmides, 1992). human behaviour (Striedter, 2005).
One theory is that, when dwindling vegeta- Surprisingly, perhaps, today’s human brain
tion in some parts of the world forced apelike does not differ much from the Stone Age
animals from the trees and required that they brain of our ancient ancestors. In fact, the
hunt for food on open, grassy plains, chances Neanderthal had a slightly larger brain. Yet the
for survival were greater for those who were fact that we perform mental activities that could
capable of bipedal locomotion (walking on two not have been imagined in those ancient times
legs), thereby freeing the hands to use weap- tells us that human capabilities are not solely
ons that could kill at a distance (Lewin, 1998). determined by the brain; cultural evolution is
By freeing the hands, bipedalism fostered also important in the development of adapta-
the development and use of tools and weap- tions. From an evolutionary perspective, culture
ons, and hunting in groups encouraged social provides important environmental input to evo-
organization. Social organization required the lutionary mechanisms.
126 CHAPTER FOUR
Australopithecus Homo erectus Neanderthal Homo sapiens

(4 million years ago) (1.6 million to (75 000 years ago)
100 000 years ago)
The brain capacity ranges Further development of The human skull has now The deeply convoluted
from 450 to 650 cubic skull and jaw are evident taken shape: the skull case brain reflects growth
centimetres (cc). and brain capacity is 900 cc. has elongated to hold a in areas concerned with
complex brain of 1450 cc. higher mental processes.
FIGURE 4.11 The human brain evolved over a period of several million years. The greatest growth occurred in those areas concerned
with the higher mental processes, particularly attention, memory, thought, and language.
Some evolved biological mechanisms allow Evolution and Human Nature

broad adaptations, such as the ability to learn a
language, repeat behaviours that are rewarded and Evolutionary psychologists suggest that the
suppress those that are punished, reason logically, essence of human nature is the adaptations that
and imagine future events. Others are considered have evolved through natural selection to solve
to be domain-specific adaptations, designed problems specific to the human environment.
to solve a particular problem, such as selecting a We now consider a sampling of common aspects
suitable mate, choosing safe foods to eat, avoiding of human behaviour that will be discussed in
certain environmental hazards (snakes, cliff edges, greater detail throughout the book:
spiders), detecting cheating and deception in oth- • Infants are born with an innate ability
ers, and forming cooperative alliances with other to acquire any language spoken in the
15. Describe people. Domain-specific mechanisms suggest that world. The specific language(s) learned
examples of the human mind is not a general, all-purpose prob- depends on which ones they are exposed
human behaviour lem solver but rather a collection of specialized to. Deaf children have a similar innate
that suggest and somewhat independent modules that evolved ability to acquire any sign language, and
innate evolved to handle specific adaptive problems. As we shall their language acquisition pattern paral-
mechanisms. see throughout the book, this modular approach to lels the learning of spoken language. Lan-
brain/mind functioning helps us understand many guage is central to human thought and
aspects of consciousness, problem solving, emo- communication.
tion, personality, and behaviour.
• Newborns are prewired to perceive specific
stimuli. For example, they are more respon-
sive to pictures of human faces than to pic-
Thinking critically tures of the same facial features arranged
in a random pattern (Fantz, 1961). They are
NATURAL SELECTION AND GENETIC also able to discriminate the odour of their
DISEASES mother’s milk from that of other women
If Darwin was right about natural selection, then why (McFarlane, 1975). Both adaptations improve
do we have so many harmful genetic disorders? human bonding with caregivers.
Consider, for example, cystic fibrosis, a hereditary
disorder of European origin that clogs one’s lungs • At one week of age, human infants show
with mucus and prevents breathing, typically causing primitive mathematical skills, success-
death before age 30. Another example is sickle-cell fully discriminating between two and
anemia, which causes early deaths in many people
of African descent. Can you reconcile the existence
three objects. These abilities improve with
of such disorders with “survival of the fittest”? age in the absence of any training. The
brain seems designed to make “greater
at the end of the book. than” and “less than” judgments, which
are clearly important in decision making
(Geary, 2005).
(left): © Ryan McVay/Getty Images; (middle): © Royalty-Free/Corbis; (right): © 2009 Jupiterimages Corporation
FIGURE 4.12 The human smile seems to be a universal expression of positive emotion and is universally per-
ceived that way. Evolutionary psychologists believe that expressions of basic emotions are hard-wired biological
mechanisms that have adaptive value as methods of communication.
• Humans seem to have a need to belong and that are universally recognized (Ekman,
strongly fear being ostracized from the 1973). Smiling, for example, is a universal
group. Social anxiety (fear of social disap- expression of happiness and goodwill that
proval) may be an adaptive mechanism to typically evokes positive reactions from
protect against doing things that will prompt others (Figure 4.12). Emotions are impor-
group rejection (Baumeister & Tice, 1990). tant means of social communication that
• Humans, like other social animals, tend to be evoke psychological mechanisms in others
altruistic and helpful to other members of their (Ketellar, 1995).
own group. We tend to be especially altruistic • Our personal adaptations to life result from
toward relatives (Curry et al., 2015). Helping our interactions with immediate and past
family members and relatives increases the environments. Theorists propose that as the
likelihood that those people will be able to human brain evolved, it acquired adaptive
pass on the genes they share with you. capacities that enhanced our ability to learn
• As we will see in Chapter 11, there is and solve problems (Hofman, 2015). That is,
much evidence for a set of basic emotions we are predisposed to learn.
In Review
• Evolutionary psychology focuses on biologically interaction between biological and environmental
based mechanisms sculpted by evolutionary factors in both its original and later influences
forces as solutions to the problems of adapta- on behaviour.
tion faced by species. Some of these genetically • The cornerstone of Darwin’s theory of evolution
based mechanisms are general (e.g., the abil- is the principle of natural selection, which pos-
ity to learn), but many are domain-specific (e.g., its that biologically based characteristics that
mate selection). contribute to survival and reproductive success
• Evolution involves a change over time in the fre- increase in the population over time because
quency with which specific genes occur within an those who lack the characteristic are less likely
interbreeding population. Evolution represents an to pass on their genes.
128 CHAPTER FOUR
Evolutionary Psychology theorist, they exist in humans because they have

helped us achieve two overriding goals: physical
As is clear from the quotation that opens this survival and reproduction of the species. Traits
chapter, Charles Darwin expected that an evo- such as extraversion and emotional stability
lutionary analysis would be applied to behav- were helpful in attaining positions of dominance
iour, including human behaviour, and not just and mate selection. Conscientiousness and
anatomy. Darwin himself wrote about human agreeableness might be particularly important
emotions and other behaviours, and some early to group survival, as well as in reproduction
psychologists, such as William James, contin- and the care of children. Finally, because open-
ued that theme. As we discussed in Chapter 1, ness to experience may be the basis for problem
in their influential and controversial work in the solving and creative activities that could affect
mid-1970s sociobiologists such as E.O. Wilson the ultimate survival of the species, there has
argued that natural selection favours behav- always been a need for intelligent and creative
iours that increase the ability to pass on one’s people. Thus, evolutionary theorists regard
genes to the next generation. Despite this his- basic personality traits as having been sculpted
tory, it is only within the past few decades that by natural selection pressures until they became
evolutionary psychology has become a major, part of human nature. They may also reflect the
and growing, perspective within psychology. ways in which we are biologically prepared to
Although related, evolutionary psychology think about and discriminate between people.
and sociobiology are different. The core prin- Lewis Goldberg (1981) suggests that over the
ciple of sociobiology is that the main purpose of course of evolution, people have had to ask five
the gene is to propagate itself. That is, the gene’s basic questions when they interact with another
purpose is to make more genes (i.e., reproduce). person. In order of importance, these questions
Evolutionary psychology focuses on the study have survival and reproductive implications:
of behaviour and the nervous systems from an
evolutionary perspective and includes a wide 1. Is Person X active and dominant or passive
range of behaviours, not just those directly and submissive? Can I dominate X or will I
linked to reproduction. An evolutionary analy- have to submit to X?
sis is being applied across a growing range of 2. Is Person X agreeable and friendly, or hostile
behaviours from traditional areas of evolution- and uncooperative?
ary analysis, such as mating patterns, to person-
3. Can I count on X? Is X conscientious and
ality traits and even consciousness (Bridgeman,
dependable?
2003), and even to political attitudes (see the
Frontiers feature). Whatever the specific topic, 4. Is X sane (stable, rational, predictable) or
an evolutionary psychologist thinks about crazy (unstable, unpredictable, possibly
behaviour in terms of functions and how those dangerous)?
functions contribute to the success and adapt- 5. How smart is X, and how quickly can X learn
ability of the individual. and adapt?
Not surprisingly, according to Goldberg,
Personality these questions map onto five basic personality
Behaviour genetics researchers attempt to traits. He argues that this is why factor analyses
understand how biological factors contribute of trait ratings reveal the same five traits con-
to differences between individuals on person- sistently across very diverse cultures. One issue
ality traits. An approach called evolutionary that could arise from considering human person-
16. According personality theory (Buss, 1999, 2007) asks an ality from an evolutionary analysis is the range
to evolutionary even more basic question: Where did the traits of human personality. If extraversion and open-
theorists, what is come from in the first place? ness to experience are adaptive and selected for,
the origin of the
A current theory of personality, the Five Fac- why, then, are we not all extraverted and open
basic personality
tor Model we discussed earlier in this chapter, to new experiences? Extraversion is adaptive
traits?
argues that the human personality has a lim- in some situations, but introversion can also be
ited number of basic dimensions. Researchers adaptive in some situations and in some social
have argued that these basic personality traits roles. Similarly, openness to experience is adap-
are found universally across all humans. Why tive in many situations and social roles, but not
should we find these traits so consistently all. One of the reasons that humankind has been
in cultures around the world? According to so successful is that humans are a highly adapt-
David Buss (1999), an evolutionary personality able social species. In different times, in different
Frontiers
HERITABILITY, EVOLUTION, TABLE 4.4 Estimates of Group Variance in

AND POLITICS Political Attitudes Attributable to
Genetic and Environmental Factors
We tend to assume that people develop their political atti-
tudes, such as their level of interest in politics and identifi- Familial Unique
cation with a political party, based on social learning and Genetic Environment Environmental
socialization, which depends, importantly, on their family Political interest 0.62 – 0.38
environment. We expect political leanings and interests to Left/liberal vs. right/ 0.57 – 0.43
“run in families” because children are exposed to specific conservative
political discussions and attitudes from an early age, and Attitude scales
relevant behaviours modelled by their parents and siblings. Social conservatism 0.73 – 0.27
But does being politically engaged and politically left- or Environmentalism – 0.56 0.44
right-wing run in families because of heritability and not Economic equality 0.58 – 0.42
because of socialization processes? Both of the approaches State and social issues – 0.46 0.54
we have encountered in this chapter, behaviour genetics
Competition/business 0.41 – 0.59
and evolutionary psychology, are now being applied to polit-
Ethnic/racial minorities 0.52 – 0.48
ical attitudes and behaviour (Lopez & McDermott, 2012).
Political interest—one’s willingness to pay attention to Source: Adapted from Bell, E., Schermer, J. A., & Vernon, P. A. (2009).
politics—is one attitude that had been thought to be due to The origins of political attitudes and behaviours: An analysis using
socialization processes. However, a twin study using two sep- twins. Canadian Journal of Political Science, 42(4), 855–879.
arate twin samples, one in Denmark and one in the United Reprinted by permission of SAGE Publications
States, found a high degree of heritability for political interest
(Klemmensen et al., 2012). With a total sample size of almost
4000 individuals, researchers were able to separate the rela- after a competition testosterone levels tend to rise or stay
tive contributions of genetic, familial environment, and unique stable in victors and to fall in losers. An evolutionary analy-
environmental factors (see the discussions of behaviour genet- sis may examine the impact of this phenomenon within the
ics and personality earlier in this chapter). For both the Danish context of dominance hierarchies and the consequences on
and the American samples, genetic factors and unique envi- reproductive success (Archer, 2006). What about the impact
ronmental factors played a significant role in political interest, in a very modern competition? Based on an evolutionary
whereas familial environment had a negligible impact. analysis, researchers predicted that the supporters of a los-
If overall level of political interest has a heritable compo- ing political candidate would experience a post-election drop
nent, what about more specific political attitudes? Edward in testosterone, while supporters of the winning candidate
Bell and colleagues assessed a range of political attitudes would not. Stanton and colleagues (Stanton et al., 2009)
among a sample of 570 adults that included 192 pairs of tested 163 voters during the 2008 presidential election in
monozygotic twins and 78 pairs of dizygotic twins (Bell et al., the United States. They found that men who voted for the
2009). Questions included general interest in national winning candidate, Barack Obama, had stable post-election
politics, feelings towards the major Canadian political par- levels of testosterone, while men who voted for either of the
ties, left/liberal versus right/conservative orientation, and six losing candidates showed a decline in testosterone levels.
political attitude scales. As shown in Table 4.4, they found This pattern of testosterone change remained even when
substantial genetic effects for four of the six political attitude other factors that might influence results were controlled for
scales, with heritability values ranging from 0.41 to 0.73. (e.g., strength of support, timing of sample collection, lev-
Level of political interest and left/liberal versus right/conser- els of conservatism, social surroundings on election night).
vative identification also had an important genetic contribu- An evolutionary analysis is being applied to a range of top-
tion. Unique environmental factors had a significant role in ics within political science, such as leadership, aggression
all attitudes measured, although it was less important than and conflict resolution, attitudes, and resource sharing. For
genetic contributions for most measures. As we have seen example, the techniques, perspective, and analyses of evo-
elsewhere in this chapter, there is a role for both heritability lutionary psychology have been applied to the new field of
and unique personal experiences in explaining variations in evolutionary political science (Lopez & McDermott, 2012).
behaviour. Genetic effects were also reported for feelings We are a social species. Living in groups has been a suc-
toward the major federal parties, party identification, and vot- cessful and enduring feature of human nature. Natural selec-
ing choice, with heritability values ranging from 0.33 to 0.62. tion has worked on the mechanisms that underlie political
The principles of evolutionary psychology are also being attitudes and behaviours as it has on other areas of human
applied to gain an understanding of political phenomena activity, and this relationship is being explored using the tech-
(Lopez & McDermott, 2012). For example, we know that niques and analyses we have encountered in this chapter.
130 CHAPTER FOUR
environments, within different social roles, the

range of personality characteristics that we can
display has allowed us to adapt and thrive.
Mating Systems and Parental Investment

The task facing any species is to insure not only
17. What the survival of the current generation, but also the
is meant
survival of the next generation. A variety
by parental
investment? of strategies have evolved to solve this task.
At one extreme are species that produce an
extremely large number of offspring and offer
little or no care, but enough of the young sur-
vive to continue the species. Many types of fish
as well as other animals take this approach.
Large numbers of eggs are laid, but many eggs
are lost to predation and only a tiny proportion
of hatchlings survive to adulthood. At the other
extreme are species that produce few offspring
but offer care and protection until the offspring
are self-sufficient and capable of surviving
on their own. The evolution of many animals,
including humans, led to this later approach.
Humans and most other mammals invest a
great deal in a small number of offspring to
protect and sustain the next generation in an
environment with limited resources and dan-
ger of predation (Figure 4.13). From this basic
dichotomy—little investment in many offspring
versus large investment in few offspring—there
are also differences between the sexes because (top): © Image Source/PunchStock;
of what females and males each contribute to (bottom): © Cultura RM/Alamy Stock Photo
reproduction. That is, one difference across spe- FIGURE 4.13 Some animals, such as the sea tur-
cies is in parental investment. Parental invest- tles shown here, produce enough offspring that even
ment refers to the time, effort, energy, and risk without protection or care enough will survive to adult-
associated with caring successfully for each hood to continue the species. Other species, such as
offspring. humans, produce few young but offer extensive care
In one of the most influential papers in mod- until the offspring are self-sufficient.
ern evolutionary theory, Robert Trivers (1972)
described a theory in which he used sex differ- (which can last up to four years in some human
ences in parental investment to explain differ- societies; Shostack, 1981). Although some com-
18. How
ent mating systems. An offspring of a sexually ponents of parental investment can vary, there
does the idea
of parental reproducing species has two parents, but the two is, at the core, a sex difference due to the biolog-
investment parents do not necessarily make equal paren- ical differences between male and female roles
explain tal investment. Trivers argued that if parental in reproduction.
differences in investment is unequal, the parent who invests If females of a species have high parental
physical size most in offspring will be more vigorously com- investment and necessary male parental invest-
between the peted for and will be more discriminating when ment is low, Trivers’s theory predicts that polyg-
sexes? choosing a mate. One source of sex difference yny would be most common. Female investment
in parental investment is the simple fact of biol- is high, so females will be competed for, and
19. What ogy that male and female reproductive cells, or necessary male investment is low, so males
mating system can maximize their fitness by producing many
gametes, differ. Female mammals produce rela-
described by
tively few large, nutrient-rich gametes, that is, offspring with many different females. Most
Trivers fits with
your experience ova or eggs. Males produce many small, mobile mammals are polygynous, a mating system in
of human gametes, the sperm. Investment continues to which one male may mate with many females
society? diverge during the nine months of human ges- (polygyny means literally poly- “many”; -gyn-
tation, then delivery, and then breast-feeding “females”). Such a system should lead to larger
is high among both females and males, then

competition for a mate is not limited to one sex
and monogamous species should show few sex
differences in size and strength. Monogamous
species show little sexual dimorphism in size or
strength.
Of other possible mating systems, poly-
andry, in which one female mates with many
males, is rare among mammals but occurs in
some species of fish and insects, as well as in
a small number of bird species. Within polyan-
drous species, it is the females who compete
© PhotoLink/Getty Images
with one another for access to males. Consistent
FIGURE 4.14 Among polygynous species, such as with a parental investment analysis, the females
the elephant seals shown here, natural selection has of polyandrous species are larger, stronger,
favoured large males, but there has been no such more active, and more aggressive than males of
selection pressure on females. If the species is monog- the species.
amous, then both sexes compete for mates, so there The final mating system is one of polygyn-
is no selection pressure for one sex to become signifi-
andry, or promiscuity, in which all members of
cantly larger than the other.
the group mate with all other members of the
group. Polygynandry is found among some pri-
and stronger males, since increased size and mates, such as chimpanzees (Goodall, 1986),
strength would confer an advantage in male- and is especially clear among bonobo chimps
male competition. In general, it is true that the (Wrangham, 1993). For a highly social species
more polygynous the species, the greater the such as bonobos, polygynandry is one possi-
difference in size between males and females, ble way to reduce competition for a mate and
with the males of the species larger than the may help bonobos be the most peaceful of all
females (Figure 4.14). The female, on the other primates.
hand, should be discriminating in choice of For humans, modern birth control techniques
mate. She can produce a limited number of have altered much of the selective pressures
offspring, and each is a large investment. A for specific mating patterns based on parental
poor choice by the female has important con- investment in reproduction. But remember that
sequences: lower reproductive success, risk to human sexual psychology evolved over millions
her health, fewer of her children will survive to of years to cope with the pressures of adapt-
reproductive age, and opportunities for more ing to the environment millennia before the
successful matings missed. advent of birth control. It is still the case that
If both female and male investment is high, the human female has the greater necessary
then Trivers’s analysis would predict a monoga- parental investment. But beyond the necessary
mous mating system. Equal, or approximately minimal parental investment dictated by our
equal, parental investment would be expected reproductive physiology, it is clear that there
if it is unlikely that a single parent can suc- is potential for both men and women to invest
cessfully raise the offspring (Dewsbury, 1988). in children and that parental investment by the
Natural selection would favour genes that lead male does have an impact on the likelihood that
to parents staying together, at least until the the young will thrive.
young are self-sufficient. One reason that many
species of birds (approximately 90 percent; Mate Preference
Lack, 1968) are monogamous is that it is almost As just discussed, the theory of parental invest-
impossible for a single parent to successfully ment predicts that there will be competition for 20. How are
care for young. The eggs must be incubated, and the sex with the highest parental investment. male and
the eggs and the flightless hatchlings need con- It also predicts that the sex with the greater female mate
stant protection from predators. A lone parent preferences
parental investment will be more discriminating
similar? How are
faces the dilemma of staying at the nest to care when selecting a mate. Evolutionary psycholo- they different?
for and protect eggs and hatchlings or leaving gists have argued that the most common and
the nest to find food. A second parent that can powerful mate preferences are all preferences
share in incubation, protection, and foraging is that make the most sense from an evolutionary
an enormous advantage. If parental investment perspective. The results of a worldwide study of
132 CHAPTER FOUR
(left) Terry Allen/Alamy Stock Photo; (middle left) Grant Rooney Premium/Alamy Stock Photo; (middle right) © Photo Japan/Alamy Stock Photo; (right) Kwame Zikomo/Purestock/
SuperStock
FIGURE 4.15 Culture determines many details about how we live our lives, such as what is appropriate wedding attire. There is surpris-
ing consistency across cultures, however, in what men and women each look for in a mate.
mate preferences, for example, found consid- Buss, 2007). Interestingly, these female prefer-
erable overlap between what men and women ences are most pronounced in parts of the world
look for in a mate, but also reported differences with high levels of pathogens (disease-causing
(Figure 4.15; see the Research Foundations organisms). In places where diseases such as
feature). malaria, plague, and yellow fever are most
Women prefer older men as potential mates. prevalent, male characteristics such as facial
Averaged over all cultures, women preferred symmetry, robustness, intelligence, and social
men who were about three and a half years dominance—all signs of biological fitness—
older. The actual worldwide average age differ- are especially important to women (Gangestad
ence between brides and grooms is three years, et al., 2006).
and in every culture studied, grooms were older, Given the large parental investment by
on average, than brides. That is, the actual mar- women, and the added advantage to their chil-
riage decisions of women match their expressed dren conferred by a mate who contributes
preferences. Evolutionarily this preference to the care and rearing of those children, one
makes sense: Young adult males rarely have would expect that women would prefer a mate
the respect, status, and access to resources that who has demonstrated a willingness to con-
are achieved by older, more established males. tribute to a child’s well-being (Buss, 2007). An
Males in traditional hunter–gatherer societies interesting study by Peggy La Cerra (Buss,
have their peak access to resources in their late 1999) assessed whether women might have
20s, when status and physical strength are high, a preference for men who show signs of high
or later in life, when accumulated experience, parental investment. La Cerra showed female
skill, wisdom, and social status confer advan- undergraduate students pictures of males in
tages, not when they are entering adulthood. one of five conditions: (1) standing alone, (2)
21. Why do Even within modern North American society, smiling and playing with an 18-month-old child,
women in all income, and hence access to resources, tends to (3) ignoring a crying child, (4) with a child, but
cultures tend increase with age. in an emotionally neutral pose with no male–
to marry older Together with the woman’s preference for a child interaction, and (5) doing housework (vac-
men?
slightly older mate, women also show a prefer- uuming). The same set of males was shown in all
ence for symmetrical faces and other signs of conditions, so different ratings across the five
22. Why do
women and physical health (Thornhill & Gangestad, 2006). conditions could not be due to the actual physi-
men find a A symmetrical face is a sign that the person is cal attractiveness of the men. Female under-
symmetrical face free of parasites or has a genetic resistance to graduates saw a series of 240 slides and then
attractive? parasites, and has had a healthy and normal rated the males on a series of criteria, including
physical development (Gangestad, Haselton, & how attractive the man was as a potential mate
Research
Foundations
GENDER DIFFERENCES IN THE IDEAL MATE not randomly selected, the sample of 10 047 participants
was ethnically, religiously, and socioeconomically diverse.
Introduction Participants reported the ideal age for marriage for them-
How can we test the hypothesis that across millennia, selves and their spouse, rank-ordered 13 different qualities
evolution has shaped the psyche of men and women to from least to most desirable in a mate, and performed a
be different? Evolutionary psychologist David Buss pro- separate rating of the importance of 18 mate qualities.
poses that, as a start, we can examine whether gender
differences in mate preferences are consistent across Results
cultures. If they are, this would be consistent with the In every culture, men preferred younger women. Overall,
argument that men and women follow different, biologi- men reported that the ideal age for marriage was 27.5 for
cally based mating strategies that have developed during men and 24.8 for women, a difference of 2.7 years. Women
our evolutionary history. Buss hypothesized that across preferred older males, and actually preferred a slightly
cultures larger age difference; on average, women reported that
the ideal age for men to marry was 28.8 and for women
• men will prefer younger women because such women
25.4 years, a difference of 3.4 years. In every one of the
have greater reproductive capacity;
37 cultures, men valued physical attractiveness of a mate
• men will value signs of physical health and fertility, such more than women did. In 36 of the 37 cultures, women
as attractiveness, more than women; and valued a mate’s earning potential more than men did. Buss
• women will place greater value than men on a potential concluded that the results strongly supported the predic-
mate’s earning potential, since such resources provide tions based on evolutionary theory. Table 4.5 shows the
survival advantages for women and their children. study’s overall results.
Method Discussion
A team of 50 scientists administered questionnaires to Buss’s research provides evidence of remarkable cross-
women and men from 37 cultures around the world. Although cultural consistency in gender differences in mate
TABLE 4.5 What Do You Look for in a Mate?

Women and men from 37 cultures rated each characteristic on a 4-point scale. From top to bottom, the numbers represent
the order (rank) and the most to least highly rated characteristic, for Buss’s worldwide sample. How would you rate the
characteristics’ importance?
Preferred by Preferred by
Women Men Characteristic Women Men
Mutual attraction/love 1 1 Refinement 10 9
Dependable character 2 2 Similar education 11 14
Emotional stability/maturity 3 3 Good financial prospect 12 13
Pleasing disposition 4 4 Good looks 13 10
Education/Intelligence 5 6 Social status 14 15
Sociability 6 7 Good cook/housekeeper 15 12
Good health 7 5 Similar religion 16 17
Desire for home/children 8 8 Similar politics 17 18
Ambitious 9 11 Chastity 18 16
Source: Data from Buss, D.M., Abbott, M., Angleitner, A., Asherian, A., Biaggio, A., Blanco-Villasenor, A., . . . Kuo-Shu, Y. (1990). International
preferences in selecting mates: A study of 37 cultures. Journal of Cross-Cultural Psychology, 21, 5–47.
continued
134 CHAPTER FOUR
preferences. Buss interprets the cross-cultural consistency

as evidence that men and women follow different, biologi- Design
cally based mating strategies. Buss’s conclusions have Question: Are mate preferences consistent across
stimulated considerable debate, and some have argued cultures?
that the cross-cultural consistency may reflect other fac-
Type of Study: Correlational
tors, such as gender inequality (Wood & Eagly, 2000), and
not our evolutionary past. It is important to note that there
are many similarities in female and male mate preferences,
and there are important differences in mate preferences Variable X Variable Y
cross-culturally. Indeed, as Buss wrote, “there may be more Male versus female in Preferred mate
37 different cultures attributes
similarity between men and women from the same culture
than between men and men or women and women from dif-
ferent cultures” (p. 17).
Source: David M. Buss (1989) Sex differences in human mate preferences: Evolutionary hypotheses tested in 37 cultures. Behavioral and Brain
Sciences, 12, 1–49.
(see Figure 4.16). Women rated men who were Interestingly, in parallel tests with male
interacting positively with the child the highest participants shown pictures of females in simi-
as a potential mate and rated the man ignor- lar situations, it made no difference what the
ing the crying child the lowest. But it was not woman was doing. Whether the woman was
simply that the man interacting with the child interacting with a child, ignoring a crying child,
portrayed an acceptable domestic scene; the standing alone, standing unemotionally next
man cleaning house was actually rated as less to a child, or vacuuming had no effect: Men’s
attractive than the man standing alone or the attractiveness ratings were the same across all
man and child shown in an emotionally neutral conditions. Such findings among contemporary
pose. That is, male attractiveness was enhanced North American university students are what
by signs of parental investment and decreased one would predict based on a parental invest-
by indifference toward a child in distress. ment analysis of mate preference.
3
Attractiveness as a potential mate
0
Positive Alone Standing Ignoring Vacuuming
interaction beside distressed
with child child child
Male shown
FIGURE 4.16 When rating males on attractiveness as potential mates, evidence of parental investment, such
as positive emotional interactions with a young child, increases attractiveness ratings while evidence of low invest-
ment, such as ignoring a distressed child, decreases attractiveness.
© Max Power/Corbis; Source: Adapted from Buss, D.M. (1999). “Human nature and individual differences: The evolution of human
personality.” In L.A. Pervin & O.P. John (Eds.), Handbook of personality: Theory and research (2nd ed.). New York, NY: Guilford Press.
Male mate preferences have also been on a project, you all benefit from one another’s
explored within an evolutionary perspective. efforts and expertise. The adaptive value of
Men tend to prefer women who display signs of cooperation is clear. As a species developed the
youth and physical health, such as smooth skin, behavioural repertoire that supported coopera-
animated facial expressions, a high energy level, tion, groups of individuals became capable of
and a bouncy, youthful gait (Buss, 1999; Thorn- accomplishing more than any individual could
hill & Gangestad, 2006). The interpretation from accomplish alone (Buss, 2007). Social animals
an evolutionary perspective is clear: Males have benefit from cooperation in many activities, from
evolved to value those characteristics that are finding food, to dealing with predators, to pro-
associated with youth—and hence future repro- tecting their home territory, to caring for young.
ductive potential—and with health. Remember Many of the benefits of being a social species are
that reproductive success includes the ability based on cooperation.
of the woman to remain in good health during Different from cooperation are acts of altru-
pregnancy, to successfully carry the pregnancy ism. Altruism occurs when one individual helps
to term, to have the energy and physical health to another, but in so doing he or she accrues some
nurse the child, and to be able to care for and nur- cost. For example, when a bird emits a call to
ture the child until the child can eventually care warn off a predator, the warning helps other
for him- or herself. members of the flock but puts the signaller in
Together with a strong male preference for greater danger since it has advertised its loca-
signs of a woman’s youth and health, research tion to the predator. In a series of classic stud-
has also found a surprising degree of cross- ies, Sherman (1977) demonstrated that ground
cultural consistency in male rating of female phys- squirrels who sounded predator alarms to warn
ical attractiveness. For example, in one study others of their colony were indeed at greater
(Cunningham et al., 1995), males of different risk (Figure 4.17). Predators (weasels, badgers,
races judged the attractiveness of women’s faces coyotes) stalked and killed alarm callers at a
shown in photographs. The photographs were far higher rate than noncallers. On the surface,
of women of different ethnic groups, including altruism may not appear to make evolution-
Asian, Hispanic, Black, and White women. The ary sense: by engaging in altruism, individuals
average correlation in the attractiveness rat- decrease the likelihood that they will survive.
ings between males of different racial groups
was +0.95, a tremendously high correlation in
psychological research. That is, males of all
races agreed in their ratings of the photographs.
Familiarity with or exposure to Western culture
or to the culture of the model shown in the pho-
tograph did not influence attractiveness ratings.
For mate preferences to evolve, they must
have had an impact on actual mating. Further-
more, although women’s preferences powerfully
control actual mating, the mate preferences
between the sexes should at least be compatible.
A clear example of the compatibility of mate pref-
erences is the worldwide preference of women
for older men and men for younger women. The
impact of these preferences on actual mating is
demonstrated by the worldwide prevalence of
brides who are younger than grooms.
Altruism
Despite competition for mates, preferred foods, © Richard R. Hansen/Photo Researchers, Inc.
and safe places to sleep, social animals also help
one another. There are two broad categories of FIGURE 4.17 This female ground squirrel has spot- 23. What is
ted a predator and is sounding an alarm call to warn the difference
helping: cooperation and altruism. Cooperation other squirrels of the danger. In sounding an alarm, between
refers to situations in which one individual helps this female ground squirrel helps others of her colony cooperation and
another and in so doing also gains some advan- but places herself at increased risk of being found and altruism?
tage. When you and your friends work together killed by the predator.
136 CHAPTER FOUR
There are two important theories of altruism. This theory argues that altruism is, in essence,
The first, the kin selection theory of altru- long-term cooperation (Trivers, 1971; Cosmides &
ism argues that altruism developed to increase Tooby, 1992). That is, one individual may help
the survival of relatives (Hamilton, 1964; Curry another, but that assistance will be reciprocated
et al., 2013 ). Many animals evolved living in at some time in the future. If this theory of recip-
small groups in which there was at least some rocal altruism is correct, then social animals
degree of genetic relatedness across many should remember who has helped them in the
group members. Even in large mixed groups, past and should help those individuals. Further-
some members of the groups will be genetically more, they should not offer further assistance to
related; there may be siblings, offspring, aunts individuals who have failed to reciprocate. It also
or uncles, and other family members within requires a relatively stable social group; transient
the group. In showing altruism, one individual members are unlikely to be present to offer assis-
may perish, but if this increases the likelihood tance at some later date (Figure 4.19). We have
that genetically related individuals survive, the all experienced reciprocal altruism. If you help
genes that support altruism will be selected for your roommates move, then you expect that,
24. Combining and spread through more and more members of in the future, they will come to your assistance
the kin selection the species across generations. The kin selec- when you move. Likewise, if you have gone out
and reciprocity tion theory predicts that we should direct more of your way to pick up friends after work, then
theories of acts of altruism toward relatives than toward you expect that they would do the same when
altruism, who nonrelatives. From squirrels (Sherman, 1977), you need a ride. A large part of gossip is a pub-
are you the most to chimpanzees (Goodall, 1986), to humans lic inventory of favours owed and repaid, and a
likely to help? (Curry et al., 2013 ), there is evidence that sup- public account of who is and who is not reliable
Who are you the
ports the contention that altruism is more likely for reciprocating (Barkow, 1992). Such recipro-
least likely to
help? to be shown toward kin than nonkin. As shown cal altruism between unrelated individuals has
in Figure 4.18, as the degree of genetic related- been observed in other social primates, such as
ness decreases from 0.5 (e.g., siblings, parents) bonobos (Surbeck & Hohmann, 2015).
to 0.25 (e.g., half-siblings, aunts, uncles, nieces, These two theories of altruism, kin selection
nephews) to 0.125 (e.g., cousins, children of and reciprocity, are not incompatible. Kin selec-
half-siblings), there is a concomitant decrease tion theory offers an explanation of why we are
in altruism (Essock-Vitale & McGuire, 1985). more likely to act altruistically toward geneti-
The second of the evolutionary theories of cally related individuals, and why the likeli-
altruism is the theory of reciprocal altruism. hood of altruism decreases in an orderly way as
genetic relatedness decreases. Reciprocity the-
30
ory offers an explanation of why we also offer
assistance to and request assistance from non-
25
kin. However, altruism does not always occur;
we do not always come to each other’s aid. One
20
Percent helping
of the challenges in the study of altruism is to

identify what environmental factors increase
15
and decrease the likelihood that we will engage
in acts of altruism.
10
0
0.5 0.25 <0.25
Genetic relatedness
FIGURE 4.18 In a study of 300 adult women, 2520

instances of receiving help and 2651 instances of giv-
ing help were analyzed. The likelihood of giving and
receiving help decreased as degree of genetic related-
ness decreased.
Source: Adapted from Essock-Vitale, S.M., & McGuire,
M.T. (1985). Women’s lives viewed from an evolutionary Tannis Toohey/Toronto Star via Getty Images
perspective: II. Patterns of helping. Ethology and Sociobiology,
6, 155–173. FIGURE 4.19 An act of altruism.
Aggression most frequently two men fighting about a woman

(Daly, Wilson, & Weghorst, 1982). Less extreme 25. Evolutionarily,
One of the problems facing any animal is that what function
the most valued resources are in limited sup- forms of aggression also occur within the context
or functions
ply. There are not enough of the best things of winning or protecting a mate, and aggression does aggression
to eat, safest places to shelter from predators, may be used to inflict some cost on rivals. For serve?
safest and most comfortable places to sleep, example, both men and women belittle same-sex
or most desirable mates. One possible solu- rivals, attempting to make their rivals appear less
tion to this problem is for animals to compete desirable (Buss & Dedden, 1990).
with each other or for a group to compete with As animals evolved larger, more complex
another group to determine who has access to brains and more sophisticated mental functions,
the resource. Evolutionarily, then, aggression an important change occurred in competition:
may have developed as a means to protect one’s animals acquired the ability to recognize oth-
mate, young, territory, or food, to co-opt others and to remember past encounters. Unlike
ers’ resources, or to gain access to unclaimed the constantly head-butting iguanas, birds and
resources. In many species of birds, for exam- mammals could remember the outcome of a
ple, a male will attack other males of his species past conflict with another animal. Instead of
that approach his mate or his nest during the having to compete anew each time there were
mating season. Fighting to protect one’s terri- resources to allocate or protect, social animals
tory or to usurp the territory and resources of developed dominance hierarchies. Once a dom-
others has been reported among a wide range inance hierarchy is established, and provided
of species, including lions, macaques, birds, and it is unchallenged, members of the group can
chimpanzees (Wilson, 1980; Goodall, 1986). determine access to resources without unneces-
An important source of intraspecies aggres- sary, energy-expensive, and dangerous aggres-
sion is competition for a mate. The rocks of the sive encounters. Hierarchies are established
Galapagos Islands are densely populated by igua- in the initial encounters between animals if
nas, and during mating there is a constant display the group is being formed or if a new member
of aggression with ritualized fighting and sub- joins the group. Among social primates, such as
missive postures by the losers (Eibl-Eibesfeldt, chimpanzees, the dominant male is invariably
1998). You are likely familiar with film footage of physically large and experienced. Dominance
male rams, moose, or elk engaged in aggressive position among primates is not, however, simply
displays and physical confrontations during the a matter of overt aggressiveness (Figure 4.21).
mating season (Figure 4.20). Competition for a
mate can be intense, and once a male and female
have partnered, aggression may be used to pro-
tect one’s mate from other suitors and the threat of
sexual infidelity. Among humans, one of the most
common causes of homicide is sexual jealousy,
© Digital Vision/PunchStock
© W. Perry Conway/Magma/Corbis
FIGURE 4.21 After establishing a dominance hierar-
FIGURE 4.20 Male rams butting heads are an exam- chy, primates do not need to rely on aggressive behaviour
ple of aggression that has developed evolutionarily. to maintain dominant status.
138 CHAPTER FOUR
The dominant male owes his position as much

to his ability to form social alliances with other
males, usually relatives, as he does to outright
aggression (Goodall, 1971).
Within a group of social animals, aggression
26. Which may occur in forming dominance hierarchies and
members of
if an animal challenges another in an attempt
a group are
usually the most to better its position in the hierarchy. The domi-
aggressive? nance hierarchy, however, functions as much
Why? to decrease the amount of aggression within
the group as it does to provide a context for
aggression. Apart from settling order of access
to resources in a way that avoids unnecessarily
repeated conflict, there may be deliberate quell-
ing of aggression. For example, dominant male Shaney Komulainen/The Canadian Press
chimpanzees, spider monkeys, and macaques
have been observed to use their position to stop FIGURE 4.22 The Oka Crisis confrontation between
First Nations people and the Canadian Army featured
fighting among subordinates (Wilson, 1980).
this famous picture of an aggressive face-to-face
In some contexts, then, aggression appears to showdown.
make evolutionary sense: It functions to divide
limited resources among a group, and those who mechanisms that supported aggressive behav-
are most skilled in physical confrontation or in iours. The immediate situation, the environmen-
forming social alliances, depending on the situa- tal cues confronting the individual or group, can
tion and the species, gain the most. Those physi- activate those mechanisms, whether such acti-
cal and behavioural attributes that contribute to vation is related to the competition functions of
success should then be selected for and become aggression or is an aberrant display. The rich
more widespread within the species. evolutionary history of species such as chim-
There is also, however, a pattern of aggres- panzees and humans has provided much behav-
sion that has been observed only among chim- ioural flexibility, and that flexibility has great
panzees and humans. Chimpanzees and humans adaptive value. It does, however, also allow
form male coalitions to attack others as a group. behaviours to occur in ways that become less
For example, a member of Jane Goodall’s Gombe rigidly tied to the original functions. The dis-
team observed a group of eight young male chim- play of aggression is not invariant or inevitable
panzees form a fighting party that ventured into as some early, simplistic instinct theories sug-
the territory of a neighbouring chimpanzee troop. gested, but rather is exquisitely sensitive to con-
Once there, they found and attacked a lone male textual cues. A male chimpanzee or human may
chimpanzee, and then returned to their home ter- live his entire lifetime without ever displaying
ritory (Wrangham & Peterson, 1996). The fight- overt aggression. Their evolutionary adapta-
ing party observed by the Gombe team did not tions have provided the physical and psycho-
gain any tangible benefit from having killed the logical mechanisms that make them capable of
other chimpanzee, although the actions of the displaying aggression, but it requires the appro-
group may have been related to establishing priate eliciting stimuli for the expression of the
rank or status. Of the 4000 species of mammals, behavioural potential.
and more than 10 million animal species in total,
only two, humans and chimpanzees, have been HOW NOT TO THINK
shown to form coalitions that have the express
purpose of engaging in acts of potentially lethal
ABOUT BEHAVIOUR
aggression against members of their own species GENETICS AND
(Figure 4.22). EVOLUTIONARY
Such acts of aggression, by lone attackers or
organized cooperative groups, are difficult to
PSYCHOLOGY
explain from any perspective, and traditional Evolutionary theory is an important and
explanations, such as an aggression instinct influential force in modern psychology. How-
or a drive to be aggressive, are clearly inade- ever, it is not without controversial issues,
quate. However, the point is that many species, and some misconceptions about evolutionary
including chimpanzees and humans, evolved theory exist.
First, let’s consider some scientific issues. One is a genetic cause for a disease, such as for
has to do with the standards of evidence for or Alzheimer’s disease, or a genetic predisposition,
against evolutionary psychology. Adaptations such as for breast cancer, if we know what gene
are forged over a long period of time—thousands products are involved, then effective treatments
of generations—and we cannot go back to can potentially be developed.
prehistoric times to determine with certainty Evolutionary theorists themselves argue
what the environmental demands were. For this against the idea that if something is geneti-
reason, evolutionary theorists are often forced to cally based it is somehow “natural” and there-
infer the forces to which our ancestors adapted, fore right. In one form, this led to the idea that
leading to after-the-fact speculation that is dif- nature’s rule is “survival of the fittest” (a phrase
ficult to prove or disprove. Early instinct theory coined by the philosopher Herbert Spencer, not
fell victim to the logical fallacy of circular by Charles Darwin). The idea is that those at the
reasoning, although the arguments of modern top of the social ladder are somehow the “best”
evolutionary psychology are much more sophis- people. This idea has been referred to as social
ticated and guard against these errors. Darwinism. The notion of the genetic superior-
Evolutionary theorists also remind us that it is ity of those at the top of the social hierarchy has
fallacious to attribute every human characteris- had destructive consequences, not the least of
tic to natural selection (Clark & Grunstein, 2005; which was the eugenics movement of the early
Lloyd & Feldman, 2002). In the distant past, as 20th century to prevent the “less biologically
in the present, people created environments that fit” (particularly immigrants) from breeding,
help to shape behaviour, and those behaviours and Nazi Germany’s program of selective breed-
can be passed down through cultural learning ing designed to produce a “master race.” As for
rather than through natural selection. Likewise, the notion that genetically based behaviours are
a capability that evolved in the past for one rea- natural and must be accepted, we should remem-
son may now be adaptive for something else. ber that all behaviours are a function of both
For example, the ability to discern shapes was the person’s biology and environment. We can
undoubtedly advantageous for prehistoric hunt- regulate our own behaviour and exercise moral
ers trying to spot game in the underbrush. Today, control, and this is often just as important to our
however, few members of contemporary Western survival (i.e., as adaptive) as are our biological
culture need to hunt to survive, but those shape- tendencies. Likewise, we can choose to alter the
discriminating capabilities are critical in perceiv- environment to override undesired behavioural
ing letters and learning to read. tendencies, and many of the laws and sanctions
While considering behaviour from an evo- that societies enact serve exactly that purpose.
lutionary perspective, it is important to avoid Another fallacy is the view that evolution is
several other fallacies. One is genetic deter- purposive, that there is a grand evolutionary
minism, the idea that genes have invariant and scheme moving toward some end goal. There is,
unavoidable effects that cannot be altered—the in fact, no plan in evolutionary theory; there is
idea that genes are destiny. It is simply not true only adaptation to environmental demands and
that because our genes influence something, it the natural selection process that results. The
is unavoidable or natural. For example, the dis- “nature’s plan” concept (together with social
covery that early-onset diabetes has a genetic Darwinism) has sometimes been used to sup-
cause did not result in medical science abandon- port the morality of certain acts, even destruc-
ing diabetic patients because nothing could be tive ones. The usual strategy is for proponents
done. Rather, the discovery allowed scientists to of some idea to find an example of what they
stop looking for a nonexistent viral or bacterial believe to be a comparable behaviour occurring
cause, freeing resources to increase understand- in the natural world and to use that example
ing of the genetic basis and to develop ways to to support their own behaviour or cause as “in
compensate for the missing enzyme. Research- accord with nature,” and it will further human-
ers’ increased understanding of the genetic basis kind’s natural progress toward some ideal
of early-onset diabetes has changed the disease state. To use this argument to define what is
from a diagnosis of a slow death to a treatable ethically or morally correct is not appropriate.
condition. The expectation is that as our under- Although there are regularities in natural events
standing of human genetics advances it will be that define certain “laws of nature,” judgments
possible to develop successful treatments for a of morality are most appropriately based on
range of diseases. One reason for the Human cultural standards and philosophical consider-
Genome Project has been that whether there ations, and not on biological imperatives.
140 CHAPTER FOUR
In Review
• Parental investment refers to the time, effort, of altruism, in which others benefit but the altru-
energy, and risk associated with caring success- istic individual incurs some risk.
fully for each offspring. The sex that makes the • Animals, including humans, are more likely to
greater parental investment will be more vigor- show altruism toward genetically related indi-
ously competed for and will be more discriminat- viduals than toward nonkin, according to the kin
ing when choosing a mate. Parental investment selection theory of altruism. Altruism among
and the reproductive physiology of a species, nonkin may contribute to the fitness of the
together with environmental factors, have influ- individual by making it more likely that others
enced the development of that species’ mating will act altruistically toward them in the future,
system(s). according to the theory of reciprocal altruism.
• Cross-culturally, women tend to prefer males • Aggression may serve functions related to the
who show signs of willingness to invest in chil- protection of and allocation of resources, and
dren, physical health, earning potential, status, the establishment of a position in a social domi-
and ambitiousness. Consistent male preferences nance hierarchy. Among mammals, including all
include physical attractiveness, good health, and human cultures that have been studied, males,
younger women. especially young males, are the most aggres-
• Social species engage in acts of cooperation, in sive, since they are the group members that
which all involved gain some benefit, and in acts most actively compete.
Gaining Direction
What are the Is it possible that something as complex as per- same habits and hobbies. They even liked the
issues? sonality has a genetic component? If so, then we same brand of cigarettes and beer. Yet they did
would expect twins to show striking similarities not meet each other until they were 39 years
in both physical characteristics and personality old. How do we account for this remarkable
traits. This expectation is demonstrated dramat- similarity? Is there a gene for choice of hob-
ically in studies of twins who were separated at bies? Beer preference? Is genetics the factor
birth and later reunited. Such is the case with that accounts for the similarity between the two
Jim Lewis and Jim Springer. Both were married brothers? If it is not genetics, then how can we
twice and had a son named James. Both had the explain the similarity?
What do How are traits passed from one generation to Are complex traits inherited in humans?
we need to the next? Can personality have a genetic or biological
know? What effect do nature and nurture have on component?
development? Why should we be interested in twins?
Where can To answer these questions, we must begin by reducing any effects of nurture), then we can
we find the looking at the basics. How do we inherit sim- get a pretty good estimate of the effects of
information to ple traits such as eye colour? Does the same genetics on complex human behaviours. This
mechanism underlie more complex behav- is exactly what Bouchard and his colleagues
answer these
iour patterns? How about traits such as intel- have done at the University of Minnesota. In
questions? ligence or neatness? To answer these questions every case, the identical twins show a remark-
for humans, we turn to investigations of twins. able degree of similarity. You should consider
If we can compare identical twins (who share whether there are other plausible explanations
100 percent of their genetic material) who have for this observed similarity, and how complex
been raised in separate environments (thus traits could be inherited.
CHAPTER
Sensation
and Perception 5
CHAPTER SENSORY PROCESSES Perception Involves Hypothesis Testing
OUTLINE Stimulus Detection: The Absolute Threshold Applications: Mona Lisa’s Smile
Signal Detection Theory Perception Is Influenced by Expectations:
Focus on Neuroscience: The Neuroscience Perceptual Sets
of Subliminal Perception and Prosopagnosia Stimuli Are Recognizable under Changing Conditions:
Perceptual Constancies
The Difference Threshold
Sensory Adaptation PERCEPTION OF DEPTH, DISTANCE,
AND MOVEMENT
THE SENSORY SYSTEMS
Depth and Distance Perception
Vision
Perception of Movement
Audition
Taste and Smell: The Chemical Senses ILLUSIONS: FALSE PERCEPTUAL HYPOTHESES
The Skin and Body Senses EXPERIENCE, CRITICAL PERIODS,
Frontiers: Sensory Prosthetics: AND PERCEPTUAL DEVELOPMENT
Restoring Lost Function
Research Foundations: Critical Periods:
PERCEPTION: THE CREATION OF EXPERIENCE The Role of Early Experience
Perception Is Selective: The Role of Attention Cross-Cultural Research on Perception
Perceptions Have Organization and Structure Restored Sensory Capacity
All our knowledge has its origins in our perceptions.

—Leonardo da Vinci
In August 1933, three

reporters for the Saint What are the
John Telegraph travelled issues here?
to Moncton to investigate reports
of a mysterious hill where cars ran What do we need
uphill on their own. This was not the to know?
first time such stories had emerged.
As early as 1880, area farmers noted Where can
that horses seemed to be straining we find the
with a loaded cart even though they information to
appeared to be going downhill. If the answer these
questions?
carts were unhitched at the bottom of
the hill, they would roll uphill on their
own, as would barrels or bales! It was Library and Archives Canada/J.R. Warren Collection/Accession 1977-036
as if some mysterious magnetic force
were pulling these items uphill.
The three reporters were skeptical and spent the morning looking for the hill with strange
magnetic powers. Indeed, they stopped at the bottom of every hill in and around Moncton waiting
142 CHAPTER FIVE
to see their 1931 Ford Roadster roll uphill. After hours of frustrating searching they stopped at the
base of Lutes Mountain and got out of the car to stretch. To their surprise, the roadster calmly rolled
uphill away from them.
There are at least ten magnetic or gravity hills in Canada and hundreds around the world. Not a
single site has any unusual magnetic field.
N
ature gives us a marvellous set of sen- This process is called transduction. Once this
sory contacts with our world. If our translation occurs, specialized neurons called
sense organs are not defective, we expe- feature detectors break down and analyze the
rience light waves as brightnesses and colours, specific features of the stimuli. At the next stage,
air vibrations as sounds, chemical substances these numerous stimulus “pieces” are recon-
as odours or tastes, and so on. However, such is structed into a neural representation that is
not the case for people with a rare and mysteri- then compared with previously stored informa-
ous condition called synaesthesia, which tion, such as our knowledge of what particular
means, quite literally, “mixing of the senses” objects look, smell, or feel like. This matching of
(Cytowic, 2002; Simner & Hubbard, 2014). They a new stimulus with our internal storehouse of
may experience sounds as colours or tastes as knowledge allows us to recognize the stimulus
touch sensations that have different shapes. and give it meaning. We then consciously expe-
Women are more likely to be synaesthetes than rience a perception.
men (1 in 1150 versus 1 in 7150, respectively;
Rice et al., 2005). Interestingly, Maurer and
Sensation
Mondloch (2006) have suggested that we are all
born synaesthetic: The neural pathways of Stimulus is received by
infants are fairly undifferentiated and lead to sensory receptors
cross-modal perceptions.
The Russian psychologist A.R. Luria (1968) Receptors translate stimulus
studied a highly successful writer and musician properties into nerve
whose life was a perpetual stream of mixed- impulses (transduction)
up sensations. On one occasion, Luria asked
him to report on his experiences while listen- Feature detectors analyze
ing to electronically generated musical tones. stimulus features
To a medium-pitch tone, the man experienced
a brown strip with red edges, together with a
Stimulus features are
sweet-and-sour flavour. A very high-pitched reconstructed into
tone evoked the following sensation: “It looks neural representation
something like a fireworks tinged with a pink-
red hue. The strip of colour feels rough and Neural representation is
unpleasant, and it has an ugly taste—rather like compared with previously
that of a briny pickle. . . . You could hurt your stored information in
hand on this.” brain
1. Describe Sensory-impaired people such as those who

the six stages experience synaesthesia provide glimpses into Matching process results
that constitute different aspects of how we “sense” and “under- in recognition and
the process stand” our world. These processes, previewed interpretation of stimuli
of sensory in Figure 5.1, begin when specific types of Perception
processing and stimuli activate specialized sensory receptors.
perception of Whether the stimulus is light, sound waves, a FIGURE 5.1 Sensory and perceptual processes pro-
information. ceed from the reception and translation of physical
chemical molecule, or pressure, your sen- energies into nerve impulses to the active process by
sory receptors must translate this information which the brain receives the nerve impulses, organizes
into the only language your nervous system and confers meaning on them, and constructs a percep-
understands: the language of nerve impulses. tual experience.
Sensation and Perception 143
How does this process help us understand

the mysterious mixing of the senses in syn-
aesthesia? We know that specific parts of the
brain are specialized for different sensory
functions. In people with synaesthesia, there
is some sort of cross-wiring, so that activity
in one part of the brain evokes responses in
another part of the brain dedicated to another
sensory modality (Ward, 2008). Functional
MRI studies have shown that for people with
synaesthesia with word-colour linkages, hear-
ing certain words is associated with neural
activity in parts of the visual cortex. This FIGURE 5.2 Quickly read these two lines of symbols
activity does not occur in people without syn- out loud. Did your perception of the middle symbol in
aesthesia, even if they are asked to imagine each line depend on the symbols that surrounded it?
colours in association with certain words
(Nunn et al., 2002). Several explanations have
been offered for the sensor y mixing
(Cytowic & Eagleman, 2009; Hubbard & Ram- environmental stimuli into nerve impulses that
achandran, 2005). One theory is that the pruning are sent to the brain. Perception—making
of neural connections that occurs in infancy “sense” of what our senses tell us—is the active
has not occurred in people with synaesthe- process of organizing this stimulus input and
sia, so that brain regions retain connections giving it meaning (Mather, 2006; May, 2007).
that are absent in most people. In support of Because perception is an active and cre-
this theory, diffusion tensor imaging, which ative process, the same sensory input may be
lights up white matter pathways in the brain, perceived in different ways at different times.
has revealed increased connectivity in patients For example, read the two sets of symbols in
with synaesthesia (Rouw & Scholte, 2007). Figure 5.2. The middle symbols in both sets of
Another theory is that with synaesthesia, curved lines are exactly the same and they send
there is a deficit in neural inhibitory processes identical input to your brain, but you probably
in the brain that ordinarily keep input from perceive them differently. Your interpretation,
one sensory modality from “overflowing” into or perception, of the characters is influenced by
other sensory areas and stimulating them. their context—that is, by the characters that pre-
Whatever the processes involved, both normal ceded and followed them, and by your learned
perceptual processes and synaesthesia relate expectation of what normally follows the letter
to one of the big mysteries in cognitive neuro- A and the number 12. This simple illustration
science called the binding problem. How do shows how perception takes us a step beyond
we bind all our perceptions into one complete sensation.
whole while keeping its sensory elements
separate? When you hold a rose in your hand, SENSORY PROCESSES
see its coloured petals, feel the petals’ velvety
quality, and smell its aroma, these disparate Locked within the silent, dark recesses of
sensory experiences are somehow fused into your skull, your brain cannot “understand”
your total experience of the rose. People with light waves, sound waves, or the other forms
synaesthesia may create additional percep- of energy that make up the language of the
tions of that rose that are inconsistent with its environment. Contact with the outer world is
physical properties. possible only because certain neurons have 2. How do
developed into specialized sensory receptors psychologists
In some ways, sensation and perception
that can transform these energy forms into the differentiate
blend together so completely that they are dif- between
ficult to separate, for the stimulation we receive code language of nerve impulses.
sensation and
through our sense organs is instantaneously The particular stimuli to which different perception?
organized and transformed into the experiences animals are sensitive vary considerably. The
that we refer to as perceptions. Nevertheless, sensory equipment of any species is an adap-
psychologists do distinguish between them. tation to the environment in which it lives.
Sensation is the stimulus-detection process by Many species have senses that humans lack
which our sense organs respond to and translate altogether. Carrier pigeons, for example, use
144 CHAPTER FIVE
Earth’s magnetic field to find their destination Stimulus Detection:

on cloudy nights when they can’t navigate by
the stars. Sharks sense electric currents leak-
The Absolute Threshold
ing through the skins of fish hiding in under- How intense must a stimulus be before we can
sea crevices, and rattlesnakes find their prey detect its presence? Researchers answer this
by detecting infrared radiation given off by question by systematically presenting stimuli of
small rodents. Whatever the source of stim- varying intensities and asking people whether
ulation, its energy must be converted into they can detect them. Because we are often
nerve impulses, the only language the ner- unsure of whether we have actually sensed very
vous system understands (Chaudhuri, 2013; faint stimuli, researchers designate the absolute
Liedtke, 2006). Transduction is the process threshold as the lowest intensity at which a stim-
whereby the characteristics of a stimulus are ulus can be detected correctly 50 percent of the
converted into nerve impulses. We now con- time. Thus, the lower the absolute threshold, the
sider the range of stimuli to which humans greater the sensitivity. From studies of absolute
and other mammals are attuned and the man- thresholds, the general limits of human sensitiv-
ner in which the various sense organs carry ity for the five major senses can be estimated.
out the transduction process. Some examples are presented in Table 5.1. As
As a starting point, we might ask the fol- you can see, many of our senses are surprisingly
lowing: How many senses do humans have? sensitive. Yet some other species have absolute
Certainly there appear to be more than the thresholds that seem incredible by comparison.
five classical senses with which we are famil- For example, a female silkworm moth that is
iar: vision, audition (hearing), touch, gustation ready to mate needs to release 2.8 billionths of a
(taste), and olfaction (smell). For example, gram of an attractant chemical molecule per sec-
there are senses that provide information about ond to attract every male silkworm moth within
balance and body position. Also, the sense of a radius of 1.6 kilometres. Can humans perceive
touch can be subdivided into separate senses any stimulus that is actually below the absolute
of pressure, pain, and temperature. Recep- threshold? We discuss this matter in the Focus on
tors deep within the brain monitor the chemi- Neuroscience feature.
cal composition of our blood. The immune
system also has sensory functions that allow Signal Detection Theory
it to detect foreign invaders and to receive I (M.W.P.) can remember lying in bed as a child
stimulation from the brain (Chiu, Heesters, after seeing a horror movie, straining my ears
Ghasemlou, Von Hehn, Zhao, Tran, Woolf, 2013; to detect any unusual sound that might signal
Nossal & Hall, 1995).
3. What two Like those of other organisms, human sen-
kinds of sensory sory systems are designed to extract from the TABLE 5.1 S
ome Approximate Absolute
capabilities environment the information that we need to Thresholds for Various Senses
are studied by function and survive. Although our survival
psychophysics Sense
does not depend on having eyes like eagles or
researchers? Modality Absolute Threshold
owls, noses like bloodhounds, or ears as sensi-
tive as those of the worm-hunting robin, we do Vision Candle flame seen at approximately
4. What is have specialized sensors that can detect many 50 kilometres on a clear, dark night
the absolute different kinds of stimuli with considerable sen- Hearing Tick of a watch under quiet
threshold, conditions at approximately
sitivity. The scientific area of psychophysics,
and how is 6 metres
it technically which studies relations between the physical
defined and characteristics of stimuli and sensory capabili- Taste Single teaspoon of sugar in
ties, is concerned with two kinds of sensitivity. approximately 7.5 litres of water
measured?
The first concerns the absolute limits of sensi- Smell One drop of perfume diffused
tivity. For example, what is the softest sound into the entire volume of a large
or the weakest salt solution that humans can apartment
detect? The second kind of sensitivity has to Touch Wing of a fly or bee falling on
do with differences between stimuli. What is your cheek from a distance of
the smallest difference in brightness that we 1 centimetre
can detect? How much difference must there Source: Based on Galanter, E. (1962). “Contemporary
be in two tones before we can tell that they are psychophysics.” In R. Brown (Ed.), New directions in
not identical? psychology. New York, NY: Holt, Rinehart & Winston.
Focus on
Neuroscience
THE NEUROSCIENCE OF SUBLIMINAL negative attitudes toward the person, indicating a process
PERCEPTION AND PROSOPAGNOSIA of subconscious attitude conditioning, whereas those who
saw the positive subliminal stimuli did not.
A subliminal stimulus is one that is so weak or brief that, Evidence consistent with subliminal perception can be
although it is received by the senses, it cannot be per- seen when examining patients who have very specific types
ceived consciously—the stimulus is well below the absolute of brain damage. For example, individuals with prosopag-
threshold. There is little question that subliminal stimuli can nosia are unable to recognize familiar faces. In essence,
register in the nervous system (Kihlstrom, 2008; Matthen, they have a type of visual agnosia that is specific for faces.
2007; Merikle & Daneman, 1998). But can such stimuli Such individuals typically have cortical damage in areas
affect attitudes and behaviour without our knowing it? The involved with object perception. In some cases, they may
answer appears to be yes—to a limited extent. be aware that they are looking at a face, but they cannot
In the late 1950s, James Vicary, a public-relations exec- tell you who the individual is. Nonetheless, they may be
utive, arranged to have subliminal messages flashed on a able to categorize the visual stimulus as a face, and some
theatre screen during a movie. The messages urged the patients can correctly “guess” who the face belongs to.
audience to “drink Coca-Cola” and “eat popcorn.” Vicary’s How can this happen if the stimuli cannot be perceived?
claim that the subliminal messages increased popcorn Consider the following study by J.K. Steeves and col-
sales by 50 percent and soft-drink sales by 18 percent leagues (2006). Steeves et al. studied patient D.F., a
aroused a public furor. Consumers and scientists feared 47-year-old woman who suffered brain damage at age
possible abuse of subliminal messages to covertly influ- 34 from accidental carbon monoxide poisoning. D.F. has
ence the buying habits of consumers, and even to achieve a great deal of difficulty recognizing the size, shape, and
mind control and brainwashing. The National Association of orientation of objects, but she is able to perceive colour.
Broadcasters reacted by outlawing subliminal messages on Thus, she is often able to recognize objects (e.g., an orange
American TV. versus a tomato) based on colour and texture information
The outcries were, in large part, false alarms. Several alone. Similarly, people may be identified by nonfacial
attempts to reproduce Vicary’s results under controlled con- cues, such as clothing choice and voice pitch. Earlier stud-
ditions failed, and many other studies conducted in lab- ies using fMRI imaging (Culham, 2004; James et al., 2003)
oratory settings, on TV and radio, and in movie theatres had identified specific lesions in D.F.’s cortex. In particular,
indicated that there is little reason to be seriously con- damage was observed in the lateral occipital area (LOA) in
cerned about significant or widespread control of consumer both hemispheres (Figure 5.3). The LOA has been associ-
behaviour through subliminal stimulation (Dixon, 1981; ated with object perception in the intact cortex. D.F. and
Drukin, 1998). Ironically, Vicary admitted years later that three control participants with no brain damage were shown
his study was a hoax, designed to revive his floundering a series of face and object stimuli while imaging with fMRI.
advertising agency. Nonetheless, his false report stimu- Activation was examined in the LOA and in a second area
lated a great deal of useful research on the power of sub- associated with facial processing: the fusiform gyrus. Here
liminal stimuli to influence behaviour. As far as consumer we find the fusiform facial area (FFA), a brain region spe-
behaviour is concerned, the conclusion is that persuasive cifically associated with facial perception (Barton, Press,
stimuli above the absolute threshold are far more influential Keenan, & O’Connor, 2002).
than subliminal attempts to sneak into our subconscious For all participants, including D.F., there was greater
mind, perhaps because we are more certain to “get the brain activation in the FFA when viewing faces than when
message.” viewing scenes. However, the control participants showed
Though consumer behaviour cannot be controlled sub- greater activation in the LOA as well when viewing faces.
liminally, can such stimuli affect more subtle phenomena, This area was damaged in D.F. Despite this damage, D.F.
such as attitudes? Here the effects are stronger (Arendt was able to accurately categorize the stimuli as faces ver-
et al., 1997; Greenwald & Banaji, 1995). In one study, Jon sus objects 95 percent of the time. In a second test, D.F.
Krosnick (1992) showed participants nine slides of a par- was shown a series of 30 images (5 faces and 25 objects)
ticular person and then measured their attitudes toward the and was asked to describe what they were. All five faces
target person. For half of the participants, each photograph were accurately identified as a face, but not one of the
was immediately preceded by an unpleasant picture (e.g., objects was correctly described. In a third test, all partici-
a face on fire) that was presented subliminally. The remain- pants were shown a series of 60 famous individuals (e.g.,
ing participants were shown pleasant subliminal stimuli, John F. Kennedy, Princess Diana) and were asked to name
such as smiling babies. Participants shown the associ- them or provide information about the individual if they
ated unpleasant subliminal stimuli expressed somewhat could not come up with the name. The controls correctly
continued
146 CHAPTER FIVE
is likely that D.F. uses certain heuristic rules to “identify”

faces (e.g., elongated oval targets with skin tone are likely
to be faces) even though she is not really aware that the
stimulus is, in fact, a face. Second, this research empha-
sizes the importance of the case study to investigate
psychological phenomena. D.F. is a unique individual who
provides an extraordinary opportunity to examine the role
of brain regions in visual processing. In addition, the com-
bination of behavioural testing and fMRI imaging allows the
researchers to precisely identify the regions and deficits
involved with this disorder.
Finally, the study highlights the subtle manner in which
subliminal stimuli may have an effect. Philip Merikle and
his colleagues (e.g., Merikle & Skanes, 1992; Merikle
et al., 2001) have argued that the effect is one of biasing
FFA (on underside) perception—subliminal cues can bias what we perceive at
LOA a conscious level and may alter our conscious experience
of those stimuli. Todorov & Bargh (2002) demonstrated
FIGURE 5.3 Approximate locations of the lateral occipital that subliminal presentations of aggressively toned words
area (LOA) and the fusiform facial area (FFA). The FFA is actu- cause people to judge the ambiguous behaviours of oth-
ally on the underside or ventral surface of the cortex. ers as more aggressive and to increase their own tendency
to behave more aggressively. More recently, Radel et al.
identified 93 percent of the images; D.F. could not identify (2013) have shown that exposure to subliminal motivational
a single one. conversations results in greater perseverance on difficult
There are three points we should take away from this tasks. How short can the subliminal exposure be? Accord-
study. First, it would appear that higher-order facial recogni- ing to Sperdin, Spierer, Becker, Michel, and Landis (2015),
tion is a complex process involving several brain regions, 250 microseconds is enough. In a quarter of a millisecond,
including the LOA and the FFA, in addition to the primary visually evoked potentials can be seen on an EEG recording.
visual cortex. Nonetheless, an individual such as D.F. can We may not be consciously aware of stimuli, but perhaps,
glean a certain amount of information about visual stim- like D.F., aspects of the stimuli are processed at a different
uli even when one of these areas is severely damaged. It level and are available for us to use in subsequent decisions.
the presence of a monster in the house. My vig- change from time to time, depending on such
ilance caused me to detect faint and ominous factors as fatigue, expectation, and the poten-
sounds that probably would have gone unno- tial significance of the stimulus. Signal detec
ticed had I seen a comedy or a western earlier tion theory is concerned with the factors that
in the evening. Perhaps you have had a similar influence sensory judgments.
experience. In a typical signal detection experiment,
At one time it was assumed that each per- participants are told that after a warning light
5. Why do son had a more or less fixed level of sensitivity appears, a barely perceptible tone may or
signal detection for each sense. But psychologists who study may not be presented. Their task is to tell the
theorists stimulus detection found that people’s appar- experimenter whether they heard the tone.
view stimulus ent sensitivity can fluctuate quite a bit. They Under these conditions, there are four possi-
detection as a concluded that the concept of a fixed absolute ble outcomes, as shown in Figure 5.4. When
decision? the tone is in fact presented, the participant
threshold is inaccurate because there is no
single point on the intensity scale that sepa- may say “Yes” (a hit) or “No” (a miss). When
6. What kinds
rates nondetection from detection of a stim- no tone is presented, the participant may also
of personal
and situational ulus. There is instead a range of uncertainty, say “Yes” (a false alarm) or “No” (a correct
factors influence and people set their own decision criterion, rejection).
signal detection a standard of how certain they must be that At low stimulus intensities, both the partici-
decision criteria? a stimulus is present before they will say pant’s and the situation’s characteristics influ-
they detect it. The decision criterion can also ence the decision criterion (Cataldo & Cohen,
Stimulus slight variation in taste might signal that food

is tainted or spoiled. Professional wine tast- 7. What is
Present Absent
ers and piano tuners make their livings by the technical
definition of
False being able to make very slight discriminations
“Yes” Hit a difference
between stimuli.
Participant’s
alarm
threshold? How
response
The difference threshold is defined as does Weber’s

the smallest difference between two stim- law help us
Correct uli that people can perceive 50 percent of the
“No” Miss rejection
compare just
time. The difference threshold is sometimes noticeable
called the just noticeable difference (jnd). difference (jnd)
FIGURE 5.4 This matrix shows the four possible out- Fortunately, as the German physiologist Ernst sensitivities
comes in a signal detection experiment in which partic- Weber (pronounced Veh-ber) discovered in the in the various
ipants decide whether a stimulus has been presented 1830s, there is some degree of lawfulness in the senses?
or not presented. The percentages of responses that range of sensitivities within our sensory sys-
fall within each category can be affected both by char-
tems. Weber’s law states that the difference
acteristics of the participants and by the nature of the
situation. threshold, or jnd, is directly proportional to the
magnitude of the stimulus with which the com-
parison is being made, and can be expressed
as a Weber fraction. For example, the jnd value
2015; Colonius & Dzhafarov, 2006; Verghese, for weights is a Weber fraction of approx-
2001). Bold participants who frequently say imately 1/50 (Teghtsoonian, 1971). This num-
“Yes” have more hits, but they also have more ber means that if you lift a weight of 50 grams,
false alarms than do conservative participants. a comparison weight must weigh at least
Participants also can be influenced to become 51 grams in order for you to be able to judge it as
bolder or more conservative by manipulating heavier. If the weight were 500 grams, a second
the rewards and costs for giving correct or weight would have to weigh at least 510 grams
incorrect responses. Increasing the rewards (i.e., 1/50 = 10 grams/500 grams) for you to dis-
for hits or the costs for misses results in lower criminate between them.
detection thresholds (i.e., more “Yes” responses Although Weber’s law breaks down at
at low intensities). Thus, a Navy radar oper- extremely high and low intensities of stim-
ator may be more likely to notice a faint blip ulation,1 it holds up reasonably well within
on her screen during a wartime mission, when the most frequently encountered range, there-
a miss might have disastrous consequences, fore providing a reasonable barometer of our
than during a peacetime voyage. Conversely, abilities to discern differences in the vari-
like physicians who will not perform a risky ous sensory modalities. Table 5.2 lists Weber
medical procedure without strong evidence to
support their diagnosis, participants become
more conservative in their “Yes” responses as
costs for false alarms are increased, result- TABLE 5.2 W
eber Fractions for Various
ing in higher detection thresholds (Irwin & Sensory Modalities
McCarthy, 1998). Experience also plays a Weber
role in signal detection—experienced drivers Sensory Modality Fraction
respond more quickly to signs of danger partly
Audition (tonal pitch) 1/333
because they have a lower threshold for detect-
ing and identifying hazardous situations than Vision (brightness, white light) 1/60
do novice drivers (Wallis & Horswill, 2007). Sig- Kinesthesis (lifted weights) 1/50
nal detection research shows us that percep- Pain (heat produced) 1/30
tion is, in part, a decision. Audition (loudness) 1/20
Touch (pressure applied to skin) 1/7
The Difference Threshold Smell (India rubber) 1/4

Taste (salt concentration) 1/3
Distinguishing between stimuli can some-
times be as important as detecting stimuli
Sources: Geldard, F.A. (1962). Fundamentals of psychology.
in the first place. When we try to match the New York, NY: Wiley.; Teghtsoonian, R. (1971). On the
colours of paints or clothing, very subtle dif- exponents in Stevens’ law and the constant in Ekman’s law.
ferences can be quite important. Likewise, a Psychological Review, 78, 71–80.
148 CHAPTER FIVE
fractions for the various senses. The smaller

the fraction, the greater the sensitivity to dif-
ferences. As highly visual creatures, humans
show greater sensitivity in their visual sense
than they do in, for example, their sense of
smell. Undoubtedly, many creatures who
depend on their sense of smell to track their
prey would show quite a different order of
sensitivity. Weber fractions also show that
humans are highly sensitive to differences in
the pitch of sounds but far less sensitive to
loudness differences.
(a)
Original
Perceptions
Sensory Adaptation scene
Because changes in our environment are often
8. What most newsworthy, sensory systems are finely
accounts attuned to changes in stimulation (Rensink,
for sensory 2002). Sensory neurons are engineered to
adaptation? Of
respond to a constant stimulus by decreasing
what survival
value is their activity, and the diminishing sensitivity
adaptation? to an unchanging stimulus is called sensory
adaptation.
Adaptation (sometimes called habituation)
is a part of everyday experience. After a while, (b)
monotonous background sounds are largely
unheard. The feel of your wristwatch against
FIGURE 5.5 (a) To create a stabilized retinal image,
your skin recedes from awareness. When you
a person wears a contact lens to which a tiny pro-
dive into a swimming pool, the water may feel jector has been attached. Despite eye movements,
cold at first because your body’s temperature images will be cast on the same region of the retina.
sensors respond to the change in temperature. (b) Under these conditions, the stabilized image is
With time, however, you become used to the clear at first, and then begins to fade and reappear
water temperature. in meaningful segments as the receptors fatigue and
Adaptation occurs in all sensory modalities, recover.
Source: (a) Drawing from R.M. Pritchard, 1961, “Stabilized
including vision. Indeed, were it not for tiny Images on the Retina,” Scientific American, 72–78.
involuntary eye movements that keep images Reprinted by permission of Eric Mose, Jr.; (b) Adapted from
moving about the retina, stationary objects Pritchard, 1961.
would simply fade from sight if we stared at
them (Martinez-Conde, MacKnik, & Hubel,
2004). In an ingenious demonstration of this
variety of adaptation, R.M. Pritchard (1961) mundane to pick up informative changes in
attached a tiny projector to a contact lens the environment. Sensitivity to such changes
worn by the participant (Figure 5.5a). This may turn out to be important to our well-being
procedure guaranteed that visual images pre- or survival—for example, by alerting us to
sented through the projector would maintain potential threats. Sensory adaptation may be
a constant position on the retina, even when a “back-up measure” of sorts, for when we are
the eye moved. When a stabilized image was not actively and consciously processing sen-
projected through the lens onto the retina, sory stimuli in our environment. In one study,
participants reported that the image appeared Castro-Alamancos (2004) reported that sen-
in its entirety for a time, then began to vanish sory adaptation was mostly absent in animals
and reappear as parts of the original stimulus while they were alert and engaged in a behav-
(Figure 5.5b). ioural learning task, whereas after the task
Although sensory adaptation may reduce was learned and had become routine, levels
our overall sensitivity, it is adaptive because of alertness lowered and sensory adaptation
it frees our senses from the constant and the returned.
In Review
• Sensation refers to the activities by which our perceptions and behaviour in subtle ways, but
sense organs receive and transmit information, not strongly enough to justify concerns about
whereas perception involves the brain’s process- the subconscious control of behaviour through
ing and interpretation of the information. subliminal messages.
• Psychophysics is the scientific study of how the • The difference threshold, or just noticeable
physical properties of stimuli are related to sen- difference (jnd), is the amount by which two
sory experiences. Sensory sensitivity is concerned stimuli must differ for them to be perceived as
in part with the limits of stimulus detectability different 50 percent of the time. Studies of the
(absolute threshold) and the ability to discriminate jnd led to Weber’s law, which states that the jnd
between stimuli (difference threshold). The abso- is proportional to the intensity of the original
lute threshold is the intensity at which a stimulus is stimulus and is constant within a given sense
detected 50 percent of the time. Signal detection modality.
theory is concerned with factors that influence deci- • Sensory systems are particularly responsive to
sions about whether or not a stimulus is present. changes in stimulation, and adaptation occurs in
• Research indicates that subliminal stimuli, which response to unchanging stimuli.
are not consciously perceived, can influence
THE SENSORY SYSTEMS order of the spectrum, from higher wavelengths

to lower ones, with the name ROY G. BIV—red,
Vision orange, yellow, green, blue, indigo, and violet.)
The normal stimulus for vision is electromag-
netic energy, or light waves, which are measured The Human Eye
in nanometres (or one billionths of a metre). In Light waves enter the eye through the cornea, a
addition to that tiny portion that humans can transparent protective structure at the front of the
perceive, the electromagnetic spectrum includes eye (Figure 5.7a). Behind the cornea is the pupil,
X-rays, TV and radio signals, and infrared and an adjustable opening that can dilate or constrict
ultraviolet rays (Figure 5.6). Bees are able to to control the amount of light that enters the eye.
“see” ultraviolet light, and rattlesnakes can The pupil’s size is controlled by muscles in the
detect infrared energy. Our visual system is sen- coloured iris that surrounds the pupil. Low lev-
sitive only to wavelengths extending from about els of illumination cause the pupil to dilate, letting
700 nanometres (red) down to about 400 nano- more light into the eye to improve optical clarity;
metres (blue-violet). (You can remember the bright light triggers constriction of the pupil.
10-3 10-1 101 103 105 107 109 1011 1013 1015
Gamma X-Rays Ultra- Infra- Radar FM TV AM AC Circuits
Rays violet red Radio Radio
Rays Rays
Ultraviolet
Infrared
400 500 600 700

Wavelength (nanometres)
FIGURE 5.6 The full spectrum of electromagnetic radiation. Only the narrow band between 400 and 700 nanome-
tres is visible to the human eye. One nanometre = 1 000 000 000th of a metre.
150 CHAPTER FIVE
Ganglion Amacrine Bipolar Horizontal Cone Rod

cells cells cells cells
Iris Retina
Light
Cornea
Fovea
Back
Pupil Light
of eye
Light
Lens
Ciliary muscles Optic nerve
Optic nerve fibres
to the brain (to brain)
Blind spot Ganglion Bipolar Photoreceptor
(optic disk) cell layer cell layer layer
(a) (b)
FIGURE 5.7 (a) This cross-section shows the major parts of the human eye. The iris regulates the size of the pupil. The ciliary muscles
regulate the shape of the lens. The image entering the eye is reversed by the lens and cast on the retina, which contains the photoreceptor
cells. The optic disk, where the optic nerve exits the eye, has no receptors and produces a “blind spot” as demonstrated in Figure 5.8. (b)
Photoreceptor connections in the retina. The rods and cones synapse with bipolar cells, which in turn synapse with ganglion cells, whose
axons form the optic nerve. The horizontal and amacrine cells allow sideways integration of retinal activity across areas of the retina.
Behind the pupil is the lens, an elastic struc- approaches the point where the “nearsighted” lens
ture that becomes thinner to focus on distant is projecting the image (Orr, 1998). Eyeglasses
objects and thicker to focus on nearby objects. and contact lenses are designed to correct for the
Just as the lens of a camera focuses an image natural lens’s inability to focus the visual image
on a photosensitive material (film), so the lens directly onto the retina. Recent research (Li, Polat,
of the eye focuses the visual image on the & Bavelier, 2009) suggests that playing action
light-sensitive retina, a multi-layered tissue at video games might also be effective in improving
the rear of the fluid-filled eyeball. As seen in eyesight, even for older adults (Belchior, Marsiske,
Figure 5.7a, the lens reverses the image from Sisco, Yam, Bavelier, Ball, & Mann, 2013). How-
right to left and top to bottom when it is pro- ever, it’s unlikely that playing video games will
jected on the retina, but the brain reconstructs replace the need for corrective lenses!
the visual input into the image that we perceive.
The ability to see clearly depends on the lens’s Photoreceptors: The Rods and Cones
9. How does ability to focus the image directly onto the ret- The retina, a multi-layered screen that lines the
the lens affect
ina (Pedrotti & Pedrotti, 1997). If you have good back surface of the eyeball and contains special-
visual acuity,
vision for nearby objects but have difficulty seeing ized sensory neurons, is actually an extension
and how does
its dysfunction faraway objects, then you probably suffer from of the brain (Bullier, 2002). The retina con-
cause the visual myopia (nearsightedness). In nearsighted people, tains two types of light-sensitive receptor cells,
problems of the lens focuses the visual image in front of the called rods and cones because of their shapes
myopia and retina (too near the lens), resulting in a blurred (Figure 5.7b). There are about 120 million rods
hyperopia? image for faraway objects. This condition gener- and 6 million cones in the human eye.
ally occurs because the eyeball is longer (front to The rods, which function best in dim light,
10. How are the back) than normal. In contrast, some people have are primarily black-and-white brightness recep-
rods and cones excellent distance vision but have difficulty see- tors. They are about 500 times more sensitive to
distributed in ing closeup objects clearly. Hyperopia (farsight- light than are the cones, but they do not give rise
the retina, and edness) occurs when the lens does not thicken to colour sensations. The retinas of some night
how do they
enough and the image is therefore focused on a creatures, such as the owl, contain only rods, so
contribute to
point behind the retina (too far from the lens). they have exceptional vision in very dim light but
brightness
perception, The aging process typically causes the eyeball no colour vision during the day (Dossenbach &
colour vision, to become shorter over time, contributing to the Dossenbach, 1998). The cones, which are colour
and visual development of hyperopia and the need for many receptors, function best in bright illumination.
acuity? middle-aged people to acquire reading glasses Some creatures that are active only during the
(after complaining that their arms are not long day, such as the pigeon and the chipmunk, have
enough to read newspapers and telephone books). only cones in their retinas, so they see the world
Ironically, this age-related shortening of the eye- in living colour but have very poor night vision
ball often improves the vision of myopic peo- (Dossenbach & Dossenbach, 1998). Animals that
ple, for, as the retina moves closer to the lens, it are active during both day and night, as humans
are, have a mixture of rods and cones. In humans,

rods are found throughout the retina except in
the fovea, a small area in the centre of the retina
that contains only cones. Cones decrease in con- X
centration as one moves away from the centre
of the retina, and the periphery of the retina con-
tains mainly rods.
Rods and cones send their messages to FIGURE 5.8 Close your left eye and, from a distance
the brain via two additional layers of cells. of about 30 centimetres, focus steadily on the dot with
Bipolar cells have synaptic connections with your right eye as you slowly move the book toward your
the rods and cones. The bipolar cells, in turn, face. At some point, the image of the X will cross your
optic disk (blind spot) and disappear. It will reappear
synapse with a layer of about one million
after it crosses the blind spot. Note how the checker-
ganglion cells, whose axons are collected into board remains wholly visible even though part of it falls
a bundle to form the optic nerve. Thus, input on the blind spot. Your perceptual system “fills in” the
from more than 126 million rods and cones is missing information.
eventually funnelled into only one million traf-
fic lanes leading out of the retina toward higher
visual centres. Figure 5.7b shows how the rods far from the fovea, producing a blind spot, where
and cones are connected to the bipolar and there are no photoreceptors. You can demonstrate
ganglion cells. One interesting aspect of these the existence of your blind spot by following the
connections is the fact that the rods and cones directions for the demonstration in Figure 5.8.
not only form the rear layer of the retina, but Ordinarily, we are unaware of the blind spot
their light-sensitive ends actually point away because our perceptual system “fills in” the miss-
from the direction of the entering light so that ing part of the visual field (Rolls & Deco, 2002).
they receive only a fraction of the light energy
that enters the eye. Furthermore, the manner
Visual Transduction: From Light
in which the rods and cones are connected to to Nerve Impulses
the bipolar cells accounts for both the greater The process whereby the characteristics of
a stimulus are converted into nerve impulses 11. What is
importance of rods in dim light and our greater transduction,
ability to see fine detail in bright illumination, is called transduction. Rods and cones trans-
and how does
when the cones are most active. Typically, late light waves into nerve impulses through
this process
many rods are connected to the same bipolar the action of protein molecules called photo occur in the
cell. They therefore can combine or “funnel” pigments (Bonci, Neitz, Neitz, & Ventura, photoreceptors
their individual electrical messages to the bipo- 2013; Wolken, 1995). The absorption of light of the eye?
lar cell, where the additive effect of the many by these molecules produces a chemical reac-
signals may be enough to fire it. That is why tion that changes the rate of neurotransmit-
we can more easily detect a faint stimulus, such ter release at the receptor’s synapse with the
as a dim star, if we look slightly to one side so bipolar cells (Burns & Arshavsky, 2005). The
that its image falls not on the fovea but on the greater the change in transmitter release,
peripheral portion of the retina, where the rods the stronger the signal passed on to the bipolar
are packed most densely. cell and, in turn, to the ganglion cells whose
Like the rods, the cones that lie in the periph- axons form the optic nerve. If nerve responses
ery of the retina also share bipolar cells. In the are triggered at each of the three levels (rod
fovea, however, the densely packed cones each or cone, bipolar cell, and ganglion cell), the
have their own “private line” to a single bipolar message is instantaneously on its way to the
cell. As a result, our visual acuity, or ability to visual relay station in the thalamus, and then
see fine detail, is greatest when the visual image on to the visual cortex of the brain.
projects directly onto the fovea. Such focusing
results in the firing of a large number of cones Brightness Vision and Dark Adaptation
and their private-line bipolar cells. Some birds As noted earlier, rods are far more sensitive
of prey, such as eagles and hawks, are blessed than cones under conditions of low illumina-
with not one, but two foveas in each eye, con- tion. Nonetheless, the brightness sensitivity of
tributing to a visual acuity that allows them to both the rods and the cones depends in part
see small prey on the ground as they soar high on the wavelength of the light. Research has
above the earth (Tucker, 2000). shown that rods have much greater brightness
The optic nerve formed by the axons of the gan- sensitivity than cones throughout the colour
glion cells exits through the back of the eye not spectrum except at the red end, where rods are
152 CHAPTER FIVE
relatively insensitive. Cones are most sensitive

to low illumination in the greenish-yellow range
Intensity of light to produce vision

Rods only
of the spectrum (Valberg, 2006). These findings
have prompted many cities to change the colour
Cones only
of their fire engines from the traditional red
(which rods are insensitive to) to yellow-green
in order to increase the vehicles’ visibility to
both rods and cones in dim lighting. Similarly,
airport landing lights are often blue because
this wavelength is picked up particularly well
by the rods during night vision, when the cones
are relatively inoperative.
Although the rods are by nature sensitive to
12. How is 0 10 20 30 40
low illumination, they are not always ready to
brightness Time in dark (in minutes)
sensitivity in fulfill their function. Perhaps you have had the
rods and cones embarrassing experience of entering a movie FIGURE 5.9 The course of dark adaptation is
affected by the theatre from bright sunlight, groping around in graphed over time. The curve has two parts, one for
colour spectrum? the darkness, and finally sitting down on some- the cones and one for the rods. The cones adapt com-
one’s lap. Although one can meet interesting pletely in about 10 minutes, whereas the rods continue
13. What is the people this way, most of us prefer to stand in to increase their sensitivity for another 20 minutes.
physiological the rear of the theatre until our eyes adapt to
basis for dark the dimly lit interior. who needed to take off at a moment’s notice
adaptation? Dark adaptation is the progressive improve- and see their targets under conditions of low
What are the ment in brightness sensitivity that occurs over illumination. Knowing that the rods are impor-
two components
time under conditions of low illumination. After tant in night vision and relatively insensitive to
of the dark
absorbing light, a photoreceptor is depleted of red wavelengths, they suggested that fighter
adaptation
curve? its pigment molecules for a period of time. If the pilots either wear goggles with red lenses or
eye has been exposed to conditions of high illu- work in rooms lit only by red lights while waiting
mination, such as bright sunlight, a substantial to be called for a mission. Because red light stim-
amount of photopigment will be depleted. During ulates only the cones, the rods remain in a state
the process of dark adaptation, the photopigment of dark adaptation, ready for immediate service
molecules are regenerated, and the receptor’s in the dark. That highly practical principle con-
sensitivity increases greatly. tinues to be useful to this day (Figure 5.10).
Vision researchers have plotted the course
of dark adaptation as people move from condi- Colour Vision
tions of bright light into darkness (Carpenter & We are blessed with a world rich in colour. The
Robson, 1999). By focusing light flashes of vary- majesty of a glowing sunset, the rich blues and
ing wavelengths and brightness on the fovea, greens of a tropical bay, the brilliant colours
which contains only cones, or on the periphery of fall foliage all produce visual delights for us.
of the retina, where rods reside, they discov-
ered the two-part curve shown in Figure 5.9.
The first part of the curve is due to dark adap-
tation of the cones. As you can see, the cones
gradually become sensitive to fainter lights as
time passes, but after about 5 to 10 minutes in
the dark, their sensitivity has reached its maxi-
mum. The rods, whose photopigments regener-
ate more slowly, do not reach their maximum
sensitivity for about half an hour. It is estimated
that after complete adaptation, rods are able to
detect light intensities only 1/10 000 as great as Matthew McVay/Stone/Getty Images
those that could be detected before dark adap-
tation began (May, 2007; Stryer, 1987). FIGURE 5.10 Working in red light keeps the rods
in a state of dark adaptation because rods are quite
During World War II, psychologists familiar
insensitive to that wavelength. Therefore, they retain
with the facts about dark adaptation provided high levels of photopigment and remain sensitive to low
a method for enhancing night vision in pilots illumination.
(a) (b)
FIGURE 5.11 Additive and subtractive colour mixture are different processes. (a) Additive colour mixture. A
beam of light of a specific wavelength directed onto a white surface is perceived as the colour that corresponds to
that wavelength on the visible spectrum. If beams of light that fall at certain points within the red, green, or blue
colour range are directed together onto the surface in the correct proportions, a combined or additive mixture of
wavelengths will result and any colour in the visible spectrum can be produced (including white at the point where
all three colours intersect). The Young–Helmholtz trichromatic theory of colour vision assumes that colour percep-
tion results from the additive mixture of impulses from cones that are sensitive to red, blue, and green (see text).
(b) Subtractive colour mixture. Mixing pigments or paints produces new colours by subtraction—that is, by remov-
ing (i.e., absorbing) other wavelengths. Paints absorb (subtract) colours different from themselves while reflecting
their own colour. For example, blue paint mainly absorbs wavelengths that correspond to nonblue hues. Mixing blue
paint with yellow paint (which absorbs wavelengths other than yellow) will produce a subtractive mixture that emits
wavelengths between yellow and blue (i.e., green). Theoretically, certain wavelengths of the three primary colours
of red, yellow (not green, as in additive mixture), and blue can produce the whole spectrum of colours by subtractive
mixture. Thus, in additive colour mixture, the primary colours are red, blue, and green; in subtractive colour mixture,
they are red, yellow, and blue.
Human vision is finely attuned to colour; our dif- Trichromatic theory

ference thresholds for light wavelengths are so
small that we are able to distinguish an estimated Retinal Blue Green Red
receptors
7.5 million hue variations (Medieros, 2006). His-
torically, two different theories of colour vision
have tried to explain how this occurs.
The trichromatic theory. Around 1800, it was
To brain
discovered that any colour in the visible spec-
trum can be produced by some combination of
the wavelengths that correspond to the colours Opponent-process theory
blue, green, and red in what is known as addi-
tive colour mixture (Figure 5.11a). This fact Retinal B Y G R W B
was the basis of an important trichromatic receptors
(three-colour) theory of colour vision advanced
by Thomas Young, an English physicist, and
Hermann von Helmholtz, a German physiolo-
gist. According to the Young–Helmholtz trichro
matic theory, there are three types of colour To brain
receptors in the retina. Although all cones can FIGURE 5.12 Two classic theories of colour vision.
be stimulated by most wavelengths to varying The Young–Helmholtz trichromatic theory proposed
degrees, individual cones are most sensitive three different receptors, one for blue, one for red, and
to wavelengths that correspond to either blue, one for green. The ratio of activity in the three types
green, or red (Figure 5.12). Presumably, each of cones in response to a stimulus yields our experi-
of these receptor classes sends messages to the ence of colour. Hering’s opponent-process theory also
assumed that there are three different receptors: one
brain, based on the extent to which they are
for yellow-blue, one for red-green, and one for black-
activated by the light energy’s wavelength. The white. Each of the receptors can function in two possi-
visual system then combines the signals to recre- ble ways, depending on the wavelength of the stimulus.
ate the original hue. If all three cones are equally Again, the pattern of activity in the receptors yields our
activated, a pure white colour is perceived. perception of the hue.
154 CHAPTER FIVE
neural processes that register these colours

became fatigued. Then, when you cast your
gaze on the white surface, which reflects all
wavelengths, a “rebound” opponent reaction
occurred as each receptor responded with its
opposing white or red reactions.
Dual processes in colour transduction. Which
theory—the trichromatic theory or the
opponent-process theory—is correct? Two
centuries of research have yielded a win-win
FIGURE 5.13 Negative colour afterimages demon-
strate opponent processes occurring somewhere in verdict for both sets of theorists. Today’s dual-
the visual system. Stare steadily at the black dot in process theory combines the trichromatic and
the centre of the flag for about a minute, then shift opponent-process theories to account for the
your gaze to a blank, white page. The opponent colours colour transduction process (Valberg, 2006).
should appear. Trichromatic theorists, such as Young and
Helmholtz, were right about the cones. The
cones do indeed contain one of three different
14. Describe the Although the Young–Helmholtz theory was
protein photopigments that are most sensitive
Young–Helmholtz consistent with the laws of colour mixture, sev-
trichromatic to wavelengths roughly corresponding to the
eral facts did not fit the theory. For example,
theory of colours blue, red, and green (Valberg, 2006). Dif-
according to the theory, yellow is produced by
colour vision. ferent ratios of activity in the red-, blue-, and
activity of red and green receptors. Yet certain
What kinds of green-sensitive cones can produce a pattern of
people with red-green colour blindness are able
evidence support neural activity that corresponds to any hue in
to experience yellow. This finding suggested to
this theory, the spectrum (Backhaus et al., 1998). This pro-
and what two other scientists that there must be a different
cess is similar to that which occurs on your TV
phenomena means of perceiving yellow. A second phenom-
screen, where colour pictures (including white
challenge it? enon that posed problems for the trichromatic
hues) are produced by activating combinations
theory was the colour afterimage, in which
of tiny red, green, and blue dots.
an image in a different colour appears after
Hering’s opponent-process theory was also
a colour stimulus has been viewed steadily
partly correct, but opponent processes do not
and then withdrawn. To experience one your-
occur at the level of the cones, as he main-
self, stare steadily at the object in Figure 5.13
tained. When researchers began to use micro-
for a full minute, and then shift your gaze to a
electrodes to record from single cells in the
blank white space. Trichromatic theory cannot
visual system, they discovered that certain
account for what you’ll see.
ganglion cells in the retina, as well as some
Opponent-process theory. A second influen- neurons in visual relay stations and the visual
15. Describe tial colour theory, formulated by Ewald Her- cotrex, respond in an opponent-process fash-
the opponent- ing in 1870, also assumed that there are three ion by altering their rate of firing (DeValois &
process theory.
types of cones. Hering’s opponent-process DeValois, 1993; Gegenfurtner & Kiper, 2003;
What evidence
supports it? theory proposed that each of the three cone Knoblauch, 2002; Pridmore, 2013). For example,
types responds to two different wavelengths. if a red light is shone on the retina, an opponent-
One type responds to red or green, another to process ganglion cell may respond with a high
blue or yellow, and a third to black or white. rate of firing, but a green light will cause the
For example, a red-green cone responds with same cell to fire at a very low rate. Other neu-
one chemical reaction to a green stimulus and rons respond in a similar opponent fashion to
with its other chemical reaction (opponent pro- blue and yellow stimuli. The red-green opponent
cess) to a red stimulus (Figure 5.12). You have processes are triggered directly by input from
16. How does experienced one of the phenomena that sup- the red- or green-sensitive cones in the retina
the dual-process ports the existence of opponent processes if (Figure 5.14). The blue-yellow opponent process
theory of colour you did the exercise in Figure 5.13. The colour is a bit more complex. Activity of blue-sensitive
vision combine afterimage you saw in the blank space contains cones directly stimulates the “blue” process far-
the trichromatic the colours specified by opponent-process the- ther along in the visual system. And yellow? The
and opponent- ory: The black portion of the flag appeared yellow opponent process is triggered not by a
process as white, and the green portion “turned” red. “yellow-sensitive” cone, as Hering proposed, but
theories? According to opponent-process theory, as rather by simultaneous input from the red- and
you stared at the black and green colours, the green-sensitive cones (Valberg, 2006).
400 500 600 700
Three kinds
Responsiveness of cone receptors
of cones
(trichromatic)
Yellow Blue Green Red Opponent-process

mechanisms
Short-wavelength Medium-wavelength Long-wavelength or or Input

cones cones cones to brain
FIGURE 5.14 Colour vision involves both trichromatic and opponent processes that occur at different places in the visual system. Con-
sistent with trichromatic theory, three types of cones are maximally sensitive to short (blue), medium (green), and long (red) wavelengths,
respectively. However, opponent processes occur further along in the visual system, as opponent cells in the retina, visual relay stations,
and the visual cortex respond differentially to red versus green, blue versus yellow, and black versus white stimuli. Shown here are the
inputs from the cones that produce the red-green and blue-yellow opponent processes.
Colour-deficient vision. People with normal totally colour-blind. Most colour-deficient peo-
colour vision are referred to as trichromats. ple are dichromats and have their deficiency in 17. What are
the two major
They are sensitive to all three systems: red- the red-green system. Tests of colour-blindness
types of colour-
green, yellow-blue, and black-white. However, typically contain sets of coloured dots such as
blindness? How
about 7 percent of the male population and those in Figure 5.15. Depending on the type of are they tested?
1 percent of the female population have a defi- deficit, a colour-blind person cannot discern
ciency in the red-green system, the yellow-blue certain numbers embedded in the circles.
system, or both. This deficiency is caused by
an absence of hue-sensitive photopigment in Analysis and Reconstruction
certain cone types. A dichromat is a person of Visual Scenes
who is colour-blind in only one of the systems Once the transformation of light energy to nerve
(red-green or yellow-blue). A monochromat is impulses occurs, the process of combining the
sensitive only to the black-white system and is messages received from the photoreceptors
FIGURE 5.15 These dotted figures are used to test for colour-deficient vision. The first one tests for yellow-blue
colour-blindness, the second one for red-green colour-blindness. Because the dots in the picture are of equal bright-
ness, colour is the only available cue for perceiving the numbers in the chips.
156 CHAPTER FIVE
into the perception of a visual scene begins. As

you read this page, nerve impulses from count-
less neurons are being analyzed and the visual
image that you perceive is being reconstructed.
Moreover, you know what these black squiggles
on the page “mean.” How does this occur?
Feature detectors. From the retina, the optic

nerve sends nerve impulses to a visual relay sta-
tion in the thalamus, the brain’s sensory switch-
board. From there, the input is routed to various
parts of the cortex, particularly the primary
visual cortex in the occipital lobe at the rear
of the brain. Microelectrode studies have shown
that there is a point-to-point correspondence Fritz Goro/The Life Picture Collection/Getty Images
between tiny regions of the retina and groups

FIGURE 5.16 A par tially anaesthetized monkey
of neurons in the visual cortex. As you might views an image projected onto the screen while an elec-
expect, the fovea, where the one-to-one syn- trode embedded in its visual cortex records the activity
apses of cones with bipolar cells produces high of a single neuron. This research by Hubel and Wiesel
visual acuity, is represented by a disproportion- led to the discovery of feature detectors that analyze
ately large area of the visual cortex. Somewhat visual stimulus features, such as contours and shapes,
more surprising is the fact that there is more movement, and colour.
than one cortical “map” of the retina; there are
at least 10 duplicate mappings. Perhaps this is structures (Sanes & Masland, 2015). Within the
nature’s insurance policy against damage to any cortex, this information is integrated and ana-
one of them, or perhaps the duplicate maps are lyzed by successively more complex feature
somehow involved in the integration of visual detector systems to produce our perception
input (Bullier, 2002). of objects (Palmer, 2002). This process is illus-
18. What kinds Groups of neurons within the primary visual trated by the illusion shown in Figure 5.17.
of feature cortex are organized to receive and integrate Other classes of feature detectors respond
detectors sensory nerve impulses originating in specific to colour, depth, or movement (Livingstone &
exist in the regions of the retina. Some of these cells are Hubel, 1994; Smith, Snowden, & Milne, 1995;
visual system? known as feature detectors. They fire selec- Zanker, 2010). These feature detector “modules”
What is meant subdivide a visual scene into its component
tively in response to stimuli that have specific
by parallel dimensions and process them simultaneously.
processing characteristics (May, 2007). Discovery of these
feature detectors won David Hubel and Torsten Thus, as a red, white, and green beach ball sails
of sensory
information? Wiesel of Harvard University the 1981 Nobel toward you, separate but overlapping modules
Prize. Using tiny electrodes to record the activity
of individual cells of the visual cortex of animals
(Figure 5.16), Hubel and Wiesel found that cer-
tain neurons fired most frequently when lines of
certain orientations were presented. One neuron
might fire most frequently when a horizontal line
was presented; another neuron would fire most
frequently to a line of a slightly different orienta-
tion, and so on “around the clock.” For example,
a letter A could be constructed from the response
of feature detectors that responded to three dif-
ferent line orientations: /, \, and –.
The discovery of feature detectors revolu-
tionized vision research. Since then, scientists
have found cells that respond most strongly FIGURE 5.17 Is the white triangle “real”? It appears
to be, because feature detectors that analyze the con-
to bars, slits, and edges in certain positions. tours of the pie-shaped circles analyze the corners, and
Recent research also suggests that retinal gan- the brain fills in the “missing” lines. The contours are
glion cells may also function as feature detec- illusory, but they appear real. See what happens to the
tors, passing the information along to higher triangle if you cover up one or two of the circles.
Neuron’s Electrical Response
FIGURE 5.18 Single-neuron electrical recording in a patient’s amygdala (which receives extensive visual input) revealed a neuron that
responded to depictions of Bill Clinton but not to 47 other pictures showing other presidents, celebrities (e.g., Michael Jordan, far right),
objects, landscapes, and geometric shapes. This neuron was apparently part of a neuronal network that had learned to recognize and
represent the former U.S. president.
Source: From K. Koch, The Quest for Consciousness: A Neurobiological Approach. Fig 2.2, p. 30, 2004. Greenwood Village, CO: Roberts & Company
Publishers. Reprinted by permission.
within the brain simultaneously analyze its col- the visual scene are combined and interpreted in
ours, shape, distance, and movement by engag- light of our memories and knowledge (Grossberg
ing in parallel processing of the information et al., 2005). If all goes correctly, then a process
and constructing a unified image of its proper- that began with nerve impulses from the rods and
ties (Hubel & Weisel, 2005; Tarr & Vuong, 2002). cones now ends with us “recognizing” the beach
In addition, brief, high-frequency “bursts” of ball for what it “is” and catching it. Quite another
firing in sensory neurons may function as fea- conscious experience and response probably
ture detectors and can signal the occurrence of would occur if we interpreted the oncoming
important stimuli in the sensory field (Marsat & object as a water balloon.
Pollack, 2006). The final stages in the process of Recently, scientists have discovered that
constructing a visual representation occur when neurons in the brain respond selectively not
the information analyzed and recombined by the only to basic stimulus characteristics such as
primary visual cortex is routed to other cortical corners and colours, but also to complex stim-
regions known as the visual association cor uli that have acquired special meaning through
tex. Here successively more complex features of experience. For example, brain scientists at the
In Review
• The senses may be classified in terms of the pigments that have been depleted by brighter
energy to which they respond. Through the pro- illumination.
cess of transduction, these energy forms are • Colour vision is a two-stage process, having both
transformed into the common language of nerve trichromatic and opponent-process components.
impulses. The first stage involves the reactions of cones
• The normal stimulus for vision is electromag- that are maximally sensitive to red, green, and
netic energy, or light waves. Light-sensitive blue wavelengths. In the second stage, colour
visual receptor cells are located in the retina. information from the cones is coded through an
The rods are brightness receptors, and the less opponent-process mechanism further along in
numerous cones are colour receptors. Light the visual system.
energy striking the retina is converted into nerve • Visual stimuli are analyzed by feature detectors
impulses by chemical reactions in the phot- in the primary visual cortex, and the stimulus
opigments of the rods and cones. Dark adapta- elements are reconstructed and interpreted in
tion involves the gradual regeneration of photo light of input from the visual association cortex.
158 CHAPTER FIVE
Frequency (Hz)
determines
pitch (tone)
Low note High note
Amplitude
determines
intensity
(loudness) (db)
Soft Loud
FIGURE 5.19 Sound waves are a form of mechanical energy. As the tuning fork vibrates, it produces successive waves of compression
and expansion of air molecules. The number of maximum compressions per second (cycles per second) is its frequency, measured in
hertz (Hz). The height of the wave above zero air pressure represents the sound’s amplitude. Frequency determines pitch; amplitude deter-
mines loudness, measured in decibels (db).
University of California–Los Angeles who were the higher the frequency (hertz), the higher
recording from single neurons in the amygdala the perceived pitch. Humans are capable of
of a brain-damaged patient found a neuron that detecting sound frequencies from 20 hertz up to
responded electrically to only 3 of 50 visual 20 000 hertz (about 12 000 hertz in older people).
scenes. All of the three scenes involved former Most common sounds are in the lower frequen-
U.S. president Bill Clinton, but they differed con- cies. Among musical instruments, the piano can
siderably. One was a portrait, the second was a play the widest range of frequencies, from 27.5
group picture that included Clinton, and the third hertz at the low end of the keyboard to 4186
was a cartoonist’s representation of Clinton. Pic- hertz at the high end. An operatic soprano’s
tures of other celebrities, animals, landscapes, voice, in comparison, has a range of only 250 to
and geometric forms evoked no response (Fig- 1100 hertz (Aiello & Sloboda, 1994).
ure 5.18). This neuron was likely part of a neural Amplitude refers to the vertical size of the
circuit that was created within the brain to regis- sound waves—that is, to the amount of com-
ter this particular celebrity (Koch, 2004). pression and expansion of the molecules in the
conducting medium. The sound wave’s ampli-
tude is the primary determinant of the sound’s
Audition perceived loudness. Differences in amplitude
The stimuli for our sense of hearing are sound are expressed as decibels (db), a measure of
waves, a form of mechanical energy. What we the physical pressures that occur at the ear-
19. What are call sound is actually pressure waves in air, drum. The absolute threshold for hearing is
the two physical water, or some other conducting medium. When arbitrarily designated as 0 decibels, and each
characteristics a stereo’s volume is high enough, you can actu- increase of 10 decibels represents a tenfold
of sound waves, ally see cloth speaker covers moving in and out. increase in loudness.
and which The resulting vibrations cause successive waves The decibel scale relates a physical quan-
auditory qualities of compression and expansion among the air tity (sound intensity) to the human percep-
do these molecules surrounding the source of the sound. tion of that quantity (sound loudness). It is a
characteristics
These sound waves have two characteristics: logarithmic scale—that is, each increment of
produce?
frequency and amplitude (Figure 5.19). 10 decibels represents a tenfold increase in
Frequency is the number of sound waves, or loudness. Table 5.3 indicates the decibel ranges
cycles, per second. The hertz (Hz) is the techni- of some common sounds as well as thresholds
cal measure of cycles per second; 1 hertz equals for hearing, hearing damage, and pain. Pro-
one cycle per second. The sound waves’ fre- longed exposure at 150 decibels causes death in
quency is related to the pitch that we perceive; laboratory rats.
TABLE 5.3 Decibel Scaling of Common Sounds

Level in Decibels Common Sounds Threshold Levels
140 Jet fighter taking off at approximately Potential damage to auditory system
25 metres from plane
130 Boiler shop
120 Rock band Human pain threshold
110 Trumpet automobile horn at approximately
1 metre
100 Crosscut saw at position of operator
90 Train whistle at 150 metres Hearing damage with prolonged exposure
80
70 Inside automobile in city
60 Downtown city street (Toronto)
50 Restaurant
40 Classroom
30 Hospital room
20 Recording studio Threshold of hearing (young men)
10
0 Minimum threshold of hearing
Auditory Transduction: From Pressure sends impulses via an auditory relay station in
Waves to Nerve Impulses the thalamus to the auditory cortex, which is
The transduction system of the ear is made located in the temporal lobe.
up of tiny bones, membranes, and liquid-filled When sound waves strike the eardrum, pres-
sure created at the oval window by the hammer, 20. Describe
tubes designed to translate pressure waves how the middle
into nerve impulses (Figure 5.20). At a speed of anvil, and stirrup of the middle ear sets the fluid
and inner ear
approximately 1200 kilometres per hour, sound inside the cochlea into motion. The fluid waves structures are
waves travel into an auditory canal leading to that result vibrate the basilar membrane and the involved in
the eardrum, a movable membrane that vibrates membrane above it, causing a bending of the the auditory
in response to the sound waves. Beyond the ear- hair cells in the organ of Corti (Figure 5.20b). transduction
drum is the middle ear, a cavity housing three This bending of the hair cells triggers a release process.
tiny bones (the smallest in the body, each the of neurotransmitter substance into the synaptic
size of a grain of rice). The vibrating activity space between the hair cells and the neurons of
of these bones—the hammer (malleus), anvil the auditory nerve, resulting in nerve impulses
(incus), and stirrup (stapes)—amplifies the that are sent to the brain. Within the auditory
sound waves more than 30 times. The first cortex, located in the temporal lobe, are feature
bone, the hammer, is attached firmly to the detector neurons that respond to specific kinds
eardrum, and the stirrup is attached to another of auditory input, much as occurs in the visual
membrane, the oval window, which forms system (Musicek & Baran, 2006).
the boundary between the middle ear and the
inner ear. The inner ear contains the cochlea, a Coding of Pitch and Loudness
coiled, snail-shaped tube about 3.5 centimetres The auditory system transforms the sensory
in length that is filled with fluid and contains qualities of loudness and pitch into the language
the basilar membrane, a sheet of tissue that of nerve impulses (McDermott, 2014; Syka &
runs its length. Resting on the basilar membrane Merzenich, 2005). In the case of loudness, high-
is the organ of Corti, which contains about amplitude sound waves cause the hair cells to
16 000 tiny hair cells that are the actual sound bend more and release more neurotransmitter
receptors. The tips of the hair cells are attached substance at the point where they synapse with
to the tectorial membrane that overhangs the auditory nerve cells, resulting in a higher rate
basilar membrane along the entire length of of firing within the auditory nerve. In addition,
the cochlea. The hair cells synapse with the certain receptor neurons have higher thresh-
neurons of the auditory nerve which, in turn, olds than others, so that they will fire only when
160 CHAPTER FIVE
Semicircular
Ossicles canals
Tympanic Malleus Incus Stapes Auditory vestibular

membrane (hammer) (anvil) (stirrup) nerves (to brain)
(eardrum)
Scala Vestibular Tectorial
Cochlea vestibuli membrane membrane
Scala
media
(cochlear
duct)
Organ of Corti
External Hair cells

auditory canal Basilar
membrane
Scala
tympani
Auditory nerve
Oval Round Vestibular Auditory
window window sacs tube
(a) (b)
High frequency 3000

2000
600
4000
Wide, flexible end 400
Medium frequency of basilar membrane 20
800
1500
200
Narrow, stiff end 200
of basilar membrane
Low frequency 1000
by oval window
20 000 5000
7000
(c) (d)
FIGURE 5.20 A cross-section of the ear (a) shows the structures that transmit sound waves from the auditory
canal to the cochlea. There, sound waves are translated into fluid waves that stimulate hair cells in the organ of
Corti (b). The resulting nerve impulses reach the brain via the auditory nerve. The semicircular and vestibular sacs
of the inner ear contain sense organs for equilibrium. In (c), the fluid waves created by different sound frequencies
are shown, and (d) shows the frequencies that maximally stimulate different areas of the basilar membrane. High-
frequency waves peak quickly and stimulate the membrane close to the oval window.
considerable bending of the hair cells occurs in perception, nerve impulses sent to the brain
response to an intense sound. Thus, loudness match the frequency of the sound wave. Thus,
is coded in terms of both the rate of firing in a 30 hertz (cycles per second) sound wave
the axons of the auditory nerve and in terms of from a piano should send 30 volleys of nerve
which specific hair cells are sending messages impulses per second to the brain. Unfortu-
(Carney, 2002). nately, frequency theory encounters a major
21. Describe the
The coding of pitch also involves two dif- problem. Because neurons are limited in their
frequency and
ferent processes, one for frequencies below rate of firing, individual impulses or volleys
place theories of
pitch perception. about 1000 hertz (approximately the midpoint of impulses fired by groups of neurons can-
In what sense of the piano keyboard) and another for higher not produce high enough frequencies of fir-
are both theories frequencies. Historically, as in the case of ing to match sound wave frequencies above
correct? colour vision, two competing theories were 1000 hertz. How then do we perceive higher
advanced to account for pitch perception. frequencies, such as a 4000 hertz note from
According to the frequency theory of pitch the same piano?
Experiments conducted by Georg von

Bekesy (1957) uncovered a second mechanism
for coding pitch and earned him the 1961 Nobel
Prize. Bekesy cut tiny holes in the cochleas of
guinea pigs and human cadavers and observed
through a microscope what happened inside
the fluid-filled cochlea when he stimulated the
eardrum with tones of varying frequencies. He
found that high-frequency sounds produced an
abrupt wave that peaked close to the oval win-
dow, whereas lower frequency vibrations pro-
duced a slower fluid wave that peaked farther
down the cochlear canal (Figure 5.20c). Bekesy’s
observations supported a place theory of pitch
perception, suggesting that the specific point
in the cochlea where the fluid wave peaks and © Culver Pictures, Inc.
most strongly bends the hair cells serves as a FIGURE 5.21 This device, used in the late 1800s by
frequency coding cue (Figure 5.20d). Later it sailors to increase their ability to locate sounds while nav-
was found that, similar to the manner in which igating in thick fog, assisted in two ways. First, because
the retina is “mapped” onto the visual cortex, the two ear receptors were much larger than human
the auditory cortex has a tonal frequency “map” ears, they could capture more sound waves. More impor-
that corresponds to specific areas of the coch- tantly, the wide spacing between the receptors increased
the time difference between the sound’s arrival at the two
lea. By analyzing the specific location of the
human ears, thus increasing directional sensitivity.
cochlea from which auditory nerve impulses
are being received, the brain can code pitches
such as our 4000 hertz piano note (Carney, 2002; For example, a sound 3 degrees to the right
Musiek & Baran, 2006). arrives at the right ear only 300 millionths of a
Thus, like trichromatic and opponent- second before it arrives at the left ear, and yet
process theories of colour vision, which were we can tell which direction the sound is coming
once thought to contradict each another, fre- from (Yin & Kuwada, 1984). But, as Figure 5.21
quency and place theories of pitch transduction shows, there is always room for improvement.
have both proved to be applicable in their own Nature’s design often bests even human
ways. At low frequencies, frequency theory ingenuity. For example, the barn owl comes 22. How does
holds true; at higher frequencies, place theory equipped with ears that are exquisitely tailored the structure
provides the mechanism for coding the pitch of for pinpoint localization of its prey during night of the auditory
a sound. hunting. Its right ear is directed slightly upward, system permit
its left ear slightly downward. This allows it to humans to
Sound Localization localize sounds?
localize sounds precisely in both the vertical
What sensory
Have you ever wondered why you have two and horizontal planes, and thereby to zero in on information
ears, one located on each side of your head? As its prey with deadly accuracy. is used by
is usually the case in nature’s designs, there is a the brain in
good reason. Our very survival may depend on Hearing Loss localization?
our ability to locate objects that emit sounds. In Canada alone, almost three million people
The two ears play a crucial role in sound local- (approximately 10 percent of the population)
ization. The nervous system uses information suffer from some form of hearing loss. On a
concerning the time and intensity differences North American basis, the figure is closer to
of sounds arriving at the two ears to locate the 23 million. Of these, 90 percent were born with
source of sounds in space (Brown, 2013; Luck & normal hearing (Sataloff & Thayer, 2006). They
Vecera, 2002). suffer from two major types of hearing loss.
Sounds arrive first and loudest at the ear Conduction deafness is caused by problems
closest to the sound. When the source of the involving the mechanical system that trans-
sound is directly in front of us, the sound wave mits sound waves to the cochlea. For example,
reaches both ears at the same time and at the a punctured eardrum or a loss of function in
same intensity, so the source is perceived as the tiny bones of the middle ear can reduce
being straight ahead. Our binaural (“two-eared”) the ear’s capacity to transmit vibrations. Use
ability to localize sounds is amazingly sensitive. of a hearing aid, which amplifies the sounds
162 CHAPTER FIVE
entering the ear, may correct many cases of Although hearing aids can do little to rem-
conduction deafness. edy nerve deafness, measures can be taken to
Nerve deafness is an entirely different mat- prevent damage in people who are exposed
ter. It is caused by damaged receptors within to hazardous noise in the workplace (e.g.,
the inner ear or damage to the auditory nerve the use of noise-dampening ear protectors or
itself, and it cannot be helped by a hearing aid. noise-cancelling headphones).
Although aging and disease can produce nerve
deafness, exposure to loud sounds is a leading Taste and Smell: The Chemical
cause of nerve deafness. Repeated exposure
23. What Senses
to loud sounds of a particular frequency (as
are the two Gustation (taste) and olfaction (smell) are
might be produced by a machine in a factory)
varieties of chemical senses because their receptors are
eventually can cause workers to lose hair cells
deafness, and sensitive to chemical molecules rather than to
how do they at a particular point on the basilar membrane,
thereby causing hearing loss for that frequency. some form of energy (DiLorenzo & Youngentob,
differ in their
Extremely loud music can take a serious toll 2013). These senses are so intertwined that
physical bases
and in possible on hearing. Figure 5.22 shows the devastating some scientists refer to a common chemical
treatment? results of a guinea pig’s exposure to a sound level sense (Beauchamp & Bartoshuk, 1997; Halpern,
approximating that of loud rock music heard 2002). Enjoying a good meal usually depends
24. Describe through earphones. As Table 5.3 shows, even on the simultaneous activity of taste and odour
the stimuli and brief exposure to sounds exceeding 140 decibels receptors, as becomes apparent when we have
the receptors can cause irreversible damage to the transduc- a stuffy nose and our food tastes bland. People
involved in ers in the middle and inner ears, and so can more who lose their sense of smell typically believe
gustation and they have lost their sense of taste as well
continuous sounds at lower decibel levels. The
olfaction. Why (Beauchamp & Bartoshuk, 1997).
rock band The Who used to hold the record for
do researchers
sometimes refer the loudest concert ever in 1976 (120 decibels at
50 metres from speakers), but they have been
Gustation: The Sense of Taste
to a common
surpassed by a KISS concert in Ottawa, where People who fancy themselves gourmets are
chemical sense?
the intensity was measured at 136 dB. The Foo frequently surprised to learn that their sense
Fighters also have a reputation for loud music. of taste responds to only four qualities: sweet,
In 2012 a concert in Northern Ireland resulted in sour, salty, and bitter. Every other taste expe-
noise complaints from 24 kilometres away. The rience combines these qualities and those of
Canadian Hearing Society recommends that you other senses, such as smell, temperature, and
protect your hearing by listening to music at safe touch. For example, part of the “taste” of pop-
levels (i.e., below 85 decibels). An iPod or similar corn includes its texture, its crunchiness, and its
personal music player can generate this decibel odour. In addition to its chemical receptors, the
level when music is listened to through earbuds tongue is richly endowed with tactile (touch)
(Ballard, 2010). and temperature receptors.
Micrographs by Robert E. Preston, courtesy of Professor J.E. Hawkins, Kresge Hearing Research Institute University of Michigan.
FIGURE 5.22 Exposure to loud sounds can destroy auditory receptors in the inner ear. These pictures, taken
through an electron microscope, show the hair cells of a guinea pig before (a) and after (b) exposure to 24 hours of
noise comparable to that of a loud rock concert.
Taste buds are chemical receptors concen-

trated along the edges and back surface of the
tongue. Each taste bud is most responsive to one
or two of the basic taste qualities, but responds
weakly to the others as well. An additional Bitter
taste sensation called umami increases the
sensitivity of other taste qualities. This sensory Chemoreceptor cell
Sour
response is activated by certain proteins, as
well as by monosodium glutamate, a substance Supporting cell
used by some restaurants for flavour enhance- Taste pore
ment. Humans have about 9000 taste buds, each
consisting of several receptor cells arranged Insensitive
area
like the segments of an orange (Figure 5.23). A Epithelium
Salty of tongue
small number of receptors also are found in the
roof and back of the mouth, so that even people Sweet
without a tongue can taste substances. Hairlike Nerve fibres
structures project from the top of each cell into
the taste pore, an opening to the outside sur- (a) (b)
face of the tongue. When a substance is taken
FIGURE 5.23 The receptors for taste are specialized
into the mouth, it interacts with saliva to form cells located in the tongue’s taste buds. The tongue’s
a chemical solution that flows into the taste 9000 taste buds are grouped in different areas accord-
pore and stimulates the receptor cells. A “taste” ing to the taste sensation they produce. The centre of
results from complex patterns of neural activity the tongue is relatively insensitive to the chemical mol-
produced by the four types of taste receptors ecules that constitute gustatory stimuli.
(Bartoshuk, 1998; Halpern, 2002).
The sense of taste not only provides us with The receptors for smell are long cells that
pleasure, but also has adaptive significance in project through the lining of the upper part of
discriminating between nutrients and toxins the nasal cavity and into the mucous membrane.
(Born, Levit, Niv, Meyerhof, & Behrens, 2013; Humans have about 40 million olfactory recep-
Scott, 1992). Our response to some taste qualities tors, dogs about one billion. Unfortunately, our
is innate. For example, newborn infants respond ability to discriminate between different odours
positively to sugar water placed on the tongue is not well understood. The most popular cur-
and negatively to bitter substances, such as qui- rent theory is that olfactory receptors recog-
nine (Davidson & Fox, 1988). Many poisonous nize diverse odours individually rather than
substances in nature have bitter tastes, so this by mixing the activity of a smaller number of
emotional response seems to be “hard-wired” basic receptors, as occurs in taste (Bartoshuk &
into our physiology (Hoebel, 1997; Small et al., Beauchamp, 1994; Wilson et al., 2004). Olfactory
2003). In nature, sweet substances are more receptors have receptor structures that resem-
likely to occur in nutritious foods. Unfortunately, ble neurotransmitter binding sites on neurons.
many humans now live in an environment differ- Any of the thousands of potential odour mol-
ent from the food-scarce environment in which ecules can lock into sites that are tailored to
preferences for sweet substances may have fit them (Buck & Axel, 1991; Pernollet, Sanz, &
evolved (Scott & Giza, 1993). As a result, people Briand, 2006). The receptors that fire send their
in affluent countries over-consume sweet foods input to the olfactory bulb, a forebrain struc-
that are good for us only in small quantities. ture immediately above the nasal cavity. Each
odorous chemical excites only a limited portion
Olfaction: The Sense of Smell of the olfactory bulb, and odours are apparently
Humans are visually oriented creatures, but the coded in terms of the specific area of the olfac-
sense of smell (olfaction) is of great importance tory bulb that is excited (Dalton, 2002).
25. What is
for many species. Bloodhounds, for example, The social and sexual behaviour of animals
menstrual
have poor eyesight, but an exquisitely devel- is more strongly regulated by olfaction than is synchrony, and
oped olfactory sense that is about two million human behaviour (Alcock, 2005). For example, what evidence
times more sensitive than ours (Thomas, 1974). most of us find other ways to mark our ter- is there that
A bloodhound can detect a person’s scent in a ritories, such as by erecting fences or spread- pheromones are
footprint that is four days old, something no ing belongings over the table that we are using involved?
human could do. in the library. Whether humans have special
164 CHAPTER FIVE
olfactory systems involved in the regulation of movement. They tell us, for example, if we are
sexual and reproductive behaviour is a matter running or standing still, lying down, or sitting up.
of some debate, but most researchers believe
that there is no overwhelming evidence to sup- The Tactile Senses
port this. Nonetheless, some researchers believe Touch is important to us in many ways.
that pheromones, chemical signals found in nat- Sensitivity to extreme temperatures and pain
ural body scents, may affect human behaviour enables us to avoid external danger and alerts
in subtle ways (Bartoshuk & Beauchamp, 1994; us to disorders within our bodies. Tactile sen-
Monti-Bloch & Grosser, 1991; Rako & Friebely, sations are also a source of many of life’s
2004). One interesting but puzzling observation, pleasures, including sexual orgasm. A lack of
known as menstrual synchrony, is the ten- tactile contact with a caretaking adult retards
dency of women who live together or are close physical, social, and emotional development
friends to become more similar in their menstrual (Harlow, 1958), and physically massaging new-
cycles. Psychologist Martha McClintock (1971) born babies enhances their development (Cigales
tested 135 university women and found that, et al., 1997; Field et al., 1996; Canfield, 2006).
during the course of an academic year, room- Humans are sensitive to at least four tactile
mates moved from a mean of 8.5 days apart in sensations: pressure (touch), pain, warmth, and
their periods to 4.9 days apart. Another study cold. These sensations are conveyed by recep-
26. What of 51 women who worked together showed that tors in the skin and in our internal organs. Mix-
four tactile close friends had menstrual onsets averaging tures of these four sensations form the basis for
sensations 3.5 to 4.3 days apart, whereas those who were all other common skin sensations, such as itch.
are humans not close friends had onsets that averaged 8 to Considering the importance of our skin
sensitive to?
9 days apart (Weller et al., 1999). Are phero- senses, surprisingly little is known about how
How are these
mones responsible for synchrony? In experi- they work. The skin, a multi-layered elastic
sensations
localized, and ments conducted at the Monell Chemical Senses structure that covers 90 cm2 and weighs between
how are phantom Center in Philadelphia, 10 women with regular 2.7 and 4.5 kilograms, is the largest organ in our
limb sensations cycles were daubed under the nose every few body. It contains a variety of receptor struc-
produced? days with underarm secretions collected from tures, but their role in specific sensations is less
other women. After three months, the partici- clear than for the other senses. Many sensations
pants’ cycles began to coincide with the sweat probably depend on specific patterns of activity
donors’ cycles. A control group of women who in the various receptors (Schiff & Foulke, 2010).
were daubed with an alcohol solution rather We do know that primary receptors for pain
than sweat showed no menstrual synchrony with and temperature are free nerve endings, sim-
a partner (Preti et al., 1986). In other studies, ple nerve cells beneath the skin’s surface that
however, menstrual synchrony was not found resemble the bare branches of a tree in winter
for cohabitating lesbian couples or for Bedouin (Gracely et al., 2002). Nerve fibres situated at
women who spent most of their time together, the base of hair follicles are receptors for touch
indicating that prolonged and very intensive and light pressure (Heller & Schiff, 1991).
contact may not be conducive to menstrual syn- The brain can locate sensations because skin
chrony (Weller & Weller, 1997, 1998). The debate receptors send their messages to the point in the
continues with arguments both for and against somatosensory cortex that corresponds to the
biochemical synchrony (Pettit & Vigor, 2015). area of the body where the receptor is located.
As anyone who has owned a dog or cat in heat As we saw in Chapter 3, the amount of cortex
could attest, odours strongly affect the sexual devoted to each area of the body is related to
attractiveness of animals to other animals. On that part’s sensitivity. Our fingers, lips, and
the other hand, there is no solid evidence to jus- tongue are well represented, accounting for
tify the recent rise in commercial sales of “phero- their extreme sensitivity to stimulation.
mone substances” to humans who wish to become Sometimes the brain “locates” sensations that
sexually irresistible. At this point, we would con- cannot possibly be present. This action occurs
clude that a good personality and good grooming in the puzzling phantom limb phenomenon, in
are a better bet than a good pheromone. which amputees experience vivid sensations
coming from the missing limb (Heavey, 2015;
The Skin and Body Senses Warga, 1987). Apparently, an irritation of the
The skin and body senses include the senses of nerves that used to originate in the limb fools
touch, kinesthesis (muscle movement), and the brain into interpreting the resulting nerve
equilibrium. The last two are called body senses impulses as real sensations. Joel Katz and Ronald
because they inform us of the body’s position and Melzack (1990) studied 68 amputees who insisted
that they experienced pain from the amputated From a psychological perspective, perhaps
limb that was as vivid and “real” as any pain they the most intriguing feature of gate control the-
had ever experienced. This pain was not merely ory is that nerve impulses in fibres descending
a recollection of what pain used to feel like in from the brain can also influence the spinal
the phantom limb; it was actually experienced in gates, thereby increasing or decreasing the flow
the present. The phantom limb phenomenon can of pain stimulation to the brain. This central
be quite maddening: Imagine having an intense control mechanism allows thoughts, emotions,
itch that you never can scratch, or an ache you and beliefs to influence the experience of pain
cannot rub. When amputees are fitted with pros- and helps to explain why pain is a psychological
thetic limbs and begin using them, phantom pain phenomenon as well as a physical one.
tends to disappear (Gracely et al., 2002; Seilabi- Gate control and other theorists have tra-
pour, Fallah, Kazemi, & Shariat, 2013). ditionally viewed pain as solely reflecting the
action of neurons. However, the immune sys-
Pain tem also plays a role in pain. Recent research
Pain receptors are found in all body tissues with has shown that glial cells, which structurally
the exception of the brain, bones, hair, nails, and support and service neurons within the spinal
nonliving parts of the teeth. Free nerve endings cord, are involved in the creation and mainte-
in the skin and internal organs respond to intense nance of pathological pain (Moayedi & Davis,
mechanical, thermal, or chemical stimulation and 2013; Watkins & Maier, 2003). These glial cells
then send nerve impulses into the spinal cord, become activated by immune challenges (viral
where sensory tracts carry pain information to or bacterial infection) and by substances
the brain. Once in the brain, the sensory informa- released by neurons within the pain pathway.
tion about pain intensity and location is relayed They then amplify pain by releasing cytokines
by the thalamus to the somatosensory and fron- (messenger molecules) that promote inflam-
tal areas of the cerebral cortex (Fields, 2005). mation. This action may help account for that
Reflecting the adaptive value of pain, brain “ache all over” sensation that many of us expe-
recordings reveal that cerebral processing of rience when we are ill.
pain occurs faster than for other kinds of tactile
stimuli, permitting a more rapid response (Ploner The Endorphins
et al., 2006). Other tracts from the thalamus direct In 1680, an English physician wrote, “Among
nerve impulses to the limbic system, which is the remedies which it has pleased Almighty God
involved in motivation and emotion. These tracts to give man to relieve his suffering, none is so
seem to control the emotional component of pain universal and so efficacious as opium” (quoted
(Zanker, 2010). Thus, pain has both a sensory and in Snyder, 1977). Opiates (such as opium, mor-
an emotional component. Suffering occurs when phine, and heroin) have been used for centu-
both painful sensations and a negative emotional ries to relieve pain, and they strongly affect the
response are present (Fordyce, 1988; Turk, 2001). brain’s pain and pleasure systems. In the 1970s,
scientists discovered that opiates produce their
Spinal and Brain Mechanisms effects by locking into specific receptor sites in
Gate control theory, developed by Canadian brain regions associated with pain perception.
psychologist Ronald Melzack and physiolo- But why would the brain have built-in recep-
gist Patrick Wall (1982), was a major advance tors for opiates unless there were some natural
in the study of pain. Gate control theory pro- chemical in the brain for the receptor to receive?
poses that the experience of pain results from Later research disclosed what had to be true:
the opening and closing of gating mechanisms the nervous system has its own built-in anal-
in the nervous system (Turk & Melzack, 2001). gesics (painkillers) with opiatelike properties.
Events in the spinal cord can open a system of These natural opiates were named endorphins
spinal cord “gates” and allow the nerve impulses (meaning “endogenous,” or internally produced,
to travel toward the brain. However, other sen- “morphines”). Endorphins exert some of their
sory input can partially or completely close painkilling effects by inhibiting the release of
the gates and blunt our experience of pain. neurotransmitters involved in the synaptic
For example, rubbing a bruise or scratching an transmission of pain impulses from the spinal
itch can produce relief. Gate control theorists cord to the brain (Fields, 2005). Endorphins are
also suggest that acupuncture achieves its pain- of great interest to psychologists because they
relieving effects because the acupuncture nee- may help to explain how psychological factors
dles stimulate mostly tactile receptors that close “in the head” can have such strong effects on
the pain gates. pain and suffering.
166 CHAPTER FIVE
In 2001, John-Kar Zubieta and colleagues muscles’ and joints’ positions and movements. The
published a landmark study that showed the receptors are nerve endings in the muscles, ten-
endorphins in action within the brain. They dons, and joints. The information this sense gives
injected a radioactive form of an endorphin into us is the basis for making coordinated movements.
volunteer participants, then stimulated them Cooperating with kinesthesis is the vestibular
with painful injections of salt water into the jaw sense, the sense of body orientation or equilib-
muscles. Brain scans allowed the researchers to rium (Figure 5.25). The vestibular receptors are
see which areas of the brain lit up from endor- located in the vestibular apparatus of the inner
phin activity and to relate this activity to pain ear (see Figure 5.20). One part of the equilibrium
reports given by the participants every 15 sec- system consists of three semicircular canals,
onds. The scans revealed a surge of endorphin which contain the receptors for head movement.
activity within several brain regions, including Each canal lies in a different plane: left/right,
the thalamus (the sensory switchboard), the backward/forward, or up/down. These canals are
amygdala (an emotion centre), and a sensory filled with fluid and lined with hairlike cells that
area of the cortex. As the endorphin surge function as receptors. When the head moves, the
continued over 20 minutes of pain stimulation, fluid in the appropriate canal shifts, stimulating
participants reported decreased sensory and the hair cells and sending messages to the brain.
emotional ratings of pain. The semicircular canals respond only to accelera-
Acupuncture (Figure 5.24) is an effective tion and deceleration; when a constant speed is
pain-reduction technique that ultimately may reached (no matter how high), the fluid and the
be understood in terms of endorphin mecha- hair cells return to their normal resting state.
nisms. Injections of naloxone, a drug that That’s why takeoffs and landings give a sense of
counteracts the effects of endorphins, greatly movement, whereas flying at 800 kilometres per
27. Describe decrease the pain-reducing effects of acu- hour on a cruising airliner does not. Located at
the sensory puncture (Oleson, 2002). This suggests that the base of the semicircular canals, the vestibu-
principles that acupuncture normally releases endorphins to lar sacs also contain hair cells that respond to the
are applied to blunt pain sensations. position of the body and tell us whether we are
create sensory
upright or tilted at an angle. These structures con-
prosthetics for The Body Senses
visually and stitute the second part of the body-sense system.
hearing impaired We would be totally unable to coordinate our body You have now learned a considerable amount
people. movements were it not for the sense of kinesthe about the principles underlying stimulus detection
sis, which provides us with feedback about our and transduction. As the Frontiers feature shows,
© Punchstock/Creatas
FIGURE 5.24 Acupuncture is a proven pain-reduction Corey Rich/Aurora Open/Getty Images

procedure. Gate control theory attributes its effects to
the stimulation of sensory fibres that close sensory FIGURE 5.25 Kinesthesis and the vestibular sense
gates in the pain system. In addition, there is evidence are especially well developed in some people, and
that acupuncture stimulates endorphin release. essential for performing feats like this one.
Frontiers
SENSORY PROSTHETICS: RESTORING by the Sonicguide into sounds that can be heard through
LOST FUNCTION earphones. Different sound qualities match specific fea-
tures of external objects, and the wearer must learn to inter-
Millions of people suffer from blindness and deafness, living pret the sonic messages. For example, the sound’s pitch
in sightless or soundless worlds. War, accidents, or illness tells the person how far away an object is; a low pitch sig-
result in amputations that cost others important aspects of nals a nearby object and becomes higher as the distance to
their sense of touch. Psychological research on the workings the object increases. The loudness of the sound tells how
of the sensory systems is now being combined with technical large the object is, and the clarity of the sound (ranging
advances in bio-engineering, resulting in sensory prosthetic from a static-like sound to a clear tone) signals the texture
devices that provide sensory input that can, to some extent, of the object, from very rough to very smooth. Finally, the
substitute for what cannot be supplied by a person’s sen- sound-localization principle described earlier tells the person
sory receptors (Patil & Turner, 2008). In considering these where the object is located in the environment by means
devices, we should remind ourselves that we don’t see with of differences in the time at which sounds arrive at the two
the eyes, hear with the ears, or feel with touch receptors. We ears. The device has been tested on adults and children
see, hear, and feel with our brain. The nerve impulses sent and works quite well. However, blind babies learn to use the
from the retina, the organ of Corti, or the skin, are no differ- sonic cues faster and more completely than anyone else.
ent from those sent from anywhere else in the body.
The Seeing Tongue
Seeing with the Ears
At the University of Wisconsin, Paul Bach-y-Rita (2004)
One device, known as a Sonicguide, provides new “eyes” developed a tactile tongue-based, electrical input sensor as
through the ears, capitalizing on principles of auditory local- a substitute for visual input. The tongue seems an unlikely
ization. The Sonicguide, shown in Figure 5.26, works on the substitute for the eye, hidden as it is in the dark recess of
same principle as echolocation, the sensory tool used by the mouth. Yet in many ways it may be the second-best
bats to navigate in total darkness. A pair of eyeglasses con- organ for providing detailed input, for it is densely packed
tains a transmitter that emits high-frequency sound waves with tactile receptors, thus allowing the transmission of
beyond the range of human hearing. These waves bounce high-resolution data. Moreover, its moist surface is a good
back from objects in the environment and are transformed conducting medium for electricity, meaning that minimum
voltage is required to stimulate the receptors.
The stimulator, shown in Figure 5.27a, receives digital data
from a camera and provides patterns of stimulation to the
tongue through a 144-electrode array. The array can transmit
shapes that correspond to the main features of the visual stimu-
lus. Initial trials with blindfolded sighted people and blind people
show that with about nine hours of training, users can “read”
the letters of a Snellen eye chart with an acuity of 20/430, a
modest but noteworthy beginning (Simpaio et al., 2001).
With continued development, a miniature camera
attached to eyeglasses will transmit wireless data to a
more densely packed electrode array attached to a dental
retainer. In fact, the United States Food and Drug Adminis-
tration has recently given the go-ahead for such a device—
the BrainPort V100—to sold. The suggested retail price will
be about $10 000 per unit. In addition to helping people who
are blind, the device has both military and civilian applica-
tions. For example, it has been used to help soldiers locate
objects in pitch-black environments, such as caves, where
night-vision devices are useless. It could also aid firefighters
as they search smoke-filled buildings for people to rescue.
Retinal Implants
Courtesy of the Department of Veterans Affairs
Loss of vision may be the result of damage to the photo-
FIGURE 5.26 The Sonicguide allows a blind person to perceive receptors in the retina (as in macular degeneration). If this
the size, distance, movement, shape, and texture of objects
is the case, it may be possible to replace the receptors
through sound waves that represent the visual features of objects.
continued
168 CHAPTER FIVE
Microelectrode
array
Video encoder Pattern of

electrode
stimulation
(a) (b)
(left): © Jeff Miller/UW-Madison University Communications
FIGURE 5.27 Two approaches to providing artificial vision for the blind. (a) Bach-y-Rita’s device converts digitized stimuli from a
camera to a matrix of electrodes, which stimulate tactile receptors in the tongue to communicate spatial information to the brain.
(b) Tiny electrodes implanted into individual neurons in the visual cortex produce patterns of phosphenes that correspond to the
visual scene observed through the video camera and encoder. Note how the cortical image is reversed as in normal visual input.
with a prosthetic sensor. A digital camera, mounted to a corresponds to the organization of the retina, a specific
pair of glasses, sends signals directly to an electrode array pattern of stimulation applied to individual neurons in the
implanted in the retina. The array then stimulates the bipo- cortex can form a phosphene pattern that conforms to the
lar cells to produce a visual signal. The Argus II bionic eye shapes of letters or objects (Weiland & Humayun, 2008).
system works on this principle and has been successfully The acuity of the pattern depends on the area of the visual
implanted in over 100 people. Visual output is in light and cortex that is stimulated (the portion receiving input from
dark contrast only, with an acuity of about 20/1260. How- the densely packed fovea produces greatest acuity) and on
ever, this is enough to roughly perceive objects in space. the number of stimulating electrodes in the array.
Cost of the implant is about $100 000. Building on this approach, researchers have developed
If the bipolar layer is also damaged, you may have to the device shown in Figure 5.27b. It consists of a silicon
directly stimulate the ganglion cells. Sheila Nirenberg has strip containing thousands of tiny stimulating electrodes
designed just such a device. It too requires a digital camera that penetrate directly into individual neurons in the visual
input and a processor, but Nirenberg has deciphered the cortex, where they can stimulate phosphene patterns. Even-
neural code used by the visual system providing a much tually, a tiny TV camera mounted in specially designed eye-
more accurate input signal. The processor converts visual glasses will provide visual information to a microcomputer
images into light pulses, which are then projected to the that will analyze the scene and then send the appropriate
ganglion cells. The ganglion cells have been treated with patterns of electrical stimulation through the implanted
light-sensitive proteins using gene therapy. Thus, the pulses electrodes to produce corresponding phosphene patterns in
are decoded at the ganglion cells and sent on to the brain. the visual cortex. The researchers have shown that sighted
Nirenberg claims that the prosthesis virtually restores nor- participants who wear darkened goggles that produce
mal vision (Nirenberg & Pandarinath, 2012). To date, the phosphene-like patterns of light flashes, such as those pro-
procedure has only been used with rats, but Nirenberg’s vided by cortical stimulation, can quickly learn to navigate
team has deciphered the visual code for monkeys as well. through complex environments and are able to read text
at about two-thirds their normal rate (Liu et al., 2008; Nor-
Cortical Implants
mann et al., 1996, 1999). Blind people with the stimulating
When cells in the visual cortex are stimulated electrically, electrodes implanted in the visual cortex have also been
discrete flashes of light called phosphenes are experienced able to learn a kind of cortical Braille for reading purposes.
by both sighted and blind people. Because sensory neu- Although still experimental, a commercially available intra-
rons in the visual cortex are arranged in a manner that cortical prosthetic device should appear in the near future.
continued
(both): © WENN.com/Newscom
FIGURE 5.28 Shown here without its skinlike covering, the SmartHand’s leads connect to both sensory and motor nerves in the
arm. The resulting motor control, combined with sensory feedback from the bionic hand’s movements, allows an amputee to per-
form this precision act without dropping or crushing the soft plastic bottle.
Cochlear Implants auditory impulses directly to the brain, giving Grayson back
his hearing (Hagen & Wilson, 2013).
People with hearing impairments have also been assisted
by the development of prosthetic devices. The cochlear The Bionic Hand That Restores Tactile Sensations
implant is for people suffering from nerve deafness, who
In 2009, researchers in Sweden and Italy announced the
cannot be helped by mere sound amplification provided by
development of the SmartHand, a prosthetic device that
normal hearing aids. A set of 22 electrodes is implanted in
restores the sense of touch in people who have lost their
coil-like fashion around the cochlea to directly stimulate the
hands (ScienceDaily, 2009, November 11). The SmartHand
auditory nerve. A microphone sends sound waves to a pro-
contains 40 sensors that are connected to the sensory
cessor implanted in the bone behind the ear, and the pro-
nerves in the arm of an amputee (Figure 5.28). Four motors,
cessor breaks the sound down into its principal frequencies
also linked to the brain through their attachment to motor
and sends electrical signals to cochlear areas associated
nerves in the arm, allow patients to move the fingers in very
with particular frequencies (Fayad et al., 2008). Electrical
precise ways. This prosthetic hand is the first to allow for the
recording of cortical responses to sounds in people who had
level of control of movement that comes only through tactile
been deaf for more than two decades showed that in the
feedback. With it, an amputee can actually experience the
months following installation of a cochlear implant, sounds
feeling of stroking a loved one’s cheek and can handle deli-
increasingly “registered” in the auditory cortex (Pantev
cate objects with just the right amount of pressure. Recently,
et al., 2006). With a cochlear implant, deaf people can
Antfolk et al. (2012) have suggested that the simple addition
hear everyday sounds such as sirens, and many can under-
of an inflatable silicone pad can result in the experience of
stand speech (Meyer et al., 1998; Parkinson et al., 1998).
“real touch.” Among the first to receive the device when it
Although the substitution of 22 electrodes for the more than
becomes commercially available will be returning soldiers
16 000 hair cells that populate the intact cochlea cannot
from Iraq and Afghanistan who have lost their hands in battle.
produce normal auditory experience, cochlear implants have
Sensory prosthetics illustrate the ways in which knowledge
helped many people partially restore their sense of hearing.
about sensory phenomena, such as phosphenes, the organ-
Recently, a revolutionary new device was implanted in
ization of the visual cortex, sound localization, and the place
three-year old Grayson Clamp. Grayson was born without
theory of pitch perception, can provide the information needed
cochlear nerves, so a cochlear implant simply would not
to take advantage of new technological advances. Yet even
work. Surgeons in Chapel Hill, North Carolina, implanted
with all our ingenuity, prosthetic devices are no substitutes for
an auditory brain stem device directly onto the cochlear
our normal sensory systems, a fact that should increase our
nucleus. The implant bypasses the inner ear and delivers
appreciation for what nature has given us.
170 CHAPTER FIVE
In Review
• Sound waves, the stimuli for audition, have two body odours produced by pheromones appear to
characteristics: frequency, measured in terms of account for a menstrual synchrony that some-
cycles per second or hertz (Hz), and amplitude, times occurs among women who are in frequent
measured in terms of decibels (db). Frequency contact.
is related to pitch, amplitude to loudness. The • Pain is a complex perception influenced by bio-
receptors for hearing are hair cells in the organ logical and psychological factors. At the biologi-
of Corti of the inner ear. cal level, the major pain receptors appear to be
• Loudness is coded in terms of the number and free nerve endings. Gate control theory attri-
types of auditory nerve fibres that fire. Pitch is butes pain to the opening and closing of gates in
coded in two ways. Low-frequency tones are the spinal cord and to influences from the brain.
coded in terms of corresponding numbers of nerve The nervous system contains endorphins, which
impulses in individual receptors or by volleys of play a major role in pain reduction.
impulses from a number of receptors. Frequen- • The skin and body senses include touch, kines-
cies above 4000 hertz are coded according to the thesis, and equilibrium. Receptors in the skin
region of the basilar membrane that is displaced and body tissues are sensitive to touch, pain,
most by the fluid wave in the cochlear canal. warmth, and cold. Kinesthesis functions by
• Hearing loss may result from conduction deaf- means of nerve endings in the muscles, tendons,
ness, produced by problems involving the struc- and joints. The sense organs for equilibrium are
tures of the inner ear that transmit vibrations to in the vestibular apparatus of the inner ear.
the cochlea, or from nerve deafness, in which • Principles derived from the study of sensory
the receptors of the inner ear or the auditory processes have been applied in developing sen-
nerve are damaged. sory prosthetics for the blind and the hearing
• The receptors for taste and smell respond to impaired. Examples include the Sonicguide, a
chemical molecules. Taste buds are respon- device that provides visual information through
sive to four basic qualities: sweet, sour, salty, tactile stimulation of the tongue, direct electri-
and bitter. The receptors for smell (olfaction) cal stimulation of the visual cortex, and cochlear
are long cells in the upper nasal cavity. Natural implants.
these principles have not only informational (Figure 5.29). In bottom-up processing, the
value for understanding how our sensory sys- system takes in individual elements of the
tems operate, but also applied value in helping stimulus and then combines them into a uni-
people with sensory impairments. fied perception. Your visual system operates in
PERCEPTION: Bottom-up Top-down

THE CREATION processing processing
OF EXPERIENCE Combination and

interpretation of “whole”
Concept, expectation
Sensory systems provide the raw materials

from which experiences are formed. Our sense
28. Differentiate organs do not select what we will be aware of Breakdown/analysis
Guides analysis
between of stimuli
or how we will experience it; they merely trans- (Yes? No?)
bottom-up (e.g., feature detection)
mit as much information as they can through
and top-down
processing our nervous system. Yet our experiences are not
of sensory simply a one-to-one reflection of what is “out Perception of individual Interpretation of
there.” Different people may experience the stimulus elements incoming stimuli
information.
same sensory information in radically different
FIGURE 5.29 Bottom-up perceptual processing
29. What two ways, because perception is an active, creative builds from an analysis of individual stimulus features
complementary process in which raw sensory data are orga- to a unified perception. Top-down processing begins
processes occur nized and given meaning. with a perceptual whole, such as an expectation or an
in attention? To create our perceptions, the brain carries image of an object, and then determines the degree of
out two different kinds of processing functions “fit” with the stimulus features.
a bottom-up fashion as you read; its feature the nervous system but do not enter into imme-
detectors analyze the elements in each letter of diate experience (Itti & Rees, 2005; Pitts et al.,
every word, and then recombine them into your 2012). In the visual realm, scientists have coined
visual perception of the letters and words. In the term inattentional blindness to refer to
top-down processing, sensory information is the failure of unattended stimuli to register in
interpreted in the light of existing knowledge, consciousness (Mack, 2003). We can look right
concepts, ideas, and expectations. Top-down at something without “seeing” it if we are attend-
processing is occurring as you interpret the ing to something else. In one study, research
words and sentences constructed by the bot- participants who were counting the number of
tom-up process. Here you make use of “higher- passes made during a videotaped basketball
order” knowledge, including what you have game did not notice a woman wearing a gorilla
learned about the meaning of words and sen- suit who walked across the court, even though
tence construction. Indeed, a given sentence she remained in clear sight for more than five
may even convey a different personal meaning seconds (Simons & Chabris, 1999). Even if you
to you than to another person if you relate its are an expert with respect to the visual mate-
content to some unique personal experience. rial, you can still miss unattended stimuli. Drew,
Top-down processing accounts for many psy- Vo, and Wolfe (2013) asked experienced radiolo-
chological influences on perception, such as gists to examine lung X-rays for nodules. In the
the roles played by our motives, expectations, last case they looked at, a gorilla, 48 times the
previous experiences, and cultural learning. nodule size, was inserted. Eighty-three percent
did not see the gorilla. Hanes (1991) reported
Perception Is Selective: that several experienced pilots training on flight
simulators were so intent on watching the land-
The Role of Attention
ing instruments, such as the air-speed indica-
As you read these words, 100 million sensory tor on the plane’s windshield, that they directed
messages may be clamouring for your atten- their plane onto a runway containing another
tion. Only a few of these messages register in aircraft. Inattentional blindness is surely rel-
awareness; the rest you perceive either dimly evant to findings that cellphone conversations
or not at all. But you can shift your attention to significantly reduce driving performance in
one of those “unregistered” stimuli at any time. experimental studies (e.g., Golden et al., 2003).
(For example, how does the big toe of your right It’s a bad idea to drive while talking on the
foot feel right now?) Attention, then, involves phone. It’s also a bad idea to drink and drive, as
two processes of selection: (1) focusing on cer- alcohol ingestion increases inattentional blind-
tain stimuli, and (2) filtering out other incom- ness (Clifasefi et al., 2006).
ing information (Luck & Vecera, 2002; Similek &
Frischen, 2013). Environmental and Personal Factors
These processes have been studied in Attention 30. Describe
experimentally through a technique called Attention is strongly affected both by the nature the results
shadowing. Participants wear earphones and of the stimulus and by personal factors. Stimulus of shadowing
listen simultaneously to two messages, one characteristics that attract our attention include experiments
sent through each earphone. They are asked to intensity, novelty, movement, contrast, and rep- in relation to
repeat (or “shadow”) one of the messages word etition. Advertisers use these properties in their attentional
for word as they listen. Most participants can capabilities.
commercials and packaging (Figure 5.30), espe-
do this quite successfully, but only at the cost of cially sexually oriented stimuli that are very
not remembering what the other message was 31. What
attention-grabbing (Krishna, 2009). stimulus and
about. Shadowing experiments demonstrate Internal factors, such as our motives and
that we cannot attend completely to more personal
interests, act as powerful filters and influence characteristics
than one thing at a time. But we can shift our which stimuli in our environment we will notice. influence
attention rapidly back and forth between the For example, when we are hungry, we are espe- attention?
two messages, drawing on our general knowl- cially sensitive to food-related cues. A botanist
edge to fill in the gaps (Bonnel & Hafter, 1998; walking through a park is especially attentive to
Sperling, 1984). the plants; a landscape architect attends primar-
ily to the layout of the park.
Inattentional Blindness People are especially attentive to stim-
Electrical recording and brain-imaging studies uli that have relevance to their well-being, a
have shown that unattended stimuli register in tendency that clearly has biological survival
172 CHAPTER FIVE
is greater for naturalistic stimuli like animals

than for artificial stimuli like letters or num-
bers (Thorpe, Gegenfurtner, Fabre-Thorpe, &
Bülthoff, 2001). Increasingly, researchers
are using more naturalistic sensory stimuli
in studies of perception in an effort to bet-
ter understand how we process real-life sen-
sory information in our natural environment
(Felsen & Dan, 2005).
In the sport of baseball, batters are some-
times forced to avoid pitched balls that might
hit them. In an analogue of this process, Jeffrey
Lin and colleagues (2009) seated participants
in front of a video display, and then measured
their reaction times in response to spherical
© Bill Aron/PhotoEdit
images that sped from the background. The
observers had significantly faster reaction
FIGURE 5.30 Advertisers are adept at using atten- times when the speeding object was coming
tion-attracting stimulus characteristics in their adver- toward their heads than when its trajectory
tisements. Personal characteristics are also important.
would barely miss their heads. The investiga-
What kinds of individuals do you suppose would be
most attentive to this ad?
tors suggested that humans have developed a
special visual system that unconsciously trig-
gers protective responses to stimuli that are
value (Oehman et al., 2001). This tendency is interpreted as threatening. As a real-life illus-
shown in experiments in which researchers tration of this principle, they point to the 2008
measure how quickly people focus on and incident shown in Figure 5.31, when an Iraqi
react to threatening versus nonthreatening reporter hurled his shoes at former U.S. pres-
stimuli. Thus, people are quicker to identify ident George Bush during a joint news confer-
an angry-looking face in a crowd than a smil- ence with Iraqi prime minister Nouri al-Maliki.
ing face (Hansen & Hansen, 1988). If a fearful Commenting on this scene, Lin stated, “If you
face or figure is projected on one side of the look at the shoe-throwing video, you will see
visual field and a neutral face or figure on the that the prime minister doesn’t flinch at all.
other, measurements of eye movements show His brain has already categorized the shoe
faster movements toward the fearful stimulus, as non-threatening which does not require
showing the capacity of threat-relevant stim- evasive action. But Bush has categorized
uli to capture visual attention (Bannerman the shoe as threatening and triggers an eva-
et al., 2009). Humans’ ability to perceive and sive dodge, all within a fraction of a second”
recognize objects in their peripheral visual field (Schwarz, 2009).
(both): © AP Photo/APTN
FIGURE 5.31 Former U.S. president George Bush reflexively ducks as an Iraqi reporter hurls a shoe toward the
podium, but Iraqi prime minister Nouri al-Maliki, does not.
Perceptions Have Organization experience of his environment was

thus disjointed and fragmented. (Sacks,
and Structure 1986, p. 76)
Have you ever stopped to wonder why we per-
ceive the visual world as being composed of dis- Another more extreme example of perceptual
tinct objects? After all, the information sent by the organization gone awry is synaesthesia, which
retina reflects nothing but an array of varying we described at the beginning of this chapter.
intensities and frequencies of light energy. The What, then, are the processes by which sensory
light rays reflected from different parts of a single nonsense becomes perceptual sense?
object have no more natural “belongingness” to Gestalt Principles of Perceptual
one another than those coming from two different Organization
objects. Yet we perceive scenes as involving sepa-
Early in the 20th century, psychologists from
rate objects, such as trees, buildings, and people.
the German school of Gestalt psychology set
These perceptions must be a product of an orga-
out to discover how we organize the separate
nization imposed by our nervous system (Davis
parts of our perceptual field into a unified and
& Johnsrude, 2007; Matthen, 2007). This top-down
meaningful whole. Gestalt is the German term
process of perceptual organization occurs so
for “pattern,” “shape,” or “form.” Gestalt theo-
automatically that we take it for granted. But Dr.
rists were early champions of top-down pro-
Richard, a prominent psychologist who suffered
cessing, arguing that the wholes we perceive
brain damage in an accident, no longer does:
are often more than (and frequently different
There was nothing wrong with his eyes, from) the sum of their parts.
yet the input he received from them was The Gestalt theorists emphasized the impor-
tance of figure-ground relations. We tend to 32. How does
not put together correctly. Dr. Richard
our tendency to
reported that if he saw a person, he some- organize stimuli into a central or foreground
separate figure
times would perceive the separate parts of figure and a background. In vision, the central and ground
the person as not belonging together in a figure is usually in front of or on top of what we contribute to
single body. But if all the parts moved in perceive as background. It has a distinct shape perception?
the same direction, Dr. Richard then saw and is more striking in our perceptions and mem-
them as one complete person. At other ory than the background. We perceive borders
times, he would perceive people in crowds or contours wherever there is a distinct change
wearing the same colour clothes as “going in the colour or brightness of a visual scene, but
together” rather than as separate people. we interpret these contours as part of the figure
He also had difficulty putting sights and rather than background. Likewise, instrumental
sounds together. Sometimes, the move- music is heard as a melody (figure) surrounded
ment of the lips did not correspond to the by other chords or harmonies (ground).
sounds he heard, as if he were watching a Separating figure from ground can be a chal-
badly dubbed foreign movie. Dr. Richard’s lenging task (Figure 5.32), yet our perceptual
(both): WENN/YU Gallery Paris/Newscom
FIGURE 5.32 Figure-ground relations are important in perception. These amazing body paintings were created by
Liu Bolin of Beijing. In a series known as “camouflage,” the artist paints people from head to toe so they will blend
in with the background.
174 CHAPTER FIVE
FIGURE 5.35 Fraser’s spiral illustrates the Gestalt

law of continuity. If you follow any part of the “spiral”
FIGURE 5.33 This reversible figure illustrates alternat- with your finger, you will find that it is not really a spiral
ing figure-ground relations. It can be seen as a vase or as at all, but a series of concentric circles. The “spiral” is
two people facing each other. Whichever percept exists created by your nervous system because that percep-
at the moment is seen as figure against background. tion is more consistent with continuity of the individual
elements.
systems usually are equal to the task. At times, different-sized dots? If you saw triangles, your
however, what’s figure and what’s ground is perception obeyed the Gestalt law of similar-
not completely obvious, and the same stimulus ity, which says that when parts of a configu-
may give rise to two different perceptions. Con- ration are perceived as similar, they will be
sider Figure 5.33, for example. If you examine perceived as belonging together. The law of
it for a while, two alternating but equally plau- proximity says that elements that are near one
sible perceptions will emerge, one based on the another are likely to be perceived as part of the
inner portion and the other formed by the two same configuration. Thus, most people perceive
outer portions. When the alternative perception Figure 5.34b as three sets of lines rather than as
(figure) occurs, what was previously the figure six separate lines. Illustrated in Figure 5.34c is
becomes the background. the law of closure, which states that people tend
33. Define and In addition to figure-ground relations, the to close the open edges of a figure or fill in gaps
give examples Gestalt psychologists were interested in how in an incomplete figure, so that their identifica-
of the four
separate stimuli come to be perceived as parts tion of the form (in this case, a circle) is more
Gestalt laws
of perceptual of larger wholes. They suggested that people complete than what is actually there. Finally,
organization. group and interpret stimuli in accordance with the law of continuity holds that people link
four Gestalt laws of perceptual organization: individual elements together so that they form
similarity, proximity, closure, and continuity. a continuous line or pattern that makes sense.
These organizing principles are illustrated in Thus, Figure 5.34d is far more likely to be seen
Figure 5.34. as combining components ab and cd than ad
What was your perception of Figure 5.34a? and cb, which have poor continuity. Or consider
Did you perceive 16 unrelated dots, or did you Fraser’s spiral, shown in Figure 5.35, which is
view the stimulus as two triangles formed by not really a spiral at all! (To demonstrate this,
b
a
c
Similarity Proximity Closure Continuity

(a) (b) (c) (d)
FIGURE 5.34 Among the Gestalt principles for perceptual organization are the laws of similarity (a), proximity
(b), closure (c), and continuity (d). Each principle causes us to organize stimuli into “wholes” that are greater than
the sum of their parts.
trace one of the circles with a pencil.) We per-

ceive the concentric circles as a spiral because,
to our nervous system, a spiral gives better con-
tinuity between individual elements than does a
set of circles. The spiral is created by us, not by
the stimulus.
Perception Involves Hypothesis

Testing
“Recognizing” a stimulus implies that we have
a perceptual schema—a mental representa-
tion or image—to compare it with. Our schemas
contain the critical features of objects, events,
and other perceptual phenomena (Wade & (a)
Swanston, 2001). They allow us to classify and
identify sensory input in a top-down fashion.
Imagine, for example, that a person
approaches you and calls out your name. Who is
this person? If the stimuli match your inner rep-
resentation of your best friend’s appearance and
voice closely enough, then you identify the per-
son as your friend (McAdams & Drake, 2002).
Many political cartoonists have an uncanny
ability to capture the most noteworthy facial
features of famous people, so that we can easily
recognize the person represented by even the
simplest line sketch.
Perception is, in this sense, an attempt to
make sense of stimulus input, to search for the
“best” interpretation of sensory information (b)
we can arrive at, based on our knowledge and (top): Gustave Verbeek, “The Upside Downs of Little Lady Lovekins and
Old Man Muffaroo: A Fish Story”. First published in The New York Herald,
experience (Carbon, 2014). Likening the process circa 1904.
to the scientific enterprise described in Chap-
ter 2, Richard L. Gregory (1966) suggested that FIGURE 5.36 Two examples of how the same stimu-
each of our perceptions is essentially a hypoth- lus can give rise to different perceptions are found in a
Gustave Verbeek comic strip (a) and the Necker cube
esis about the nature of the object or, more
(b). To produce the reversals, turn the comic strip panel
generally, the meaning of the sensory informa- upside down and stare at the cube. The front of the
tion. The perceptual system actively searches cube will suddenly become the back, and it will appear
its gigantic library of internal schemas for the that the cube is being viewed from a different angle.
interpretation that best fits the sensory data.
An example of how effortlessly our percep-
tual systems build up descriptions or hypothe- remain exactly the same. You see a radically dif- 34. In what
ses that best fit the available evidence is found ferent picture because the new stimulus closely sense is
in the comic strips created by Gustave Verbeek matches another of your perceptual schemas. perception a kind
in the early 1900s. The Sunday New York Her- In some instances, sensory information fits of hypothesis
ald told Verbeek that his comic strip had to two different internal representations, and testing? What
is the role of
be restricted to six panels. Verbeek wanted there is not enough information to permanently
perceptual
12 panels, so he ingeniously created 12-panel car- rule out one of them in favour of the other. For
schemas in this
toons in only six panels by drawing pictures like example, examine the Necker cube, shown in process?
that shown in Figure 5.36a. The reader viewed Figure 5.36b. If you stare at the cube for a while,
the first six panels, then turned the newspaper you will find that it changes before your eyes as
upside down. Try this yourself, and you will your nervous system “tries out” a new percep-
find that a bird story becomes a fish story! The tual hypothesis. Another example is offered by
point is that you do not simply see an upside- our interpretation of the Mona Lisa as discussed
down bird, even though the physical stimuli in the Applications feature.
176 CHAPTER FIVE
Applications
MONA LISA’S SMILE you look directly at her mouth, the smile fades away. Flo-
rian Hutzler at the Center for Neurocognitive Research in
Perhaps there is no better-known work of art in the world Paris notes that there is actually a smile hidden in low spa-
than the Mona Lisa by Leonardo da Vinci (Figure 5.37). The tial frequencies around the mouth area. Looking directly at
painting, completed in the early 1500s has been prized, sto- the mouth, you process the higher spatial frequencies and
len, and vandalized. It is a small painting (77 cm × 53 cm), the smile disappears. In addition, Otero and Pablos (2009)
presumably of Lisa Gherardini, and is undoubtedly the most have shown that the smile is more likely to be seen when
visited and parodied piece of art in existence. It is worth an gazing at the left side of the mouth. Perhaps features on
estimated $1 billion. the right side now fall in the peripheral retina where they
Leonardo was one of the first artists to use imaginary are more likely to be seen as representative of a smile.
landscapes in painting. Prior to the Mona Lisa, backgrounds Was Leonardo aware of any of these visual processes?
in portraits were exactly as they appeared in real life. He Perhaps. He intentionally blurred the expression around the
also was one of the first painters to use aerial perspective eyes and mouth using a technique called sfumato. Thus,
in his work—detail becomes “fuzzier” in the distance. But the Mona Lisa’s smile and the perceived emotion remain
perhaps the most intriguing thing about the painting is the ambiguous, adding to our appreciation of the artwork.
Mona Lisa’s smile. Is she actually smiling in the portrait or
is she serious? Viewers have reported both interpretations,
often in the same viewing. What’s going on?
Margaret Livingstone is a professor of neurobiology
at the Harvard Medical School, specializing in the neuro-
logical underpinnings of vision. She has suggested (Living-
stone, 2000) that the elusive quality of the Mona Lisa’s
smile is merely a by-product of the human visual system.
Livingstone notes that the resolution of our visual system
changes quite dramatically as we move away from the cen-
tre of the fovea. As you will recall, cones are found exclu-
sively in the centre of the fovea and decrease as we move
to the periphery. A small amount of movement from the
centre of gaze results in acuity that is only about one-tenth
of that in the centre of the fovea. In essence, targets falling
at the centre of the fovea are in sharp focus, while those
even a small distance away are blurrier. An image with a lot
of detail (high spatial frequency) would be resolved much
better at the fovea than in the peripheral retina (where we
are more sensitive to lower spatial frequencies).
Livingstone (2000) applied selective filters to an image
of the Mona Lisa so that it emphasized either high or low
spatial frequencies. The high spatial frequency image
(reflecting the centre of the fovea) resulted in fewer reports
of smiling as compared to the low spatial frequency image
(representative of the peripheral retina). Thus, as you gaze
at the Mona Lisa, you will see her smiling if you are look-
© Musée du Louvre, © Direction des Musées de France, 1999.
ing at her hands or at the background. In this fashion, her
mouth falls on the peripheral retina and the perception of FIGURE 5.37 Leonardo da Vinci’s famous painting, the Mona
lower spatial frequencies emphasizes the smile. But when Lisa. Is she smiling at you?
Perception Is Influenced by Vincennes’s advanced radar system detected

an aircraft taking off from a military/civilian
Expectations: Perceptual Sets airfield in Iran and heading straight toward the
On July 3, 1988, the warship USS Vincennes American vessel. Radar operators identified
was engaged in a pitched battle with sev- the plane as an Iranian F-14 fighter, known to
eral speedy Iranian gunboats. Suddenly, the carry lethal air-to-surface missiles used earlier
in a damaging attack on another U.S. warship. Perceptual sets influence our social percep-
Repeated requests to the plane to identify itself tions as well, as psychologist Harold Kelley
yielded no response. The plane was now only (1950) demonstrated the day he invited a guest
16 kilometres from the ship and, according to lecturer into his class. Half of the students
the crewmen watching on radar, descending in the class were given a set of introductory
toward the Vincennes on an attack course. notes that described the guest as “industrious,
When a final warning evoked no response, and critical, practical, determined and a rather
the Vincennes’s captain gave the command to cold person” (italics ours). The other half
fire on the plane. Two surface-to-air missiles were given notes that described the visitor
streaked into the sky. Moments later, all that as “industrious, critical, practical, determined
remained of the plane was a shower of flaming and a rather warm person.” After the class,
debris. the students rated the guest lecturer and his
The jubilation and relief of the Vincennes’s presentation. Those who received the cold
crew was short-lived. Soon the awful truth description interacted very little with him and
was known: The plane they had shot down later rated the guest lecturer as unhappy and
was not an attacking F-14 warplane. Instead, irritable during the lecture. But those who got
it was a commercial airliner carrying 290 pas- the warm description rated him as happy and
sengers, all of whom died when the aircraft good natured during the lecture, and they took
was destroyed. Moreover, videotape record- part actively in the class discussion. They also
ings of the electronic information that the rated his presentation more favourably. All of
crew had used to identify the plane and its the students had seen and heard the same lec-
flight pattern showed conclusively that the turer, or had they?
aircraft was not an F-14 and that it had actu-
ally been climbing rather than descending Stimuli Are Recognizable under
toward the ship.
How could such a tragic error have been
Changing Conditions: Perceptual
made by a well-trained and experienced crew Constancies
with access to the world’s most sophisticated When a closed door swings open, it casts a
radar equipment? At a Congressional hearing different image on our retina, but we still per-
on the incident, several prominent perception ceive it as a door. Our perceptual hypothesis
researchers reconstructed the psychological remains the same. Were it not for perceptual
environment that could have caused the radar constancies that allow us to recognize famil-
operators’ eyes to “lie.” iar stimuli under varying conditions, we would 35. What is a
Clearly, the situation was stressful and have literally to rediscover what something is perceptual set?
dangerous. The Vincennes was already under each time it appeared under different condi- What factors
attack by Iranian gunboats, and other attacks tions. Thus, you can recognize a tune even if can create such
could be expected. It was easy for the radar it is played in a different octave, as long as the sets? How did
operators, observing a plane taking off from relations among its notes are maintained. You the Vincennes
a military field and heading toward the ship, can detect the flavour of a particular spice incident illustrate
to interpret this as the possible prelude to an even when it occurs in foods having very dif- this concept?
air attack. The Vincennes’s crew was deter- How is it involved
ferent tastes.
in perceiving
mined to avoid the fate of the other American In vision, several constancies are important. people?
warship, producing a high level of vigilance Shape constancy allows us to recognize people
to any stimuli that suggested an impending and other objects from many different angles, 36. What are
attack. Fear and expectation thus created a as in the case of the swinging door. Perhaps you the nature and
psychological context within which the sen- have had the experience of sitting up front and adaptive value
sory input from the computer system was off to one side of the screen in a crowded movie of perceptual
interpreted in a top-down fashion. The per- theatre. At first, the picture probably looked constancies?
ception that the aircraft was a warplane and distorted, but after a while your visual system
that it was descending toward the ship fit the corrected for the distortion, and objects on the
crew’s expectations and fears, and it became screen looked normal again.
the “reality” that they experienced. They had Because of brightness constancy, the relative
a perceptual set—a readiness to perceive brightness of objects remains the same under
stimuli in a particular way. Sometimes believ- different conditions of illumination, such as
ing is seeing. full sunlight and shade. Brightness constancy
178 CHAPTER FIVE
(both): © Jeffery Grosscup
FIGURE 5.38 Size constancy based on distance cues causes us to perceive the person in the background
as being of normal size. When the same stimulus is seen in the absence of the distance cues, size constancy
breaks down.
occurs because the ratio of light intensity constancy is the perception that the size of
between an object and its surroundings usually objects remains relatively constant even though
is constant. The actual brightness of the light images on our retina change in size with varia-
that illuminates the objects does not matter, as tions in distance. Thus, a man who is judged to
long as the same light intensity illuminates both be 180 centimetres tall when standing 2 metres
an object and its surroundings. away is not perceived to be 90 centimetres tall
When we take off in an airplane, we know at a distance of 4 metres, even though the size
that the cars on the highway below are not of his image on the retina is reduced to half its
shrinking and becoming the size of ants. Size original size (Figure 5.38).
In Review
• Perception involves both bottom-up processing, • The Gestalt psychologists identified a number of
in which individual stimulus fragments are com- principles of perceptual organization, including
bined into a perception, and top-down process- figure-ground relations and the laws of similarity,
ing, in which existing knowledge and perceptual proximity, closure, and continuity. R.L. Gregory
schemas are applied to interpret stimuli. suggested that perception is essentially a hypoth-
• Attention is an active process in which we focus esis about what a stimulus is, based on previous
on certain stimuli while blocking out other stim- experience and the nature of the stimulus.
uli. We cannot attend completely to more than • Perceptual sets involve a readiness to perceive
one thing at a time, but we are capable of rapid stimuli in certain ways, based on our expecta-
attentional shifts. Attentional processes are tions, assumptions, motivations, and current
affected by the nature of the stimulus and by emotional state.
personal factors such as motives and interests. • Perceptual constancies allow us to recognize
The perceptual system appears to be espe- familiar stimuli under changing conditions. In
cially vigilant to stimuli that denote threat or the visual realm, there are three constancies:
danger. shape, brightness, and size.
by a pitcher at 145 kilometres per hour from

Thinking critically 18 metres will reach the batter who is trying to
hit it in about 42/100 of a second. A curveball
WHY DOES THAT RISING MOON LOOK thrown at 130 kilometres per hour will reach the
SO BIG? hitting zone in 47/100 of a second, a difference
Just before bedding down for the night on a of only 5/100 of a second (but a world of differ-
backpacking trip, a friend of ours poked his head ence for timing and hitting the pitch). Within the
outside of his tent and gasped to his wife, “Look first 2 metres of a ball’s flight from the pitcher’s
at the moon! Just look at that moon!” Indeed, a hand (an interval of about 25/1000 of a second),
gorgeous full moon had just come over the hori-
zon, and it was so enormous that it dwarfed the
the batter must correctly judge the speed, type,
mammoth peaks surrounding them. The couple and location of the pitch. If any of the judgments
gazed at it in wonder for a few minutes and then is in error, the hitter will be unable to hit a fair
retired into their tent. Later that night, they looked ball (Adair, 1990). The perceptual demands of
out-side again only to see a rather small, ordinary such a task are imposing indeed (as are the sal-
full moon approaching the zenith.
aries earned by those who can perform this task
You too may have exclaimed over the size of a ris- consistently). How does the visual perception
ing moon, only to notice later that the moon, well
system make such judgments?
above the horizon, seemed to have shrunk. What
can explain this phenomenon?
Think about it, and then see the Answers section Depth and Distance Perception
at the end of the book. One of the more intriguing aspects of visual per-
ception is our ability to perceive depth. The ret-
ina receives information in only two dimensions
(length and width), but the brain translates
PERCEPTION OF these cues into three-dimensional perceptions. It
does this by using both monocular cues (which
DEPTH, DISTANCE, require only one eye) and binocular cues
AND MOVEMENT (which require both eyes).
The ability to adapt to a spatial world requires Monocular Depth Cues
that we make fine distinctions involving dis-
Judging the relative distances of objects is one 37. Identify eight
tances and the movement of objects within the monocular cues
important key to perceiving depth. Because
environment. Humans are capable of great pre- for distance and
artists paint their portraits on a flat canvas,
cision in making such judgments. Consider, for depth.
they depend on a variety of monocular cues
example, the perceptual task faced by a batter
to create perceptions of depth in their pic-
playing baseball (Figure 5.39). A fastball thrown
tures. One such cue is patterns of light and
shadow. The Dutch artist M.C. Escher skilfully
used light and shadow to create the three-
dimensional effect shown in Figure 5.40. The depth
© Robert Michael/Corbis
© 1948 M.C. Escher Foundation/Baarn-Holland, All Rights Reserved
FIGURE 5.39 The demands faced by a batter in judg-
ing the speed, distance, and movements of a pitched FIGURE 5.40 Patterns of light and shadow can serve
baseball within thousandths of a second underscore as monocular depth cues, as shown in Drawing Hands
the capabilities of the visual perceptual system. by M.C. Escher.
180 CHAPTER FIVE
effect is as powerful if you close one eye as

it is when you use both. Another cue, linear
perspective, refers to the perception that paral-
lel lines converge or angle toward each other
as they recede into the distance. Thus, if you
look down railroad tracks, they appear to angle
toward each other with increased distance, and
we use this as a depth cue. The same occurs
with the edges of a highway or the sides of an
elevator shaft. Interposition, in which objects
closer to us may cut off part of our view of
more distant objects, provides another cue for
distance and depth.
An object’s height in the horizontal plane
provides another source of information. For
example, a ship 8 kilometres offshore appears
in a higher plane and closer to the horizon than School of Athens by Raphael. Scala/Art Resource, NY
does one that is only 1 kilometre from shore.
Texture is a fifth cue, because the texture or FIGURE 5.41 The School of Athens, by Raphael San-
zio, illustrates seven monocular depth cues. (1) Linear
grain of an object appears finer as distance
perspective is produced by the converging lines of the
increases. Likewise, clarity can be an impor- corridor in the background. (2) The arches and the peo-
tant cue for judging distance; we can see nearby ple in the background are smaller than those in front
hills more clearly than hills that are far away, (relative size). (3) The back of the floor is in a higher
especially on hazy days. Relative size is yet horizontal plane than the foreground. (4, 5) The objects
another basis for distance judgments. If we see in the background are less detailed than the closer
two objects that we know to be of similar size, ones (texture and clarity). (6) Light and shadow are
used to create depth. (7) The arches and people in the
then the one that looks smaller will be judged
front of the painting cut off parts of the corridor behind
to be farther away. A final monocular cue is them (interposition).
motion parallax, which tells us that if we are
moving, nearby objects appear to move faster in
through special glasses. These devices make
the opposite direction than do faraway ones. All
use of the principle of binocular disparity, in
these cues provide us with information that we
which each eye sees a slightly different image.
can use to make judgments about distance and,
Within the brain, the visual input from the two
therefore, about depth.
eyes is analyzed by feature detectors that are
The artist Raphael Sanzio was a master at
attuned to depth (Howard, 2002; Livingstone &
using monocular depth and distance cues. The
Hubel, 1994). Some of the feature detectors
School of Athens, shown in Figure 5.41, illus-
respond only to stimuli that are either in front of
trates seven of the monocular cues we have just
or behind the point we are fixing our gaze upon.
described.
The responses of these depth-sensitive neurons
Binocular Disparity are integrated to produce our perception of
depth (Goldstein, 2002).
38. Describe two The most dramatic perceptions of depth arise
A second binocular distance cue, conver
binocular cues. with binocular depth cues, which require the
gence, is produced by feedback from the mus-
use of both eyes. For an interesting binocular
cles that turn your eyes inward to view a near
39. What is effect, hold your two index fingers about 15
the primary object. You can experience this cue by holding
centimetres in front of your eyes with their tips
cue for motion a finger about 30 centimetres in front of your
about 2.5 centimetres apart. Focus on your fin-
perception? How face, and then moving it slowly toward you.
gers first, and then focus beyond them across
is stroboscopic Messages sent to your brain by the eye muscles
the room. The two different views will produce
movement provide it with a depth cue.
a “third” finger between the other two. This
used in motion
“finger sausage” will disappear if you close
pictures and TV?
either eye. Perception of Movement
Many of us are familiar with the delightful The perception of movement is a complex pro-
depth experiences provided by “Magic Eye” cess that requires the brain to integrate infor-
photos and three-dimensional movies watched mation from several different senses. Try this
demonstration: Hold your pen in front of your

face. Now, while holding your head still, move
the pen back and forth. You will perceive the
pen moving. Now hold the pen still and move
your head back and forth at the same rate of
speed. In both cases, the image of the pen moved
across your retina in about the same way. But
when you moved your head, your brain took
into account input from your kinesthetic and
vestibular systems and “concluded” that you
were moving but the pen was not.
The primary cue for perceiving motion is
the movement of the stimulus across the retina
(Sekuler et al., 2002). Under optimal conditions, Gilbert Iundt; Jean-Yvews Ruszniewski/TempSport/Corbis
a retinal image need move only about one-fifth
the diameter of a single cone for us to detect FIGURE 5.42 Stroboscopic movement is produced
in moving pictures as a series of still photographs pro-
movement (Nakayama & Tyler, 1981). The rela- jected at a rate of 24 per second.
tive movement of an object against a structured
background is also a movement cue (Gibson,
1979). For example, if you fixate on a bird in
flight, the relative motion of the bird against its ILLUSIONS: FALSE
background is a strong cue for perceiving speed PERCEPTUAL
of movement.
The illusion of smooth motion can be
HYPOTHESES
produced if we arrange for the sequential Our knowledge of perceptual schemas, 40. In what
appearance of two or more stimuli. Gestalt psy- hypotheses, sets, and constancies allows us sense is an
chologist Max Wertheimer (1912) demonstrated to understand some interesting perceptual illusion a false
this in his studies of stroboscopic movement, experiences known as illusions. Illusions are perceptual
illusory movement produced when a light is compelling but incorrect perceptions. They hypothesis? In
briefly flashed in darkness and then, a few mil- can be understood as erroneous perceptual what ways are
liseconds later, another light is flashed nearby. hypotheses about the nature of the stimulus. constancies and
context involved
If the timing is just right, the first light seems to Illusions are not only intriguing and some-
in producing
move from one place to the other in a manner times delightful visual experiences, but they visual illusions?
indistinguishable from real movement. also provide important information about
Stroboscopic movement (termed the phi how our perceptual processes work under
phenomenon by Wertheimer) has been used normal conditions (Blakeslee & McCourt,
commercially in numerous ways. For example, 2015; Gregory, 2005).
we have all seen the strings of successively illu- Ironically, most visual illusions can be attrib-
minated lights on theatre marquees that seem uted to perceptual constancies that ordinarily
to move endlessly around the border or that help us to perceive more accurately (Frisby,
spell out messages in a “moving” script. Stro- 1980). For example, size constancy results
boscopic movement is also the principle behind in part from our ability to use distance cues
motion pictures, which consist of a series of to judge the size of objects. But distance cues
still photographs, or frames, that are projected sometimes fool us. In the Ponzo illusion, shown
onto a screen in rapid succession with dark in Figure 5.43a, the depth cues of linear per-
intervals in between (Figure 5.42). The rate at spective (the tracks converging) and height in
which the frames are projected is critical to our the horizontal plane provide distance cues that
perception of smooth movement. Early movies, make the upper bar appear farther away than
such as the silent films of the 1920s, projected the the lower bar. Because it seems farther away,
“stills” at only 16 frames per second, and the the perceptual system concludes that the bar
movements appeared fast and jerky. Today in the background must be larger than the bar
the usual speed is 24 frames per second, which in the foreground, despite the fact that the two
more accurately produces an illusion of smooth bars cast retinal images of the same size. The
movement. TV presents images at the rate of same occurs in the vertical arrangement seen in
30 per second. Figure 5.43b.
182 CHAPTER FIVE
Distance cues can be manipulated to cre-

ate other size illusions. One occurs in a room
constructed by Adelbert Ames. Viewed through
a peephole with one eye, the scene presents a
startling size reversal (Figure 5.44a). Our per-
ceptual system assumes that the room has a
normal rectangular shape because, in fact,
most rooms do. Monocular depth cues do not
allow us to see that, in reality, the left corner of
the room is twice as far away as the right cor-
ner (Figure 5.44b). As a result, size constancy
breaks down, and we base our judgment of size
on the sizes of the retinal images cast by the two
people.
(a) The study of perceptual constancies shows
that our perceptual hypotheses are strongly
influenced by the context, or surroundings, in
which a stimulus occurs. Figure 5.45 shows
some examples of how context can produce illu-
sory perceptions.
Some of the most intriguing perceptual dis-
tortions are produced when monocular depth
cues are manipulated to produce a figure or
scene whose individual parts make sense, but
whose overall organization is “impossible”
in terms of our existing perceptual schemas.
Figure 5.46 shows three impossible figures.
In each case, our brains extract information
about depth from the individual features of
(b)
the objects, but when this information is put
© Charles Walker/TopFoto/The Image Works
together and matched with our existing sche-
FIGURE 5.43 The Ponzo illusion. Which lines in (a) mas, the percept that results simply doesn’t
and (b) are longer? Measure them and see. The distance make sense. The “devil’s tuning fork,” for
cues provided by the converging railroad tracks and walls example (Figure 5.46c), could not exist in our
affect size perception and disrupt size constancy.
(a)
(left): © Baron Wolman/Woodfin Camp & Associates (b)
FIGURE 5.44 The Ames Room (a) produces a striking size perception because it is designed to appear rectangular. However, as
(b) shows, the room is actually trapezoidal in shape, and the figure on the left is actually much farther away from the viewer than the one
on the right, making it appear smaller.
Thinking critically
EXPLAIN THIS STRIKING ILLUSION
We’d like you to experience a truly interesting
illusion. To do so, all you need is a piece of fairly
heavy paper and a little patience. Fold the piece
of paper lengthwise down the middle, and set it
on a table with one of the ends facing you like
The long lines are actually parallel, but
an open tent, as shown in the figure below. Close
the small lines make them appear crooked.
one eye and, from slightly above the object, stare
at a point midway along the top fold of the paper.
After a while the paper will suddenly “stand up”
and look like a corner viewed from the inside.
When this happens, gently move your head back
and forth while continuing to view with one eye.
The movement will produce a striking perception.
Can you explain what you now see?
Which inner circle is larger? Check and see.
The Müller-Lyer illusion. Which line, a or b,

is longer? Compare them with a ruler.
FIGURE 5.45 Context-produced geometric illusions.
universe. It is a two-dimensional image con-

taining paradoxical depth cues. Your brain,
however, automatically interprets it as a provides another compelling example of an
three-dimensional object and matches it with impossible scene that seems perfectly rea-
its internal schema of a fork, a bad fit indeed. sonable when we focus only on its individual
The never-ending staircase (Figure 5.46b) elements.
(a) (b) (c)
FIGURE 5.46 Monocular depth cues are cleverly manipulated to produce an impossible triangle, a never-ending staircase, and the
“devil’s tuning fork.”
184 CHAPTER FIVE
In Review
• Monocular cues to judge distance include linear • The basis for perception of movement is abso-
perspective, relative size, height in the horizontal lute movement of a stimulus across the retina
plane, texture, and clarity. These distance cues also or relative movement of an object in relation
help us judge depth. Depth perception also occurs to its background. Stroboscopic movement is
through the monocular cues of light and shadow illusory.
patterns, interposition, and motion parallax. • Illusions are erroneous perceptions. They may
• Binocular disparity occurs as slightly different be regarded as incorrect perceptual hypotheses.
images are viewed by each eye and acted on by Perceptual constancies help to produce a variety
feature detectors for depth. Convergence of the of context-produced illusions.
eyes provides a second binocular cue.
EXPERIENCE, is devoted to the fingertips would enlarge

over time as it “borrowed” other neurons to
CRITICAL PERIODS, increase its sensitivity (Pool, 1994). By the
AND PERCEPTUAL time they are old enough to crawl, children
DEVELOPMENT placed on a visual cliff formed by a glass-
covered table that suddenly drops off beneath
Development of sensory and perceptual sys- the glass ordinarily will not venture “over the
tems results from the interplay of biological edge” (Figure 5.47). This aversion may result
and experiential factors. Genes program bio- from the interaction of innate depth perception
logical development, but this development is abilities and previous experience (Gibson &
also influenced by environmental experiences. Walk, 1960).
For example, if you were to be blinded in an What might a lifetime of experience in a
accident and later learned to read Braille, limited environment do to perceptual abili-
the area of the somatosensory cortex that ties that seem innate? The Bambuti pygmies,
who live in the rainforests of Central Africa,
spend their lives in a closed-in green world
of densely packed trees without open spaces.
The anthropologist C.M. Turnbull (1961)
once brought a man named Kenge out of the
forest to the edge of a vast plain. A herd of
buffalo grazed in the distance. To Turnbull’s
surprise, Kenge remarked that he had never
seen insects of that kind. When told that
they were buffalo, not insects, he was deeply
offended and felt that Turnbull was insulting
his intelligence. To prove his point, Turnbull
drove Kenge in his jeep toward the animals.
Kenge’s eyes widened in amazement as the
“insects” grew into buffalo before his eyes. To
explain his perceptual experience to himself,
he concluded that witchcraft was being used
to fool him. Kenge’s misperception occurred
© The Image Works Archives/The Image Works as a failure in size constancy. Having lived in
an environment without open spaces, he had
FIGURE 5.47 Eleanor Gibson and Richard Walk con- no experience in judging the size of objects
structed this “visual cliff” with a glass-covered drop-
off to determine whether crawling infants and newborn
at great distances. Does such a limited envi-
animals can perceive depth. Even when coaxed by their ronment affect your visual cortex as well?
mothers, infants refuse to venture onto the glass over We discuss this possibility in the Research
the cliff. Newborn animals also avoid the cliff. Foundations feature.
Research
Foundations
CRITICAL PERIODS: THE ROLE stripes on the walls. Figure 5.48a shows one of the kittens
OF EARLY EXPERIENCE in a vertically striped chamber. A special collar prevented the
kittens from seeing their own bodies while they were in the
Introduction chamber, guaranteeing that they saw nothing but the stripes.
Our discussion of cultural factors in perception suggests At five months of age, the kittens were no longer exposed
that experience is critical to the development of perceptual to the vertical or the horizontal environment. Instead, they
abilities. For some aspects of perception, there are also spent several hours each week in a well-lit furnished room.
critical periods during which certain kinds of experiences The remainder of the time was spent in the dark.
must occur if perceptual abilities and the brain mechanisms
that underlie them are to develop normally. If the critical Results
period passes without the experience occurring, it is too
The kittens quickly adapted to this “normal” environment
late to undo the deficit that results. How can we find out
and could easily navigate around the room. However, the
what the critical period is? Under normal circumstances,
kittens seemed to be “blind” to orientations that were per-
young organisms experience the environment into which
pendicular to the stripes in the special chambers. For exam-
they are born. Thus, we must arrange for the environmental
ple, a kitten raised in the horizontal environment would walk
experience to be absent. This basic methodology is behind
into vertical table legs. The cat would visually track a pencil
a deprivation experiment, such as the one by Blakemore
held in a horizontal position, but showed no interest when
and Cooper (1970) described below.
the pencil was rotated to vertical. Blakemore and Cooper
then proceeded to record from feature detector cells in the
Method visual cortex by using bars of light at various orientations
Recall that the visual cortex has feature detectors com- as the stimuli. The results for animals raised in the verti-
posed of neurons that respond only to lines at particular cal environment are shown in Figure 5.48b. As you can
angles. What would happen if newborn animals grew up in a see, these kittens had no cells that fired in response to
world in which they saw some angles but not others? British horizontal stimuli, resulting in visual impairment. As you
researchers Colin Blakemore and Grahame Cooper (1970) might expect, the animals raised in the horizontally striped
created such a world for newborn kittens. At birth, the kittens environment showed the opposite effects. They had no fea-
were housed in a dark room. At about two weeks of age, the ture detectors for vertical stimuli. Thus, the cortical neu-
kittens spent five hours each day in specially designed round rons of both groups of kittens developed in accordance with
chambers that had either high contrast vertical or horizontal the stimulus features of their environment. Blakemore and
Vertical
Horizontal
Vertical
(a) (b)
FIGURE 5.48 Kittens raised in a vertically striped chamber such as the one shown in (a) lacked cortical cells that fire in response
to horizontal stimuli. The perceptual “holes” are easily seen in (b), which shows the orientation angles that resulted in evoked
potentials from feature detectors.
Source: Adapted by permission from Macmillan Publishers Ltd.: Nature, 228, 477–478. C. Blakemore & G.F. Cooper, “Development of the Brain
Depends on Visual Environment.” Copyright © 1970, Nature Publishing Group.
continued
186 CHAPTER FIVE
Cooper note that almost every cell examined showed this critical period for visual acuity in humans seems to be from
orientation specificity—there were no large areas of inac- about birth until 10 years of age. A child born with cataracts
tive cortex. The cells had adapted to their new environment that were not corrected before age 10 would show serious
rather than simply degenerating. deficiencies in visual acuity.
Some perceptual abilities are influenced more than oth-
Discussion ers by restricted stimulation. For example, monkeys, chim-
The type of cortical change found by Blakemore and Cooper panzees, and kittens have been raised in an environment
seems to be permanent. Using behavioural tests, Muir and devoid of shapes. Such animals distinguish differences
Mitchell (1975) have demonstrated that kittens raised in a in size, brightness, and colour almost as well as normally
vertically striped chamber were able to discriminate vertical reared animals do. On the other hand, for the rest of their
test patterns as well as kittens raised in a normal environ- lives they perform poorly on more complex tasks, such
ment. However, their ability to “see” horizontal patterns as distinguishing different types of objects and geometric
was quite diminished, and showed no improvement whatso- shapes (Riesen, 1965).
ever even after 30 months of exposure to a normal environ-
ment. Other cells in the cortex were not able to compensate
for the loss. Design
Should we expect similar findings in humans? Daphne
Maurer and her colleagues (e.g., Maurer & Lewis, 2001) Question: Does the environment influence the
have studied a number of children at the Hospital for Sick development of visual feature detectors?
Children in Toronto who were born with cataracts and, Type of Study: Experimental
consequently, were deprived of normal visual input. Upon
surgical correction, these children were tested for visual
acuity (i.e., the ability to distinguish patterns, gratings, or Dependent Variables
Independent Variable
letters at various distances). Maurer found that upon cor- •
Behavioural
Type of visual
rection, visual acuity of the children is about the same as environment navigation around
that of newborns. Acuity does improve over time, but some • Vertical stripes room
effects of the early deprivation linger (e.g., sensitivity to • Horizontal stripes •
Orientation
specificity of visual
fine detail). Apparently, the cortices of the children were
cells
influenced by the degraded visual input and the cells simply
cannot function in the normal way. Maurer notes that the
41. How do As noted earlier, when light passes through who wore inverting lenses for longer periods of
animal studies the lens of the eye, the image projected on the time did the same. Some were able to ski down
of restricted retina is reversed, so that right is left and up is mountain slopes or ride motorcycles while
stimulation and down. What would happen if you were to wear
human studies a special set of glasses that undid this natural
of restored vision
reversal of the visual image and created a world
illustrate the
like that in Figure 5.49? In 1896, perception
important role of
critical periods researcher George Stratton did just that, pos-
for perceptual sibly becoming the first human ever to have a
development? right-side-up image on his retina while standing
upright. Reversing how nature and a lifetime of
experience had fashioned his perceptual system
at first disoriented Stratton. The ground and his
feet were now “up” and he had to put on his hat
from the bottom up. He had to reach to his left
to touch something he saw on his right. Strat-
ton suffered from nausea and couldn’t eat or get
around for several days. Gradually, however, he © Ken Rice. www.kenricephoto.com
adapted to his inverted world, and by the end FIGURE 5.49 Inverted vision would create a world
of eight days, he was able successfully to reach that looks like this. Adaptation to such a world is pos-
for objects and walk around. Years later, people sible, but challenging.
wearing the lenses, even though their visual To them, the family is also outside, sitting under
world remained “upside down” and never felt a tree (Gregory & Gombrich, 1973). These inter-
normal for them. When they removed the invert- pretations are more consistent with their cul-
ing lenses, they initially had some problems, tural experiences.
but soon re-adapted to the normal visual world In our earlier discussion of monocular
(Dolezal, 1982). depth cues, we used paintings such as that in
Figure 5.41 to illustrate monocular depth per-
ception. In Western culture, we have constant
Cross-Cultural Research exposure to two-dimensional pictures that
on Perception our perceptual system effortlessly turns into
As far as we know, humans normally come three-dimensional perceptions. Do people
into the world with the same perceptual abili- who grow up in cultures in which they are not
ties. However, from that point, the culture exposed to pictures have the same perceptions?
one grows up in helps to determine the kinds When presented with the picture in Figure 5.50b
of perceptual learning experiences people and asked which animal the hunter was about
have. Cross-cultural research can help to iden- to shoot, tribal African people answered that he
tify which aspects of perception occur in all was about to kill the “baby elephant.” They did
people, regardless of their cultures, as well not use the monocular cues that cause Western-
as perceptual differences that result from cul- ers to perceive the man as hunting the antelope
tural experiences (Nisbett & Miyamoto, 2005; and to view the elephant as an adult animal in
Posner & Rothbart, 2007b; Russell, Deregowski, & the distance (Hudson, 1960).
Kinnear, 1997). Although there are far more Illusions occur when one of our common
perceptual similarities than differences in the perceptual hypotheses is in error. Earlier, we 42. What
peoples of the world, the differences that do showed you the Müller-Lyer illusion (see Fig- evidence is there
exist show us that perception can indeed be ure 5.45) in which a line appears longer when that cultural
factors can
influenced by experience. the V-shaped lines at its ends radiate outward
influence picture
Consider the perception of a picture, which than when they face inward. Westerners are interpretations,
depends on both the nature of the picture very susceptible to this illusion. They have constancies, and
and the characteristics of the perceiver. In learned that in their “carpentered” environment, susceptibility to
Figure 5.50a, what is the object above the wom- which has many corners and square shapes, illusions?
an’s head? Most North Americans and Europe- inward-facing lines occur when corners are
ans reply instantly, “A window.” They also tend closer, outward-facing lines when they are far-
to see the family sitting inside a dwelling. But ther away (Figure 5.51). But when people from
when the same picture was shown to East Afri- other cultures who live in more rounded envi-
cans, nearly all perceived the object as a basket ronments are shown the Müller-Lyer stimuli,
or box that the woman is balancing on her head. they are more likely to correctly perceive the
(a) (b)
FIGURE 5.50 (a) What is the object above the woman’s head? East Africans had a far different answer than did North Americans.
(b) Cultural differences also occurred when people were asked which animal the archer was about to shoot.
(a) Adapted from Gregory & Gombrich, 1973; (b) Adapted from W. Hudson, 1960, “Pictorial Depth Perception in Sub-Cultural Groups in Africa,” Journal of Social
Psychology, 52, 183–208. Copyright © 1960 Heldref Publications. Reprinted with permission of the publisher (Heldref Publications, www.heldref.org).
188 CHAPTER FIVE
blur came a voice that said, “Well?” Then,

and only then . . . did he finally realize that
this chaos of light and shadow was a face—
and, indeed, the face of his surgeon. . . . His
retina and optic nerve were active, trans-
mitting impulses, but his brain could make
no sense of them. (Sacks, 1993, p. 62)
Virgil never was able to adjust to his new

visual world. He had to touch objects to identify
FIGURE 5.51 Perceptual experiences within our “car- them. He had to be led through his own house and
pentered” environment makes us susceptible to the quickly would become disoriented if he deviated
Müller-Lyer illusion, which appears here in vertical form. from his path. Eventually, Virgil lost his sight
Again, the vertical lines are the same physical length. once again. This time, however, he regarded his
blindness as a gift, a release from a sighted world
lines as equal in length (Segall et al., 1966). They that had become bewildering to him.
do not fall prey to a perceptual hypothesis that Virgil’s experiences are characteristic of peo-
normally is correct in an environment like ours ple who have their vision restored later in life. A
that is filled with sharp corners, but is wrong German physician, von Senden (1960), compiled
when applied to the lines in the Müller-Lyer illu- data on patients born with cataracts who were
sion (Russell, Deregowski, & Kinnear, 1997). tested soon after their cataracts were surgically
Cultural learning affects perceptions in other removed in adulthood. These people were imme-
modalities as well. Our perceptions of tastes, diately able to perceive figure-ground relations,
odours, and textures are strongly influenced by scan objects visually, and follow moving targets
our cultural experiences. A taste that might pro- with their eyes, indicating that such abilities are
duce nausea in one culture may be considered innate. However, they could not visually iden-
delicious in another. The taste and gritty texture tify objects, such as eating utensils, that were
experienced as you chew a large raw insect or familiar through touch, nor were they able to
the rubbery texture of a fish eye may appeal distinguish simple geometric figures without
far less to you than it would to a person from a counting the corners or tracing the figures with
culture in which that is a staple food. their fingers.
After several weeks of training, the patients
Restored Sensory Capacity were able to identify simple objects by sight,
but their perceptual constancies were very poor.
Suppose it was possible to restore vision to a
Often they were unable to recognize the same
person who had been blind from birth after he
shape in another colour, even though they could
or she reached adulthood. What would this per-
discriminate between colours. Years later, some
son see? Could this individual perceive visually
patients could identify only a few of the faces
the things that he or she had learned to identify
of people they knew well. Many also had great
through other senses?
difficulty judging distances. Apparently, no
Scientists have studied the experiences of
amount of subsequent experience could make
visually impaired people who acquired the
up for their lack of visual experience during the
ability to see later in life. For example, people
critical period of childhood.
born with cataracts grow up in a visual world
More recently, a woman in India was stud-
without form. The clouded lenses of their eyes
ied 20 years after she had cataracts removed
permit them to perceive light, but not patterns
at age 12 (Ostrovsky et al., 2007). Although the
or shapes. One such person was Virgil, who had
patient’s visual acuity was below par, she did
been almost totally blind since childhood. He
surprisingly well on complex visual tasks. Her
read Braille, enjoyed listening to sports on the
results suggest that the human brain retains an
radio and conversing with other people, and had
impressive capacity for visual learning, even in
adjusted quite well to his disability. At the urging
children who are blind until early adulthood.
of his fiancée, Virgil agreed to undergo surgery
All these lines of evidence—cross-cultural
to remove his thick cataracts. The day after the
perceptual differences, animal studies involv-
surgery, his bandages were removed. Neurolo-
ing visual deprivation, and observations of
gist Oliver Sacks recounts what happened next:
congenitally impaired people whose vision has
There was light, there was colour, all mixed been restored—suggest that biological and
up, meaningless, a blur. Then out of the experiential factors interact in complex ways.
Perception
Levels of Analysis
The processes involved in sensation and
perception illustrate the interaction of biological, ENVIRONMENTAL
psychological, and environmental factors. • Environmental stimulation is
needed during early critical periods for
development of the sensory systems.
• Environmental stimuli activate sensory receptors
that are tailored to receive and transduce them.
• Past learning experiences allow us to impart
meaning to environmental events.
• Cultural experiences influence in important ways how
BIOLOGICAL we perceive and respond to particular environmental
• Evolutionary processes have events.
resulted in sensory systems that
make contact with the environment
possible. These structures receive stimuli
and transduce them into nerve impulses.
• Sensory way stations route nerve impulses
from receptors to specific areas within the
brain.
• Within the brain, sensory input is analyzed by
feature detectors and interpreted in terms of top- PSYCHOLOGICAL
down and bottom-up processes.
• Stimuli are given psychological meaning.
We are especially attentive to stimuli that are
relevant to our well-being.
• Gestalt principles of perceptual organization operate
as top-down cognitive processes.
• Cognitive schemas and hypotheses are the basis for
interpreting physical stimuli.
• Perceptual sets prepare us to perceive in certain ways.
• Psychological characteristics influence selective
attention and perceptions.
Imagine you are designing a research study on
perception. Which perceptual process will you study
and which psychological and environmental factors
will you include as independent variables? Try to
describe the possible interactions between the
factors you’ve selected.
FIGURE 5.52
Some of our perceptual abilities are at least research. Thus, perception is very much a
partially present at birth, but experience plays biopsychological process whose mysteries are
an important role in their normal development. best explored by examining them from biologi-
How innate and experiential factors interact cal, psychological, and environmental levels of
promises to be a continued focus of perception analysis (see Figure 5.52).
In Review
• Perceptual development involves both physical susceptibility to illusions. However, many aspects
maturation and learning. Some perceptual abili- of perception seem constant across cultures.
ties are innate or develop shortly after birth, • Visual deprivation studies, manipulation of visual
whereas others require particular experiences input, and studies of restored vision have shown
early in life to develop. that the normal biological development of the
• Cultural factors can influence certain aspects perceptual system depends on certain sensory
of perception, including picture perception and experiences at early periods of development.
190 CHAPTER FIVE
Gaining Direction
What are the The opening scenario describes Moncton’s Mag- perceptual experience. What are the factors that
issues? netic Hill. At first it seems that the phenome- help us perceive “up” from “down”? Are these
non cannot possibly be true. How can cars roll cues available at Magnetic Hill? This scenario
uphill? However, if you’ve ever visited the site deals with image processing, Gestalt rules, and
or watched a bus roll uphill on video (check one of the most basic questions regarding per-
out the link after this paragraph), you become ception: How do we construct reality from sen-
intrigued. How can this be happening? We know sory experience?
that no magnetic or supernatural forces are
involved, so what gives rise to this perception?
There must be something about the geography http://www.travelvideo.tv/videos
of the hill or the way we see it that misleads our /newbrunswick/magnetichillvideo.html
What do How do we separate figure from ground? Can our expectations drive perceptual
we need to What are the Gestalt rules of perception? experience?
How do we perceive depth? Can we be fooled by erroneous cues in the
know?
environment?
Where can A number of the chapter icons point to percep- hill or a valley? What does our sense of balance
we find the tual processes that influence how we see the tell us? As we combine this information, it is
information to world. We need to understand how we con- likely that we come to believe that we are at the
struct perception and then locate objects within bottom of a hill when, in fact, we are standing
answer these
this perceptual world. So-called “magnetic” or at the top of the rise. Thus, a vehicle appears to
questions? “gravity” hills are the result of an optical illu- roll uphill when it actually is rolling downhill. If
sion. Typically, the hill is located in a wooded you were to look at the water in the creek at the
area where the horizon is obscured. Without side of the road, you would see that it appears
access to the horizon, we have to use other cues to run uphill as well, suggesting that the slope is
to determine the lay of the land. Are the trees not as you perceive it.
straight or angled? Does the shading suggest a
CHAPTER
States of Consciousness 6
CHAPTER THE PUZZLE OF CONSCIOUSNESS The Nature of Dreams
OUTLINE Measuring States of Consciousness Focus on Neuroscience: Dreams and Daydreams
Levels of Consciousness: Psychodynamic DRUGS AND ALTERED CONSCIOUSNESS
and Cognitive Perspectives
Drugs and the Brain
Frontiers: Detecting Awareness
Tolerance and Withdrawal
The Neural Basis of Consciousness
Depressants
CIRCADIAN RHYTHMS: OUR DAILY Research Foundations: Drinking and Driving:
BIOLOGICAL CLOCKS Decision Making in Altered States
Keeping Time: Brain and Environment Stimulants
Environmental Disruptions of Circadian Opiates
Rhythms Hallucinogens
Marijuana
SLEEP AND DREAMING From Genes to Culture: Determinants
Stages of Sleep of Drug Effects
Getting a Night’s Sleep: Brain and Environment
HYPNOSIS
How Much Do We Sleep?
The Scientific Study of Hypnosis
Sleep Deprivation
Hypnotic Behaviours and Experiences
Applications: A Good Night’s Sleep
Theories of Hypnosis
Why Do We Sleep?
Sleep Disorders SOME FINAL THOUGHTS
Our normal waking consciousness 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.
—William James
Lee Hadwin is a nurse from North Wales. But he is better

known as “Klpasso,” the artist who produces pencil draw- What are the
ings and works of fantasy. Lee does not know how he issues here?
produces such work, because he can only draw at night when he is
asleep. When awake, Lee has no artistic ability at all and is dumb- What do we need
founded at the pieces he produces during the night. to know?
Hadwin has been sleepwalking since he was four years old and
began to draw works of art sometime in his teens. He now leaves Where can
art supplies out at night and routinely draws for 20 to 90 minutes. we find the
He awakes with a severe migraine, feeling totally exhausted. information to
He has been offered $7500 for one of his works, and he recently answer these
questions?
placed his entire collection of 100 pieces for sale on eBay. The ask-
ing price is $1.9 million.
Courtesy of Lee Hadwin

192 CHAPTER SIX
A
lthough the experience of Lee Hadwin is dreams, drug-induced experiences, hypnosis,
unusual, it demonstrates the surprising and beyond. When psychology was founded in
complexity of our conscious experience. the late 1800s, its “Great Project” was to scientif-
We all drift into and out of various states of con- ically unravel some of the puzzles of conscious-
sciousness. By state of consciousness, psychol- ness (Natsoulas, 1999). This interest waned
ogists mean a pattern of subjective experience, during behaviourism’s dominance in the mid-
a way of experiencing internal and external 20th century, but resurgence of the cognitive
events. You will also encounter the phrase and biological perspectives has sparked new
altered state of consciousness, which refers research, forcing us to rethink long-standing
to variations from our normal waking state. conceptions about the mind (Figure 6.1).
While daydreaming or passing from wakeful-
ness to sleep, we may experience vivid images,
and our nighttime dreams can seem just as
THE PUZZLE OF
real and emotionally charged as our waking CONSCIOUSNESS
perceptions. What is consciousness, and how does it arise? In
1. Describe We also experience divisions of awareness. psychology, consciousness often is defined as
some basic Consider this: Why don’t you fall out of bed at our moment-to-moment awareness of ourselves
characteristics of night? You are not consciously aware of major
consciousness. and our environment. Among its characteristics,
postural shifts while soundly asleep, yet a part consciousness is
of you somehow knows where the edge of the
bed is. Similarly, have you ever “spaced out” • subjective and private. Other people cannot
while driving, deeply engrossed in thought? directly know what reality is for you, nor can
Suddenly you snap out of it, with no memory of you enter directly into their experiences. As
the kilometres just driven. While you were con- the author Charles Dickens observed, “Every
sciously focused inward, some part of you kept human creature is constituted to be that pro-
track of the road and controlled your responses found secret and mystery to every other.”
at the wheel. • dynamic (ever-changing). We drift in and
Philosopher David Chalmers (1995) notes, out of various states throughout each day.
“Conscious experience is at once the most Although the stimuli of which we are aware
familiar thing in the world and the most mys- constantly change, we typically experience
terious.” As we shall see, its mysteries span a consciousness as a continuously flowing
range from normal waking states to sleep and “stream” of mental activity, rather than as
(a) (b)
(a) © Robert Frerck/Stone/Getty Images; (b) © A. Ramey/PhotoEdit
FIGURE 6.1 (a) During a Sufi religious ceremony in Istanbul, Turkey, whirling dervishes perform a spinning dance—
a prayer in motion—that induces an altered state of consciousness. (b) Buddhists believe that meditation produces
inner peace, facilitates insight and enlightenment, and opens a path to different dimensions of consciousness.
(left): © Anne Dowie; (right): Courtesy of the Cognitive Evolution Group, University of Louisiana Lafayette
FIGURE 6.2 Gordon Gallup (1970) exposed four chimps to a mirror. By day three, they used it to inspect hard-
to-see parts of their own bodies and began making odd faces at themselves in the mirror. To further test whether
the chimps knew the mirror images were their own reflections, Gordon anaesthetized them and put a red mark on
their faces. Later, with no mirror, the chimps rarely touched the red mark. But on seeing the mark when a mirror
was introduced, they touched the red spot on their face almost 30 times in 30 minutes, suggesting that the chimps
had some self-awareness. Using a similar test in which a red rouge mark is placed on the tip of an infant’s nose,
researchers find that infants begin to recognize themselves in a mirror at around 18 months of age.
disjointed perceptions and thoughts (James, offer the most direct insight into a person’s sub-
1890/1950). jective experiences, but they are not always
• self-ref lective and central to our sense of verifiable. In contrast, physiological measures
self. The mind is aware of its own conscious- establish the correspondence between bodily
ness. Thus, no matter what your awareness states and mental processes. For example, EEG
is focused on—a lovely sunset or an itch on recordings of brain activity help to identify
your back—you can reflect on the fact that different stages of sleep throughout the night.
“you” are the one who is conscious of it. Physiological measures are objective but can-
not tell us what a person is experiencing sub-
Finally, consciousness is intimately connected jectively. Behavioural measures also are used,
with the process of selective attention, as dis- including performance on special tasks, such
cussed in Chapter 5. William James noted that as the rouge test (Figure 6.2). Behavioural mea-
“the mind is at every stage a theatre of simul- sures are objective, but we still must infer the
taneous possibilities. Consciousness consists person’s (or chimp’s) state of mind. As you will
in . . . the selection of some, and the suppression discover in this chapter’s Frontiers feature, the
of the rest by the . . . agency of Attention” (1879, ability to measure consciousness can have a
p. 13). Selective attention focuses conscious profound impact.
awareness on some stimuli to the exclusion of
others. If the mind is a theatre of mental activ-
ity, then consciousness reflects whatever is illu- Levels of Consciousness:
minated at the moment—the “bright spot on the Psychodynamic and Cognitive
stage”—and selective attention is the “spotlight”
Perspectives 2. How do
or mechanism behind it (Baars, 2007).
A century ago, Sigmund Freud (1900/1953) pro- psychologists
posed that the human mind consists of three lev- measure
Measuring States els of awareness. The conscious mind contains states of
of Consciousness thoughts, perceptions, and other mental events
consciousness?
Scientists who study consciousness must find of which we are currently aware. Preconscious
3. Explain
ways to operationally define private inner states mental events are outside current awareness, Freud’s three-
in terms of measurable responses. The most but can easily be recalled under certain condi- level model of
common measure is self-report, in which people tions. For instance, you may not have thought consciousness.
describe their inner experiences. Self-reports about a childhood friend for years, but when
194 CHAPTER SIX
Frontiers
DETECTING AWARENESS An important next step came when Owen and his team
worked with a 24-year-old man, referred to as Patient 23 (Owen
It reads like the plot for a horror movie or a short story by et al., 2006). Patient 23 had been in a vegetative state for five
Edgar Allen Poe: As a result of brain injury, a person is ren- years after suffering brain damage in a car accident. When
dered immobile and unresponsive, but is still conscious and you imagine playing tennis and when you imagine finding your
aware of the surroundings, trapped inside his or her head, way around your house, different parts of your brain become
unable to move or communicate. Adrian Owen and his col- active. Owen and his team used this finding with Patient 23.
leagues have been investigating whether such patients exist. They told him to imagine playing tennis for “yes,” and to imag-
He studies patients who have sustained brain injuries that ine moving around his house for “no.” Owen put Patient 23 into
result in what is called a vegetative state, or a minimally con- an fMRI and asked him questions. Incredibly, he answered:
scious state. The term “vegetative state” refers to a condi- “Is your father’s name Thomas?” No. “Is your father’s name
tion in which the individual appears to be awake, but shows Alexander?” Yes. “Do you have any brothers?” Yes. “Do you
no evidence of awareness (Figure 6.3). These patients have have any sisters?” No (Owen et al., 2006). It was the first time
a sleep-wake cycle and when their eyes are open they may anyone had communicated with a patient in a vegetative state.
show simple behaviours such random eye movements, Owen, now at Western University, is working to repeat the
but they do not respond to sight, sound, or touch. That is, fMRI findings using an EEG (Cruse et al., 2012). Although an
they appear to be awake but completely unaware. If these EEG does not have the precision of an fMRI and cannot mea-
patients are conscious, how could you tell? How do you com- sure activity deep within the brain, it is inexpensive, easy
municate with someone who cannot move or speak? to use, and relatively portable. Developing techniques that
While he was at the University of Cambridge, Owen began allow answers to be detected with an EEG would allow faster,
his ground-breaking and controversial work with the study of less expensive, bedside testing of vegetative patients. For
a 26-year-old patient named Kate Bainbridge. Kate had been patients far from the large medical centres that have expen-
in a coma due to a viral infection. When the infection cleared sive fMRI equipment and the highly trained personnel to
and she came out of the coma, she entered a vegetative perform the scans, an EEG may be a viable option.
state. When you see a familiar face, an area of the temporal Recently, Owen and his team reported a stunning break-
cortex called the fusiform face area (FFA) is activated. Owen through while working with normal healthy volunteers (Naci
tested Kate by showing her familiar faces while performing et al., 2013). Participants were asked to concentrate on
a PET scan. Amazingly, her FFA showed increased activity, “yes” or “no” to simple yes-or-no questions such as “Do
just as you would expect if someone saw and recognized you have brothers and sisters?” or “Are you younger than
the faces (Menon et al., 1998). Kate was found to have sig- 21?” Using fMRI scans, researchers were able to identify
nificant brain function and responded well to rehabilitation; answers with 90 percent accuracy. That is, participants
she is now in a wheelchair but otherwise active. could respond by concentrating on “yes” or “no,” rather
than using some other mental activity as a code, and the
researchers could correctly identify what the participant had
been thinking 90 percent of the time. Owen and his team
are beginning to use this method to attempt communication
with patients diagnosed as being in a vegetative state.
Owen’s work has implications for diagnosis, clinical care
and rehabilitation, medical ethics, and medical/legal decision
making, but his findings and interpretation are controversial
(Cyranoski, 2012). Some disagree with Owen’s conclusion
that these patients are conscious; they argue that responses
are not a sign of consciousness but are involuntary and reflex-
ive. Others object to what they consider too simple a view of
consciousness. Disorders of consciousness, including vegeta-
tive state, are some of the least understood of all disorders.
Owen’s findings suggest that some of these patients may
be aware of their surroundings and can communicate if the
Gokhan Balci/Anadolu Agency/Getty Images
proper techniques are used. In 2010, Kate Bainbridge, the
FIGURE 6.3 Patients in a vegetative state appear to be awake first vegetative state patient Adrian Owen tested more than
but show no awareness of their surroundings, and do not respond a decade earlier, wrote to him, “It scares me to think of what
to sight, sound, or touch. Might some of these patients be con- might have happened to me if I had not had mine [PET scan].
scious and aware, but unable to move or respond? It was like magic, it found me” (Cyranoski, 2012, p. 179).
someone mentions your friend’s name, you processing occurs most often when we carry
become aware of pleasant memories. Uncon- out routine actions or well-learned tasks. Learn-
scious events cannot be brought into conscious ing to type, drive, and eat with utensils all
awareness under ordinary circumstances. Some involve controlled processing; you have to pay
unconscious content—such as unacceptable a lot of attention to what you are doing. With
urges and desires stemming from instinctive practice, performance becomes more automatic
sexual and aggressive drives, traumatic mem- and brain areas involved in conscious thought
ories, and threatening emotional conflict—is become less active (Saling & Phillips, 2007).
kept out of conscious awareness because it Through years of practice, typists, athletes,
would arouse anxiety, guilt, or other negative and musicians program themselves to execute
emotions. highly complex skills with a minimum of con-
Behaviourists roundly criticized Freud’s scious thought.
model. After all, they sought to explain behav- Automatic processing, however, has a key
iour without invoking conscious mental pro- disadvantage: It can reduce our chances of find-
cesses, much less unconscious ones. Cognitive ing new ways to approach problems (Langer,
psychologists and many contemporary psy- 1989). Controlled processing is more flexible
chodynamic psychologists also take issue with and open to change. Still, automatic process-
specific aspects of Freud’s model, which we ing offers speed and economy of effort, and in
describe more fully in Chapter 14. As psychody- everyday life most actions may be processed
namic psychologist Drew Westen (1998, p. 333) this way (Bargh & Chartrand, 1999). In fact,
notes, “Many aspects of Freudian theory are many well-learned behaviours seem performed
indeed out of date, and they should be. Freud best when our mind is on “autopilot,” with
died in 1939, and he has been slow to undertake controlled processing taking a backseat. The
further revisions.” famous baseball player Yogi Berra captured this
On a broad level, however, research strongly idea in his classic statement that “You can’t think
supports Freud’s general premise: Noncon- and hit at the same time.” At tasks ranging from
scious processes influence behaviour (Dimberg golf putting to video-game playing, experiments
et al., 2000; Westen, 1998). Studies of placebo suggest that too much self-focused thinking
effects (see Chapter 2), split-brain patients (see can hurt task performance and cause people to
Chapter 3), subliminal perception (see Chap- “choke” under pressure (Beilcock & Carr, 2001).
ter 5), and phenomena that you will encounter
in upcoming chapters all indicate that mental Divided attention. Automatic processing also
processes can affect our behaviour without con- facilitates divided attention, the ability to per-
scious awareness (Prinz, 2015). form more than one activity at the same time.
We can talk while we walk, type as we read,
The Cognitive Viewpoint eat while watching TV, and so on. Without the
Cognitive psychologists reject the notion of capacity to divide attention, every act would 4. How do
an unconscious mind driven by instinctive require our full attention and quickly over- cognitive
urges and repressed conflicts. Rather, they whelm our mental capacity. psychologists
view conscious and unconscious mental life as Although divided attention can be adap- view the
complementary forms of information process- tive, it can have serious negative consequences unconscious?
ing (Hassin et al., 2005). As Daniel Reisberg in certain situations (Figure 6.4). For exam-
(1997, p. 601) notes, unconscious mental activ- ple, while engaged in a cellphone conversa-
ity is “not an adversary to the conscious mind. tion, drivers leave less space between their
Instead, the cognitive unconscious functions cars and the cars in front of them and, espe-
as a sophisticated support service, working in cially during long conversations, they drive
harmony with our conscious thoughts.” To illus- faster (Rosenbloom, 2006). Even the use of a
trate, consider how we perform everyday tasks. hands-free cellphone has an impact: braking is
delayed, the degree of braking is reduced, and
Controlled versus automatic processing. Many anticipation of upcoming events is degraded 5. What is
activities, such as planning a vacation or (Treffner & Barrett, 2004), all of which are automatic
studying, involve controlled (effortful) changes that would be expected to increase the processing,
processing, the voluntary use of attention chance of an accident. Divided attention can and why is it
and conscious effort. Other activities involve also degrade academic performance. Research- important?
automatic processing and can be performed ers from York University and McGill Univer-
with little or no conscious effort. Automatic sity have found that students performed more
196 CHAPTER SIX
that subliminally presented stimuli can affect

mood (Chartrand & Bargh, 2002) and electro-
physiological responses to other stimuli (Doi &
Shinohara, 2015).
The Neural Basis of Consciousness

Within our brains, where does consciousness
arise? And if no individual brain cell is con-
scious (as far as we know), then how does brain
activity produce consciousness?
SelectStock/Getty Images
Windows to the Brain
FIGURE 6.4 Use of a hand-held cellphone while driv- Some researchers have examined the brain
ing can triple the chance of having an accident. Even functioning of patients who have disorders that
use of a hands-free device increases the chance of hav- impair conscious perception. Two of these dis-
ing an accident. orders are visual agnosia and blindsight.
Visual agnosia is dramatically illustrated by
poorly on a test if they or someone in front of the case of D.F., as reported by Western Univer-
them used a laptop computer for non-academic sity psychologist Melvin Goodale (2000). Due
tasks during a lecture (Sana et al., 2013). Inter- to carbon-monoxide exposure, D.F. lost con-
estingly, marks were lower on both easy and sciousness and suffered brain damage. When
difficult questions whether students were multi- she regained consciousness, she was unable to
tasking themselves or distracted by having recognize the faces of friends and relatives, and
someone in front of them perform irrelevant she could not identify even simple objects by
online tasks. People are also poor in estimat- sight. She could recognize peoples’ voices and
ing how much multi-tasking affects their per- recognize objects by touch, but not sight. D.F.’s
formance (Finley et al., 2014). condition is called visual agnosia, which is an
inability to visually recognize objects. If D.F.
The Emotional Unconscious reaches for an object such as a coffee mug or
Emotional and motivational processes can also a book, she orients her hand correctly, opens
operate unconsciously and influence behav- her hand to the correct width, and grasps the
iour (Yuan et al., 2015). The results of numerous object with ease, even though she cannot iden-
experiments have strengthened the view that tify what it is she was reaching for (Goodale,
unconscious processes can have an emotional 2000; Young, 2003).
and motivational flavour (LeDoux, 2000). For Brain imaging revealed that D.F.’s primary
example, have you ever been in a bad mood visual cortex was largely undamaged from the
or a good mood, without knowing why you carbon-monoxide exposure. Why, then, could
were feeling that way? Perhaps, as Bargh and she not consciously recognize objects and
Chartrand (1999) propose, it is because you faces? The answer rests on the idea that there
were influenced by events in your environment are multiple brain pathways for processing
of which you were not consciously aware. visual information (Goodale, 2000). One path-
6. Can Okubo and Ogawa (2013) subliminally pre- way carries information to support the uncon-
nonconscious sented pictures that had negative (e.g., a spider), scious guidance of movements, while a second
processes neutral (e.g., a chair), or positive (e.g., pup- pathway carries information to support brain
influence pies) emotional value. Students were then areas that perform tasks related to perception,
emotional presented with words that had either negative memory, emotion, and so on, and this pathway is
responses? (e.g., cancer) or positive (e.g., friends) value. accessible to conscious awareness (Gabbard &
The researchers investigated whether or not Ammar, 2008; Goodale, 2000). D.F.’s noncon-
the subliminally presented pictures unconscious visual pathway used to guide movement
sciously activated emotions that then affected was intact, but part of the pathway that pro-
reaction time and the ability to correctly iden- vides visual information for conscious recogni-
tify the words. Although students were not tion of faces and objects was damaged.
consciously aware of seeing the pictures, the People with visual agnosia are not blind;
emotions primed by the pictures had an impact they can see and are aware of seeing, but they
on their behaviour. Other research has found cannot identify objects by sight. Conversely,
patients with blindsight will report that they modules. For example, a formula recalled from
cannot see. In special tests, however, a blind- memory can become input for problem-solving
sight patient will respond to visual stimuli modules that allow you to compute answers
(Kentridge et al., 2004). For example, a blind- during a math exam.
sight patient may be blind in the right half of According to one view, consciousness is a
his or her visual field. If a stimulus such as global workspace that represents the unified
a photograph or a line is flashed on a screen activity of multiple modules in different areas
so that it appears within the patient’s blind of the brain (Baars, 2007). In essence, of the
visual field, the person will report that he or many brain modules and connecting circuits
she did not see anything. When asked to point that are active at any instant, a particular subset
to where the stimulus was, blindsight patients becomes joined in unified activity that is strong
will guess, but on some tasks the accuracy of enough to become a conscious perception or
their “guesses” is as high as 80 to 100 percent thought (Koch, 2004). The specific modules
(Radoeva et al., 2008). That is, they have no and circuits that make up this dominant sub-
conscious experience of seeing, but behave as set can vary as our brain responds to changing
though the stimulus was perceived accurately. stimuli—sights, sounds, smells, and so on—that
As with visual agnosia, cases of blindsight compete for conscious attention.
demonstrate that visual information can be Subjectively, of course, we experience con-
processed and influence behaviour outside of sciousness as unitary, and not as a patchwork
conscious awareness. of different modules and circuits. This is some-
what akin to listening to a choir sing. We are
Consciousness and the Modular Mind aware of the integrated, harmonious sound of
Many neuroscientists believe that there is no the choir rather than the voice of each individ- 7. According
single place in the brain that gives rise to con- ual member. As we will explore in the rest of this to the modular
sciousness. Instead, they view the mind as a chapter, many factors can influence these mod- model of mind,
collection of largely separate but interacting ules and, in so doing, alter our consciousness. how does
information-processing modules that perform consciousness
tasks related to sensation, perception, memory, arise?
movement, planning, problem solving, emotion, CIRCADIAN RHYTHMS:
and so on. The modules process information in OUR DAILY BIOLOGICAL
parallel—that is, simultaneously and largely
independently. However, there also is cross-talk
CLOCKS
between them, as when the output from one Like other animals, humans have adapted to
module is carried by neural circuits to provide a world with a 24-hour day-night cycle. Every
input for another module, or a module receives 24 hours, our body temperature, certain hor-
input from two independently functioning monal secretions, and other bodily functions
In Review
• Consciousness refers to our moment-to-moment • Controlled processing typically is required
awareness of ourselves and the environment. It is for learning new tasks. Automatic processing
subjective, dynamic, self-reflective, and central to makes divided attention possible, enabling us
our sense of identity. Selective attention focuses to perform several tasks at once. Research on
conscious awareness on some stimuli to the exclu- subliminal perception and other topics suggests
sion of others. that emotional and motivational processes also
• Scientists use self-report, physiological, and can operate nonconsciously and influence
behavioural measures to operationally define behaviour.
states of consciousness. • Many theorists propose that the mind consists
• Freud believed that the mind has conscious, pre- of separate but interacting information-processing
conscious, and unconscious levels. He viewed modules. Our subjective experience of “unitary”
the unconscious as a reservoir of unacceptable consciousness arises from the integrated output
desires and repressed experiences. Cognitive of these modules.
psychologists view the unconscious as an infor-
mation-processing system.
198 CHAPTER SIX
Awake Sleep Awake Sleep
temperature (°C)
Change in body
0.4
0.2
0.0
–0.2
(a) –0.4
60
melatonin pg/ml
50
40
Plasma
30
20
10
(b) 0
High
Alertness
(c) Low
Noon 6 P.M. Midnight 6 A.M. Noon 6 P.M. Midnight 6 A.M.

Time of Day
FIGURE 6.5 Changes in our core body temperature (a), levels of melatonin in our blood (b), and degree of alertness/
sleepiness (c) follow a cyclical 24-hour pattern called a circadian rhythm. Humans also have longer and shorter
biological cycles, such as the 28-day female menstrual cycle and a roughly 90-minute brain activity cycle during
sleep. There is also evidence for a seasonal variation in neurotransmitter levels.
Source: Reprinted from Applied Ergonomics, 27(1), T.H. Monk, S. Folkard & A.I. Wedderburn, “Maintaining Safety and High
Performance on Shift Work,” 17–23, Fig 1. Copyright © 1996 with permission from Elsevier.
undergo a rhythmic change that affects our relaxing effect on the body. SCN neurons
mental alertness and readies our passage back become active during daytime and reduce the
and forth between states of wakefulness and pineal gland’s secretion of melatonin, raising
sleep (Figure 6.5). These daily biological cycles
are called circadian rhythms (from the Latin
circa, “around,” and dia, “day”).
Keeping Time: Brain

and Environment
8. How do Most circadian rhythms are regulated by the
the brain and brain’s suprachiasmatic nucleus (SCN),
environment which is located in the hypothalamus, as
regulate shown in Figure 6.6 (Bedont & Blackshaw,
circadian 2015; Miller et al., 1996). Work by Ralph Miller
rhythms?
of the University of Toronto first confirmed
that the SCN is indeed the brain’s clock (Miller Hypothalamus
et al., 1996). The SCN synchronizes daily (i.e., SCN
(regulates circadian Pineal gland
24-hour) rhythms in physiology and behaviour.
rhythms) (secretes melatonin)
If the SCN is destroyed, the circadian rhythms
in behaviour (e.g., activity, sleep), hormones FIGURE 6.6 The suprachiasmatic nuclei (SCN) are
(e.g., cortisol, thyroid stimulating hormone), the brain’s master circadian clock. Neurons in the SCN
have a genetically programmed cycle of activity and
and other physiological parameters (e.g., body
inactivity, but daylight and darkness help to regulate
temperature, heart rate) are lost (Bedont & this cycle. The optic nerve links our eyes to the SCN,
Blackshaw, 2015; Coomans et al., 2015). The and SCN activity affects the pineal gland’s secretion
SCN helps to control the pineal gland, which of melatonin. In turn, melatonin influences other brain
secretes melatonin, a hormone that has a systems governing alertness and sleepiness.
your body temperature and heightening alert- Morning students (“early birds”)
ness. At night SCN neurons are inactive, allow- 3.3 Evening students (“night owls”)
ing melatonin levels to increase and promoting
relaxation and sleepiness (Coomans et al., 3.2
2015). There is recent evidence that the SCN
3.1
also regulates seasonal rhythms, such as sea-
sonal rhythms in breeding and hibernation 3.0
(Coomans et al., 2015).
Grades
Our circadian clock is biological, but envi- 2.9 9. What are free-
ronmental factors such as the day-night cycle running circadian
2.8
help to keep SCN neurons on a 24-hour sched- rhythms?
ule (Bedont & Blackshaw, 2015). Your eyes 2.7
have neural connections to the SCN. After a
2.6
night’s sleep, the light of day increases SCN
activity and helps to reset your 24-hour biolog- 2.5
ical clock. What would happen if you lived in 8 A.M. Later
the dark, or in a laboratory or an underground classes classes
cave without clocks, and could not tell whether FIGURE 6.7 In a study of 454 University of Kansas
it was day or night outside? Most people drift students, “night owls” struggled in their 8:00 a.m.
into a longer “natural” cycle of about 24.2 to classes, as compared with “early birds.” In later classes
24.8 hours, called a free-running circadian the two groups performed more similarly. Stated differ-
rhythm (Hillman et al., 1994; Shanahan et al., ently, early birds did slightly better in their earliest class
1999; Wever, 1989). Amazingly, SCN neurons than in later classes, whereas night owls did better in
their later rather than their earliest classes.
exhibit this longer cycle of firing even when
they are surgically removed from the brain Source: Guthrie, J.P., Ash, R.A., & Bendapudi, V. (1995).
and kept alive in a dish containing nutrients Additional validity evidence for a measure of moringness.
Journal of Applied Psychology, 80(1) Feb 1995, 186–190.
(Gillette, 1986; Schibler, 2006).
Copyright © 1995 by the American Psychological Association.
Because their free-running circadian Reproduced with permission. The use of APA information does
rhythm is desynchronized (out of sync) with not imply endorsement by APA.
the 24-hour day-night cycle, participants in
these “isolation studies” tend to go to bed and
wake up later each day. They do not realize and her colleagues (2002) used question-
it, but within a few weeks they may be going naires to measure the degree of morningness
to bed at noon and awakening at midnight. among college students from six countries.
Blind children and adults whose eyes are com- They found that students from Colombia,
pletely insensitive to light also may experience India, and Spain—regions with warmer annual
free-running circadian rhythms (Sack & Lewy, climates—exhibited greater morningness than
1997). When they try to force their sleep-wake students from England, the United States, and
cycle into the 24-hour world by going to bed the Netherlands. In university, morning people
at fixed times, blind people often experience are more likely to take very early classes than
insomnia, other sleep problems, and daytime are night people and, as Figure 6.7 shows, they
fatigue. perform better than night people in early morn-
ing (8:00 a.m) classes.
Early Birds and Night Owls
Circadian rhythms influence our tendency to be
a “morning person” or a “night person” (Emens
et al., 2009). Compared to night people, morn- Thinking critically
ing people go to bed and rise earlier, and their
body temperature, blood pressure, and alert- EARLY BIRDS, CLIMATE, AND CULTURE
ness peak earlier in the day. Studies around the Is the study of morningness by Carlla Smith corre-
globe indicate that “morningness” is more com- lational or experimental? What factors other than
mon among older adults, whereas more night climate might explain why people from warmer
regions display greater morningness?
people are found among 18- to 30-year-olds
(Ishihara et al., 1992). Think about it, and then see the Answers section
Cultures also differ in their overall ten- at the end of the book.
dency toward “morningness.” Carlla Smith
200 CHAPTER SIX
Environmental Disruptions and others who frequently travel across many

time zones (Reilly, 2009). The body naturally
of Circadian Rhythms adjusts about one hour or less per day to time
10. Explain how Gradual and sudden environmental changes zone changes. Typically, people adjust faster
SAD, jet lag, and can disrupt our circadian rhythms. Seasonal when flying west, presumably because length-
night shiftwork affective disorder (SAD) is a cyclic tendency ening the travel day is more compatible with our
involve circadian to become psychologically depressed during natural free-running circadian cycle (Revel &
disruptions. certain months of the year. Symptoms typically Eastman, 2005).
begin in fall or winter, which usher in shorter The most problematic circadian disruption
periods of daylight, and then lift in spring for society is caused by night shiftwork. Adjust-
(Rosenthal & Wehr, 1987; Sohn & Lam, 2005). ing to an inverted night-day world can be dif-
Many experts believe that the circadian rhythms ficult. Night shiftworkers often drive home in
of SAD sufferers may be particularly sensitive morning daylight, making it harder to reset their
to light, so as sunrises occur later in winter, the biological clocks (Sasseville et al., 2009). On
daily “onset” time of their circadian clocks may days off, they often fall back into a day-night
be pushed back to an unusual degree (Strong schedule to spend daytime with family, which
et al., 2009). In late fall and winter, when many disrupts their hard-earned circadian adjust-
people must arise for work and school in dark- ments. Over time, fatigue, stress, and the likeli-
ness, SAD sufferers are still in “sleepiness” mode hood of an accident increases (Folkard, 2008).
long after the alarm clock sounds in the morn- Our biological clocks promote sleepiness
ing (Figure 6.8). in the early-morning hours (Akerstedt, 1988).
Jet lag is a sudden circadian disruption Combined with fatigue from poor daytime sleep,
caused by flying across several time zones in this early-morning sleepiness can be a recipe
one day. Flying east, you “lose” hours from the for disaster. Job performance errors, fatal traf-
day; flying west, the travel day becomes longer fic accidents, and engineering and industrial
than 24 hours. Jet lag often causes insomnia, disasters peak between midnight and 6:00 a.m
decreased alertness, and poorer performance (Akerstedt et al., 2001). On-the-job sleepiness is
until the body readjusts. It is a significant con- a major concern among nighttime long-distance
cern for businesspeople, athletes, airline crews, truck and bus drivers, locomotive engineers,
50
Winter
SAD blues
7.2% 20.2%
45
6.1% 17.1%
40
5.0% 13.9%
35
3.9% 10.6%
30
2.8% 7.5%
25
FIGURE 6.8 The latitude puzzle. In North America, the prevalence of winter SAD and milder depression (“winter
blues”) increases at more northerly latitudes, where the hours of daylight diminish more severely in late fall and
winter. SAD and “winter blues” rates of 9.2 percent and 19.1 percent, respectively, have been found in Fairbanks,
Alaska (64° latitude). Yet European studies report lower winter SAD rates and a weaker SAD–latitude relation. In fact,
most studies in Sweden, Norway, Finland, and Iceland (roughly 55° to 70° latitude) report winter SAD rates similar
to those in the southern United States (Mersch et al., 1999). At present, the reason for this discrepancy is debated.
Sources: Reproduced from The New York Times, December 29, 1993, p. B7. Copyright © 1993 by The New York Times. Reprinted
by permission; (data to right of map): Reprinted from Journal of Affective Disorders, 53(1), P. Mersch, H.M. Middendorp, A.
Bouhus, D. Beersma, R. van den Hoofdakker, 1999, “Seasonal Affective Disorder and Latitude: A Review of the Literature,”
pp. 35–48. Copyright (c) 1999 with permission from Elsevier.
In Review
• Circadian rhythms are 24-hour biological cycles • Seasonal affective disorder (SAD), jet lag, and
that help to regulate many bodily processes. night shiftwork involve environmental disruptions
The suprachiasmatic nuclei (SCN) are the brain’s of circadian rhythms. Treatments for circadian
master circadian clock. Environmental factors, disruptions include controlling exposure to light,
such as the day-night cycle, help to reset our oral melatonin, and regulating daily activity
daily clocks to a 24-hour schedule. schedules.
• Circadian rhythms influence whether we are a
“morning person” or a “night person.”
airline crews, and medical doctors and nurses small adjustment to our circadian rhythms, pro-
(Quera-Salva et al., 1997). duced a short-lived increase in the likelihood of
Some people adjust to night work, but others accidental death (Coren, 1996b).
never do. They become fatigued, stressed, and
more accident-prone on and off the job. You can
see in Figure 6.9 that, overall, nightworkers who
SLEEP AND DREAMING
try to go to bed during the middle of the day get Our circadian rhythms do not regulate sleep
frightfully little sleep. When work shifts change, directly. Rather, by decreasing nighttime alert-
it is easier to extend the “waking day” than to ness, they promote a readiness for sleep and
compress it. A forward rotating work schedule help to determine the optimal period when
that takes advantage of this is called rotating we can sleep most soundly (Sack et al., 1998).
shiftwork. We spend approximately a third of our lives
One might wonder whether it takes large asleep, and it is easy to understand why this
changes in our schedules to disrupt our circa- state of altered consciousness has mystified
dian rhythms, or whether smaller changes can humans for ages. Each night we seem to relin-
also have an impact on our behaviour and our quish conscious control of our thoughts and
well-being. Stanley Coren, of the University of actions, enter a world of dreams, toss about
British Columbia, analyzed reports of all acci- and possibly mutter or talk, but remem-
dental deaths in the United States over a three- ber little of it upon awakening. Yet sleep is
year period. Interestingly, he found that the a behaviour that, like others, can be studied
springtime shift to Daylight Savings Time, when scientifically at biological, psychological, and
we all lose an hour’s sleep and have to make a environmental levels.
12
Stages of Sleep
10 Shift workers who Just as waking consciousness involves different
Sleep duration (hours)
go to bed in midday states of alertness and awareness, so does sleep.

8 get little sleep
Approximately every 90 minutes while asleep,
we cycle through different stages in which our
6
brain activity and other physiological responses
4 change in a generally predictable way (Dement,
2005; Kleitman, 1963).
2 German As Figure 6.10 shows, sleep research often is
Japanese
carried out in specially equipped laboratories
0
12 A.M. 4 A.M. 8 A.M. Noon 4 P.M. 8 P.M. 12 A.M. in which sleepers’ physiological responses are
Bedtime recorded. EEG recordings of your brain’s elec-
trical activity show a pattern of beta waves
FIGURE 6.9 When night workers try to go to bed in
when you are awake and alert. Beta waves have
midday, they get little sleep. These data are based
on 2322 German shiftworkers (purple line) and 3240 a high frequency (of about 15 to 30 cycles per
Japanese shiftworkers (green line) who recorded their second, or cps) but a low “amplitude” or height
bedtimes and length of sleep. (Figure 6.11). As you close your eyes, feeling
Source: From Monk, T.H., Folkard, S., & Wedderburn,
relaxed and drowsy, your brain waves slow
A.I. (1996). Maintaining safety and high performance on down and alpha waves occur at about 8 to
shiftwork. Applied Ergonomics, 27, 17–23. 12 cycles per second.
202 CHAPTER SIX
2
3
1 EEG (brain waves)
2 Right eye movements
3 Left eye movements
4 Muscle tension
(photo): © National Geographic Image Collection/Alamy Stock Photo
FIGURE 6.10 In a modern sleep laboratory, people sleep while their physiological responses are monitored. Elec-
trodes attached to the scalp area record the person’s EEG brain-wave patterns. Electrodes attached beside the eyes
record eye movements during sleep. Muscle tension is recorded, and a neutral electrode is attached to the ear.
Beta waves You are now in stage 1, a form of light sleep

50
Awake/alert µV from which you can easily be awakened. You
1 sec will probably spend just a few minutes (or
Alpha waves
Relaxed/drowsy less) in stage 1, during which time some people
experience images and sudden body jerks. As
Theta waves sleep becomes deeper, sleep spindles—periodic
Stage 1 one- to two-second bursts of rapid brain-wave
Sleep spindle activity (12 to 15 cycles per second)—begin
to appear. Sleep spindles indicate that you are
Stage 2
now in stage 2 (Figure 6.11). Your muscles are
Delta waves more relaxed, your breathing and heart rate are
slower, and you are harder to awaken.
Stage 3 Sleep deepens as you move into stage 3,
marked by the regular appearance of very slow
Delta waves
(0.5 to 2 cycles per second) and large delta
waves. As time passes, they occur more often,
Stage 4
and when delta waves dominate the EEG pat-
tern, you have reached stage 4. Together, stage
3 and stage 4 are often referred to as slow-wave
REM sleep
sleep. Your body is relaxed, activity in various
parts of your brain has decreased, and you are
FIGURE 6.11 Changing patterns of brain-wave activ-
ity help to define the various stages of sleep. Note
hard to awaken. After 20 to 30 minutes of stage
that brain waves become slower and larger as sleep 4 sleep, your EEG pattern changes as you go
11. What brain- deepens and that the general pattern of REM sleep is “back through” stages 3 and 2, spending a little
wave patterns similar to that of stage 1. time in each. Overall, within 60 to 90 minutes of
distinguish the going to sleep, you will have completed a cycle
Source: Adapted from Dement, W.C. (1978). Some must watch
first four stages of stages 1-2-3-4-3-2. At this point, a remarkably
while some must sleep. New York, NY: Norton.; Hauri, P. (1982).
of sleep? The sleep disorders (2nd ed.). Kalamazoo, MI: Upjohn Corp. different sleep stage ensues.
12. Describe
Stage 1 through Stage 4 REM Sleep
some major
characteristics of As sleep begins, your brain-wave pattern In 1953, sleep researchers Eugene Aserinsky and
REM sleep. becomes more irregular, and slower theta Nathaniel Kleitman of the University of C
hicago
waves (3.5 to 7.5 cycles per second) increase. struck scientific gold when they identified a
sleep stage unlike the rest. Every half minute REM sleep is often thought to be the only
or so, bursts of muscular activity caused the sleep stage in which we dream or even experi-
sleepers’ eyeballs to vigorously move back and ence mental activity, but that is not correct. We
forth beneath their closed eyelids. Because of also experience mental activity during non-REM
these rapid eye movements (REMs), this stage sleep. REM dreams have their well-known story-
was called REM sleep. When Aserinsky and like quality, with vivid sensory and motor ele-
Kleitman awakened sleepers from REM periods, ments and the perception of reality. When you
they discovered that a dream was almost always are in a REM dream, you have the experience
reported. Even people who swore they “never of sensing people, objects, and places, of mov-
had dreams” recalled them when awakened during and behaving, and of witnessing and par-
ing REM. At last, science had a window through ticipating in a series of real, if bizarre, events.
which to examine dreaming more closely. Wait When subjects are awakened from non-REM
for a REM period, awaken the sleeper, and catch sleep, they often will report some type of mental
a dream. activity (Foulkes, 1985). The non-REM dream
During REM sleep, physiological arousal may is shorter than a REM dream (Stickgold et al.,
increase to daytime levels. Heart rate quickens, 1994). The non-REM dream is also less story-
breathing becomes more rapid and irregular, like, lacking the vivid sensory and motor expe-
and brain-wave activity resembles that of active riences of a REM dream. The non-REM dream is
wakefulness. Men have penile erections and often fixed and unmoving, resembling a tableau
women experience vaginal lubrication. Because more than a story with a plot. Apart from non-
most dreams do not have sexual content, this REM dreams, mental activity that occurs dur-
REM-induced genital arousal is not a response ing non-REM sleep also may resemble daytime
to sexual imagery. thoughts, although in comparison to waking
The brain also sends signals, making it more thoughts they are simple and jumbled. Indeed,
difficult for voluntary muscles to contract. As some of the mental activity that occurs dur-
a result, muscles in the arms, legs, and torso ing non-REM sleep has even been referred to
lose tone and become relaxed. These muscles as sleep thoughts because of the closer resem-
may twitch, but in effect you are “paralyzed” blance to daytime thinking than to REM dreams
and unable to move. This state is called REM (Foulkes, 1985).
sleep paralysis, and because of it, REM sleep is Each cycle through the sleep stages takes
sometimes called paradoxical sleep: Your body about 90 minutes. Figure 6.12 shows that, as the
is highly aroused, and yet it looks like you are hours pass, stage 4 and stage 3 drop out and
sleeping peacefully because you move so little. REM periods become longer.
Relaxed/
drowsy
REM 1 REM 2 REM 3 REM 4 REM 5
Stage 1
Stage 2
Stage 3
Stage 4
Dreams
REM 1 REM 2 REM 3 REM 4 REM 5
Eye
movements
1 2 3 4 5 6 7
Hours of sleep
FIGURE 6.12 This graph shows a record of a typical night’s sleep. People typically average four or five REM periods
during the night. As the night wears on, we spend less time in the deepest stages of sleep and more time in REM sleep.
204 CHAPTER SIX
Getting a Night’s Sleep: people sleep about 15 to 60 minutes longer per

night (Campbell, 1993). Shiftwork, jet lag, stress
Brain and Environment at work and school, and nighttime noise can
The brain steers our nightly passage into and decrease sleep quality (Saremi et al., 2008).
through sleep, but it does not contain a single
“sleep centre.” Different aspects of the sleep How Much Do We Sleep?
cycle, such as falling asleep, REM sleep, and
The question seems simple enough, as does the
slow-wave sleep, are controlled by different
answer for many of us: not enough! In reality,
brain mechanisms. Moreover, falling asleep is not
the issue is complex. Figure 6.13 reveals that
just a matter of “turning off” the brain systems
there are substantial differences in how much
that regulate wakefulness. Separate systems
people sleep at various ages. Newborn infants
“turn on” and actively promote sleep.
average 16 hours of sleep a day, and almost half
Areas at the base of the forebrain (called the
of their sleep time is in REM. But as we age,
13. What brain basal forebrain) and within the brain stem are
three important changes occur:
areas help to particularly important in regulating our falling
regulate sleep asleep (McGinty & Sterman, 1968; Szymusiak, • We sleep less. On average, 15- to 24-year-
onset and REM 1995). A different brain stem area—where olds average 8.5 hours of sleep per day, and
sleep? the reticular formation passes through the elderly adults average just under six hours.
pons—plays a key role in initiating REM sleep • REM sleep decreases dramatically during
14. How do sleep
(Hobson et al., 1998). This region contains infancy and early childhood, but remains rel-
patterns change
“REM-sleep On” neurons that periodically acti- atively stable thereafter.
as we age?
vate other brain systems, each of which con-
• Time spent in stages 3 and 4 declines. By late
trols a different aspect of REM sleep, such as
adulthood, we get relatively little slow-wave
eye movements, muscular paralysis, and geni-
sleep.
tal arousal.
Sleep is biologically regulated, but the envi- A parent or caregiver has likely told you that
ronment plays a role as well. The change of you need eight hours of sleep a night. We have all
seasons affects sleep; in fall and winter, most heard this, but is it true? Research has found that
24
Waking
16
14
50%
40%
Total hours of daily sleep
12 25–30%
25%
10 REM sleep 20%
19% Percentage of total
19%
sleep spent in REM
8
20%
22%
6 Non-REM 19%
sleep 20–23%
4
0
1–15 3–5 6–23 2–3 3–5 5–9 10–13 14–18 19–30 31–45 50 90
days mos mos yrs yrs yrs yrs yrs yrs yrs yrs yrs
Infancy Childhood Adolescence Adulthood Old age
FIGURE 6.13 The percentage of sleep time in REM and non-REM sleep changes with age. Average daily sleep
time decreases over the lifespan, and most of the decrease in non-REM sleep is due to decreasing delta sleep
(stages 3 and 4). REM sleep time decreases throughout childhood and then is relatively stable through adulthood.
Adapted from H.P. Roffwarg, J.N. Muzio & W.C. Dement, “Ontongenic Development of Human Dream-Sleep Cycle,” Science, 152, 604,
Fig 1. Copyright © 1966, AAAS. Reprinted with permission from AAAS.
if we follow our own natural rhythms, with no across the different types of deprivation and
clocks and scheduled routines, we sleep between behaviour, the results were remarkable: The
10 and 12 hours a night (Coren, 1996). How much “average” sleep-deprived person functioned
sleep a person needs is influenced by genetic only as well as someone in the bottom 9 percent
factors, work schedules, stress, age, lifestyle, and of non-deprived participants. All three types of
general health, among other factors (de Castro, sleep deprivation had a negative impact on func-
2002; Vincent et al., 2009; Williams, 2001). The tioning. Mood suffered most, followed by cogni-
most recent guidelines from the National Sleep tive and then physical performance, although
Foundation (2016) suggest that adolescents all three behaviours showed significant impair-
should have eight to ten hours of sleep a night ment from sleep loss.
and young adults seven to nine hours. Although What about students who pull all-nighters or
most of us may need eight to ten hours of sleep drastically cut back their sleep, and claim they
a night, some famous individuals have func- still perform as well as ever? University stu-
tioned well on surprisingly little sleep: British dents deprived of a single night’s sleep perform
prime ministers Winston Churchill and Margaret more poorly on critical thinking tasks and
Thatcher, U.S. president John F. Kennedy, show depressed mood, increased irritability,
and Napoleon Bonaparte all reportedly slept confusion, anxiety, and anger (Short & Louca,
between 3 and 5.5 hours a night (Sharkey, 1993), 2015). Sleep deprivation also has a physi-
and Leonardo da Vinci is reported to have slept cal cost. Sleep deprivation is associated with
as little as two hours a day. Whether we need a range of health complaints including type
eight or ten hours of sleep a night, how much II diabetes and insulin resistance, high blood
time do we actually spend sleeping? Young adult pressure, headache, stomachache, increased
Canadians sleep an average of eight hours and allergic reactions, and lowered health-related
18 minutes a night (Statistics Canada, 2005), but quality of life (Paiva et al., 2015). See this chap-
more than half of young adult Canadians sleep ter’s Applications feature for tips on improving
less than seven hours a night, and 30 percent sleep quality.
less than six hours a night (World Association of Most total sleep deprivation studies with
Sleep Medicine, 2011). humans last less than five days, but 17-year-old
Randy Gardner has the record for the longest
scientifically documented period without sleep.
Sleep Deprivation He stayed awake for 11 days and 24 minutes as
Sleep deprivation is a way of life for many his project for a 1964 high school science fair in
university students, and they are not alone. San Diego. Grateful sleep researchers received
Almost half of us sacrifice some sleep to accom- permission to study him (Gulevich, Dement, &
plish more work (National Sleep Foundation, Johnson, 1966). At times during the first few
2000; Williams, 2001). Millions more lose sleep days, Randy became irritable, forgetful, nau-
because of disorders. seous, and intensely tired. By day five, he had
Psychologists study sleep deprivation for its periods of disorientation and distorted think- 15. How do
practical significance and to gain insight into ing. In the last four days, he developed finger different
why we need to sleep. June Pilcher and Allen tremors and slurred speech. Still, in his final types of sleep
Huffcutt (1996) meta-analyzed 19 sleep depri- day without sleep, he beat sleep researcher deprivation
vation studies in which participants underwent William Dement 100 consecutive times at a pin- affect mood and
either short-term total sleep deprivation (up to performance?
ball-type game.
45 hours without sleep), long-term total sleep When Randy finally went to bed, he slept
deprivation (more than 45 hours without sleep), almost 15 hours the first night, and then
or partial deprivation (being allowed to sleep returned to his normal amount of sleep within
no more than five hours per night for one or a week. In general, it takes several nights to
more consecutive nights). Participants’ self- recover from extended total sleep depriva-
reported mood (e.g., irritability, disorientation), tion, and we do not make up all the sleep time
responses on mental tasks (e.g., ability to con- that we have lost. Tony Wright was reported to
centrate, logical reasoning, word memory), and have broken the record in 2007, but this was
physical tasks (e.g., manual dexterity, treadmill- not confirmed, and Randy Gardner is widely
walking) were measured. accepted as the record holder. Guinness has
What would you predict? Would all types of since stopped carrying sleep deprivation as a
deprivation affect behaviour, and which behav- category, on the grounds that it is a dangerous
iours would be affected the most? Combining practice.
206 CHAPTER SIX
Applications
A GOOD NIGHT’S SLEEP Sleep experts at the National Sleep Foundation (2016),
the BC Partners for Mental Health (HeretoHelp, 2016),
You may have heard the witticism, “Do you know that awe- and the Canadian Sleep Society (2016) have distributed
some feeling when you get into bed, fall straight asleep, guidelines known to promote healthy sleep habits. The
stay asleep all night and wake up feeling refreshed? No? most effective way to improve your sleep is to make small
Me neither.” (Canadian Sleep Society, 2016). changes in behaviours that help to promote sleep and
Lack of sleep can have a serious impact on our well-being. reduce those that interfere with sleep.
Even short periods of sleep deprivation can have a large The most effective changes that help to promote healthy
effect. Most students have had an “all-nighter” so they can sleep are:
complete a project, study for an exam, or have a movie mar-
athon. Recent research found that among adolescents, the 1. Have a regular schedule. Try to keep the same sleep
loss of a single night’s sleep significantly depressed mood, and wake schedule every day, including on weekends.
and significantly increased confusion, anxiety, and anger Deviating from this on occasion will happen and is not a
(Short & Louca, 2015). The effect on anxiety was greater reason for great concern, but the more you can stay with
for female than for male students. Too little sleep can also a regular schedule the better your sleep. People who go to
affect physical health; too little sleep is linked to a range bed at different times every day are much more likely to
of health complaints including headache, neck and shoul- have sleep problems. Along with a regular bedtime, try
der pain, stomachache, and insulin resistance (Paiva et al., to avoid bright light in the evening and expose yourself
2015). That is, along with making you feel tired and irritable, to sunlight in the morning. This will keep your circadian
too little sleep can also make you sick, angry, depressed, rhythms in check.
and anxious. Sleep is also known to be important for learn- 2. Have a bedtime ritual. Extend your routine from a regu-
ing and memory consolidation (Horton & Malinowski, 2015). lar bedtime to also having a relaxing routine that you
Although we know how important sleep is for our well- practise just before going to bed. A relaxing bedtime rou-
being, most of us do not get enough sleep. Although there tine helps to separate your sleep time from the rest of
are large individual differences, the most recent guidelines the day with its stress and excitement. As you develop
from the National Sleep Foundation (2016) recommend that and then consistently practise your relaxing bedtime rit-
adolescents get eight to ten hours of sleep a night, while ual, it will help to train your body and brain that it is time
young adults should get seven to nine hours of sleep. How- for sleep (see information on conditioning in Chapter 7).
ever, according to one survey, 60 percent of Canadian ado- 3. Do not nap. If you do not get enough sleep during the
lescents and young adults average less than seven hours night, do not nap during the day. Some people can nap
of sleep a night, and 30 percent get less than six hours of without it interfering with the quality or duration of their
sleep a night (World Association of Sleep Medicine, 2011). nighttime sleep, but for most people a daytime nap leads
That is, most of us are chronically sleep deprived. to problems falling asleep or staying asleep. If you do
nap during the day, make it a power nap of no more than
30 minutes.
4. Exercise regularly. Even light to moderate exercise three
times a week promotes improved sleep quality. Exercise can
energize you so do not exercise too close to bedtime; avoid
exercise within four hours of when you plan to go to bed.
5. Your bedroom. Your bedroom is your sleep environment.
Does it promote sleep? When you want to sleep your
bedroom should be cool (16–19°C), quiet, and dark. The
bed and pillows need to be comfortable and free of aller-
gens and other irritants.
6. Avoid heavy meals in the evening. Try to also avoid large
or spicy meals before your bedtime. If you are hungry,
wavebreakmedia/Shutterstock have a light snack 45 minutes to an hour before bed.
FIGURE 6.14 Having sufficient sleep is important for our well- 7. Avoid caffeine, alcohol, and nicotine in the evening.
being, but a wide range of factors can interfere with our ability Alcohol, nicotine, and caffeine all disrupt sleep and you
to fall asleep or stay asleep. There are, however, some simple should avoid them within at least two to three hours
steps that you can take that will improve your sleep quality. of bedtime. Caffeine is especially a concern with its
continued
powerful effect in delaying sleep onset. Caffeine and that makes it even harder to fall asleep. You cannot force
related compounds are found not just in coffee but also yourself to fall asleep, and telling yourself that you must
in dark tea, many soft drinks, chocolate, and in many fall asleep is only going to make you feel stressed and
over-the-counter medications such as pain relievers, anxious. If you cannot fall asleep within 30 minutes, get
cold remedies, and allergy medications. Among healthy up, leave your bedroom, and do something relaxing—
young adults, the half-life of caffeine (the length of time perhaps listen to music, meditate, have a warm uncaf-
it takes your body to eliminate half of the caffeine in feinated beverage, or take a warm bath. You do not have
your system) is five to six hours. Depending on your to wait for the full 30 minutes to elapse; if you are get-
sensitivity to caffeine, you may need to avoid it for much ting frustrated or anxious because you cannot fall back
longer than the three hours before bedtime. Alcohol to sleep, get up and do something. It may take a few
may seem to make people sleepy, but alcohol disrupts nights for this strategy to be effective, but it will become
the sleep cycle and powerfully suppresses REM sleep. increasingly effective with practice.
Someone sleeping with alcohol in their system does not
Our sleep is controlled by a complex group of coordi-
get a normal night’s sleep.
nated processes, and a wide range of medical, psychologi-
8. Relax. If you have had a busy, active day and spent the cal, and lifestyle factors can disrupt it. If you are having
evening studying, you cannot just turn that off and fall persistent sleep problems, you may find it useful to keep a
asleep. Along with having a specific bedtime ritual, spend sleep diary. Recording your evening activities, sleeping hab-
at least an hour relaxing before trying to go to sleep. its, and sleep quality in a sleep diary can help identify com-
Spend that time listening to music or reading, but do not mon patterns or issues that interfere with your sleep. You
read something demanding or something that is going to can find many examples of sleep diaries online and, yes,
make you angry or upset. Some people find electronic there is an app for that. Be cautious about sleeping pills
screens to be stimulating because of the nature of the and other purported “sleep aids.” There are circumstances
light they emit, so be cautious about using a laptop or when sleeping pills are necessary, but most compounds
other electronic device or watching TV before bed. that promote sleep can lead to abnormal sleep cycles, and
9. If you are not sleeping, get up. If you cannot fall asleep many have the potential for tolerance, dependence, and
or waken and cannot get back to sleep, get up and go to addiction.
another room. We have all had the experience of lying If you try these strategies consistently and still experi-
awake watching the time get later and later. As we watch ence sleep problems, you should speak to your doctor or a
the minutes tick by we get more and more frustrated and sleep professional.
Why Do We Sleep? rest of us mere mortals, a meta-analysis of 38

studies found that we tend to sleep longer by
Given that we spend almost a third of our lives only about 10 minutes on days we have exer- 16. Explain the
sleeping, it must serve an important purpose. cised (Youngstedt et al., 1997). restoration and
According to the restoration model, sleep The biggest challenge is determining exactly evolutionary
recharges our rundown bodies and allows us to what it is that “gets restored” in our bodies while theories of
recover from physical and mental fatigue (Hess, we sleep. We do not know precisely, but some sleep.
1965; Walker, 2008). Sleep deprivation and night researchers believe that a cellular waste prod-
shiftwork studies strongly support this view: We uct called adenosine plays a role (Alam et al.,
need sleep to function at our emotional, mental, 2009). Like a car’s exhaust emissions, adenosine
and physical best. In fact, we may need sleep is produced as cells consume fuel. As adenosine
to live. Laboratory rats deprived of all sleep accumulates, it influences brain systems that
usually die within a few weeks, and scientists decrease alertness and promote sleep, signal-
are trying to pinpoint the physiological causes ling the body to slow down because too much
(Constantine et al., 1995; Cirelli et al., 1999). cellular fuel has been burned.
If the restoration model is correct, activities Evolutionary/circadian sleep models
that increase daily wear on the body should emphasize that sleep’s main purpose is to
increase sleep. Evidence is mildly supportive. increase a species’ chances of survival in rela-
A study of 18- to 26-year-old ultra-marathon tion to its environmental demands (Webb,
runners found that they slept much longer and 1974). Our prehistoric ancestors had little to
spent a greater percentage of time in slow- gain and much to lose by being active at night.
wave sleep on the two nights following their Hunting, food gathering, and travelling were
92-kilometre run (Shapiro et al., 1981). For the
208 CHAPTER SIX
accomplished more easily and safely during Predeprivation

daylight. Leaving the protection of one’s shelter REM sleep
at night would have served little purpose other deprivation
than to become dinner for nighttime predators. Postdeprivation
17. What Over the course of evolution, each species 80
evidence developed a circadian sleep-wake pattern that
Number of forced awakenings

supports or was adaptive in terms of whether it was preda-
contradicts the tor or prey, its food requirements, and its meth- 60
hypothesis ods of defence from attack. For small prey
that REM sleep
animals, such as mice and squirrels, who reside 40
serves a special
in burrows or trees safely away from predators,
function?
spending a lot of time asleep is adaptive. For
large prey animals, such as horses, deer, and 20
zebras, who sleep in relatively exposed environ-
ments and whose safety from predators depends
on running away, spending a lot of time asleep
1 2 3 4 5 6 7
would be hazardous. Sleep may have evolved
(a) Nights of REM-sleep deprivation
also as a mechanism for conserving energy
(Berger & Phillips, 1995). Our body’s overall
metabolic rate during sleep is about 10 to 20 per-
Percentage of sleep time in REM

cent slower than during waking rest (Wouters- 30
Adriaens & Westerterp, 2006). The restoration
and evolutionary theories highlight complemen-
tary functions of sleep, and both contribute to a 20
two-factor model of why we sleep (Webb, 1994).
Do specific sleep stages have special func-
tions? To answer this question, imagine volun- 10
teering for a sleep deprivation study in which
we awaken you only when you enter REM
sleep; you can sleep through the other sleep
stages. In this situation, two things will hap- 1 3 5 7 9 11 13
pen (beyond any unpleasant looks you may (b) Nights
give us). First, on successive nights, we will
FIGURE 6.15 (a) In REM-sleep deprivation studies,
have to awaken you more often, because your participants start to go into REM periods more times
brain will be fighting back to get REM sleep with each passing night, as the brain tries to get REM
(Figure 6.15a). Second, when the study ends, sleep. (b) After REM deprivation ends, the sleeper
for the first few nights you probably will expe- spends more time than usual in REM sleep for a few
rience a REM-rebound effect, a tendency to nights. This is the REM-rebound effect.
increase the amount of REM sleep after being Source: Data from Agnew, H.W., Jr., Webb, W.B., & Williams,
deprived of it (Figure 6.15b). REM-rebound R.L. (1967). Comparison of stage four and 1-REM sleep
occurs in many species, including humans deprivation. Perceptual and Motor Skills, 24, 851–858.
(Rechtschaffen et al., 1999).
Results such as those shown in Figure 6.15
humans (e.g., Maquet et al., 2000; Smith & Lapp,
suggest that we need to have REM sleep. Sev-
1991) and animals (e.g., Smith & Rose, 1997)
eral theories have proposed that REM sleep is
support the idea that REM sleep and learning
vital for mental functioning, especially for pro-
are related, although exactly how REM sleep,
cesses related to learning and memory consoli-
memory, and learning are related is an ongoing
dation (Walker, 2005; Walker & Stickgold, 2006).
area of research.
As we saw earlier (see Figure 6.12), your brain
is as active during REM sleep as it is during
alert wakefulness. The high level of brain activ- Sleep Disorders
ity during REM sleep may help to strengthen The mechanisms involved in sleep are complex
the neural circuits involved in remembering and can go wrong in a variety of ways. A stag-
important information from the preceding day gering one-half to two-thirds of North American
(Maquet et al., 2000; Walker & Stickgold, 2006). adults feel that they have some type of sleep
Studies of REM sleep and learning among both problem (National Sleep Foundation, 2000).
Insomnia conditions, mental disorders such as anxiety

True or False: Someone who falls asleep easily and depression, and many drugs can disrupt 18. Describe the
can still have insomnia. The statement is true, sleep (Lydic & Biebuyck, 1989). As we will see major symptoms
because insomnia refers to chronic difficulty in in Chapter 15, stress powerfully interferes with of narcolepsy
falling asleep, staying asleep, or experiencing sleep and is a common cause of insomnia. and REM-sleep
restful sleep. Trouble falling asleep is most com- behaviour
mon among young adults, and difficulty staying Narcolepsy disorder.
asleep is most common among older adults. If Some people suffer not from an inability to
you occasionally have trouble getting a good sleep, but from uncontrollably falling asleep.
night’s sleep, don’t worry: almost everyone Narcolepsy involves sudden, uncontrollable
does. True insomniacs’ sleep troubles are fre- sleep attacks that may last from less than a min-
quent and persistent. ute to an hour. No matter how much narcoleptics
Insomnia is the most common sleep disorder, rest at night, sleep attacks can occur at any time.
experienced by approximately 10 to 40 percent Narcolepsy is often associated with insomnia
of the population of various countries (Bartlett and REM sleep behaviour disorder (Dauvilliers
et al., 2008). Many insomniacs overestimate et al., 2013). When a sleep attack occurs, narco-
how much sleep they lose and how long it takes leptics may experience a sudden loss of motor
them to fall asleep: 20 minutes may seem like an control (cataplexy) and go directly into a REM
hour. Certain people, called pseudoinsomniacs, sleep. These REM episodes can have intense,
complain of insomnia, but sleep normally when dreamlike images that are profoundly disorient-
examined in the laboratory (Helmert Schneider, ing when the person awakes a few minutes later
1985). Despite a sound night of sleep, some (Goodrick, 2014).
pseudoinsomniacs awaken in the morning and Our understanding of narcolepsy has
claim that their insomnia was so bad that they changed dramatically in the past few years.
didn’t get any sleep at all (McCall & Edinger, In the early 2000s little was known about the
1992)! causes of narcolepsy other than that there was
Insomnia has biological, psychological, a genetic predisposition (Mignot, 1998). For
and environmental causes. Some people are example, narcolepsy can be selectively bred in
genetically predisposed to insomnia. Medical dogs (Figure 6.16). Modern sleep research has
(both): Barcroft Media/Getty Images
FIGURE 6.16 This dog lapses suddenly from alert wakefulness into a limp sleep while being held by sleep researcher
William Dement. Narcolepsy occurs naturally in some dogs, and, by using selective breeding, researchers at Stanford’s
Sleep Disorders Center have established a colony of narcoleptic canines.
210 CHAPTER SIX
revolutionized our understanding of narcolepsy. often return to bed and awaken in the morning
Hypocretin is a peptide hormone produced in with no memory of the event. About 10 to 30 per-
the hypothalamus that helps to regulate arousal, cent of children sleepwalk at least once, but
wakefulness, and appetite. Narcolepsy is now less than 5 percent of adults do. If you did not
often associated with an insensitivity to hypo- sleepwalk as a child, then the odds are less than
cretin and in cases of narcolepsy with cataplexy 1 percent that you will do so as an adult (Hublin
even a complete lack of the hypocretin produc- et al., 1997). Sleepwalkers can injure themselves
ing neurons in the hypothalamus (Dauvilliers, accidentally, such as by falling down stairs or
et al., 2013). wandering out of their homes.
A tendency to sleepwalk may be inherited,
REM-Sleep Behaviour Disorder and daytime stress, alcohol, and certain ill-
Kaku Kimura and his colleagues in Japan (1997) nesses and medications also increase sleep-
report the case of a 72-year-old woman who, walking (Hublin et al., 2001). Various treatments
during a night’s observation in a sleep labora- may be used, including psychotherapy, drugs,
tory, repeatedly talked, sang, and moved her and routinely awakening children before the
hands and legs during REM sleep. One singing time they typically sleepwalk (Frank et al.,
episode lasted three minutes. She was experienc- 1997). But the most common “treatment” sim-
ing REM-sleep behaviour disorder (RBD), ply is to wait for children to outgrow it while
in which the loss of muscle tone that causes creating a safe home environment so that the
normal REM sleep paralysis is absent (Olson sleepwalker does not get injured. Contrary to
et al., 2000; Paparrigopoulos, 2005). If awakened, common belief, awakening sleepwalkers is not
RBD patients often report dream content that harmful, although they may be confused for a
matches their behaviour, as if they were acting few minutes.
out their dreams (Dyken et al., 1995). Unfortu-
nately, the consequences of RBD can be severe: Nightmares and Night Terrors
. . . a 67-year-old man . . . was awakened Nightmares are frightening dreams, and virtu-
one night by his wife’s yelling as he was ally everyone has them. Like all dreams, they
choking her. He was dreaming of break- occur more often during REM sleep and in the
ing the neck of a deer he had just knocked hours before we arise. Physiological arousal
down. This patient had tied himself to his during nightmares is similar to levels experi-
bed with a rope at night for 6 years as a enced during pleasant dreams.
19. Identify protective measure, owing to repeated Night terrors (also called sleep terrors) are
the major episodes of jumping from the bed and col- more intense than nightmares. The sleeper, usu-
differences ally a child, suddenly sits up and seems to awaken,
liding with furniture and walls. (Schenck
between letting out a blood-curdling scream. Terrified and
et al., 1989, p. 1169)
nightmares and aroused to a near-panic state, the person might
night terrors. RBD sleepers may kick violently, throw thrash about in bed or flee to another room, as if
punches, or get out of bed and move about trying to escape from something. Come morning,
wildly, leaving the bedroom in a shambles. Many the person usually has no memory of the episode
RBD patients seen in sleep clinics have injured (Szelenberger et al., 2005).
themselves while sleeping, and almost half Unlike nightmares, night terrors are most
have injured their sleeping partners (Schenck, common during deep sleep (stages 3 and 4) and
Hurwitz, & Mahowald, 1993). Some researchers involve greatly elevated physiological arousal;
propose that brain abnormalities may prevent heart rate may double or triple. Up to 6 percent
signals that normally inhibit movement during of children, but only 1 or 2 percent of adults,
REM from being sent, but at present the causes experience night terrors (Ohayon et al., 1999).
of RBD are unknown (Iranzo & Aparicio, 2009). In most childhood cases, treatment is simply to
wait for the night terrors to diminish with age.
Sleepwalking
Sleepwalking typically occurs during a stage
3 or stage 4 period of slow-wave sleep (Zadra The Nature of Dreams
et al., 2008). Sleepwalkers often have blank stares Traditional aboriginal peoples of Australia speak
and are unresponsive to other people, but they of “The Dreaming.” They view dreaming as a
seem vaguely conscious of the environment as “parallel reality” connecting them to the spiritual
they navigate around furniture, go to the bath- world and a collective unconscious linked to their
room, or find something to eat. Sleepwalkers ancestral past (Dawson, 1993). The Dreaming
involves stories of creation and beliefs that are 1978; Foulkes, 1962; Rowley et al., 1998). Brain
passed on orally to educate each successive gen- activity also is higher in the final hours of sleep
eration, and it defines their personal and cultural than it is during the earlier hours, thanks to our
identities. Dreams also are a central guiding force circadian sleep-wake cycle preparing us to rise for
in other cultures, such as the Senoi of Malaysia, a new day. Thus, we dream more in the last few
who believe that events in dreaming and wak- hours of both REM and non-REM sleep than dur-
ing life influence one another (Greenleaf, 1973). ing the same stages earlier in the night.
Even in Western societies that generally attach
less importance to dreams, many people believe What Do We Dream About?
that dreams can be meaningful (Morewedge & Much of our knowledge about dream content
Norton, 2009). derives from 35 years of research using a coding
system developed by Calvin Hall and Robert Van
When Do We Dream? de Castle (1966). Analyzing 1000 dream reports
Mental activity occurs throughout the sleep (mostly from university students), they found that
cycle. When Jason Rowley and his colleagues dreams are not nearly as strange as they are ste-
(1998) awakened sleepers merely 45 seconds reotyped to be. Most take place in familiar settings
after sleep onset, participants reported visual and often involve people we know. Certainly,
images about 25 percent of the time. As this some dreams are bizarre, but they often leave a
hypnagogic state (the transitional state from lasting impression that biases our perception of
wakefulness through early stage 2 sleep) con- what most dreams are like. As a case in point,
tinued, mental activity became more dreamlike have you ever dreamt that you were flying (under
(Figure 6.17). In general, between 15 to 40 per- your own power, without a plane!)? Between one-
cent of sleepers report dreamlike activity when third and one-half of university students say they
awakened within six minutes of falling asleep. have. Yet a study of 635 actual dream reports
Research shows that we dream most when found only one dream that included flying
the brain is most active (Antrobus, 1991). Brain (Snyder, 1970). This result suggests that dreams 20. When do we
activity is higher during REM sleep than non-REM about flying are quite uncommon, but because dream the most?
sleep, and we dream more during REM sleep. they are so striking, many people can recall hav- Why?
When awakened from REM sleep, people report ing such a dream at least once.
a dream about 80 percent of the time, versus 15 to Given the stereotype of “blissful dreaming,” it
50 percent of the time for non-REM sleep (Dement, may surprise you that most dreams contain some
Dreaminess
Mental Activity at Sleep Onset score
100 1.5
Awake
80
Percentage of reports
1.0
60
300s after
sleep onset
40
0.5
20
0 0
Thoughts Unusual Visual Plot Dreaminess
thoughts hallucinations
Time (Awake, 15s, 45s, 75s, 120s, 300s)
FIGURE 6.17 The mental activity of 11 male and female undergraduates was measured by self-report while
awake and then 15, 45, 75, 120, and 300 seconds after sleep onset. Students slept at home, were awakened by
computer, and the time of awakenings varied across different nights. In total, 477 reports of mental activity were col-
lected. In general, after sleep onset, normal “waking-type” thoughts decreased, unusual thoughts and visual halluci-
nations (images that seemed “real”) increased, and mental activity was more “dreamy.” Unlike many REM dreams,
however, mental activity after sleep onset rarely had a plot (e.g., a storyline).
Source: Adapted from Rowley, J.T., Stickgold, R., & Hobson, J.A. (1998). Eyelid movements and mental activity at sleep onset.
Consciousness and Cognition: An International Journal, 7, 67–84.
212 CHAPTER SIX
negative content (Domhoff & Schneider, 2008). conclude, for example, that there is little evi-
Hall and Van de Castle (1966) found that 80 per- dence that dreams have disguised meaning or
cent of dream reports involved negative emo- that their general purpose is to satisfy forbid-
tions, almost half contained aggressive acts, and a den, unconscious needs and conflicts (Dom-
third involved some type of misfortune. They also hoff, 1999; Fisher & Greenberg, 1996). Dream
found that women dreamt almost equally about analysis has been criticized as highly subjec-
male and female characters, whereas about two- tive: The same dream can be interpreted dif-
thirds of men’s dream characters were male. ferently to fit the particular analyst’s point of
Although the reason for this gender difference is view.
not clear, a similar pattern has been found across
several cultures and age groups (Avila-White Activation-synthesis theory. Is it possible that
et al., 1999; Hall, 1984). dreams serve no special purpose? In 1977, J.
Our experiences, and current concerns can Allan Hobson and Robert McCarley proposed a
shape dream content (Bulkeley & Kahan, 2008). physiological theory of dreaming. When we are
For example, in the weeks following the Sep- awake, neural circuits in our brain are activated
tember 11, 2001, terrorist attacks, a study of by sensory input: sights, sounds, tastes, and so
1000 Manhattan residents found that one in on. The cerebral cortex interprets these pat-
ten experienced distressing dreams about the terns of neural activation, producing meaning-
attacks (Galea et al., 2002). Overall, it appears ful perceptions. According to the activation-
that up to 50 percent of our dreams contain synthesis theory, during REM sleep the brain
some content reflecting the experiences of stem bombards our higher brain centres with
our most recent day (Botman & Crovitz, 1989; random neural activity (the activation compo-
Harlow & Roll, 1992). nent). Because we are asleep, this neural activ-
Other recent research has considered dreams ity does not match any external sensory events,
as part of a continuum on which conscious- but our cerebral cortex continues to perform its
ness can from shift from alert wakefulness to job of interpretation. It does this by creating a
daydreams to dreams. This chapter’s Focus on dream that provides the “best fit” to the particu-
Neuroscience feature explores this research. lar pattern of activation that exists at any par-
ticular moment (the synthesis component). This
Why Do We Dream? accounts for the bizarreness of dreams: The
Speculation about why we dream and whether brain is trying to “make sense” out of random
dreams have special meaning has intrigued neural activity. Our memories and experiences
humankind for ages. Most scientific dream theo- can influence the stories that our brain devel-
ries arise from the psychoanalytic, physiologi- ops, and, therefore, dream content may reflect
cal, and cognitive perspectives. themes pertaining to our lives. In this limited
sense, dreams can have meaning (Hobson, 1988;
21. According Freud’s psychoanalytic theory. Sigmund McCarley, 1998). However, dreaming does not
to the Freudian Freud (1900/1953) believed that the main pur- serve any particular function—it is merely a by-
and activation- pose of dreaming is wish fulfillment, the grat- product of REM neural activity.
synthesis ification of our unconscious desires and needs. Critics claim that the activation-synthesis
theories, why do These desires include sexual and aggressive theory overestimates the bizarreness of dreams
we dream? urges that are too unacceptable to be con- and ignores the fact that dreaming and mental
sciously acknowledged and fulfilled in real imagery occurs during non-REM sleep (Solms,
life. Freud distinguished between a dream’s 2002). Nevertheless, this theory helped to revo-
manifest content—the “surface” story that the lutionize dream research by calling attention to
dreamer reports—and its latent content, which a physiological basis for dreaming (Domhoff,
is its disguised psychological meaning. Thus, a 2005; Hobson et al., 2000).
dream about being with a stranger on a train
that goes through a tunnel (manifest content) Cognitive approaches. According to problem-
might represent a hidden desire for sexual solving dream models, dreams can help us
intercourse with a “forbidden” partner (latent find creative solutions to our problems and con-
content). flicts because they are not constrained by real-
Although Freud sparked great interest ity (Cartwright et al., 1977). Based on research
in dreams and laid the groundwork for other with men and women undergoing divorce,
dream theories, many contemporary research- Rosalind Cartwright (1991, p. 3) notes that
ers reject the postulates of his theory. They those who dream “. . . with strong feelings, and
Focus on
Neuroscience
DREAMS AND DAYDREAMS and may daydream. It was suggested that that activity in
default mode network, rather than reflecting an absence of
We have all had the experience of our mind wandering while mental activity, may actually represent the pattern of neu-
we are a passenger during a long, quiet trip, or listening ral activity that occurs when we let our minds wander and
to a speaker going on in a monotone voice about some- daydream (Fox et al., 2013).
thing that does not engage us. Thoughts in these situations From the very beginning of modern research on sleep,
may have included memories, future planning, reflection, researchers have been interested in what brain areas are
or even emotional content and sensory information (have active during different stages of sleep, and much atten-
you ever had a song running in your head during a boring tion has centred on REM sleep, with its association with
lecture?). You are awake, but your mind wanders and you dreaming sleep. It is important to note that REM sleep and
even engage in daydreaming. As we discuss in detail in dreams represent different phenomenon. Dreams are the
this chapter, dreams represent mental activity during sleep, sight-, sound-, movement-containing subjective experiences
typically REM sleep, also characterized by sensorimotor that occur while we sleep. The only way to know if someone
imagery and emotions, memories, and future planning. This is dreaming is to wake that person and ask what he or she
agreement is more than coincidental. Researchers have was experiencing. REM sleep is a stage of the sleep cycle
noted similarities between reports of the subjective experi- characterized by a specific pattern of brain activity, rapid
ences that occur during daydreams and during dreams, and eye movements, and a number of physiological changes. If
have asked whether the similarities are more than coinci- someone is woken from REM sleep, more than 80 percent
dental (Fox et al., 2013). will report that they were dreaming (Domhoff, 2011). That
The first question is what do we know about brain activ- is, REM sleep refers to a specific measureable stage of
ity during daydreams? Research that includes the mea- the sleep cycle; dreaming refers to the subjective mental
surement of neural activity during goal directed tasks will experience. Researchers can say that they recorded brain
typically include rest periods. For example, if you are a activity during REM sleep and the assumption is that the
participant in a study measuring activity in specific brain individual was likely experiencing a dream during that time
areas when you process and recognize images projected but we can never be certain
on a screen in front of you, viewing these images will be Fox and colleagues performed a meta-analysis of
interspersed with periods of rest. The rest period is used to studies that used either PET or fMRI to measure brain
collect baseline data; in this example, what is brain activity activity during REM sleep (Fox et al., 2013). They found
when you are not processing and recognizing images. This eight cortical areas that consistently increased activity
baseline data is important to be able to detect where activ- during REM sleep. The areas activated includes those
ity changes when you are engaged in the target task. Dur- that involved in high-level visual processing and areas
ing this quiet restful state, researchers identified what they associated with memory, self-referential thought, and
called the “default mode network” (Raichle et al., 2001). affective decisions. The known functions of these areas
There is a set of eight brain regions that are consistently are consistent with the subjective experience of dreams.
more active during these “rest” breaks than when partici- Interestingly, of these eight areas, seven are also com-
pants were actively engaged in a wide range of behaviours. ponents of the default mode network. The most complete
The parts of the cortex associated with the default mode overlap was within two regions of the medial prefrontal
network include two areas within the prefrontal cortex, pos- cor tex and with medial temporal lobe structures asso-
terior cingulate cortex, the entorhinal cortex and parahippo- ciated with memory (entorhinal cor tex, hippocampus).
campus within the temporal cortex, and the hippocampus. The overlap between brain areas active during REM sleep
This network was given this name because it was sug- and the default mode network is specific to REM sleep.
gested that its activity occurred as the “default,” as the pat- Changes in brain activity during other non-REM sleep
tern of activity when we are doing nothing. But were these stages occur in brain areas outside of default mode net-
participants really doing nothing? When we are awake and work. That is, the meta-analysis found that the cortical
alert but not engaged in any particular task, we rarely do areas associated with REM sleep included many of the
nothing—mental activity does not stop. If I ask you to stop areas associated with the default mode network, a net-
reading and just sit there for a few minutes, you are not work also associated with daydreaming.
really going to do nothing. You may wonder why I am asking The idea that daydreams and nocturnal dreams are
you to stop reading, reflect on your day, picture a memo- related has a long history. More than a century ago Sig-
rable image from the news, think about your favourite song, mund Freud suggested that they shared the same under-
plan dinner, or remember a funny scene from The Big Bang lying processes (Freud, 1908). It has been argued that
Theory and smile. When asked to do nothing, an awake and dreams represent a more intense form of the mental activity
otherwise alert individual will have his or her mind wander
continued
214 CHAPTER SIX
that is also present in daydreams. Based on an analysis of a continuum. Their theory is that as activity in the default
the subjective experience of both dreams and of daydreams mode increases and activity in brain areas linked to execu-
and based on an analysis brain areas that are active during tive function decrease, we move along this continuum and
both dreams and daydreams, Fox et al. (2013) and oth- mental activity shifts from deliberate goal-directed think-
ers (e.g., Domhoff, 2011) have argued that the evidence ing to mental activity characterized by the sensory laden,
supports the contention that dreams represent a longer, sometimes bizarre experience of our dreams. Similari-
immersive, more intense form of the same pattern of neural ties between the experience of daydreams and nocturnal
activity that also occurs during daydreams. dreams may be more than coincidental, and represent a
Fox proposed a model (Figure 6.18) that places wak- single underlying continuum that reflects the balance of
ing, goal-directed thought, daydreams and dreams along activity between two different brain networks.
High
Sensory Imagery
DMN Activity
Executive Function
dlPFC Avtivity
Low
Goal-Directed Daydreams Dreams

Thought
FIGURE 6.18 A model that places subjective mental experience from deliberate goal-directed thought to the types of mental activity
that occurs during dreaming sleep along a continuum. Fox et al. (2013) proposed that as activity in the default mode network (DMN)
increases, there is a corresponding increase in the types of mental activity that occurs during dreams such as sensory imagery. There
is a corresponding decrease in executive function and activity in brain areas associated with executive function. The brain areas most
strongly associated with executive function are the dorsolateral prefrontal cortex (dlPFC) and the anterior cingulate cortex.
Source: Fox, Kieran C. R., Savannah Nijeboer, Elizaveta Solomonova, G. W. Domhoff, and Kalina Christoff. 2013. “Dreaming as mind wandering: Evidence
from functional neuroimaging and first-person content reports.” Frontiers in Human Neuroscience, 7:412. Figure 3.
who incorporate the stressor directly into their produced by the same mental systems in the
dreams, appear to ‘work through’ their depres- brain. Consider that when three- and four-year-
sion more successfully than those who do not.” old children are awakened from REM sleep,
But critics point out that, just because a problem they rarely report dreams, whereas eight- and
shows up in a dream, this does not mean that nine-year-olds display some features of adult
the dream involved an attempt to solve it. We dreaming (Foulkes, 1982). Why should this
also may think about our dreams after awaken- be? According to David Foulkes (1999), it is
ing and obtain new insight, but this also is not because dreaming requires imagery skills and
22. Describe the same as solving problems while dreaming other cognitive abilities that young children
the main
(Squire & Domhoff, 1998). have not yet developed sufficiently in waking
assumption of
Cognitive-process dream theories focus life. As children’s mental abilities develop with
cognitive-process
dream theory. on the process of how we dream (Antrobus, age, so does their ability to dream.
What evidence 1991; Foulkes, 1982). Based on the modular Research indicates far greater similar-
supports it? model of consciousness, these theories pro- ity between dreaming and waking men-
pose that dreaming and waking thought are tal activity than was traditionally believed
Sleep and Dreaming

Levels of Analysis
We’ve seen that science has unravelled some, though certainly
not all, of the mysteries surrounding sleep and dreaming. Let’s ENVIRONMENTAL
review how the study of sleep and dreaming spans the biological, • The day-night cycle and time cues
psychological, and environmental levels of analysis. help to regulate our circadian rhythms
and sleep readiness.
• Night shiftwork and jet travel across time zones
can disrupt circadian rhythms and impair sleep.
• A noisy sleep environment can impair sleep quality.
• Experiences from waking life can show up in our
dream content.
BIOLOGICAL • Cultural norms influence sleep-related behaviours
• Circadian rhythms affect our (e.g., co-sleeping) and the meaning attached to
readiness for sleep. dreams.
• Different species have evolved different
sleep-wake cycles.
• Certain brain circuits actively promote falling
asleep, while others regulate various sleep stages.
• Sleep stages are marked by distinct patterns of
physiological activity.
• Heredity partly accounts for differences among PSYCHOLOGICAL
people in sleep length and the likelihood of
developing sleep disorders. • Worries and stress may hinder falling
asleep or may contribute to other sleep
problems.
• Learned sleep habits can facilitate or impair a
sound night’s sleep.
• Mental activity occurs throughout sleep, ranging from
fragmented thoughts and images to storylike dreams.
• Ongoing psychological problems or concerns may
show up in our dream content.
• Dreaming has been theorized to serve various
How do environmental and psychological factors psychological functions, including memory
consolidation, unconscious wish fulfillment,
affect your own sleep and dreaming? Do personal and problem solving.
experiences or events show up in your dreams? Do
environmental or psychological factors ever impair
your ability to fall or stay asleep?
FIGURE 6.19
(Domhoff, 1999). Consider that one reason Thus, rapid shifting of attention is a process
many dreams appear bizarre is that their con- common to dreaming and waking mental
tent shifts rapidly (Antrobus, 1991): “I was activity.
dreaming about an exam and all of a sud-
den, the next thing I knew, I was in Hawaii Toward integration. Although there cur-
on the beach.” (Don’t we wish.) Yet if you rently is no agreed-upon model of dream-
reflect on the contents of your waking ing, some theorists have begun to integrate
thoughts—your stream of consciousness— concepts from cognitive, biological, and
you will realize that they also shift suddenly. modern psychodynamic perspectives. For
In fact, about half of REM dream reports example, John Antrobus (1991) has developed
involve rapid content shifts. But when people a model to explain how our sleeping brain
are awake and placed in the same environ- creates dreams. As Figure 6.20 shows, the
mental conditions as sleepers (a dark, quiet model incorporates findings on sleep physiol-
room), about 90 percent of their reports ogy with the cognitive principle of modular
involve rapid content shifts (Antrobus, 1991). consciousness.
216 CHAPTER SIX
Dream
Cerebral Cortex
Interactions among
cortical modules
Motor Motivational Cognitive Emotional Perceptual

modules modules modules modules modules
Inhibited
Inhibited
Skeletal/motor Stimulation from

responses reticular formation Input from
(except respiration produces high sensory
and eye movements) cortical activation receptors
FIGURE 6.20 Antrobus’s (1991) theory proposes that during REM sleep, the reticular formation stimulates
various modules in the cortex. These modules interact, as they do during waking mental activity. The perceptual
modules produce images that then are interpreted by the cognitive modules. Emotional modules may overlay an
“emotional theme” to the dream, which stimulates the perceptual modules to produce additional images consistent
with the theme. Because external sensory input is restricted, the brain attempts to provide the “best fit” interpreta-
tions of these internally generated images. Motor modules are active, but their output is blocked by REM muscular
paralysis. This theory places greater emphasis than activation-synthesis theory on interactions between brain mod-
ules and proposes other mechanisms for non-REM dreams.
Though in need of more testing, these inte- emotional, and motivational processes influ-
grative models may signal the future of dream ence our waking life (Hobson, 2007). These
theorizing. As we described earlier, evidence models extend this view to our sleeping
is growing rapidly that unconscious cognitive, mental life.
In Review
• EEG measurements of brain activity indicate five extremely serious consequences. Sleepwalking
main stages of sleep. Stages 1 and 2 are lighter typically occurs during slow-wave sleep, whereas
sleep, and stages 3 and 4 are deeper, slow-wave nightmares occur most often during REM
sleep. High physiological arousal and periods sleep. Night terrors create a near-panic state of
of rapid eye movements characterize the fifth arousal, typically occur in slow-wave sleep, and
stage, REM sleep. Several brain regions, includ- are most common among children.
ing the brain stem, regulate sleep. • Dreams occur throughout sleep but are most
• The amount we sleep nightly changes as we age. common during REM periods. Unpleasant
Genetic, psychological, and environmental fac- dreams are common, and there are gender dif-
tors affect our sleep patterns and sleep length. ferences in dream content. Our cultural back-
• Sleep deprivation negatively affects mood, men- ground, current concerns, and recent events
tal performance, and physical performance. The influence what we dream about.
restoration model proposes that we sleep to • Freud proposed that dreams fulfill unconscious
recover from accumulated physical and mental wishes that show up in disguised form within
fatigue. Evolutionary/circadian models state that our dreams. Activation-synthesis theory regards
species evolved unique waking-sleeping cycles dreaming as the brain’s attempt to “fit” a story to
that maximized their chances of survival. random neural activity. Cognitive-process theories
• Insomnia is the most common sleep disorder, emphasize that dreaming and waking thought are
but less common disorders such as narcolepsy produced by the same mental systems.
and REM-sleep behaviour disorder can have
DRUGS AND ALTERED Recall from Chapter 3 that synaptic trans-

mission involves several basic steps. First,
CONSCIOUSNESS neurotransmitters are synthesized inside the
Like sleep and dreaming, drug-induced altera- presynaptic (sending) neuron and stored in
tions in consciousness have mystified humans vesicles. Next, neurotransmitters are released
for ages. Three millennia ago the Aztecs consid- into the synapse, where they bind with and
ered hallucinogenic mushrooms to be a sacred stimulate receptor sites on the postsynaptic
substance for communicating with the spirit (receiving) neuron. Finally, neurotransmit-
world (Diaz, 1997). Ancient peoples also attrib- ter molecules are deactivated by enzymes or
uted “magical” healing powers to drugs and reuptake. Psychoactive drugs act by influ-
used them recreationally for their mind-altering encing one or more of these steps in synaptic
effects. Today, drugs are a cornerstone of medi- transmission.
cal practice and, as Figure 6.21 shows, psycho-
active drugs are a pervasive part of social life.
How Drugs Facilitate Synaptic
They alter consciousness by modifying brain Transmission
chemistry, but drug effects also are influenced An agonist is a drug that increases the activity
by psychological, environmental, and cultural of a neurotransmitter. Figure 6.22 shows that an
factors (Kassel et al., 2010). agonist may enhance the production, storage, or
release of a neurotransmitter; activate the post-
synaptic receptor (or make it easier for the neu-
Drugs and the Brain rotransmitter to stimulate their receptors); or
Drugs enter the bloodstream and are carried prevent the neurotransmitter from being deac-
throughout the brain by small blood vessels, tivated. Consider two examples. Opiates (such 23. What is
called capillaries. As we saw in Chapter 3, these as morphine, codeine, or fentanyl) are effective the difference
capillaries contain a blood-brain barrier, a spe- pain relievers. Opiates have this action by bind- between an
cial lining of tightly packed cells that lets vital ing to and activating receptors that normally agonist and an
antagonist?
nutrients pass through so that neurons can func- receive endorphins, a neurotransmitter that
tion. The blood-brain barrier screens out many plays a major role in pain relief. An example of
24. How do
foreign substances, but some, including a vari- a psychoactive drug that acts in different ways
drugs increase
ety of drugs, manage to pass through. Once is an amphetamine. Amphetamines are pow- and decrease
inside, they alter consciousness by facilitating erful stimulants, and they have this effect by synaptic
or inhibiting synaptic transmission (Heckers & amplifying the actions of the neurotransmitters transmission?
Konradi, 2000; Julien, 2008). dopamine and norepinephrine. Amphetamines
10
9.1%
8
Percentage of Canadians
reporting drug use
2
0.9% 0.9% 0.7% 0.5%
0
Cannabis Cocaine/crack Hallucinogens Ecstasy Amphetamines
Drug Type
FIGURE 6.21 Percentage of Canadians 15 years of age and older who used illicit drugs during the past year,
2011. For comparison, 78 percent of Canadians 15 years of age and older reported using alcohol during the
past 12 months.
Source: Data from the Canadian Alcohol and Drug Use Monitoring Survey (CADUMS)—2011. Health Canada, 2012. Reproduced with
permission from the Minister of Health, 2016.
218 CHAPTER SIX
(a) Synthesis, storage, release (b) Binding (c) Reuptake
Neurotransmitter
Agonistic molecule
drugs
Agonistic drug Reuptake
molecule blocked by
drug
Receptor
binding
site
Postsynaptic neuron
Drug causes neuron to synthesize more Drug and neurotransmitter have similar Drug blocks reuptake. More transmitter
transmitter molecules, store them more structure. Drug binds with receptor site molecules remain in synapse, available
safely, or release them. and activates it. to activate receptor sites.
Neurotransmitter
Antagonistic molecule
drugs Leakage Antagonistic drug
molecule
Receptor
binding
site
Postsynaptic neuron
Drug impairs neuron’s ability to Drug binds with receptor site but is not
synthesize, store, or release transmitter. similar enough to transmitter to activate site.
Molecules may leak and degrade Blocks transmitter from activating site.
prematurely.
FIGURE 6.22 (a) Agonists cause neurons to synthesize more neurotransmitter molecules, store them more safely, or release them. In
contrast, antagonists impair neurons’ ability to synthesize, store, or release neurotransmitters. (b) Agonists and neurotransmitters have
similar molecular structure. The drug binds with the receptor site and activates it. In contrast, the antagonist binds with the receptor site
but is not similar enough to the neurotransmitter to activate the site. The antagonist’s placement prevents the real neurotransmitter from
binding with and activating the site. (c) The agonist blocks reuptake of the neurotransmitter into the presynaptic neuron. More neurotrans-
mitter molecules remain in the synapse and are available to activate the postsynaptic neuron.
cause neurons to release dopamine and nor- dopamine receptors, but once bound they have
epinephrine, even if the neurons are not firing. no effect on the postsynaptic neuron. Instead,
Amphetamines also block the reuptake of these by occupying the receptor, they prevent the
neurotransmitters, which allows dopamine and neurotransmitter dopamine from binding and
norepinephrine to remain in the synapse and acting on the postsynaptic neuron. That is, with
to keep stimulating the postsynaptic neuron schizophrenia there is too much dopamine activ-
(Julien, 2008). ity, and if dopamine receptors are blocked by
an antipsychotic, dopamine activity decreases
How Drugs Inhibit Synaptic Transmission toward normal levels, and many of the symp-
A drug that inhibits or decreases the actions toms of schizophrenia improve.
of a neurotransmitter is called an antagonist.
As shown in Figure 6.22, an antagonist may
reduce the synthesis, storage, or release of a Tolerance and Withdrawal
25. What is the neurotransmitter, or prevent a neurotransmitter When a drug is used repeatedly, the intensity of
relation among from binding to its receptors on the postsynap- effects produced by the same dosage level may
tolerance, tic neuron. Many antagonists act on the post- decrease over time. This decreasing responsiv-
compensatory synaptic receptors. For example, the drugs that ity to a drug is called tolerance. As tolerance
responses, and began the so-called “psychiatric revolution” of develops, the person must take increasingly
withdrawal?
the mid-1950s acted in this way. These drugs, larger doses to achieve the same physical and
the antipsychotics, are still used to treat schizo- psychological effects. Tolerance stems from the
phrenia, one of the most devastating forms of body’s attempt to maintain a state of optimal
psychosis. (We will discuss schizophrenia in physiological balance, called homeostasis. If
detail later in this book.) Antipsychotics bind to a drug changes bodily functioning in a certain
way, say by increasing heart rate, the brain will helps to explain why addicts often experience
try to adjust for this imbalance by producing increased cravings when they enter a setting
compensatory responses, which are reactions associated with drug use. The environmental
opposite to that of the drug (e.g., reactions that stimuli trigger compensatory responses, which,
decrease heart rate). In effect, compensatory without drugs to mask their effect, cause the
responses represent the body’s way of fighting user to feel withdrawal symptoms (Bradizza &
the invasion of drugs. Stasiewkz, 2009).
What happens when drug tolerance devel- There is a hidden danger in this process, par-
ops and the person suddenly stops using the ticularly for experienced drug users. Compensa-
drug? The body’s compensatory responses tory responses serve a protective function by
may continue and, no longer balanced out by physiologically countering part of the drug’s
the drug’s effects, the person may experience effects. If a user takes his or her usual high dose
strong reactions opposite to those produced in a familiar environment, the body’s compensa-
by the drug. This occurrence of compensatory tory responses will be at full strength—a combi-
responses after discontinued drug use is known nation of compensatory reactions directly to the
as withdrawal (Diaz, 1997). For example, in drug and also to the conditioned environmen-
the absence of alcohol’s sedating and relaxing tal stimuli. But in an unfamiliar environment,
effects, the chronic drinker may experience the conditioned compensatory responses are
increased heart rate, anxiety, and hypertension. weaker, and the drug has a stronger physiologi-
cal net effect than usual.
Learning, Drug Tolerance, and Overdose Siegel (1984) interviewed heroin addicts who
Experiments by Shepard Siegel of McMaster experienced near-fatal overdoses. He found that
University have shown that tolerance for vari- in most cases they had not taken a dose larger
ous drugs partly depends on the familiarity of than their customary one. However, in 70 per-
the drug setting (Larson & Siegel, 1998; Siegel, cent of the cases they had injected themselves
1984). Figure 6.23 illustrates how environmen- in unfamiliar environments. Siegel concluded
tal stimuli associated with drug use begin to that the addicts were not protected by their
elicit compensatory responses through a learn- usual compensatory responses, resulting in an
ing process called classical conditioning. As “overdose” reaction.
drug use continues, the physical setting trig-
gers progressively stronger compensatory Misconceptions about Drug Addiction
responses, increasing the user’s tolerance. This
and Dependence
Drug addiction, which is formally called sub- 26. Describe
stance dependence, represents a maladaptive some myths
Conditioned Drug Responses pattern of substance use that causes a person sig- about drug
nificant distress or substantially impairs that per- dependence.
1. Take drug Body produces son’s life. Substance dependence is diagnosed as
compensatory occurring with physiological dependence if drug
responses.
tolerance or withdrawal symptoms have devel-
2. Repeatedly take Compensatory oped. You probably have heard the term psycho-
drug in a particular responses. logical dependence used to describe situations in
setting
which people strongly crave a drug because of
3. Setting alone
now
Conditioned
its pleasurable effects, even though they are not
produces compensatory physiologically dependent. However, this is not a
response. diagnostic term, and many drug experts feel it is
misleading. They note that such cravings do have
4. Take same dose Compensatory
of drug in unfamiliar responses not at full a physical basis because they are rooted in pat-
setting strength. Drug terns of brain activity (Diaz, 1997).
produces stronger Several misconceptions surround the issue of
reaction. “Overdose”
more likely.
substance dependence:
• Drug tolerance always leads to significant
withdrawal. It often does, but not always.
FIGURE 6.23 Environmental stimuli that are repeatedly Tolerance develops to marijuana and halluci-
paired with the use of a drug can acquire the ability to nogens, such as LSD, yet at typical doses with-
trigger compensatory responses on their own. drawal symptoms are mild (O’Brien, 1997).
220 CHAPTER SIX
• Physiological dependence is the major cause year (Health Canada, 2012), and 17.4 percent
of drug addiction. The image of a shaking of Canadians meet the criteria of being heavy
alcoholic or “heroin junkie” desperately drinkers (Statistics Canada, 2012). Canadians
searching for a drink or a “fix” contributes to spent $20.9 billion on alcohol in 2012 (Statistics
the perception that the motivation to avoid Canada, 2013). Tolerance to alcohol develops
or end withdrawal symptoms is the primary gradually but powerfully and leads to physi-
cause of addiction. Certainly, the withdrawal ological dependence and a dangerous with-
symptoms contribute to drug dependence. drawal syndrome. Alcohol withdrawal is one of
But consider these points: the very few withdrawal syndromes that carry a
• P
eople become highly dependent on some risk of death.
27. Explain how drugs, such as cocaine, that produce only As we discussed in Chapter 3, alcohol
alcohol affects mild withdrawal (Kampmann et al., 2002). increases the activity of GABA, the main inhibi-
the brain. tory neurotransmitter in the brain (Levinthal,
The pleasurable effects of these drugs—
often produced by boosting dopamine 2010). By increasing the action of an inhibi-
activity—play a powerful role in drug tory neurotransmitter, alcohol decreases
dependence (Everitt et al., 1999). brain activity. Alcohol also decreases the
activity of glutamate, a major excitatory neu-
• M
any drug users who quit and make it
rotransmitter, further decreasing brain activ-
through withdrawal eventually start using
ity (Kumar et al., 2009; Levinthal, 2010). Why
again, even though they areno longer phys-
then do many people report getting a “high”
iologically dependent.
from alcohol and initially seem livelier when
• D
rug dependence is influenced by many drinking? The answer is that the neural slow-
factors beyond a drug’s chemical effects, down first depresses the action of inhibitory
including genetic predisposition, personal- control centres in the cerebral cortex, so the
ity traits, religious beliefs, peer influence, person literally becomes “less inhibited” and
and cultural norms (Ehlers et al., 2010). feels euphoric. At higher doses, the brain’s con-
trol centres become increasingly disrupted,
thinking and physical coordination become
Depressants disorganized, and fatigue and psychological
Depressants decrease nervous system activity. depression may occur (Table 6.1).
In moderate doses, they reduce feelings of ten- Thus, alcohol’s subjective effects seem to
sion and anxiety, and produce a state of relaxed have an initial “upper” phase from the release
euphoria. In extremely high doses, depressants of inhibitions, followed by a “downer” phase as
can slow down vital life processes to the point brain centres become increasingly depressed
of death. (Marlatt, 1987). But both phases result from
alcohol’s action as a nervous system depres-
Alcohol sant. Unfortunately, some people respond to
Alcohol is the most widely used recreational the “downer” phase by drinking even more
drug in numerous countries. According to a alcohol in the hope that it will make them feel
recent national survey, 78 percent of C
anadians “high” again, a self-defeating strategy if ever
ages 15 and over said they drank in the past there was one.
TABLE 6.1 Behavioural Effects of Alcohol

BAL Hours to Leave Body Behavioural Effects
0.03 1 Decreased alertness, impaired reaction time in some people
0.05 2 Decreased alertness, impaired judgment and reaction time, feeling
of relaxation, release of inhibitions
0.10 4 Severely impaired reaction time, motor function, and judgment;
less caution
0.15 10 Gross intoxication; impairments worsen
0.25 ? Extreme sensory and motor impairment, staggering
0.30 ? Stuporous but conscious, cannot comprehend immediate environment
0.40 ? Lethal in over 50 percent of cases
Number of drinks 25
25 times the
in a 2-hour period
Increase in auto accident risk (× 100%)

normal risk
Body weight (kilograms)

45 1 2 3 4 5 6 7 8 20
55 1 2 3 4 5 6 7 8
64 1 2 3 4 5 6 7 8 15
73 1 2 3 4 5 6 7 8
82 1 2 3 4 5 6 7 8
10
91 1 2 3 4 5 6 7 8 6 times the
100 1 2 3 4 5 6 7 8 normal risk
5
Caution: some impairment
BAL up to 0.05 Twice the
0 normal risk
Definite impairment: legally
drunk in some areas BAL 0.05 to 0.09
0.00 0.05 0.10 0.15
Marked impairment: legally
drunk in all areas BAL 0.10 or more Blood-alcohol level (BAL)
= =
1 glass 1 shot 1 bottle
of wine of whiskey of beer
FIGURE 6.24 Relation between blood-alcohol level and risk of having an auto accident. At 0.08 to 0.10, the legal
definition of intoxication in most American states and Canadian provinces, the risk is six times greater than at 0.00,
and the risk climbs to 25 times higher at a BAL of 0.15.
Source: Based on National Safety Council, (1992). Blood alcohol level and risk of having an automobile accident. Washington,
DC: Author.
The blood-alcohol level (BAL) is a measure Barbiturates and Tranquilizers

of alcohol concentration in the body. Elevated Physicians frequently prescribe barbiturates
BAL is linked to risky and harmful behav- (“sleeping pills”) and tranquilizers (anti-anxiety
iours, such as having unprotected sex (Leigh & drugs, such as Valium) as sedatives and relax-
Stall, 1993). About 40 percent of American and ants. Like alcohol, the vast majority of these
Canadian traffic accident deaths involve alco- drugs depress the nervous system by increasing
hol (National Highway Traffic Safety Adminis- the activity of the inhibitory neurotransmitter
tration, 2006). As the BAL increases, reaction GABA (Grasshoff et al., 2008).
time, eye-hand coordination, and decision mak- Barbiturates and tranquilizers are widely
ing are impaired (Figure 6.24). overused and powerful tolerance and physi-
Why do intoxicated people often act in risky ological dependence can occur. As tolerance 28. How does
ways that they wouldn’t when sober? It is not sim- builds, addicts may take as many as 50 sleep- being intoxicated
ply a matter of lowered inhibitions; alcohol also affect decisions
ing pills a day. At high doses, barbiturates
reduces cognitive capacity. Intoxicated people dis- about drinking
trigger initial excitation, followed by slurred and driving?
play what Claude Steele and Robert Josephs (1990) speech, loss of coordination, depression, and
termed alcohol myopia, a “shortsightedness” in severe memory impairment. Overdoses, par-
thinking caused by the inability to pay attention to ticularly when taken with alcohol, may cause
as much information as sober people (Cue et al., unconsciousness, coma, and death. Sudden
2007). Drinkers start to concentrate only on those withdrawal after heavy use can cause death, so
aspects of the situation (called cues) that stand out. several months of gradual withdrawal may be
As a result, in the absence of strong cautionary needed before addicts lose their physiological
cues (such as warnings) to inhibit risky behaviour, dependence. Users often don’t recognize that
drinkers do not think about the long-term conse- they have become dependent until they try to
quences of their actions as carefully as when they stop and experience serious withdrawal symp-
are sober (MacDonald et al., 2000). The Research toms, such as anxiety, insomnia, and possibly
Foundations feature illustrates this effect. seizures (Levinthal, 2010).
222 CHAPTER SIX
Research
Foundations
DRINKING AND DRIVING: DECISION while intoxicated”). Participants rated each item on a nine-
MAKING IN ALTERED STATES point scale (1 = strongly disagree; 9 = strongly agree).
Party/Bar Diary Study

Introduction Fifty-one male and female university students recorded a
Most people have very negative attitudes about drunk driv- telephone diary while at a party or a bar where they were
ing and say they would not do it. They realize that the cons going to drink alcohol. Some were randomly assigned to
(e.g., risk of accident, injury, death, and police arrest) far record the diary when they first arrived, and others recorded
outweigh the pros (e.g., avoiding cab fare, not leaving one’s it just before they left. Based on participants’ descriptions
car behind). Why then do so many people decide to drive of how much alcohol they had consumed, the researchers
after they become intoxicated? estimated their BAL and identified two groups: sober par-
Tara MacDonald and her colleagues at the University ticipants (average BAL = 0.01), and intoxicated participants
of Waterloo examined how alcohol myopia affects deci- (average BAL = 0.11).
sions about drinking and driving. The authors reasoned
that when intoxicated people decide whether or not to Results
drive, they may focus on the pros or the cons, but do not The findings from both studies supported the predic-
have the capacity to focus on both. If some aspect of the tions. Sober participants and intoxicated participants both
situation that favours driving (a “facilitating cue”) is made expressed negative general attitudes about drinking and
salient and captures the intoxicated person’s attention driving, and indicated they would not drive when intoxicated.
(e.g., “It will only be for a short distance”), she or he will But when the questions presented a facilitating cue, intoxi-
latch on to it and fail to consider the cons. But in general cated participants expressed more favourable attitudes and a
situations that do not contain facilitating cues, intoxicated greater intention to drive than sober participants (Figure 6.25).
people’s feelings about driving should remain as negative
as when they were sober. More 3
Based on alcohol myopia principles, the authors made favourable Question Type
two predictions. First, intoxicated and sober people will have In general
equally negative general attitudes and intentions toward Special
(versus sober) students
Ratings of intoxicated
drinking and driving. Second, intoxicated people will have circumstance

2
less negative attitudes and greater intentions to drive than
sober people in situations in which a facilitating cue or spe-
cial circumstance is made salient.
Method 1
Laboratory Experiment
Fifty-seven male introductory psychology students, all regu-
lar drinkers who owned cars, participated. They were ran-
No 0
domly assigned to either the sober condition, in which they difference Attitude Intention to
received no alcohol, or the alcohol condition, in which they toward drinking drive while
received three alcoholic drinks within an hour (the average and driving intoxicated
BAL was 0.074 percent, just below the 0.08 percent legal
FIGURE 6.25 When general attitudes and intentions toward
driving limit in Ontario). drinking and driving are measured, intoxicated and sober par-
Participants then completed a drinking and driving ques- ticipants have similarly negative reactions. But when situations
tionnaire. Some items asked about general attitudes and involving special circumstances (i.e., facilitating cues) are pre-
intentions (e.g., “I will drink and drive the next time that I sented, intoxicated participants have less negative attitudes and
am out at a party or bar with friends”). Other items con- intentions about drinking and driving than do sober participants.
tained a facilitating cue: a special circumstance that sug-
Source: From Tara K. MacDonald, Mark P. Zanna, & Geoffrey T. Fong,
gested a possible reason for drinking and driving (“If I only (1995). Decision making in altered states: Effects of alcohol on
had a short distance to drive home . . . [or] If my friends attitudes toward drinking and driving. Journal of Personality and Social
tried to persuade me to drink and drive . . . I would drive Psychology, 68, 973–985.
continued
Discussion laboratory experiment examined behaviour in an artifi-

cial but controlled setting, permitting clearer causal con-
This study illustrates nicely how a person’s physiological
clusions. Because the authors conducted both types of
state (sober versus intoxicated) and an environmental factor
research and obtained consistent findings, we can be more
(general situation versus special circumstance) interact to
confident in their conclusions and the external validity
influence psychological functioning (attitudes and decision
(generalizability) of the findings.
making). However, before accepting the researchers’ claim
that alcohol myopia caused the changes in intoxicated
participants’ responses, we need to think critically about Design
other possible explanations for the results. The authors
anticipated two other reasons why people might drive when Question: If sober people hold negative attitudes
drunk. First, perhaps drinkers do not realize how intoxicated toward drinking and driving, then why after
they are. Second, perhaps intoxicated people overestimate becoming intoxicated do they decide to drive? Does
their driving ability, a belief called drunken invincibility. focusing on “special circumstances” play a role?
The authors tested and ruled out these explanations. Type of Study: Experimental
Intoxicated participants believed they were more intoxicated
than they actually were and estimated that they would Independent Dependent
drive more poorly than the average person. The authors Variables Variables
also conducted a placebo control experiment in which some • A lcohol state • Attitude toward
participants were convincingly misled to believe they were (intoxicated versus “drinking and
intoxicated. Results showed that the alcohol myopia effect sober) driving”
occurred only for participants who truly had consumed alco- • Drinking-driving • Intention to drive
situation (special while intoxicated
hol and was not caused by participants’ expectations. circumstances
The par ty/bar study examined decision making in versus general
a real-life but uncontrolled drinking situation, and there- situation)
fore we cannot draw clear causal conclusions from it. The
Stimulants In schizophrenia, hallucinations and delu-

sions are associated with excess dopamine
Stimulants increase neural firing and arouse 29. How do
activity. Imagine what happens when the stimulants
the nervous system. They increase blood pres- brain’s dopamine activity is boosted beyond
sure, respiration, heart rate, and overall alert- affect brain
normal levels by continuous or frequent functioning?
ness. They also can boost mood, produce amphetamine use: It causes schizophrenia-like Why does heavy
euphoria, and heighten irritability. hallucinations and paranoid delusions, a reac- use lead to a
tion called amphetamine psychosis (Medhus “crash”?
Amphetamines et al., 2015).
Amphetamines—popularly known as speed, There is an inevitable “crash” when heavy
uppers, and bennies—are powerful stimulants. users stop taking amphetamines. They may
They are prescribed to reduce appetite and sleep for one or two days, waking up depressed,
fatigue, to decrease the need for sleep, and, exhausted, and irritable. This crash occurs
sometimes, to reduce depression. Unfortunately, because neurons’ norepinephrine and dopamine
they are widely overused to boost energy and supplies have become depleted. Amphetamines
mood (Ghodse, 2007). tax the body heavily, and addicts have a short
Amphetamines increase dopamine and norepi- life expectancy.
nephrine activity. Tolerance develops and many One form of amphetamine is crystal meth-
heavy users start injecting large quantities, pro- amphetamine, commonly referred to as crystal
ducing a sudden surge of energy and a rush of meth. Crystal methamphetamine comes in clear,
intense pleasure. With frequent injections, they slightly white or blue-white crystals, hence the
may remain awake continuously for as long as a street names of “ice,” “crystal,” and “glass.”
week, their bodily systems racing at breakneck Crystal methamphetamine is inhaled or smoked
speed. Injecting amphetamines greatly increases and is a particularly potent form of amphet-
blood pressure and can lead to heart failure and amine. Abuse of crystal methamphetamine has
cerebral hemorrhage (stroke); repeated high become widespread because of its long-lasting
doses may cause brain damage (Ksir et al., 2008). effects, its potency, and because it is relatively
224 CHAPTER SIX
easy to make from commonly available ingredi-

ents. Crystal methamphetamine causes irritabil-
ity, insomnia, loss of REM sleep, hyperactivity,
confusion, hallucinations, anxiety, paranoia,
and increased aggression. It has a powerful
impact on the cardiovascular system, increases
heart rate and blood pressure, and greatly
increases the risk of stroke and heart attack.
In high doses, methamphetamine also leads to
hypothermia (a drop in core body temperature)
and convulsions and can be fatal. Metham-
phetamine users often show pronounced tooth
decay and lose their teeth abnormally quickly, a
condition known as meth mouth.
Another drug that has been popular in
recent years belongs to this class. MDMA
(3, 4-methylenedioxymethamphetamine), com-
monly called ecstasy, is a derivative of amphet-
amine. Ecstasy acts on several neurotransmitters,
including dopamine, but primarily alters sero-
tonin functioning by causing the release of sero-
tonin and blocking its reuptake (Parrott, 2002).
Although MDMA was once considered to be a
safe drug for enhancing awareness of emotions
and sensations (Siegel, 1986), important adverse
effects have become apparent. MDMA can cause
cognitive deficits, sleep disturbances, sexual dys-
function, and impaired immune responses (Par-
FIGURE 6.26 The top PET-scan image shows the
rott, 2006). After the drug wears off, users often brain of a person who has never used ecstasy. The
feel sluggish and depressed—a rebound effect bottom image shows the brain of a person who has
partly due to depletion of serotonin within the used ecstasy 70 times or more over a period of at least
brain (Travers & Lyvers, 2005). As shown in Fig- 1.5 years but who stopped using the drug for several
ure 6.26, depletion of brain serotonin associated weeks before these images were taken. Areas of lighter
with long-term MDMA use, can persist long after colour indicate a higher density of special proteins (called
transporters) necessary for normal serotonin reuptake.
drug use is stopped.
The darker image of the brain on the bottom suggests
that there is damage to the serotonin reuptake system.
Cocaine
Source: McCann et al., 1998; © Dr. G.A. Ricaurte, Johns
Cocaine is a powder derived from the coca Hopkins University School of Medicine. Reprinted with
plant, which grows mainly in western South permission from Elsevier Science The Lancet. “Positron emission
America. Usually inhaled or injected, it pro- tomographic evidence of toxic effect of MDMA (“Ecstasy”) on
duces excitation, a sense of increased muscu- brain serotonin neurons in human beings” The Lancet Vol. 352,
Issue 9140, 31 November 1998, pages 1433–1437.
lar strength, and euphoria. Like amphetamines,
cocaine increases the activity of norepinephrine
and dopamine, but it does so in only one major In large doses, cocaine can produce fever,
way: It blocks their reuptake. vomiting, convulsions, hallucinations, and par-
Cocaine was once widely used as a local anoid delusions (Smith et al., 2009). A severe
anaesthetic in eye, nose, and throat surgery. depressive crash may occur after a cocaine
Novocaine, a synthetic form of cocaine, is still high, particularly with repeated doses. Crack
used in dentistry as an anaesthetic. Because of is a chemically converted form of cocaine
its stimulating effects, cocaine found its way that can be smoked, and its effects are faster,
into health potions and tonics sold to the public more intense, and more dangerous. Overdoses
to enhance health and emotional well-being. In of crack cocaine can cause sudden death from
1885, John Pemberton mixed cocaine with the cardiorespiratory arrest. Tolerance develops to
kola nut and syrup and developed a soda foun- many of cocaine’s effects, but withdrawal symp-
tain drink that has become one of the icons of toms are mild and the potential for physiologi-
American beverages (Figure 6.27). cal dependence is low. However, cocaine users
(b)
(top): The Advertising Archive, Ltd.; (bottom): © Corbis
FIGURE 6.27 When Coca-Cola was first produced, there was a clear reason why it relieved fatigue. It contained
cocaine.
often develop strong cravings for the drug and using fentanyl (CBC, 2015). Some estimates
the abuse potential is very high. are double that rate and suggest that at least
two people die every three days from the drug
(CCSA, 2015).
Opiates Fentanyl is used to treat patients with
Opium is a product of the opium poppy, a plant severe pain or to manage pain after surgery, 30. Describe the
grown in hot, dry climates. Drugs derived especially among patients who have developed two effects of
from opium, such as morphine, codeine, and tolerance to other opiates. It is often admin- opiates.
heroin, are called opiates. Opiates have two istered as a skin patch, designed to slowly
major effects. First, they provide pain relief. release the drug over 72 hours. Illicit use of
Second, they cause mood changes, which may fentanyl usually involves consuming the drug
include intense euphoria. The opiates oxyco- rapidly by smoking, injection, or chewing.
done and fentanyl dramatically illustrate these Fentanyl is often mixed with other drugs such
two effects; they are powerful painkillers, but as heroin or cocaine and is used to make fake
rapidly became widely abused drugs because OxyContin pills (CCSA, 2015). Mixing fentanyl
of their potent mood-altering effects. Opiates with heroin or cocaine amplifies the potency
bind to and stimulate receptors normally acti- and potential dangers of those drugs, as well
vated by endorphins, thereby producing pain as introducing the toxicity associated with
relief. Opiates also increase dopamine activity, fentanyl itself. Drug users sometimes do not
which may be one reason they induce eupho- know that they are consuming fentanyl but
ria (Flores et al., 2006). Endorphin receptors are think that they are injecting heroin or swal-
found in many brain areas, which accounts for lowing an oxycodone pill.
opiate effects on many brain functions, such Experienced heroin users feel an intense,
as body temperature and hormone levels, and pleasurable “rush” within several minutes
other functions, such as the control of the cough of an injection. For a time, users feel peace-
reflex (Levinthal, 2010). Heroin was originally ful and non-aggressive, as if they are “on top
marketed by the pharmaceutical company of the world” with no concerns. Heroin users,
Bayer as a cough suppressant! however, often pay a substantial price for these
Fentanyl is an especially powerful syn- transient pleasures. High doses can greatly
thetic opiate, even more potent than oxyco- reduce a person’s breathing rate and may lead
done. It has been reported that one person to coma. Overdoses can cause death (Morgan
dies every three days in Canada as a result of et al., 2008).
226 CHAPTER SIX
THC (tetrahydrocannabinol) is mari-

juana’s major active ingredient, and it binds to
receptors on neurons throughout the brain. You
might wonder, as scientists have, why the brain
would have specific receptor sites for a “for-
eign” substance such as marijuana. The answer
is that the brain produces its own THC-like sub-
stances called cannabinoids (Devane et al.,
1992; Stella et al., 1997). With chronic use, THC
may increase GABA activity, which slows down
© Claudia Andujar/Photo Researchers, Inc.
neural activity and produces relaxing effects
FIGURE 6.28 In some cultures, powerful hallucino- (Ksir et al., 2008). THC also increases dopa-
genic drugs are thought to have spiritual powers. Under mine activity, which may account for some of
the influence of peyote, this modern Native American its pleasurable subjective effects (Maldonado &
shaman prepares to conduct a religious ceremony. de Foneseca, 2002). Recent attempts to legal-
ize marijuana use for medical purposes have
Hallucinogens stirred up waves of political controversy
(Figure 6.29; Gottfried, 2000).
Hallucinogens are powerful mind-altering Certain misconceptions exist about mari-
drugs that produce hallucinations. Some juana. One is that chronic use causes people
are derived from natural sources: Mescaline to become unmotivated and apathetic toward
comes from the peyote cactus and psilocybin everything, a condition called amotivational
from mushrooms. Natural hallucinogens have syndrome. Another misconception is that mari-
been considered sacred in many tribal cultures juana causes people to start using more danger-
because of their ability to produce “unearthly” ous drugs. Neither statement is supported by
states of consciousness and contact with spiri-
tual forces (Figure 6.28). Other hallucinogens,
such as LSD and phencyclidine (“angel dust”),
are synthetic.
Hallucinogens usually distort or intensify
31. What is sensory experience and can blur the boundaries
the greatest
between reality and fantasy. Users may speak
danger of
hallucinogens? of seeing sounds and hearing colours, of mys-
tical experiences and insights, and of feeling
32. Explain three exhilarated. They also may have violent out-
myths about bursts, experience paranoia and panic, and have
marijuana. flashbacks after the “trip” has ended. The men-
tal effects of hallucinogens are unpredictable.
This unpredictability constitutes their greatest
danger (Johnson et al., 2008).
Marijuana
Marijuana is a product of the hemp plant (Can-
nabis sativa). Some experts classify it as a hal-
lucinogen, others as a sedative, and some feel it
belongs in its own category (Levinthal, 2010).
Marijuana is the most widely used illicit drug in
© Pawel Dwulit/The Canadian Press
Canada. Although estimates vary, most suggest
that about a third of all Canadians have used FIGURE 6.29 The legal status of marijuana has long
marijuana at least once (Canadian Commu- been a topic of debate in Canada. The use of marijuana
nity Epidemiology Network on Drug Use, 2001; has been legalized for certain medical purposes, such
as helping cancer patients reduce some of the nega-
Centre for Addiction and Mental Health, 2001).
tive side effects (e.g., nausea) of chemotherapy. Fur-
Among some groups, use is even higher; almost ther decriminalization, or even legalization of marijuana
40 percent of high school students report hav- in Canada is hotly debated. In the United States, four
ing used marijuana within the past year (Patton, states have legalized possession of marijuana, and it
Brown, Broszeit, & Dhaliwal, 2001). has been decriminalized in 18 states.
good scientific evidence (Ksir et al., 2008). A psychological, and environmental factors can
third misconception is that using marijuana has influence the drug experience (Stewart, 2002).
no significant dangers. This belief also is untrue. At the biological level, animal research indi-
Marijuana smoke contains more cancer-causing cates that genetic factors influence sensitivity
substances than does tobacco smoke. At high and tolerance to drug effects (Radcliffe et al.,
doses, users may experience negative changes 2009). Genetic factors have been examined most
in mood, sensory distortions, and feelings of extensively with alcohol. Rats and mice can be
panic and anxiety. Marijuana can impair reac- genetically bred to inherit a strong preference
tion time, thinking, memory, and learning, and for drinking alcohol instead of water (He et al.,
can amplify the impact of other risk factors for 1997). Even in their first exposure to alcohol,
psychiatric illness (Hall & Degenhardt, 2009). these rats show greater tolerance than normal
Repeated marijuana use produces tolerance. rats (Murphy et al., 1986).
At typical doses, some chronic users may expe- Among humans, identical twins have a
rience mild withdrawal symptoms, such as rest- higher concordance rate for alcoholism than
lessness. But users of chronically high doses do fraternal twins (Lyons et al., 2006). More-
who suddenly stop may experience nausea and over, people who grow up with alcoholic versus
vomiting, sleep disruptions, and irritability. non-alcoholic parents respond differently to
About 10 percent of marijuana users develop drinking alcohol under laboratory conditions.
dependence (Anthony, 2006). Offspring of alcoholic parents typically display
faster hormonal and psychological reactions 33. What
evidence
as their blood-alcohol level rises, but these
From Genes to Culture: responses drop off more quickly as blood-
supports the
Determinants of Drug Effects alcohol levels decrease (Newlin & Thomson,
hypothesis that
genetic factors
Table 6.2 summarizes some typical drug effects, 1997). Compared with other people, they must influence drug
but a user’s reaction depends on more than the drink more alcohol over the course of a few reactions?
drug’s chemical structure. Other biological, hours to maintain their feeling of intoxication.
TABLE 6.2 Effects of Some Major Drugs

Class Typical Effects Overdose Effects
DEPRESSANTS
Alcohol Relaxation, lowered inhibition, depressed/ Disorientation, unconsciousness, possible
impaired physical and psychological functioning death at extreme doses
Barbiturates/Tranquilizers Tension reduction, depressed reflexes and Shallow breathing, clammy skin, weak and
impaired motor functioning, induced sleep rapid pulse, coma, possible death
STIMULANTS
Amphetamines Increased alertness, pulse, and blood Agitation, hallucinations, paranoid
Cocaine pressure; elevated mood; suppressed appetite; delusions, convulsions, heart failure,
sleeplessness possible death
Ecstasy
OPIATES
Opium Euphoria, pain relief, drowsiness, impaired Shallow breathing, convulsions, coma,
Morphine motor and psychological functioning possible death
Heroin
Oxycodone
Fentanyl
HALLUCINOGENS
LSD Hallucinations and “visions,” distorted time Psychotic reactions (delusions, paranoia),
Mescaline perception, loss of reality contact, nausea, panic that may lead to behaviour causing
restlessness, risk of panic injury
Psilocybin
MARIJUANA Mild euphoria, relaxation, enhanced sensory Fatigue, anxiety, disorientation, sensory
experience, increased appetite, impaired distortions, and possible psychotic
memory and reaction time reactions
228 CHAPTER SIX
Growing up with alcoholic parents includes many Western cultures, increased aggressive-
both genetic and social learning components. ness and sexual promiscuity are commonly
Animal studies have found that cross-fostered associated with drunken excess. In contrast,
rat pups raised by an alcohol-consuming mother members of the Camba culture of Bolivia cus-
consume more alcohol than rat pups raised by tomarily drink large quantities of a 178-proof
mothers who do not drink alcohol (Honey & beverage, remaining cordial and non-aggressive
Galef, 2004). Animals, including humans, learn between episodes of passing out (MacAndrew &
what to eat and drink, in part, by cues provided Edgerton, 1969). In the 1700s, Tahitians intro-
by the parents. Thus, the children of alcoholic duced to alcohol by European sailors reacted
parents could be at an increased risk of abus- at first with pleasant relaxation when intoxi-
ing alcohol for two reasons: genetic factors and cated, but after witnessing the violent aggres-
exposure to a parent who abuses alcohol. Twin siveness exhibited by drunken sailors, they too
and adoption studies, however, have found that began behaving aggressively (MacAndrew &
alcohol abuse among adoptees is correlated with Edgerton, 1969).
alcohol abuse in their biological parents but not Cultural factors also affect drug consumption.
their adoptive parents (Cloninger et al., 1995; Traditionally, American Navajo Indians do not
Heath et al., 2002). Overall, many scientists see consider drinking any amount of alcohol to be
evidence for a genetic role in determining human normal, whereas drinking wine or beer is central
responsiveness to alcohol (Kuo et al., 2009). to social life and cultural identity in some parts
34. Describe how At the environmental level, the setting in of the world (Tanaka-Matsumi & Draguns, 1997).
environmental which a drug is taken can influence a user’s In some cultures, hallucinogenic drugs are feared
and psychological reactions. As noted earlier, compensatory and outlawed, whereas in others they are used in
factors influence physiological responses to a drug can become medicinal or religious contexts to provide new
drug reactions. associated with, and ultimately triggered by, types of awareness and to seek advice from spir-
environmental stimuli in the drug setting. The its (Dalgarno, 2007). In many countries, drug use
behaviour of other people who are sharing the varies across ethnic groups. Black and Hispanic
drug experience provides important cues about Americans, for example, are less likely ever to
how to respond, and a hostile environment may have used alcohol, cocaine, marijuana, and hal-
increase the chances of a “bad trip” with drugs lucinogens than their White peers (Department
such as LSD (Palfai & Jankiewicz, 1991). of Health and Human Services, 1998).
Cultural learning also affects how people Finally, at the psychological level, people’s
respond to a drug (Bloomfield et al., 2002). In beliefs and expectancies can influence drug
In Review
• Drugs alter consciousness by modifying neu- and can cause a severe depressive “crash” after
rotransmitter activity. Agonists increase such the drug wears off.
activity, whereas antagonists decrease it. • Opiates increase endorphin activity, producing
• Tolerance develops when the body produces pain relief and mood changes that may include
compensatory responses to counteract a drug’s euphoria. Opiates are important in medicine but
effects. When drug use is stopped, compensa- are highly addictive.
tory responses continue and produce withdrawal • Hallucinogens, such as LSD, powerfully distort
symptoms. Substance dependence represents sensory experience and can blur the line between
a maladaptive pattern of substance use that reality and fantasy. The effects of hallucinogens
causes a person significant distress or substan- are always unpredictable.
tially impairs that person’s life. It can occur with
or without physiological dependence. • THC, the main active ingredient in marijuana, pro-
duces relaxation and a sense of well-being at low
• Depressants decrease neural activity. The sub- doses but can cause anxiety and sensory distor-
jective “high” and liveliness associated with low tion at higher doses. Marijuana can impair thinking
alcohol doses occur because alcohol depresses and reflexes, and its smoke contains carcinogens.
the activity of inhibitory brain centres. Drinking
contributes to poor decision making. • A drug’s effect depends on its chemical actions, the
physical and social setting, cultural norms, learn-
• Stimulants increase arousal and boost mood by ing, and the user’s genetic predispositions, expec-
enhancing dopamine and norepinephrine activity. tations, and personality.
Repeated use depletes these neurotransmitters
reactions (George et al., 2000). Experiments powerfully influence the effects of a psycho-
show that people may behave as if “drunk” if active drug.
they think they have consumed alcohol even if Personality factors also influence drug reac-
they have not (Marlatt & Rohsenow, 1980). If a tions and usage. People who have difficulty
person’s fellow drinkers are happy and gregar- adjusting to life’s demands or whose contact
ious, he or she may expect to respond in the with reality is marginal may be particularly
same way. The cultural norm that a hallucino- vulnerable to severe and negative drug reac-
gen will enable contact with spirits provides tions and to drug addiction (Ray & Ksir, 1987).
the user with a powerful belief system and Chronic drug use among young people often is
expectation that can shape the nature of the associated with a sense of meaninglessness and
hallucinations and overall emotional reaction lack of direction in life (Newcomb & Harlow,
to the experience. As we learned in Chapter 5, 1986). Figure 6.30 illustrates some of the biologi-
we often perceive what we expect to per- cal, environmental, and psychological factors
ceive, and this applies to drugs; expectations that may determine drug experiences.
Drug-Induced States
Levels of Analysis
Drug-induced states involve an interplay of biological, psychological,
and environmental factors. Let’s summarize some of these factors. ENVIRONMENTAL
• Cultural norms and experiences
can shape users’ drug attitudes and
expectations.
• Repeated drug use in a particular setting can
produce conditioned compensatory stimuli.
• The social context and behaviour of other drug users
who are present can affect how a person responds to
a drug.
BIOLOGICAL
• Drugs increase or decrease the
activity of particular neurotransmitter
systems.
• The body produces compensatory
responses to counteract a drug’s effect,
possibly leading to tolerance.
• Withdrawal symptoms occur when drug use stops
but the body’s compensatory responses continue.
• Genetic factors influence biological reactivity to
specific drugs. PSYCHOLOGICAL
• Drugs can alter numerous aspects of
psychological functioning, including mood,
memory, attention, decision making, social
inhibitions, and pain awareness.
• Users’ attitudes and expectations about drugs can
influence their psychological reactions to a drug.
• A user’s level of personal adjustment can influence
Suppose a person consumes enough the likelihood of a negative drug reaction.
alcoholic drinks within 30 minutes to reach
a blood alcohol level of 0.08. In one case, suppose
all the drinks are the same: all beers or all the
same wine. In another case, suppose each drink
is different: a beer, a glass of red wine, a shot of
tequila. Would you expect the person to feel equally
intoxicated in both cases?
FIGURE 6.30
230 CHAPTER SIX
HYPNOSIS that are read to a subject after a hypnotic induc-

tion (Table 6.3). The subject’s score is based on
In the mid-19th century, the Scottish surgeon the number of “passes.” About 10 percent of sub-
James Braid saw a performance of mesmerism— jects are completely nonresponsive, 10 percent
the use of animal magnetism—to influence pass all or nearly all the items, and the rest fall
behaviour. Braid thought that it was a fraud and in-between (Hilgard, 1977).
so began an investigation into mesmerism that
laid the foundation for the scientific study of Hypnotic Behaviours
hypnotism. He concluded that mesmerism was
a state of “nervous sleep” produced by concen-
and Experiences
trated attention, and renamed it hypnosis, after It is widely claimed that hypnotized people
Hypnos, the Greek god of sleep. experience substantial alteration in psychologi-
cal functioning and behaviour. Let’s examine
The Scientific Study of Hypnosis some of these claims.
Hypnosis is “a therapeutic technique in which Involuntary Control and Behaving

clinicians make suggestions to individuals against One’s Will
who have undergone a procedure designed to
Hypnotized people subjectively experience
relax them and focus their minds” (American their actions to be involuntary (Kirsch, 2001).
Psychological Association, 2016). Hypnosis If this is so, then can a hypnotist make people
draws great interest because some mental health perform acts that are harmful to themselves
practitioners use it as an aid in conducting ther- or others?
apy. Basic scientists explore whether hypnosis In a classic experiment, Martin Orne and
35. Can produces a unique state of consciousness. Frederick Evans (1965) found that hypnotized
everyone be Hypnotic induction is a process that creates subjects could be induced to dip their hands
hypnotized? a context for hypnosis. A hypnotist may ask the briefly in a foaming solution they were told was
subject to sit down, relax, gaze at an object on acid and then to throw the “acid” in another
36. In what the wall, and then in a quiet voice suggest that the person’s face. This action might appear to be a
sense is striking example of the power of hypnosis to
subject’s eyes are becoming heavy and tired. The
hypnotic
goal is to relax the subject and increase her or his get people to act “against their will.” However,
behaviour
“involuntary”? concentration. The procedures used in hypnotic Orne and Evans tested a control group of sub-
Does hypnosis induction are thought to be related to those used jects who were asked simply to pretend that
have a unique in meditation (Cahn & Polich, 2006). they were hypnotized. These subjects were just
power to coerce Contrary to popular belief, people cannot be as likely as hypnotized subjects to put their
people against hypnotized against their will. Even when people hand in the acid or throw it at someone, and
their will? want to be hypnotized, they differ in how “sus- they performed this action of their own will.
ceptible” (i.e., responsive) they are to hypnotic Hypnosis does not involve any unique
suggestion. Hypnotic susceptibility scales power to get people to behave “against their
contain a standard series of pass/fail suggestions will” (Wagstaff, 2008). An authority figure can
TABLE 6.3 Sample Test Items from the Stanford Hypnotic Susceptibility Scale, Form C
Item Suggested Behaviour Criterion for Passing
Arm lowering Right arm is held out; subject is told The arm is lowered at least 15 centimetres in
arm will become heavy and drop. 10 seconds.
Moving With hands extended and close Hands are 15 or more centimetres apart in
hands apart together, subject is asked to imagine a 10 seconds.
force pushing them apart.
Mosquito It is suggested that a mosquito is Any grimace or acknowledgment of the
hallucination buzzing nearby and lands on the subject. mosquito is shown.
Posthypnotic Subject is awakened and asked to recall Three or fewer items are recalled before subject
amnesia suggestions after being told under is told, “Now you can remember everything.”
hypnosis that she will not remember.
Source: Based on Wertzenhoffer, A. M., & Hilgard, E. R. (1962). Stanford Hypnotic Susceptibility Scale: Form C. Palo Alto, CA:
Consulting Psychologists Press.
(1962) found that under hypnosis an allergic

reaction to a toxic leaf could be prevented and
an allergic reaction to a harmless leaf produced.
Should we attribute the human-plank feat
and the unusual responses of the allergic people
to unique powers of hypnosis? Here is where a
healthy dose of critical thinking is important.
Pain Tolerance
Scottish surgeon James Esdaile performed 37. Does
more than 300 major operations in the mid- hypnosis
1800s using hypnosis as the sole anaesthetic produce pain
relief? Is this a
(Figure 6.32). Experiments confirm that hypno-
placebo effect?
sis can increase pain tolerance and that this is
not due to a placebo effect (Milling, 2008). For
patients who experience chronic pain, hypnosis
© AP Photo/Bookstaver can produce relief that persists for months or
FIGURE 6.31 The “human plank” demonstration, a even years (Patterson, 2004).
favourite of stage hypnotists, seems to demonstrate We do not know exactly how hypnosis pro-
the power of the hypnotic trance. Most of the audience duces painkilling effects. Brain-imaging stud-
is unaware, however, that the average man suspended ies have found that hypnosis modifies activity
in this manner can support a person on his chest within brain areas involved in processing painful
out hypnosis. In the photo, The Amazing Kreskin, a pro-
stimuli. Nonhypnotic techniques, such as visual
fessional magician, demonstrates this fact with a group
of unhypnotized men.
imagery and distractions, can, however, also
alter activity in these brain areas and reduce the
feeling of pain (Fardo et al., 2015).
induce people to commit highly “out of charac-
ter” and even dangerous acts, whether or not Hypnosis and Memory
they are hypnotized. We will return to this idea You may have seen TV shows or movies in which
later when we are discussing social psychology, hypnotized people are given a suggestion that
authority, and the power of social roles. they will not remember something, either during
the session itself (hypnotic amnesia), or after
Physiological Effects and Amazing Feats the hypnotic trance has ended (posthypnotic
Have you seen or heard about stage hypno-
tists who get an audience member to perform
an amazing physical feat, such as the “human
plank” (Figure 6.31)? A subject, usually male, is
hypnotized and lies outstretched between two
chairs. He is told that his body is rigid and then,
amazingly, another person successfully stands
on the subject’s legs and chest. Similarly, hyp-
nosis can have striking physiological effects. In
one classic experiment, Ikemi and Nakagawa
Thinking critically
HYPNOSIS AND AMAZING FEATS
In the case of the human plank and in the allergy
experiment, what additional evidence do you need
to determine whether these amazing feats and
responses really are caused by hypnosis? How
could you gather this evidence?
© Bettmann/Corbis
at the end of the book. FIGURE 6.32 This patient is having her appendix
removed with hypnosis as the sole anaesthetic. Her ver-
bal reports that she feels no pain are being recorded.
232 CHAPTER SIX
amnesia). A “reversal cue” also is given, such as dissociation theories that view hypnosis as
a phrase (“You will now remember everything”) an altered state involving a division (“disso-
that ends the amnesia once the person hears it. ciation”) of consciousness (Kihlstrom, 2007).
Is this Hollywood fiction? Research indicates That is, hypnosis creates a division of aware-
that about 25 percent of hypnotized univer- ness in which the person simultaneously expe-
sity students can be led to experience amnesia riences two streams of consciousness that are
(Kirsch, 2001). cut off from each other. One stream responds
In contrast to hypnotic amnesia, there is a to the hypnotist’s suggestions, while the second
popularly held view that hypnosis can enhance stream—the part of consciousness that moni-
memory. The results of controlled experiments tors behaviour—remains in the background but
have revealed that, overall, hypnosis does not is aware of everything that goes on. Hilgard
reliably improve memory (Lynn et al., 2009; refers to this second “part” of consciousness as
Whitehouse et al., 2009). Hypnotized people do the hidden observer.
report more information, but much of that extra Suppose a hypnotized subject is given a sug-
information is inaccurate. To make matters gestion that she will not feel pain. Her arm is
worse, the fact that they recalled these “mem- lowered into a tub of ice-cold water for 45 sec-
ories” under hypnosis makes people feel more onds and every few seconds she reports the
confident in the accuracy of the information amount of pain. In contrast to unhypnotized
(Burgess & Kirsch, 1999; Wagstaff et al., 2008). subjects, who find this experience increasingly
That is, memory is not more accurate under painful, she will report feeling significantly less
hypnosis, but people believe that it is. pain. But suppose the procedure were done dif-
Another concern is that some memories ferently. Before lowering the subject’s arm, the
recalled under hypnosis may be pseudomemo- hypnotist says, “Perhaps there is another part
ries, false memories created during hypnosis of you that is more aware than your hypnotized
by statements or leading suggestions made by part. If so, would that part of you report the
the examiner (Lynn et al., 2009). When hyp- amount of pain.” In this case, the subject’s other
notized and nonhypnotized subjects are inten- stream of consciousness, the “hidden observer,”
tionally exposed to false information about an will report a higher level of pain (Figure 6.33).
event. Highly suggestible people who have been For Hilgard, this dissociation explains why
hypnotized are most likely to report the false behaviours that occur under hypnosis seem
information as being a true memory and are involuntary or automatic. Given the suggestion
confident that their false memories are accu- that “your arm will start to feel lighter and will
rate (Sheehan et al., 1992; Wagstaff, 2009). The begin to rise,” the subject intentionally raises
increased suggestibility of hypnotized people the arm, but only the hidden observer is aware
makes them particularly susceptible to memory of this. The main stream of consciousness that
distortion (Scoboria et al., 2002). In 2007, the responds to the command is blocked from this
Supreme Court of Canada ruled that evidence awareness, and thus perceives that the arm is
obtained by using hypnosis should not be used rising all by itself.
as evidence in criminal cases because it is not
sufficiently reliable. Social Cognitive Theories:
Roles and Expectations
38. According to Nicholas Spanos of Carleton University was
the dissociation
Theories of Hypnosis one of the leading proponents of a very differ-
theory of Hypnos may have been the Greek god of sleep, ent view of hypnosis. To Spanos and others,
hypnosis, why but hypnosis definitely is not sleep. James Braid, hypnosis does not represent a special state of
do hypnotic the Scottish doctor who pioneered the modern dissociated consciousness (Dienes et al., 2009;
behaviours seem study of hypnosis, realized this and tried to Spanos, 1991). In general, social cognitive the-
involuntary? change the name but it was too late; it became ories propose that hypnotic experiences result
known as hypnosis. What then is hypnosis, and from expectations of people who take on the
39. According to how does it produce its effects? role of being “hypnotized.” Most people believe
social cognitive
that hypnosis involves a trancelike appear-
theories of Dissociation Theories: ance, responsiveness to suggestion, and a loss
hypnosis, why
Hypnosis as Divided Consciousness of self-consciousness. People who accept the
do hypnotic
behaviours seem Several influential researchers, such as Ken role of hypnotized participant conform to this
involuntary? Bowers of the University of Waterloo and role and develop a perceptual set—a readiness
Ernest Hilgard of Stanford University, proposed to respond to the hypnotist’s suggestions and
16
14
Normal
waking pain
12
10
Pain rating
8
Hidden
observer
6
4 Hypnotized
subject
2
0
5 15 25 35 45
(a) (b) Seconds in ice water
(a) Courtesy News and Publications Service, Stanford University; (b) Data from Hilgard, E.R. (1977). Divided consciousness: Multiple controls in human
thought and action. New York, NY: Wiley.
FIGURE 6.33 (a) This hypnotized subject’s hand is immersed in painfully cold ice water. Placing his hand on her
shoulder, Ernest Hilgard contacts her dissociated “hidden observer.” (b) Pain intensity ratings given by a subject
when she is not hypnotized, by the subject under hypnosis, and by the hidden observer in the same hypnotic
state. The hidden observer reports more pain than the hypnotized subject, but less pain than the subject when
she is not hypnotized.
to perceive hypnotic experiences as real and of this basic principle. The hypnotized sub-
“involuntary.” ject perceives their behaviour as involuntary
In a classic study, Martin Orne (1959) illus- because this is what they expect, and because
trated the importance of expectations about attention is focused externally on the hypno-
hypnosis. During a classroom demonstration, tist and the hypnotic suggestion (Kirsch, 2001).
university students were told that hypnotized Can the debate about hypnosis be resolved?
people frequently exhibit spontaneous stiffen- Some psychologists believe the dissociation and
ing of the muscles in the dominant hand. Actu- social cognitive viewpoints can be integrated
ally, this rarely occurs. An accomplice of the into a comprehensive theory (Kihlstrom, 1998;
lecturer pretended to be hypnotized and, sure Woody & Sadler, 1998). Others disagree, saying
enough, he “spontaneously” exhibited hand it is time to discard some ideas of dissociation
stiffness. When students who had seen the dem- theory (Kirsch & Lynn, 1998a). The only sure
onstration were later hypnotized, 55 percent of bet is that hypnosis will remain a controversial
them exhibited stiffening of the hand without topic for some time to come.
any suggestion from the hypnotist. The control
group participants did not see such a demon- The Hypnotized Brain
stration and none of these students exhibited Can peering inside the brain help us deter-
hand stiffening when they were hypnotized. mine the nature of hypnosis? Presenting pain-
Does social cognitive theory imply that reducing suggestions to hypnotized subjects
people are faking or play-acting when they are decreases both subjective reports of pain and
hypnotized? Not at all. Role theorists empha- activity in brain areas that process pain infor-
size that, when people immerse themselves in mation (Milling, 2008). Activity in brain areas
a social role, their responses are completely linked to sensation and perception, memory
“real.” Recall from Chapter 5 on perception and motor control have all been studied under
that perceptual sets strongly influence how hypnosis (Landry & Raz, 2015). These studies
the brain organizes sensory information. tend to support the conclusion that altered brain
According to social cognitive theory, many of activity matches verbal reports while hypno-
the effects of hypnosis represent an extension tized (Dienes et al., 2009).
234 CHAPTER SIX
Social cognitive theorists argue that these almost drunk! When told the drinks were non-
findings do not resolve the issue (Kirsch, 2001). alcoholic, he argued that there had to be a mis-
They note that hypnotic experiences are sub- take. When shown his true Breathalyzer result
jectively real, and if hypnosis alters brain activ- of 0.000, he claimed it was rigged and refused
ity this does not contradict the position that to drive home until the effects of his “drinks”
people’s expectations are what lead them to wore off (MacDonald et al., 1995)!
become hypnotized in the first place. In sum, Clearly, we have a remarkable capacity to
cognitive neuroscience provides insights into alter our own state of consciousness without
the hypnotized brain, but it will take more being aware that we are responsible for causing
research to resolve the debate about hypnosis the change. In fact, might this capacity to alter
(Dienes et al., 2009). consciousness underlie dissociative identity dis-
order (DID)? Social cognitive theorists propose
that, as with hypnosis, DID is a state in which
SOME FINAL THOUGHTS people become deeply enmeshed in a role and
sincerely come to perceive themselves as having
We have seen that consciousness can be stud-
multiple identities (Lilienfeld et al., 1999; Spanos,
ied scientifically at biological, psychological,
1991). In contrast, dissociation theorists believe
and environmental levels. In so doing, we have
that DID represents a state of divided con-
learned that altered states are not as divorced
sciousness that usually develops as a protective
from “normal” waking consciousness as had
reaction to extreme childhood trauma, such as
previously been thought. In a way, we all expe-
prolonged sexual abuse (Gleaves, 1996; Putnam,
rience dissociated consciousness in the form of
1998). Add to this mix the fact that some people
divided attention, and dreaming shares much in
intentionally fake DID, and you have an intrigu-
common with waking thought processes. As you
ing controversy that we explore in Chapter 16.
learned in Chapter 1, expectations powerfully
Along with the study of perception, probing
affect everyday waking perception. Now we see
the mysteries of conscious experience goes to
that our expectations and beliefs influence hyp-
the heart of understanding the subjective nature
notic and drug-induced experiences.
of “reality.” On this matter, the century-old
Consider the behaviour of the following
words of William James remain pertinent today:
participant in the Research Foundations
experiment on drinking and driving earlier Our normal waking consciousness is but
in the chapter. This university student con- one special type of consciousness, whilst
sumed three non-alcoholic drinks but through all about it, parted from it by the filmi-
taste and smell cues was convincingly led to est of screens, there lie potential forms of
believe that they were alcoholic. Prior to tak- consciousness entirely different. . . . No
ing a Breathalyzer test, he estimated his blood- account of the universe in its totality can be
alcohol level to be 0.07, just below the 0.08 legal final which leaves these other forms of con-
driving limit where he lived. He felt he was sciousness quite disregarded. (1902, p. 298)
In Review
• Hypnosis involves an increased receptiveness to does not reliably improve memory or lead to the
suggestion. Hypnotic susceptibility scales mea- recall of forgotten information.
sure people’s responsiveness to hypnosis. • Dissociation theories view hypnosis as an
• Hypnotized people subjectively experience their altered state of divided consciousness. Hilgard
actions to be involuntary, but hypnosis has no proposes that one stream of consciousness
unique power to make people behave “against responds to the hypnotist’s suggestions, while
their will.” In experiments, hypnotized and unhyp- another stream (the hidden observer) stays in
notized people are equally likely to show striking the background and is fully aware of everything
physiological reactions and perform “amazing” going on. Social cognitive role theories state
physical feats. Hypnosis increases pain toler- that hypnotic experiences occur because people
ance, but other psychological techniques also have strong beliefs and expectations about hyp-
can reduce pain. nosis and are highly motivated to enter a hypno-
• Some people can be led to experience hypnotic tized “role.” People’s actions are sincere but not
and posthypnotic amnesia. Hypnosis, however, the result of divided consciousness.
Gaining Direction
What are the How can someone with no talent for art become state of consciousness and we might want to
issues? a superb artist when asleep? Is Lee Hadwin truly explore what consciousness is and how it might
gifted or is this some kind of elaborate hoax? change. In puzzling through these issues, we need
Obviously, when Lee is sleeping he is in a different to assess just what goes on during asleep.
What is consciousness? What are dreams and when do they occur?

What do What happens during sleep? Can individuals perform unconscious actions
we need to How do we explain sleepwalking? that they cannot do in waking life?
know? How might we distinguish between
unconscious activity and a hoax?
Where can As you review the chapter, there are several consider the material on sleep disorders. When
we find the critical pieces of information to assess. First, does sleepwalking normally occur? Can you
information to look at the material on the stages of sleep. What dream in this stage? If Lee is not acting out a
happens when you fall to sleep? Carefully exam- dream, what is he doing? Finally, you might
answer these
ine the different stages, and determine what want to look for similar cases of unusual activ-
questions? is going on in the brain at each stage. Second, ity during sleep. Are similar factors involved?
CHAPTER
Learning and Adaptation:

The Role of Experience 7
CHAPTER ADAPTING TO THE ENVIRONMENT BIOLOGY AND LEARNING
OUTLINE How Do We Learn? The Search for Mechanisms Constraints on Classical Conditioning:
Habituation and Sensitization Learned Taste Aversions
Are We Biologically Prepared to Fear Certain Things?
CLASSICAL CONDITIONING: ASSOCIATING ONE Constraints on Operant Conditioning: Animals That
STIMULUS WITH ANOTHER “Won’t Shape Up”
Pavlov’s Pioneering Research Learning and the Brain
Basic Principles
COGNITION AND LEARNING
Applications of Classical Conditioning
Insight and Cognitive Maps
Applications: Learning, Virtual Reality, and Therapy
Focus on Neuroscience: Place Cells and
OPERANT CONDITIONING: LEARNING Cognitive Maps
THROUGH CONSEQUENCES Cognition in Classical Conditioning
Thorndike’s Law of Effect Frontiers: Animal Cognition
Skinner’s Analysis of Operant Conditioning Cognition in Operant Conditioning
Antecedent Conditions: Identifying When to Respond
OBSERVATIONAL LEARNING: WHEN OTHERS
Consequences: Determining How to Respond
PAVE THE WAY
Shaping and Chaining: Taking One Step at a Time
Generalization and Discrimination Bandura’s Social-Cognitive Theory
Schedules of Reinforcement Research Foundations: Using Social-Cognitive
Escape and Avoidance Conditioning Learning Theory to Prevent AIDS: A National
Experiment
Applications of Operant Conditioning
A man who carries a cat by the tail learns something he can learn in no other way.
—Mark Twain
About one in five air pas-

sengers experience some What are the
degree of fear when they issues here?
step aboard an airplane. Their
heart and breathing rates increase.
What do we need
Their palms become sweaty, and to know?
their arousal levels are high. For
3 percent of air travellers, the
Where can
arousal is so high that they are in a we find the
state of panic, even when sitting in information to
the airport parking lot. These indi- answer these
viduals have aviophobia. The fear questions?
and panic stems from a variety of
sources: media reports, unusual
sounds aboard the aircraft,
© Vicki Beaver/Alamy Stock Photo
turbulence, and a general loss of control. Some take to driving all the way across Canada to avoid
air travel completely.
In an effort to overcome this problem, people have turned to drugs, hypnosis, and audio self-help
recordings. The self-help recordings have limited success, hypnosis works for some, and drugs,
while reducing anxiety, do not really cure the problem. But recently, a new program run by Marc-
Antoine Plourde of Montreal is showing a lot of promise. Plourde, a captain with Air Canada, runs
the DePlour Training Centre, where individuals can sign up for a two-day course to reduce their fear.
The course involves seminars on pilot training, aircraft design, and maintenance; a ride in a flight
simulator; plus a graduation “liberty flight” from Montreal to Toronto. Together with a licensed
therapist, Plourde explains the science of flight and the psychology of fear. During a demonstration
of aircraft design, Plourde uses a model of an Airbus A330 to show how the wings are engineered
to bend. However, he bends them a little too much (on purpose), breaking off the wing much to the
astonishment (and shock) of the participants. Their worst fear realized, Plourde explains how this
could not happen in the real world.
Does the program work? Plourde claims a 94 percent satisfaction rate and notes that only four
of 500 people have failed to take the liberty flight. Apparently, dealing with the emotional anxiety is
more important than stressing airplane safety. As Captain Tom Bunn, who runs a similar program in
the United States, notes, “People tell us that they know that flying is safer than driving, but my car
doesn’t fall 30 000 feet [9100 metres] from the sky.”
R
eflect for a moment on how much of your our responses with specific consequences. For
behaviour is learned: telling time, getting example, we learn that smiling at others is fol-
dressed, driving, reading, using money, lowed by a friendly greeting. The study of asso-
playing sports, and so on. Beyond such skills, ciative learning has been central to the study
learning affects our emotional reactions, percep- of learning in psychology. Indeed throughout
tions, and physiological responses. Through expe- much of the history of psychology, “learning”
rience, we learn to think, act, and feel in ways was used to mean associative learning. Our
that contribute richly to our individual identity. examination of learning then considers observa-
Learning is a process by which experience tional learning, in which we learn by watching
produces a relatively enduring change in an others behave. Finally, we consider the role of
organism’s behaviour or capabilities. The term cognition in conditioning.
capabilities highlights a distinction made by
many theorists: “knowing how,” or learning, ver- ADAPTING TO THE
sus “doing,” or performance. For example, experi-
ence may provide us with immediate knowledge ENVIRONMENT
(e.g., you may receive instructions on how to From the moment we are born, we encounter
perform a skill), but in science we must measure changing environments, each with its unique 1. Historically,
learning by actual changes in performance. how have
challenges. Some challenges affect survival,
In this chapter, we explore basic learning pro- behaviourists
such as acquiring food and shelter. Others do defined
cesses. The first, habituation and sensitization, not, such as deciding where to go on a date. But learning?“
involve a change in behaviour that results from no matter the challenge, learning makes it pos-
repeated exposure to a single stimulus. Next, we sible for us to adapt to it. In fact, we can view 2. What role
explore two forms of conditioning that involve learning as a process of personal adaptation to does the
learning associations between events, and the ever-changing circumstances of our lives. environment
hence have often been referred to as associative play in personal
learning. Classical conditioning occurs when and species
two stimuli become associated with each other.
How Do We Learn? The Search adaptation?
For example, seeing a dog and being bitten for Mechanisms
become associated such that one stimulus (see- Many of the key principles that we will discuss
ing a dog) now triggers a new response (fear). reflect important discoveries by the behaviour-
In operant conditioning, we learn to associate ists (Bolles & Beecher, 1988). Within psychology,
238 CHAPTER SEVEN
behaviourists focused on how organisms learn,

examining the processes by which experience
influences behaviour. Behaviourists assumed
that there are laws of learning that apply to
virtually all organisms. For example, each spe-
cies they studied—whether birds, reptiles, rats,
monkeys, or humans—responded in predictable
ways to patterns of reward or punishment.
Behaviourists treated the organism as a
tabula rasa, or blank tablet, upon which learn-
ing experiences were inscribed. Most of their
research was conducted with nonhuman species
in controlled laboratory settings. Behaviourists
explained learning solely in terms of directly
observable events and avoided speculating
about an organism’s unobservable “mental
state.” The concept of learning calls attention to
the importance of adapting to the environment.
Whereas evolution focuses on species’ adaption
across many generations, learning represents a
process of personal adaptation.
The resurgence of the cognitive perspective,
an interest in biological factors, and the emer-
gence of cross-cultural psychology also have
expanded our understanding of learning. Cogni-
tive and biological factors play important roles
in learning (Dickinson, 1997; Shanks, 2010).
As we have seen and will continue to explore
in upcoming chapters, cross-cultural research (top) © Oan Connell/The Image Works; (bottom) © George Houlton/
highlights the important impact that culture has Photo Researchers, Inc.
on what we learn—from social customs (norms)
FIGURE 7.1 People in different cultures learn differ-
and beliefs, to our most basic perceptions of ent behaviours to adapt to their environment. Even the
the world and ourselves (Figure 7.1; Super & same general skill will take different forms depending
Harkness, 1997). Culture’s impact is not surpris- on unique environmental features and demands.
ing, given that learning represents adaptation to
the environment and culture is the human-made
part of our environment (Herskovits, 1948). And demonstrate a change in behaviour because of
yet, the learning mechanisms that foster this the repeated presentation of a single stimulus.
adaptation are universal among humans and, in Habituation is a decrease in the strength
3. What is some cases, occur across countless species. of response to a repeated stimulus. It may be
habituation,
the simplest form of learning and occurs across
and what is Habituation and Sensitization species, ranging from humans to dragonflies
its adaptive
significance? Imagine that you are sitting in a room study- and sea snails (Glanzman, 2009). University of
ing. You notice that the clock makes an audible British Columbia psychologist Catherine Rankin
sound as the second hand moves to each new has even demonstrated habituation in a micro-
notch. Over time, as the tick occurs again and scopic worm (a nematode) that has only 302 neu-
again, you notice it less and less, and eventu- rons (Lau et al., 2013). Habituation serves a key
ally you do not register it at all. Now imagine adaptive function. You do not need to constantly
that you hear a rustling sound outside your respond to the pressure of clothing on your skin,
window at night. Although you think it must to the sound of the ventilation system, or to the
just be the wind in the trees, the sound startles hum of distant traffic. If an organism responded
you. You move to the window and experience to every stimulus in its environment, it would
an increase in arousal. The sound repeats and rapidly become overwhelmed and exhausted.
generates a stronger response in you, as you By learning not to respond to uneventful famil-
become increasingly fearful. These two exam- iar stimuli, organisms conserve energy and can
ples illustrate the simplest forms of learning and attend to other stimuli that are important.
Learning and Adaptation: The Role of Experience 239
Habituation also plays an important role in jump a little more, pull your hand back a little
enabling scientists to study behaviour. Whether more quickly, and show a slightly stronger emo-
observing animals in the wild or schoolchil- tional reaction (the words you call out may also
dren, a researcher’s mere presence may ini- change). Each shock elicits a stronger response;
tially disrupt participants’ natural responses. that is, you have shown sensitization.
Thus, before collecting data, observers often Like habituation, sensitization is found across
allow people and animals to habituate to their a wide range of species, even among animals
presence. with very simple nervous systems (Cai et al.,
Habituation is different from sensory adap- 2011). Sensitization tends to occur to strong or
tation, which we discussed in Chapter 5. Sen- noxious stimuli (Donahoe & Palmer, 1994), and
sory adaptation refers to a decreased sensory its purpose is to increase responses to a poten-
response to a continuously present stimulus. tially dangerous stimulus.
Habituation, on the other hand, is a simple
form of learning that occurs within the cen- CLASSICAL
tral nervous system. You may habituate to a
stimulus, but that sensory information is still
CONDITIONING:
available if it becomes relevant. For example, ASSOCIATING ONE
you habituate to the feeling of your clothing STIMULUS WITH
against your skin. That tactile information has
been presented continuously with no impor-
ANOTHER
tant consequences, so you no longer notice it. Life is full of interesting associations. Do you
If, however, there is reason to become aware ever hear songs on the radio or find yourself
of skin sensations, perhaps because of a wasp in places that instantly make you feel good
or a mosquito in your vicinity, you suddenly because they’re connected to special times
become keenly aware of all the light touches you’ve had? When you smell the aroma of pop-
on your skin that a few seconds ago had shown corn or freshly baked cookies, does it make
habituation. your mouth water or stomach growl? These
Sensitization is an increase in the strength examples illustrate a learning process called
of response to a repeated stimulus. For exam- classical conditioning, in which an organism 4. What is
sensitization, and
ple, if a loud tone is sounded, an organism will learns to associate two stimuli (e.g., a song and
why would you
show the startle reflex: They will orient to the a pleasant event), such that one stimulus (the want to sensitize
sound; their muscle tension increases rapidly; song) comes to produce a response (feeling to the repeated
and they jump and may vocalize. With repeated happy) that originally was produced only by the presentation of a
presentation of a loud tone, the startle response other stimulus (the pleasurable event). stimulus?
increases in intensity (Donahoe & Palmer, Like habituation and sensitization, clas-
1994). Have you ever touched a metal object, sical conditioning is a basic form of learn-
such as a door handle, and received a static ing that occurs in mammals, birds, reptiles,
electric shock? If you then touch another metal fish, sea snails, and even insects (Kandel &
object and receive a second shock, you will Hawkins, 1992; Watanabe et al., 2008). Classical
In Review
• Learning is a process by which experience pro- • Habituation is a decrease in the strength of a
duces a relatively enduring change in an organ- response to a repeated stimulus. It may be the
ism’s behaviour or capabilities. Learning is simplest form of learning.
measured by changes in performance. • Habituation allows organisms to attend to other
• Learning involves adapting to the environment. stimuli that are more important.
Historically, behaviourists focused on the pro- • Sensitization is an increase in the strength of a
cesses by which organisms learn, and etholo- response to a repeated stimulus.
gists focused on the adaptive significance of
learning. Today, these two perspectives have • Sensitization increases an organism’s response
crossed paths, and more attention is paid also to potentially dangerous stimuli.
to how mental processes and cultural environ-
ments influence learning.
240 CHAPTER SEVEN
(a) (b)
(a) © Bettmann/Corbis
FIGURE 7.2 (a) Ivan Pavlov (the man with the white beard) is shown here with colleagues and one of his canine subjects. (b) In his early
research, Pavlov measured salivation by using a simple device similar to the one shown here. In later research, a collection tube was
inserted directly into the salivary gland.
conditioning involves learning an association Pavlov’s research team rigorously studied this
between stimuli. Its discovery dates back to the process for decades, and this type of learning
late 1800s and an odd twist of fate. by association came to be called classical or
Pavlovian conditioning (Pavlov, 1928). Many
Pavlov’s Pioneering Research psychologists regard Pavlov’s discovery as
“among the most important in the history of
In the 1860s, Ivan Pavlov was studying theol-
psychology” (Dewsbury, 1997). But why all the
ogy in a Russian seminary and preparing for
fuss about dogs salivating to tones?
the priesthood when his career plans unex-
This question raises a major point about basic
pectedly changed. A new government policy
scientific research. As noted in Chapter 2, what
allowed the translation of Western scientific
is paramount is the underlying principle being
publications into Russian. Before long, Pavlov
demonstrated, not the specific findings. Classi-
read Darwin’s theory of evolution and other
cal conditioning performs a key adaptive func-
works, which sparked in him a strong inter-
tion; classical conditioning alerts organisms to
est in the sciences (Windholz, 1997). Pavlov
stimuli that signal the impending arrival of an
became a renowned physiologist, conducting
important event. As Pavlov noted, if salivation
research on digestion in dogs that won him the
could be conditioned, so might other bodily pro-
Nobel Prize in 1904.
cesses, including those affecting susceptibility
To study digestion, Pavlov presented vari-
to disease and mental disorders.
ous types of food to dogs and measured their
natural salivary response (Figure 7.2). But as
often occurs in science, Pavlov was about to Basic Principles
make an accidental but important discovery What factors influence the acquisition and per-
through astute observation. He noticed that sistence of conditioned responses? Let us exam-
with repeated testing, the dogs began to salivate ine some basic principles of conditioning.
before the food was presented, such as when
they heard the footsteps of the approaching Acquisition
experimenter. Acquisition refers to the period during which a
Further study confirmed Pavlov’s observa- response is being learned. Suppose we wish to
tion. Dogs have a natural reflex to salivate to condition a dog to salivate to a tone. Sounding
food but not to tones. Yet when a tone or other the tone initially may cause the dog to perk up
stimulus that ordinarily did not cause saliva- its ears and stare at us oddly, but not to sali-
tion was presented just before food powder was vate. At this time, the tone is a neutral stimulus
squirted directly into a dog’s mouth, the sound because it does not elicit (i.e., trigger) the sali-
of the tone alone soon made the dog salivate. vation response (Figure 7.3). Now, if we place
Before conditioning
No
Tone salivation
response
Unconditioned
Unconditioned
Stimulus (UCS)
Response (UCR)
(food
(salivation)
powder)
During conditioning Conditioned

Stimulus (CS)
(tone) Unconditioned
+ Response (UCR)
Unconditioned (salivation)
Stimulus (UCS)
(food powder)
After conditioning
Conditioned Conditioned
Stimulus (CS) Response (CR)
(tone) (salivation)
FIGURE 7.3 In classical conditioning, after a neutral stimulus such as a tone is repeatedly associated with food
(unconditioned stimulus), the tone becomes capable of eliciting a salivation response.
food in the dog’s mouth, the dog will salivate. response (CR). Table 7.1 offers a quick refer-
This salivation response to food is reflexive— ence to these classical conditioning terms.
it’s what dogs do by nature. Because no learning Notice that we have two terms for salivation:
is required for the food to produce salivation, UCR and CR. When the dog salivates to food,
the food is called an unconditioned stimulus this UCR is a natural, unlearned (uncondi-
(UCS) and salivation is an unconditioned tioned) reflex. But when it salivates to a tone,
response (UCR). Next the tone and the food this CR represents a learned (conditioned)
5. How do
are paired—each pairing is called a learning response.
you create a
trial. After several learning trials, when the tone During acquisition, a CS typically must be conditioned
is presented by itself, the dog salivates even paired multiple times with a UCS to establish a salivation
though there is no food. Through association, strong CR (Figure 7.4). Pavlov also found that response in
the tone has become a conditioned stimulus a tone became a CS more rapidly when it was a dog?
(CS) and salivation has become a conditioned followed by greater amounts of food. Indeed,
TABLE 7.1 A Quick Guide to Classical Conditioning

Term Abbreviation Description Example
Unconditioned Stimulus UCS A stimulus that innately elicits a Food
response
Conditioned Stimulus CS A stimulus that gains value The sight of your favourite
through learning restaurant
Unconditioned Response UCR A reflexive, unlearned response to Salivation in response to food
an innately important stimulus
Conditioned Response CR A response elicited by a stimulus Feeling hungry when you see
whose importance depends on your favourite restaurant
past learning
242 CHAPTER SEVEN
when the UCS is intense and aversive condi- involves forward pairing, and the time interval
tioning may require only one CS-UCS pairing between the CS and UCS is short.
(Richard et al., 2000). Someone who is in a car
accident may develop a fear of cars or driving as Extinction and Spontaneous Recovery
a result of a single accident (Taylor et al., 2002). If the function of classical conditioning is to
In the example of a fear of driving because of an help organisms adapt to their environment, then
accident, the stimulus (riding in a car) becomes there must be a way of eliminating the CR when
a CS after only one pairing with an intense UCS it is no longer appropriate. Fortunately, there is.
(an emotionally and physically painful crash). If the CS is presented repeatedly in the absence
Fear was the UCR, and it can become the CR of the UCS, the CR weakens and eventually dis-
triggered by the sight of cars or the thought of appears. This process is called extinction, and
driving in a car (Taylor et al., 2002). each presentation of the CS without the UCS is
The sequence and time interval of the CS- called an extinction trial. When Pavlov repeat-
6. Under what UCS pairing also affect conditioning. Learning edly presented the tone without the food, the
circumstances
usually occurs most quickly with forward short- dogs eventually stopped salivating to the tone
are CRs typically
acquired most delay pairing: The CS (tone) appears first and (Figure 7.4). Occasional re-pairings of the CS
quickly? is still present when the UCS (food) appears. In (e.g., tone) and the UCS (e.g., food) usually are
forward trace pairing, the tone would come on required to maintain a CR.
7. Explain the and off, and afterward the food would be pre- Even when a CR extinguishes, this does not
key factor sented. In forward pairing, it is often optimal mean that all traces of it are erased. If some-
in producing for the CS to appear no more than two or three one has been conditioned to respond to a spe-
extinction of a CR. seconds before the UCS (Klein & Mowrer, 1989). cific location with fear, perhaps because that
Forward pairing has adaptive value because the location was the scene of an accident, repeated
CS signals the impending arrival of the UCS. exposure to that location (CS exposure) with
Typically, presenting the CS and UCS at the no aversive consequences (no UCS), will lead
same time (simultaneous pairing) produces to an extinction of the fear CR. However, if that
less rapid conditioning, and learning is slow- person encounters that location again after
est, or does not occur at all, when the CS is pre- a break, he or she will show a fear response.
sented after the UCS (backward pairing). The extinguished CR, although weakened,
To summarize, classical conditioning usually has reappeared. This reappearance is called
is strongest when there are repeated CS-UCS spontaneous recovery, which is defined as
pairings, the UCS is more intense, the sequence the reappearance of a previously extinguished
24-hour 24-hour
rest rest
15
Acquisition
Extinction
(CS-UCS pairings)
(CS alone)
Drops of saliva elicited by CS
First
10 spontaneous
recovery
(CS alone)
Second
spontaneous
5 recovery
(CS alone)
0
2 4 6 8 10 12 14 16 18 20 22 2 4 6 8 2 4 6 8
Trials
FIGURE 7.4 The strength of the CR (salivation) increases during the acquisition phase as the CS (tone) and the
UCS (food) are paired on each trial. During the extinction phase, only the CS is presented, and the strength of the
CR decreases and finally disappears. After a rest period following extinction, presentation of the CS elicits a weaker
CR (spontaneous recovery) that extinguishes more quickly than before.
CR after a rest period and without new learn- contribute to the animal’s survival. Through
ing trials. As Figure 7.4 shows, the spontane- stimulus generalization, the animal develops an
ously recovered CR usually is weaker than the alarm response to a range of rustling sounds.
initial CR and extinguishes more rapidly in the Some will be false alarms, but safe is better than
absence of the UCS. The phenomenon of sponta- sorry. The more like the original stimulus the
neous recovery is why practical applications of new sound is, the stronger the response.
extinction, such as treatment of phobias or other To prevent stimulus generalization from run-
anxiety disorders, require multiple sessions. The ning amok, organisms must be able to discrimi-
abnormal CR, such as fear, may appear to have nate (i.e., detect) differences between stimuli.
undergone extinction, but it will return in the An animal that becomes alarmed at every sound
future. With each set of extinction trials, the CR would exhaust itself from stress. It must learn
is progressively weakened, and with sufficient to distinguish irrelevant sounds from those
extinction training, spontaneous recovery is that may signal danger. In classical condition-
weak enough that it is not a problem. ing, discrimination is demonstrated when a
CR (such as an alarm reaction) occurs to one
Generalization and Discrimination stimulus (a sound) but not to others. Organisms
Pavlov found that once a CR is acquired, the organ- can be taught, through conditioning, to behav-
ism often responds not only to the original CS, iourally discriminate two stimuli that were ini-
but also to stimuli that are similar to it. The tially treated the same way. Pairing the CS with
greater the stimulus similarity, the greater the the UCS combined with pairing similar stimuli 8. Explain
chance that a CR will occur. A dog that sali- with no consequence leads to a narrowing of the adaptive
vates to a medium-pitched tone is more likely response to the specific CS and a loss of gener- significance
to salivate to a new tone slightly different in alized responses to other similar stimuli. of stimulus
pitch, than to a low- or high-pitched tone. Learn- generalization and
ing theorists call this stimulus generaliza- Higher-Order Conditioning discrimination.
tion: Stimuli similar to the initial CS elicit a CR Imagine that we have exposed a dog to repeated
(Figure 7.5). 9. Explain the
tone-food pairings, and the tone is now a well-
Stimulus generalization serves critical adap- process of
established CS that elicits a strong salivation
tive functions. An animal that ignores the sound higher-order
response. Next, suppose that we present a neu- conditioning.
of rustling bushes and then is attacked by a tral stimulus, such as a black square, and the
hidden predator will become alarmed by the dog does not salivate. Now, we present the black
sound of a rustling bush in the future (assum- square just prior to sounding the tone but do not
ing it escapes). If stimulus generalization did present any food. After repeated square-tone
not occur, then the next time the animal heard pairings, the square will become a CS and elicit
rustling it would become alarmed only if the salivation by itself (Figure 7.6). This process,
sound were identical to that preceding the discovered by Pavlov, is called higher-order
earlier attack. This absence of alarm does not conditioning: A neutral stimulus becomes a CS
after being paired with an already established
15 CS. Typically, a higher-order CS produces a CR
Original that is weaker and extinguishes more rapidly
Response (drops of saliva)
tone (CS)
than the original CR. The dog will salivate less
10 to the black square than to the tone, and its
response to the square will extinguish sooner.
Higher-order conditioning greatly expands
5 the influence of conditioned stimuli and can
affect what we come to value, like, fear, or dis-
like (Hussaini et al., 2007). For example, a child
0 may value a gold star because that gold star
400 800 1200 1600 2000 was previously paired by social recognition and
Stimulus tone (hertz) praise from the teacher.
FIGURE 7.5 A stimulus generalization curve. An
animal will salivate most strongly to the CS that was Applications of Classical
originally paired with the UCS. Progressively weaker
conditioned responses occur as stimuli become less
Conditioning
similar to the CS, as seen here with tones of lower or Pavlov’s belief that salivation was merely the tip
higher frequencies (pitch). of the classical conditioning iceberg has proven
244 CHAPTER SEVEN
Before higher-order conditioning
Black No
square salivation
(neutral
stimulus)
During higher-order conditioning
Black
square
Courtesy of Professor Benjamin Harris
+ FIGURE 7.7 John Watson and Rosalie Rayner examine
Salivation how Little Albert reacts to a Santa Claus mask.
(CR)
(CS1) making a loud noise as they showed Albert the

rat. The noise scared Albert and made him cry.
After higher-order conditioning After several rat–noise pairings, the sight of the
white rat alone made Albert cry.
Black
Salivation To examine stimulus discrimination and gen-
square
(CR) eralization, Watson and Rayner exposed Albert
(CS2) to other test stimuli. Albert displayed no fear
when shown coloured blocks, but furry white
FIGURE 7.6 Once a tone has become a conditioned or grey objects, such as a rabbit and a bearded
stimulus that triggers salivation, we can now use it Santa Claus mask, made him cry (Figure 7.7).
to condition a salivation response to a new neutral By the time Albert left the hospital, he had not
stimulus—a black square. The tone is the CS1. The been exposed to any treatment designed to
black square becomes the CS2.
extinguish his fear. Unfortunately, we do not
know what became of Albert.
correct. Conditioning principles help us understand
many diverse human behaviours and problems.
Acquiring and Overcoming Fear

Thinking critically
Pavlov’s discoveries enabled early American
WAS THE LITTLE ALBERT STUDY ETHICAL?
behaviourists to challenge Freud’s psychoana-
lytic view of the causes of anxiety disorders, Review boards that oversee research ethics did
not exist in the 1920s. Would you have approved
such as phobias. To explain a snake phobia, Watson and Rayner’s request to conduct the Little
no Freudian assumptions about hidden uncon- Albert study? Why or why not?
scious conflicts or repressed traumas are
needed. Instead, the behaviourist view is that at the end of the book.
snakes have become a fear-triggering CS
because of pairing with an aversive UCS (such
as injury) and stimulus generalization.
Does this explanation seem reasonable? Learning theory dominates our current
10. How does It may, but it suffers from a serious limita- understanding of specific phobias (Ollendick &
classical
tion: Almost any explanation can seem plausi- Muris, 2015). The implication is clear: if a spe-
conditioning
explain fear ble when it is provided after an event occurs. cific phobia was acquired through classical con-
acquisition? Behaviourist John B. Watson and his assistant ditioning then exposure to the feared stimulus
Rosalie Rayner (1920) set out to obtain evidence under neutral or positive circumstances should
that fear could be conditioned. They studied a be an effective form of treatment. That is, if
number of infants, including, most famously, phobias are learned, they can be “unlearned.”
an 11-month-old infant named Albert, often In 1924, psychologist Mary Cover Jones suc-
referred to as Little Albert. One day, as Albert cessfully treated a boy named Peter, who had
played in a hospital room, Watson and Rayner a strong fear of rabbits. Jones, who acknowl-
showed him a white rat. Albert displayed no sign edged Watson and Rayner’s work, gradually
of fear. Later, knowing that Albert was afraid of extinguished Peter’s fear by using the proce-
loud noises, they hit a steel bar with a hammer, dure shown in Table 7.2. Her approach provided
TABLE 7.2 U
sing Exposure Training Classical conditioning also can decrease our
to Reduce Fear arousal and attraction to stimuli. This principle
This table lists 10 of the 17 steps used by Mary
is used in aversion therapy, which attempts to
Cover Jones to eliminate Peter’s fear of rabbits. condition an aversion (a repulsion) to a stimu-
lus that triggers unwanted behaviour by pairing
Step No. Peter’s Progress it with a noxious UCS. To reduce an alcoholic’s
1 Rabbit anywhere in room triggers fear attraction to alcohol, the patient is given a drug
2 Rabbit 4 metres away tolerated that induces severe nausea when alcohol is con-
sumed. Aversion therapies yield mixed results,
4 Rabbit 1 metre away tolerated
often producing short-term changes that do not
5 Rabbit close in cage tolerated last or do not generalize outside of the environ-
6 Rabbit free in room tolerated ment where the learning occurred (Garbutt,
8 Rabbit touched when free in room 2009).
10 Rabbit allowed on tray of high chair Conditioned attraction and aversion also play
a role in attitude formation (Walther, 2002). Neu-
12 Holds rabbit on lap
tral stimuli can become attractive or unattract-
16 Fondles rabbit affectionately ive by being paired with stimuli that already
17 Lets rabbit nibble his fingers elicit positive or negative attitudes. Advertising
executives are keenly aware of classical con-
Source: Adapted from Jones (1924) A laboratory study
of fear: The case of Peter. Pedagogical Seminary, 31, ditioning’s power. They carefully link products
308–315. and company logos to cute animals, attractive
and famous people, humour, “fuzzy-warm” fam-
ily images, and most of all, to pleasurable inter-
the basis of what developed into current behav- actions with the opposite sex (Figure 7.9). And
iour therapies, discussed in Chapter 17. They it works, marketing experiments show that this
are called exposure therapies because their approach creates favourable attitudes toward
basic goal is to expose the phobic patient to the novel products (Priluck & Till, 2004).
feared stimulus (CS) without any UCS, allow- Behaviourists, such as John Watson, origi-
ing extinction to occur. Although psychologists nally argued that an emotional reaction,
still debate the contribution of other factors, whether it is fear or attraction, could be clas-
such as genetic influences (Ollendick & Muris, sically conditioned to any stimulus. We know
2015), exposure therapy is effective in most now, however, that there are some constraints
cases. on learning. For example, it is easier to condi-
Mental imagery, real-life situations, or both tion fear to some stimuli than others; we seem
can be used to present the phobic stimulus. to be biologically prepared to easily learn to
Exposure therapies are highly effective and rep- fear stimuli such as heights, snakes, spiders,
resent one of behaviourism’s important applied and bats. Similarly, it is relatively easy to con-
legacies (Hamm, 2009). Recently, clinical psy- dition an aversion to a taste by pairing a taste
chologists have used virtual reality (VR) as part and an illness, but it is very difficult to con-
of exposure therapy to successfully treat spider dition a similar aversion to a visual stimulus
phobias, fear of flying, claustrophobia, fear of by pairing a visual cue and an illness. We will
driving, and fear of heights (see the Applications return to this issue later in this chapter when
feature). discussing constraints on classical and operant
conditioning.
Conditioned Attraction and Aversion Beyond influencing fear, attraction, and aver-
Much of what attracts and pleasurably arouses sion, classical conditioning also can affect our 11. How is
classical
us is influenced by classical conditioning. Con- physical health. Allergic responses occur when
conditioning
sider sexual arousal. An outfit or the scent of the immune system overreacts and releases too used in society
a partner’s cologne can become a conditioned many antibodies to combat pollen, dust, or other to increase or
stimulus for arousal. Experiments show that foreign substances (called allergens). When a decrease our
pairing a neutral odour with pleasing physical neutral stimulus (such as a distinct odour) is arousal/attraction
massage increases people’s attraction to that repeatedly paired with a natural allergen (the to stimuli?
smell (Baeyens et al., 1996) and that people UCS), it may become a CS that triggers an aller-
become sexually aroused to stimuli after those gic CR (Irie et al., 2001). Classical conditioning
stimuli have been paired with sexually arousing can even increase immune system functioning
UCSs (Rachman & Hodgson, 1968). (Saurer et al., 2008).
246 CHAPTER SEVEN
Applications
LEARNING, VIRTUAL REALITY,

AND THERAPY
The most widely accepted theory for the acquisition of anxi-
ety disorders, such as phobias, is that these disorders are
acquired through classical conditioning (Ollendick & Muris,
2015). Exposure to an environmental stimulus (CS) is paired
with an aversive event (UCS), and as a result, the originally
neutral stimulus comes to elicit an emotional reaction of anx-
iety or fear (CR). If we acquire anxiety disorders through con-
ditioning, then conditioning procedures should be effective
at treating these disorders. The most commonly used and
most effective therapies for anxiety disorders, such as spe-
cific phobias, are based on a classical conditioning model.
These therapeutic approaches have been classified as
exposure treatments because they all involve exposure to
the phobic stimulus without aversive consequences. From
studies of classical conditioning, we know that if a CS is
presented repeatedly without any biologically important fol-
lowing event, the learned response will gradually diminish
in strength. The traditional exposure therapy approaches
Mauro Fermariello/Science Source
have involved presenting the client with either the real, pho-
bic stimulus, or exposure to a series of stimuli that gradu- FIGURE 7.8 In VRET the client wears a VR display helmet
ally get closer to, and more like, the phobic stimulus. Such (and, in some cases, other means of delivering sensory stim-
procedures, especially when combined with relaxation train- ulation) and body position sensors, and is connected to a
ing, are very effective at treating anxiety disorders such as computer that generates the virtual environment. A therapist
snake and spider phobias, fear of flying, and public-speak- controls the virtual environment that the client explores. VR
ing anxiety. Exposure therapy with gradual introduction of exposure therapy has been found effective for treating pho-
bias, such as spider phobias, and related anxiety disorders.
the phobic stimulus is the treatment of choice for specific
phobias (Antony & Swinson, 2000; Garcia-Palacios et al.,
2002). In a variant of exposure therapy, the client imagines One study of the effectiveness of VR to treat phobias
exposure to the feared stimulus rather than confronting the involved clients with a spider phobia (Garcia-Palacios et al.,
real thing. Clinical research has found that although imaginal 2002). Clients in this study had to meet a series of crite-
exposure can be successful, real-world exposure (referred to ria, including the full diagnostic criteria for a specific phobia
as in vivo exposure) is superior (Krijn et al., 2004a). established by the American Psychiatric Association (DSM-5,
Recent advances in computer and video technology have American Psychiatric Association, 2013; and see Chapter 17).
presented an innovative approach to treating anxiety disor- During treatment, clients donned a VR helmet and visited a vir-
ders: the use of virtual reality (VR). VR uses real-time com- tual kitchen. Gradually, over a series of trials, clients received
puter graphics and high-resolution three-dimensional visual increasing exposure to a virtual spider. For example, they ini-
displays, body tracking, sound, and, in some cases, other tially saw a virtual spider at a distance, later they came within
types of sensory input (e.g., tactile stimulation) to immerse arm’s reach of a virtual spider, and eventually they were to
clients in a computer-generated world. Via a computer, the touch the virtual spider. The goal of the VRET was to have the
therapist guides what happens within the client’s virtual client hold a furry virtual tarantula within the cyber-kitchen
world (see Figure 7.8). This approach has been referred to and report low levels of anxiety. In a clever and creative twist,
as virtual reality exposure therapy (VRET). If you can over- tactile feedback was provided by having the client’s real hand
come your fear of snakes, public speaking, or heights with explore a model spider while their virtual hand explored the
exposure therapy, can that exposure take place in a virtual cyber-spider. Across the course of this study, members of a
world? If VRET is effective, then the application of exposure wait-list control group showed no change in their spider pho-
therapy would be more practical in some cases (e.g., fear bias. Those who had experienced VRET showed significant
of flying, fear of heights). This therapy may also be more and clinically meaningful improvement. Based on behaviour
appealing for individuals who have avoided or abandoned avoidance tests, measures of anxiety, a fear of spiders ques-
therapy because exposure to the real stimulus generates tionnaire, and a clinician’s rating of the phobia, VRET exposure
such intense fear or is impractical. was found to be effective in treating the spider phobia.
continued
Similar approaches have been taken with other types highly effective in treating PTSD among combat veterans
of specific phobias, such as fear of flying, heights, and and victims of terrorist attacks (Rizzo et al., 2015).
claustrophobia. A recent meta-analysis (Morina et al., 2015) Interestingly, in a recent survey 70 clinicians were asked
found that VRET was as effective as in vivo exposure post- what interventions they predicted to increase over the next
treatment and at later follow-up. VRET has been used mostly decade. VRET ranked fourth out of the 45 options provided,
to address specific phobias, but has more recently been with other computer-assisted techniques occupying four out
applied to post-traumatic stress disorder (PTSD). PTSD is a of the top five positons (Norcross et al., 2013).
severe anxiety disorder that can develop in those exposed to Theories of phobias and related anxiety disorders that
severely stressful and traumatic events. PTSD is associated emerged from learning theory led to learning-based treatments
with severe anxiety and distress, painful and uncontrollable that use graded exposure to the anxiety-provoking stimulus.
reliving of the traumatic event, emotional numbing, and in These exposure therapies became the treatment of choice
some cases with impulsive and self-destructive behaviour for a range of otherwise debilitating disorders, especially for
(we will discuss PTSD is greater detail in Chapter 15). VRET specific phobias. Virtual exposure to cyber-spiders, enclosed
is currently being used to treat combat veterans and victims space and airplanes are effective and provide practical ben-
of terrorist attacks who have developed PTSD. Although efits, such as improved client compliance. The use of VRET is
more research on the use of VRET to treat PTSD is needed, expanding to successfully treat other anxiety disorders, such
currently available evidence indicates that VRET can be as PTSD, one of the most severe of all anxiety disorders.
OPERANT
CONDITIONING:
LEARNING THROUGH
CONSEQUENCES
For all its power to affect our emotions, atti-
tudes, physiology, and health, classical con-
ditioning cannot explain how a dog learns to
sit on command. Nor can it account for how
we learn to drive cars, use computers, make
friends, or be good citizens. Unlike salivating to
The McGraw-Hill Companies, Inc./Lars A. Niki, photographer
a tone, these are not elicited responses automat-
FIGURE 7.9 Advertisers attempt to classically con- ically triggered by some stimulus. Rather, they
dition favourable consumer attitudes to products by are emitted (voluntary) responses, and they are
associating products with other positive stimuli, such learned in a different way.
as physically attractive models.
In Review
• Classical conditioning involves pairing a neutral • Stimulus generalization occurs when a CR is
stimulus with an unconditioned stimulus (UCS) evoked by a stimulus similar to the original CS.
that elicits an unconditioned response (UCR). Discrimination occurs when a CR occurs to one
Through repeated pairing, the neutral stimu- stimulus but not another.
lus becomes a conditioned stimulus (CS) that • Once a stimulus (e.g., a tone) becomes a CS,
evokes a conditioned response (CR) similar to it can now be used in place of the original UCS
the original UCR. (food) to condition other neutral stimuli. This is
• The acquisition phase involves pairing the CS called higher-order conditioning.
with the UCS. Extinction, the disappearance of • A wide range of bodily and psychological responses
the CR, occurs when the CS is presented repeat- can be classically conditioned, including fears, sex-
edly in the absence of the UCS. Sometimes, ual attraction, and positive and negative attitudes.
spontaneous recovery occurs after a rest period Techniques based on classical conditioning are
and the CS temporarily will evoke a response highly successful in treating fears and phobias.
even after extinction has taken place.
248 CHAPTER SEVEN
12. What Thorndike’s Law of Effect Thorndike (1911) called this process instru-
mental learning because an organism’s
evidence led While Pavlov was studying classical condition- behaviour is instrumental in bringing about
Thorndike to ing, American psychology student Edward L.
propose the “law certain outcomes. He also proposed the law of
Thorndike (1898) was exploring how animals effect, which stated that in a given situation,
of effect?” learn to solve problems. He built a special cage, a response followed by a “satisfying” conse-
called a puzzle box, which could be opened from quence will become more likely to occur, and a
the inside by pulling a string or stepping on a response followed by an unsatisfying outcome
lever (Figure 7.10). Thorndike placed a hungry will become less likely to occur. The law of
animal, such as a cat, inside the box. Food was effect became the foundation for the school of
put outside, and to get it the animal had to learn behaviourism.
how to open the box. The cat scratched and
pushed the bars, paced, and tried to dig through
the floor. By chance, it eventually stepped on Skinner’s Analysis
the lever, opening the door. Performance slowly of Operant Conditioning
improved with repeated trials, and over time the
Harvard psychologist B.F. Skinner was the
cat learned to press the lever soon after the door
leading American proponent of behaviourism
was shut.
throughout most of the 20th century. Skinner
Because performance improved slowly,
coined the term operant behaviour, meaning
Thorndike concluded that the animals did not
that an organism operates on its environment
attain “insight” into the solution. Rather, with trial-
in some way; it emits responses that produce
and-error, they gradually eliminated responses
certain consequences. Operant conditioning
that failed to open the door, and became
(akin to Thorndike’s instrumental learning) is
more likely to perform actions that worked.
a type of learning in which behaviour is influ-
enced by its consequences (Skinner, 1938, 1953).
Responses that produce favourable conse-
quences tend to be repeated, whereas responses
that produce unfavourable consequences
become less likely to occur. Through oper-
ant conditioning, organisms learn to increase
behaviours that benefit them and reduce behav-
iours that harm them.
Skinner designed a special chamber, called
a Skinner box, to study operant conditioning
experimentally. A lever on one wall is posi-
tioned above a small cup, and a food pellet
automatically drops into the cup whenever a
360 rat presses the lever (Figure 7.11). A hungry rat
Time to escape (seconds)
is put into the chamber and, as it moves about,

it accidentally presses the lever. A food pellet
240
clinks into the cup and the rat eats it quickly.
We record the rat’s behaviour on a cumulative
recorder, and find that it presses the bar more
120
and more frequently over time. Today, a com-
puter can be programmed to control the deliv-
ery of stimuli and reinforcer and to record the
0 20 40 60 responses.
Trial Skinner identified several important types
of consequences. For now, we focus on two: rein-
FIGURE 7.10 Through trial and error, cats eventu-
forcement and punishment. With reinforcement,
ally learned to open Thorndike’s puzzle boxes to obtain
food. a response is strengthened by an outcome that
follows it. Typically, “strengthened” is operation-
Source: Based on Thorndike, E.L. (1898). Animal intelligence:
An experimental study of the associative processes in animals.
ally defined as an increase in the frequency of
New York, NY: Macmillan; Thorndike, E.L. (1911). Animal a response. The outcome (a stimulus or event)
intelligence: Experimental studies. New York, NY: Macmillan. that increases the frequency of a response is a
called a reinforcer. Food pellets are reinforc- Drum

ers because they increase the rat’s frequency
of lever pressing. Once a response becomes Paper direction
established, reinforcers maintain it: The rat Pen
Pen direction
keeps pressing the lever because it continues to One
receive food. Pause in response
responding
Punishment is the opposite of reinforce- Not
ment; it occurs when a response is weakened by responding
outcomes that follow it. Take our lever-pressing Pen reset at this point Series of
rat. Suppose we change things so that pressing rapid responses
the lever delivers a one-second electric shock,
rather than food. If lever pressing decreases Time
(which it will), then the electric shock repre-
sents a punisher—a consequence that weak-
ens the behaviour. Notice that reinforcers and
punishers are defined in terms of their observ-
able effects on behaviour. If the food doesn’t
increase lever pressing, then for this particular
rat it is not a reinforcer.
ABCs of Operant Conditioning

Skinner’s analysis of operant behaviour involves
three kinds of events: antecedents (A), which
are stimuli that are present before a behaviour
occurs; behaviours (B) that the organism emits;
and consequences (C) that follow the behav-
iours. Thus,
IF antecedent stimuli IF I say “Sit”

(A) are present
AND behaviour AND my dog Jessie sits,
(B) is emitted,
© Nina Leen, Life Magazine © Time, Inc.
THEN consequence THEN she gets a tasty treat.
(C) will occur. FIGURE 7.11 With B.F. Skinner watching, a rat raises
up and presses a lever in an operant experimental
The relations between A and B, and between chamber (Skinner box). Pressing the lever turns on a
light inside the chamber (notice the lever just below and
B and C, are called contingencies. Jessie’s
to the right of the light). A food reinforcer is automati-
behaviour of sitting is contingent on my saying cally delivered by the apparatus to the left of the box,
“Sit.” The consequence of receiving food is then and the rat’s performance is displayed on a cumulative
contingent on her response of sitting. recorder.
Before exploring operant conditioning more
closely, we wish to emphasize two points. First,
keep in mind the key differences between classi- triggered involuntarily, almost like a reflex,
cal and operant conditioning: by a stimulus that precedes it. Operant con-
• In classical conditioning, the organism learns ditioning focuses on emitted behaviours: In
an association between two stimuli—the CS a given situation, the organism generates
and UCS (e.g., a tone and food)—that occurs responses (e.g., pressing a lever) that are
before the behaviour (e.g., salivation). In under its physical control.
operant conditioning, the organism learns an 13. Identify two
Second, although classical and operant con-
association between behaviour and its con- key differences
ditioning are different processes, many learning
sequences. Behaviour changes because of between
situations involve both. When your dog hears classical
events that occur after it. the can opener, he will run to you, wagging his and operant
• Classical conditioning focuses on elicited tail and salivating. The sound of dinner being conditioning.
behaviours. The conditioned response is prepared is a CS that automatically triggers a
250 CHAPTER SEVEN
CR of salivation. It also is a signal to your dog Operant behaviour also is weakened by extinc-
that if he comes to you (an operant response) he tion. Figure 7.12 shows these processes.
will be reinforced by the desirable consequence
of being fed. Thus, one stimulus (the sound of Positive Reinforcement
the can opener) can have classical as well as Behaviour is reinforced by desirable out-
operant functions, which appear to be processed comes. Being presented with a stimulus we
through different neural pathways in the brain find pleasing represents a desirable outcome.
(Schmajuk & Holland, 1998). A rat receives food for pressing a lever. We
receive pay for performing a job. This process
is called positive reinforcement: A response
Antecedent Conditions: is strengthened by the subsequent presenta-
Identifying When to Respond tion of a stimulus. The stimulus that follows and
In operant conditioning, the antecedent may strengthens the response is called a positive
14. Why are be a general situation or specific stimulus. reinforcer. Food, drink, comforting physical
antecedent
Let’s return to our lever-pressing rat. At pres- contact, attention, praise, and money are com-
stimuli important
in operant ent, simply being in the Skinner box is the ante- mon positive reinforcers.
conditioning? cedent condition. In this situation, the rat will The term reward often is used as if it were
press the lever. Suppose we place a light on synonymous with positive reinforcement.
the wall above the lever. When the light is on, Behaviourists prefer the term positive rein-
pressing the lever dispenses food, but when the forcement because it describes how conse-
light is off, no food is given. The rat will soon quences affect behaviour. In many instances,
learn to press the lever only when the light is “rewards” do not function as positive reinforc-
on. The light becomes a discriminative stim- ers. Parents may “reward” a child with a new
ulus, a signal that a particular response will toy for cleaning her room, but if the child does
now produce certain consequences. Discrimi- not clean her room again, then the toy was not a
native stimuli “set the occasion” for operant positive reinforcer for that behaviour.
responses.
Discriminative stimuli guide much of our Negative Reinforcement
everyday behaviour. If you are hungry, food on Receiving something pleasurable is a good out-
your plate is a discriminative stimulus to start come, but it’s only half of the story. Getting rid
eating. Classroom bells, the sight of your favou- of something we find aversive—or avoiding
rite restaurant, the words people speak to us, something we anticipate will be aversive—also
and the sight of a friend’s face are all discrimina- is a good outcome. We take Aspirin to relieve
tive stimuli that set the occasion for us to make headaches and we put on a sweater to warm up
certain responses. on a cold day. This process is called negative
reinforcement: A response is strengthened by
the subsequent removal or avoidance of a stimu-
Consequences: Determining lus (see Figure 7.12). The stimulus that is removed
How to Respond or avoided is called a negative reinforcer.
Behaviour is governed by its consequences. It is easy to confuse negative reinforcement
15. How does
Two major types of reinforcement strengthen with punishment. Remember that the “nega-
negative
reinforcement responses, and two major types of punishment tive” in negative reinforcement refers to some-
differ from weaken them. It is important to remember that thing being taken away; it does not refer to the
positive reinforcement and punishment refer to whether emotional impact. Reinforcement means that a
reinforcement the response is strengthened (reinforcement) or response is strengthened. Hence, negative rein-
and from weakened (punishment), they do not refer to the forcement is strengthening a response by remov-
punishment? emotional value of the event. It is also impor- ing some event or stimulus. For example, putting
tant to keep in mind that when discussing the on a sweater is reinforced because it removes
16. Explain consequences of behaviour the use of the terms something aversive—being cold. Later in this
how operant “positive” and “negative” refer to something be chapter we will discuss in detail two important
extinction, examples of negative reinforcement: escape
added or something being taken away; they
positive
do not refer to whether something is good, or conditioning and avoidance conditioning.
punishment,
and negative pleasurable, or aversive. You can think of “posi-
punishment tive” as the plus sign (+) in arithmetic, some- Operant Extinction
differ. thing is added. Similarly, think of “negative” as Operant extinction is the weakening and
the minus sign (‒), something is taken away. eventual disappearance of a response because
PROCESS BEHAVIOUR CONSEQUENCE RESULT

Reinforcement
Positive reinforcement Response occurs A stimulus is Response increases

presented
(Cat presses a lever) (Food pellets appear) (Lever-pressing
increases)
Negative reinforcement Response An aversive stimulus Response

occurs is removed increases
(Person takes Aspirin) (Headache pain goes away) (Increased tendency
to take Aspirin for
headache relief)
Operant Extinction
Response occurs A stimulus that was Response decreases

reinforcing the behaviour
no longer appears
(Cat presses a lever) (No food pellets) (Lever-pressing
decreases)
Punishment
Positive punishment Response An aversive stimulus Response

occurs is presented decreases
(Two siblings (Parents scold or spank them) (Fighting decreases)
fight over a toy)
Negative punishment Response occurs A stimulus is Response decreases

removed
(Two siblings fight (No TV for one week) (Fighting decreases)
over a toy)
FIGURE 7.12 Five major operant processes.
it is no longer reinforced. When previously rein- to punishment as a method for reducing that
forced behaviours no longer pay off, we are behaviour (Putri, 2015).
likely to abandon and replace them with more
successful ones. If pressing a lever no longer Positive Punishment
results in food pellets, the rat eventually will Like reinforcement, punishment comes in two
stop making this response. If taking an Aspirin forms. One involves actively applying aversive
no longer relives your headaches, you will stop stimuli, such as painful slaps, electric shock, and
taking Aspirins. verbal reprimands. This is positive punishment,
The degree to which non-reinforced responses also called aversive punishment. A response is
persist is called resistance to extinction. Non- weakened by the subsequent presentation of a
reinforced responses may stop quickly (low stimulus. Scolding a child for misbehaving is an
resistance), or they may keep occurring obvious example, but so is a child’s touching a
hundreds or thousands of times (high resis- hot stovetop. The pain delivered by the stovetop
tance). People who solicit charitable dona- makes it less likely that the child will touch it in
tions do not stop just because 100 passersby the future. Positive punishment often is subtle.
in a row fail to give money. As we examine A teenager wears a new blouse, and her close 17. Describe
some
later, resistance to extinction is strongly influ- friends half-heartedly say “Uh-huh, nice,” but
disadvantages
enced by the pattern of reinforcement that their facial expressions betray dislike and the
of using positive
has previously maintained the behaviour. student stops wearing the shirt. punishment
If you can identify the reinforcers that are Positive punishment often produces rapid to control
maintaining an undesirable behaviour, oper- results, an important consideration when it behaviour.
ant extinction can provide a good alternative is necessary to stop a particularly dangerous
252 CHAPTER SEVEN
behaviour, such as an animal or a person Negative punishment may seem similar to

attacking someone. For examples, electric operant extinction because both processes
shocks have been used to stop self-destructive weaken behaviour by depriving the individual
behaviours of profoundly disturbed children of something. But there is a key difference. In
who injure themselves by banging their heads operant extinction the stimulus or event that is
on sharp objects or biting themselves (Matson & reinforcing the behaviour is removed. Negative
Gardner, 1991). The shock is presented immedi- punishment involves removal of other desirable
ately after each self-injurious response begins. stimuli. Were you ever grounded? The loss of
In one case, a severely disturbed girl with a privileges and activities is an example of nega-
six-year history of banging her head against tive punishment. ever lost marks because you
sharp objects stopped after she received only submitted an essay after the deadline? Loss of
15 shocks (Lovaas, 1977). marks is meant to reduce the behaviour of sub-
Though positive punishment works, it has mitting your work late.
important limitations. Punishment suppresses Negative punishment has two distinct advan-
behaviour but does not cause the organism to tages over positive punishment. First, although
forget how to make the response or provide a it may arouse temporary frustration or anger, it
different more appropriate response. Moreover, is less likely to create strong fear or even hatred
this suppression may not generalize to other sit- of the punishing agent (Jay et al., 2006). Second,
uations, as when scolded children refrain from physical aggression is not being modelled, so
using “bad language” only when their parents there is less opportunity for learning of aggres-
are present. Unlike reinforcement, punishment sion through observational learning, a form of
arouses negative emotions, such as fear and learning we will discuss at the end of this chap-
anger, which can produce dislike and avoidance ter. Many psychologists who counsel parents on
of the person delivering the punishment. modifying children’s behaviour favour negative
Positive physical punishment can also send punishment over positive punishment (Gershoff
a message to the recipient that such aggression et al., 2008).
is appropriate and effective. Do physically pun- When adults use negative punishment to
ished children learn such a lesson? Correlational punish children’s behaviour, the withheld rein-
research finds that toddlers and children whose forcer should be some prized object or activity,
parents use physical punishment display more rather than love or attention. Withholding love
aggression in daycare centres and at school or emotional support can damage the child’s
than do otherwise similar children who are not self-concept (Brown, 1998). The same principle
physically punished (Stormshak et al., 2000). applies to using positive punishment. Communi-
Positive punishment has its place, but many cate dislike for the behaviour, not for the child.
psychologists recommend against this form of Punishment, properly applied, will reduce
behaviour control unless other alternatives are the likelihood of the punished response, but the
not feasible. question is what behaviour will take its place,
an appropriate behaviour or a different unde-
Negative Punishment sirable behaviour? Punishment teaches us what
The legendary baseball umpire Bill Klem once not to do but does not guarantee that a desir-
called a batter out on a close third strike. The able behaviour will appear. Desirable alterna-
enraged batter flung his bat high into the air and tive responses should be strengthened directly
whirled around to argue the call. Klem whipped through positive reinforcement.
off his mask, stared at the batter, and said, “If
that bat comes down, it’ll cost you 100 bucks.” Primary and Secondary Consequences
Monetary fines, loss of privileges, and being Psychologists distinguish between two broad
18. How do grounded represent attempts to punish behav- types of consequences: primary and secondary.
secondary
iour by taking away something that an organ- Primary reinforcers are stimuli, such as food
reinforcers
become ism desires or finds satisfying. In negative and water, that an organism naturally finds rein-
“reinforcers”? punishment, a response is weakened by the sub- forcing because they satisfy biological needs.
sequent removal of a stimulus (see Figure 7.12). Attention and praise are also primary reinforc-
Negative punishment is sometimes referred to ers (Figure 7.13). Through their association with
as response cost. As with negative reinforce- primary reinforcers, other stimuli can become
ment, the use of “negative” in negative punish- secondary, or conditioned, reinforcers.
ment refers to something being removed, not to Money is a conditioned reinforcer. Did your
emotional impact. kindergarten teacher give out stickers? Those
Thinking critically
CAN YOU EXPLAIN THE SUPERMARKET
TANTRUM?
At the market, a child asks his dad to buy candy.
The father refuses. The child screams and won’t
stop. Soon the father cannot stand it, so he buys
the candy, and the child’s tantrum ends. A week
later, this scene repeats, but the father gives in
as soon as the tantrum starts. The next time the
child asks for candy, the father just says “okay.”
Use concepts of reinforcement and punishment to
explain this sequence of events.
© Brand X Picture/PunchStock at the end of the book.
FIGURE 7.13 Attention and praise can be powerful

reinforcers. Comforting physical contact with a care-
taker, some research suggests, may be a primary
reinforcer. the problem by spraying her cat with a water
mister whenever it attacked a flower (primary
stickers paired with attention and praise from punishment). Each time she did this, she would
the teacher became secondary, or conditioned first shake the mister so the cat could hear the
reinforcers. I am sure you and your classmates water splash inside it and would announce, with
worked to obtain one of those stickers. Second- her sternest voice, “No.” After repeated pairings
ary reinforcers, including money, tokens, per- of being sprayed with the sound of water and the
formance feedback, and grades are crucial in sternly spoken “No,” these stimuli helped to con-
everyday life. trol the cat’s behaviour. Simply hearing water
Secondary reinforcers illustrate how behav- splash inside the mister would have the cat run
iour often depends on a combination of classical away from the flowers to hide under the sofa.
and operant conditioning. Consider dog train-
ing. Correct responses, such as sitting on com- Immediate versus Delayed Consequences
mand, initially are operantly reinforced with In general, reinforcement or punishment
food. But just before delivering food, the trainer that occurs immediately after a behaviour
enthusiastically says, “Good dog.” At first, the has a stronger effect than when it is delayed
words “Good dog” are just sounds that mean (Commons et al., 1984). Training animals typi-
nothing to the dog. But by repeatedly pairing cally requires very quick reinforcement so that
“Good dog” with food each time the dog sits, they associate the correct response—rather
“Good dog” becomes a classically conditioned than some subsequent behaviour—with the sat-
stimulus that elicits excitement (salivation, isfying outcome.
tail wagging). Now the phrase “Good dog” can The timing of consequences may have less
be used as a secondary reinforcer, instead of influence on human behaviour because we are 19. Why would
a fine or ticket,
always having to carry and provide food. able to imagine future consequences and weigh
payable later,
The terms primary and secondary, however, them against more immediate ones. This analy- not be very
do not apply only to positive reinforcement. You sis often confronts us with interesting dilemmas. effective for
can have secondary punishment or secondary If you could have $100 right now, or $200 a year changing
negative reinforcement. Whether it is positive from now, which would you choose? This deci- behaviour?
or negative reinforcement or positive or nega- sion involves delay of gratification, the abil-
tive punishment, the distinction is that a primary ity to forego an immediate smaller reward for a
consequence has its value because of biological delayed but more satisfying outcome (Mischel
importance. A secondary consequence has its et al., 1972, 1989). Do I spend my income as I get
importance because of learning. For example, it, buying things I want right now? Or, do I save
my (J.M.) mother had a cat that would pull the up to buy a special item I want very much?
petals off of flowers; any bouquet that entered Individuals vary in their ability to delay grat-
the house was soon reduced to a vase of stems, ification, a capacity that typically develops in
and flowering houseplants would be reduced to the preschool years (Metcalfe & Mischel, 1999).
a few tattered remains. My mother approached Interestingly, young children who display less
254 CHAPTER SEVEN
ability to delay gratification show poorer adjust- this process in small increments until Sami is
ment and have more difficulty coping with stress speaking at 70 decibels or louder. Next, we
and frustration when they become adolescents. move to reinforcing Sami when he speaks sev-
The inability to delay gratification also may eral words together, and not just a single word.
play a role in behaviours such as chronic drink- Then we move on to sentences, and then to sen-
ing, smoking, and even criminal acts (Brown, tences in the presence of multiple people. Based
1998). We will return to delay of gratification in on such a procedure, Sami learned to speak
Chapter 11 when we discuss motivation. out loud in front of others and became more
Chronic drug use, for example, is difficult socially interactive at his daycare (Facon et al.,
for many people to overcome because the 2008). This process, called shaping, involves
immediate gratifying consequences override reinforcing successive approximations toward a
the delayed negative effects such as the next final response. This technique also is called the
day’s hangover or the long-term deterioration in method of successive approximations.
health. With some drugs, such as cocaine, use is Even when behaviours might reasonably
positively reinforced by feelings of pleasure that be learned through trial and error—such as a
seem to result from enhanced dopamine activity rat learning to press a lever for food—shaping
(see Chapter 6). With other drugs, negative rein- speeds up the process. By reinforcing succes-
forcement plays a key role. Chronic cigarette sive approximations, such as standing near the
smokers experience increased tension as the lever, raising a front paw, touching the lever,
level of nicotine in their blood drops. When they and finally depressing the lever, acquisition time
smoke again, tension is reduced. Thus, smok- is drastically reduced.
ing is negatively reinforced by the removal of Another procedure, chaining, is used to
unpleasant tension (Battista et al., 2008). develop a sequence (chain) of responses by
reinforcing each response with the opportunity
to perform the next response. For example,
Shaping and Chaining: suppose that a rat has learned to press a lever
Taking One Step at a Time when a light is on to receive food. Next, we
Sami is a shy 12-year-old boy diagnosed with place a bell nearby. By accident, the rat eventu-
developmental delays. He displays what is ally bumps into and rings the bell, which turns
called selective mutism: Although there is on the light. Seeing the light, the rat runs to and
nothing physically wrong with his vocal cords, presses the lever. Over time, the rat will learn
throat, or mouth, he does not talk. He will occa- to ring the bell because this response is rein-
sionally talk at home but does not talk when he forced by turning on the light, which provides
is with other children or with an adult, such as the opportunity to press the lever for food. As in
a teacher (Facon et al., 2008). How can we use this example, chaining usually begins with the
operant conditioning to increase the instances final response in the sequence and works back-
of Sami talking to non-parent adults or other wards toward the first response (Williams &
children? Burkholder, 2008). Figure 7.14 shows another
First, we need to set a specific goal: having example.
20. How might Sami speak out loud (at a volume of at least The amazing feats you see animals perform
you shape a on TV, in the movies, or at theme parks, are
70 decibels) in his classroom. Second, we need
child who never developed through shaping and chaining. So is
cleans up his to select a reinforcer that will work to influence
Sami’s behaviour. We can choose social praise the behaviour of animals who assist people with
room to do so?
and tokens that can be exchanged for preferred disabilities. Seemingly complex behaviours can
activities (e.g., an opportunity to play with be produced through the careful use of shaping
favourite toys). Now, we must reinforce Sami and chaining working with simple responses.
whenever he talks out loud in front of others.
The problem is, he never does, so there are no Generalization and Discrimination
opportunities to apply reinforcement. As in classical conditioning, operant responses
Skinner developed a powerful procedure for may generalize to similar antecedent situations.
overcoming this problem. We begin by reinforc- A dog taught to “Sit” by its owner will likely start
ing Sami for speaking a single word at low vol- sitting when other people give the command. A
ume (e.g., 44 decibels). This action is the first young child who touches a hot stovetop burner
step, or first approximation, toward our goal. learns to avoid touching not only that burner,
Next, we reinforce Sami only if a word is said a but other hot burners as well. Thus, in operant
little more loudly (e.g., 47 decibels). We continue generalization, an operant response occurs to
Robert W. Kelley, Life Magazine © Time, Inc.
FIGURE 7.14 Through chaining, this rat has learned to climb a ladder to reach a string, pull on the string to raise the ladder, and then
climb the ladder again to reach food at the top. Typically, you begin this training with the last step in the chain. Then, working backwards,
each prior step in the chain is reinforced by the opportunity to perform the next step.
a new antecedent stimulus or situation that is lever) when a discriminative stimulus is present
similar to the original one. (e.g., a red light is on) produces food or some 21. What are
some examples
Through experience, we also learn to dis- other positive consequence. Now all we have
of discriminative
criminate between antecedent conditions. Chil- to do is change the colour of the light and not stimuli in your
dren learn to raid the cookie jar only when the reinforce any response when that light is on. If own life?
parents are not in the kitchen. We learn to board the organism learns to respond to one colour
buses and trains marked by specific symbols and not the other, we infer that it can discrimi-
(79: Express) and avoid otherwise identical vehi- nate between them.
cles with different symbols (78: Local). Operant
discrimination means that an operant response
will occur to one antecedent stimulus but not to Schedules of Reinforcement
another. As already discussed, these anteced- In daily life, reinforcement comes in different
patterns and frequencies. These patterns, called 22. Describe
ent stimuli—parents’ presence or absence, bus
four major
markings—are called discriminative stimuli. schedules of reinforcement, have strong and pre-
schedules
When discriminative stimuli influence a behav- dictable effects on behaviour (Ferster & Skinner, of partial
iour, that behaviour is said to be under stimulus 1957; Haluk & Wickman, 2010). The most basic reinforcement
control. For example, the sight of a police car distinction is between continuous and partial and their effects
exerts stimulus control over most people’s driv- reinforcement. On a continuous reinforcement on behaviour.
ing behaviour. schedule, every response of a particular type
The concept of operant discrimination gives is reinforced. Every press of the lever results
science a powerful tool for examining the per- in food pellets. Every toonie deposited in the
ceptual and cognitive abilities of infants and vending machine results in the delivery of the
nonhuman species (Berg & Boswell, 1998; chosen treat. With partial reinforcement, also
Lashley, 1930). We cannot ask infants and ani- called intermittent reinforcement, only some
mals to tell us if they can distinguish between responses are reinforced.
different colours, sounds, shapes, faces, and so If you are going to reinforce behaviour inter-
on. But by using a procedure called operant dis- mittently, you have a choice of delivering your
crimination training, we can teach an organ- reinforcement based on the amount of behav-
ism that making a response (e.g., pressing a iour that has been produced, or on the passage
256 CHAPTER SEVEN
of time. The first of these is a ratio schedule.

800 Variable ratio Fixed
On ratio schedules, a certain percentage of
Cumulative number
Fixed ratio interval
responses is reinforced. The key factor is that
of responses
600
ratio schedules are based on the number of cor-
rect responses. In the workplace, this reinforce- 400
ment method is called pay for performance. An Variable
example is being paid on a quota system—when interval
200
you meet your quota you get paid. The second
option is an interval schedule under which a 0
10 20 30 40 50 60 70
certain amount of time must elapse between
Time (minutes)
reinforcements, regardless of how many cor-
rect responses have occurred. The key factor FIGURE 7.15 Each type of positive reinforcement
is that interval schedules are based on the pas- schedule produces a typical cumulative response
sage of time. An example would be receiving an curve. The hash marks indicate the delivery of a rein-
forcer. Ratio schedules produce a high rate of respond-
hourly wage. It does not matter how many lattes ing, as shown in the steep slopes of the curves.
your barista has made during the past hour, he Variable schedules produce a steadier rate of respond-
still gets the same amount of money for having ing. Notice the prominent scallops in the fixed interval
worked that hour. schedule; the subject learns to stop responding until
Schedules of reinforcement can also vary as the time interval for the next reinforcement approaches.
fixed versus variable schedules. With a fixed
schedule, reinforcement always occurs after a
specific—that is, fixed—number of responses Some labour unions fight against the use of
or time interval. With a variable schedule, the piecework wage systems, believing that they
required number of responses or the time inter- tempt employees to work to exhaustion.
val varies at random around an average. Com- FR schedules have a second character-
bining these dimensions creates four types of istic effect. As shown in Figure 7.15, the
reinforcement schedules (Table 7.3). organism often pauses briefly after each rein-
forcement, perhaps because the next response
Fixed-Ratio Schedule (or responses) is never reinforced.
On a fixed-ratio (FR) schedule, reinforce-
ment is given after a fixed number of responses. Variable-Ratio Schedule
For example, FR-3 means that reinforcement On a variable-ratio (VR) schedule, reinforce-
occurs after every third response, regardless of ment is given after a variable number of correct
how long it takes for those responses to occur. responses, based on an average. A VR-3 sched-
Fixed-ratio schedules produce high rates of ule means that, on average, three responses are
responding. That is one reason why some busi- required for reinforcement, but the number of
nesses prefer paying employees’ wages based responses required will vary from trial to trial.
on a set number of items produced. FR sched- VR schedules, like FR schedules, produce a
ules result in greater work output than hourly high rate of responding, but because the occur-
wages (Pritchard et al., 1980). If the ratio is grad- rence of reinforcement is less predictable on
ually increased over time, many responses can a VR schedule, there is less pausing after rein-
be obtained with relatively few reinforcements. forcement. After all, the next response just
TABLE 7.3 The Four Types of Partial Reinforcement Schedules

Fixed (F) Variable (V)
Ratio (R) FR: Reinforcement after completing a VR: Reinforcement after completing a changing
constant number of responses. number of responses.
e.g., receiving a free coffee after having e.g., a variable and unpredictable number of
your loyalty card stamped 10 times responses need to occur before the slot machine
pays off
Interval (I) FI: Reinforcement is available after a VI: Reinforcement is available after a changing
constant length of time length of time
e.g., receiving an hourly wage e.g., email messages arrive at scattered and
unpredictable times through the day
regardless of the number of responses produced.

Once these three minutes elapse, the next lever
press is reinforced. The FI schedule’s character-
istic response pattern is shown in Figure 7.15.
After each reinforcement, there is a pause, fol-
lowed by increased responding as the time inter-
val passes and the next reinforcement nears.
You likely have courses with scheduled
midterm and end of term exams. Your study
behaviour may resemble the pattern shown in
Figure 7.15 for an FI schedule, reflecting rela-
tively little studying during the period immedi-
ately following each exam, and an increasing
amount of studying as the next scheduled exam
approaches. This uneven performance rate is
typical of FI schedules.
Variable-Interval Schedule
On a variable-interval (VI) schedule, rein-
forcement is given for the first response that
occurs after a variable time interval. A VI-3
schedule means that, on average, there is a three-
Brand X Pictures
minute interval between opportunities to obtain
FIGURE 7.16 Gambling is reinforced on a variable- reinforcement. Sometimes, responses only a few
ratio schedule. It is ratio, because the frequency of rein- seconds apart may be reinforced; at other times
forcement is based on the amount of performance. On the interval may be many minutes. As Figure 7.15
average, you will receive more payoffs when you pull
shows, because the availability of reinforcement
the slot machine 100 times than when you play only
10 times. It is variable, because you never know when is less predictable than with an FI schedule, the
the next jackpot may occur. VI schedule produces a steadier response rate.
Pop quizzes represent a VI schedule. A course
might average a quiz every two weeks, but they
might be reinforced. This leads to high, steady can occur anytime. Their unpredictable timing
rate of responding, as shown in Figure 7.16. VR will produce a steadier approach to studying
schedules also are highly resistant to extinc- than regularly scheduled quizzes.
tion, because the organism learns that peri-
ods of no payoff eventually are followed by Partial Reinforcement, Learning,
reinforcement. and Extinction
Many gambling activities are maintained Reinforcement schedules significantly influence
by VR schedules (Figure 7.16). A gambler, for the rate of learning and extinction. Continuous
example, may play a slot machine programmed reinforcement produces more rapid learning
to pay off an average of every 20 pulls (a VR-20 than partial reinforcement. However, continu-
schedule). After eight pulls, our gambler receives ously reinforced responses also extinguish more
a 10-coin payoff. After five more pulls, another rapidly because the shift to no reinforcement is
payoff. But then, after 40 more attempts, noth- sudden and obvious.
ing. He’s frustrated but “hooked” by the VR Partial reinforcement produces behaviour
schedule. The next attempt might be the one that that is learned more slowly but is more resistant 23. Are variable
or fixed
pays off with a big jackpot, so our gambler plays to extinction, especially if the behaviour is rein-
schedules more
again . . . and again. forced on a variable schedule. If reinforcement resistant to
has been unpredictable in the past, it takes lon- extinction? Why?
Fixed-Interval Schedule ger to learn that it is gone forever. Most people
On a fixed-interval (FI) schedule, the first do not continue to drop coins into a vending
correct response that occurs after a fixed time machine that doesn’t deliver, because vending
interval is reinforced. Suppose a rat is press- machines are supposed to operate on a continu-
ing a lever on an FI-3 (minute) schedule. After ous schedule. But it would take many pulls of
a lever press is reinforced, for the next three a slot machine to recognize that it had stopped
minutes there will be no further reinforcement paying off completely. From our discussion you
258 CHAPTER SEVEN
could predict that the best way to promote fast

learning and high resistance to extinction is to
begin reinforcing the desired behaviour on a
continuous schedule until the behaviour is well
established. Then, shift to a partial (preferably
variable) schedule that is gradually made more
demanding. Knowing the impact of each type
of schedule allows a psychologist to tailor the
learning environment to produce the pattern of
behaviour desired. FIGURE 7.17 The shuttlebox is used to study escape
and avoidance learning.
Escape and Avoidance to that compartment, it can escape by running

Conditioning back to the original side. Running through the
Behaviour often involves escaping from or door removes the shock, which negatively rein-
avoiding unpleasant situations. Simple escape forces this escape behaviour. Over a few trials,
situations include taking medications to relieve the animal learns to escape as soon as the shock
pain and putting on more clothes when we are is administered.
cold. Examples of avoidance include putting To study avoidance conditioning experimen-
on lotion to avoid sunburn and obeying traffic tally, researchers introduce a warning signal,
laws to avoid tickets. As you can recognize from such as a light, that precedes the shock by a few
these examples, escape and avoidance condi- seconds. After a few trials, the animal learns
tioning are both forms of negative reinforce- that the light signals impending shock. It runs
ment; an instance where the removal of an event to the other compartment as soon as it sees the
or stimulus leads to an increase in behaviour. light, and thereby avoids being shocked. Once
In escape conditioning, organisms learn this avoidance response is learned, it often is
a response to terminate an aversive stimu- hard to extinguish. This finding is puzzling,
lus. If you are cold, you put on a sweater to because the animal no longer experiences any
escape the aversive state of being cold. Put- shock after the light is turned on.
ting on a sweater is negatively reinforced by According to one model, the two-factor
24. Describe the the desired consequence that you no longer theory of avoidance learning, classical and
role of negative
shiver. Taking two Aspirin is negatively rein- operant conditioning are involved in avoidance
reinforcement
in escape and forced by the reduction of headache pain; you learning (Mowrer, 1947; Rescorla & Solomon,
avoidance escape the pain. 1967). For our rat, the warning light initially
conditioning. In avoidance conditioning, the organism is a neutral stimulus paired with shock (UCS).
learns a response to completely avoid an aver- Through classical conditioning, the light
sive stimulus. That is, in avoidance condition- becomes a CS that elicits fear. Now operant
ing we learn to respond before the aversive conditioning takes over. Fleeing from the light
stimulus even begins. For example, if you put is negatively reinforced by the termination of
on a sweater after you feel chilled and it warms fear. This strengthens and maintains the avoid-
you, that is escape learning. If you put on your ance response. Now, if we permanently turn
sweater before going outside and this prevents off the shock, the avoidance response prevents
you from feeling cold at all, that is avoidance extinction from taking place. Seeing the light
learning. come on, the animal will not “hang around”
Escape and avoidance conditioning can be long enough to learn that the shock no longer
demonstrated experimentally (Zhuikov et al., occurs.
1994). For example, an animal is placed in a Two-factor theory helps us understand how
shuttlebox, a rectangular chamber divided into many avoidance behaviours develop (Levis,
two compartments and connected by a door- 1989; Plaud & Plaud, 1998). However, it has
way (Figure 7.17). The floor is a grid through trouble explaining some aspects of avoidance,
which electric shock can be delivered to either such as why people and other animals develop
compartment. When shock is turned on in the phobic avoidance to some stimuli (e.g., snakes)
animal’s compartment, it attempts to escape. much more easily than to others (e.g., squirrels).
Eventually, it runs through the door and into the We will return to this issue a little later when we
other compartment. When shock is delivered consider biology and learning.
Applications of Operant in air-sea rescue. Pigeons have sharp long-

distance visual acuity and a wide field of
Conditioning vision. Years ago, the U.S. Coast Guard put
Skinner was passionate about applying oper- these abilities to good use by training pigeons
ant principles to enhance human welfare. In to peck a key whenever they saw an orange
his bestselling books Walden Two (1948) and object (Simmons, 1981). Orange, of course, is
Beyond Freedom and Dignity (1971), Skinner the international colour of life jackets. Three
set forth his utopian vision of how a “technology trained pigeons were then placed in a glass
of behaviour” based on positive reinforcement dome mounted underneath the search-and-
could put an end to war, improve education, and rescue helicopter. Each pigeon had a different
solve a range of social problems. To his critics, view outside, but together, they covered the
Skinner’s ideas conjured up images of people entire 360° visual field. When a pigeon spotted
being manipulated like rats, of “Big Brother” an orange object in the ocean, it pecked a key
controlling its citizens. But Skinner’s point was connected to a particular directional signal in
that social influence is a natural part of human the cockpit. Depending on which pigeon was
existence. Parents and children influence one pecking at any moment, the pilot maintained or
another, as do employees and employers, teach- altered course and was guided to the victim’s
ers and students, friends, roommates, and location.
romantic partners. We smile and say “please”
to increase the chance someone will do us a Human Applications: Education,
favour. In Skinner’s view, individual and societal the Workplace, and Beyond
problems are created by the haphazard use of Walk into your local computer store and you
reinforcement and overreliance on punishment. likely will find shelves of educational software,
teaching everything from geography and math
Training Animals
to foreign languages. The effectiveness of such
Through shaping and chaining, animals can computerized instruction rests on two key
learn to perform some truly remarkable behav- principles championed by Skinner: immediate 25. How has
iours. Some are trained to be TV, movie, or performance feedback and self-paced learning. operant animal
circus performers, while others learn to assist training helped
Skinner was deeply concerned about the inef-
people who are blind or have other disabilities humans?
ficiency of traditional instructional methods
(Figure 7.18). Law enforcement and military (1961, 1989a). He developed mechanical teach-
organizations also rely on operantly trained 26. In what
ing machines that presented material, quizzed broad ways
animals. Police dogs assist officers on routine the student, and provided immediate feedback. has operant
patrol, and other dogs learn to use their sense of Students who did not learn the material the first conditioning
smell to locate hidden bombs, illegal drugs, and time could repeat steps. Those who did learn directly
missing persons (Gazit & Terkel, 2003). the material could advance their machine to the enhanced human
Some applications push the boundaries next set of information. Personal computers welfare?
of ingenuity, such as using pigeons to assist turned Skinner’s vision into an educational real-
ity. Computer-assisted instruction also is found
in business, industry, and the military (Tung
et al., 2009).
A key behaviourist assumption is that poor
performance occurs when the environment is
not providing the proper consequences to rein-
force the desired behaviour. Token economies,
in which desirable behaviours are quickly rein-
forced with tokens (e.g., points, gold stars) that
are later turned in for other reinforcers (e.g.,
prizes, recreational time), have been used to
enhance academic performance, increase work
© Luc Marescot/Gamma performance, and aid treatment in group homes
FIGURE 7.18 Because of injuries suffered in an acci- (Athens et al., 2007).
dent, this woman cannot move her arms or legs. The Finally, Skinner’s work gave rise to a field
monkey has been operantly trained to assist her with called applied behaviour analysis (also
basic chores, such as eating. known as behaviour modification), which
260 CHAPTER SEVEN
combines a behavioural approach with the sci- seat belts (Byrd et al., 2002), to safety improve-
entific method to solve individual and societal ments around stop signs (Van Houten & Retting,
problems (Kazdin, 1975; Matson, 2009). Essen- 2001). Applied behaviour analysis has been used
tially, a program (usually based on positive to improve students’ academic performance
reinforcement) is designed and implemented to and social skills, enhanced elite athletic perfor-
change behaviour, and its effectiveness is objec- mance, and reduced unsportsmanlike behav-
tively measured by gathering data before and iour (Hughes et al., 1998; Wilder et al., 2009).
after the program is in place. Workplace applications include increasing
Applied behaviour analysis has been used to employee productivity, reducing injuries and
reduce an array of behaviour problems. It has accidents, enhancing the job interview skills of
been used in situations that have ranged from unemployed adults, and increasing energy con-
chronic hair pulling, to drivers’ failure to use servation (Staats et al., 2000).
In Review
• Thorndike’s law of effect states that responses behaviours that increasingly resemble the final
followed by satisfying consequences will be desired behaviour.
strengthened, whereas those followed by unsat- • When behaviour changes in one situation
isfying consequences will be weakened. because of reinforcement or punishment, and
• B.F. Skinner analyzed operant conditioning in then this new response carries over to similar
terms of relations between antecedents, behav- situations, this is called operant generalization.
iours, and consequences. Antecedents that In contrast, when an operant response is made
signal the likely consequences of particular to one discriminative stimulus but not to another,
behaviours in a given situation are called discrim- this is called operant discrimination.
inative stimuli. • On a continuous reinforcement schedule, every
• Operant behaviours are emitted (under volun- response is reinforced. Partial reinforcement
tary control), whereas classically conditioned may occur on a ratio schedule, in which a cer-
responses are elicited (reflexive). Classically tain percentage of responses are reinforced,
conditioned responses are influenced by what or on an interval schedule, in which a certain
happens before the behaviour (i.e., by the CS- amount of time must pass before a response
UCS pairing), whereas operant behaviours are gets reinforced. In general, ratio schedules pro-
influenced by consequences that occur after the duce higher rates of performance than interval
behaviour. schedules.
• Reinforcement occurs when a response is • On fixed-ratio and fixed-interval schedules, rein-
strengthened by an outcome (a reinforcer) forcement always occurs after a fixed number
that follows it. With positive reinforcement, a of correct responses or a fixed time interval.
response is followed by the presentation of a On variable schedules, the required number
positive stimulus, so the response becomes of responses or interval of time varies around
stronger. With negative reinforcement, a some average.
response is followed by the removal of an aver- • Learning occurs most rapidly under contin-
sive stimulus, so again, the response becomes uous reinforcement, but par tial schedules
stronger. produce behaviours that are more resistant to
• Operant extinction is the weakening and eventual extinction.
disappearance of a response because it no lon- • Escape and avoidance conditioning result from
ger is reinforced. negative reinforcement. According to the two-
• Punishment occurs when a response is weak- factor theory, fear is created through classical
ened by an outcome (a punisher) that follows conditioning. This fear motivates escape and
it. With positive punishment, a behaviour is fol- avoidance, which is then negatively reinforced
lowed by the presentation of an aversive stimu- by fear reduction.
lus, and the behaviour becomes weaker. With • Animals are operantly trained to perform in
negative punishment, a behaviour is followed entertainment industries and to assist disabled
by the removal of a positive stimulus, and the people, the police, and the military. Human
behaviour becomes weaker. applications include teaching machines, comput-
• Shaping, which uses the method of successive erized instruction, token economies, and applied
approximations, involves the reinforcement of behaviour analysis.
BIOLOGY AND LEARNING Stage 1: All Rats

When rats touch the drinking tube, sweet water
For decades behaviourists assumed that they is delivered and a light and buzzer turn on.
could condition virtually any behaviour an
organism was physically capable of perform-
ing. Yet evidence mounted that “conditioned”
animals did not always respond as they were
supposed to. The behaviourist assumption was
wrong because it ignored a key principle dis-
cussed at the outset of this chapter: Behaviour Stage 2
is influenced by an organism’s evolutionary his- Illness condition Fear condition
tory (Crawford & Anderson, 1989).
Martin Seligman’s (1970) concept of “pre-
paredness” captures this idea. Preparedness
means that, through evolution, animals are bio-
logically “prewired” to easily learn behaviours
related to their survival as a species. Behav-
iours contrary to an organism’s natural tenden- Group 1 rats get nause- Group 2 rats get electric
cies are learned slowly, if at all. Let’s consider ating X-rays when they shocks when they drink.
drink.
some examples.
Stage 3
Constraints on Classical
Conditioning: Learned
Taste Aversions
Imagine eating or drinking something, and
then becoming sick to your stomach. Perhaps
Group 1 rats avoid the Group 2 rats still drink the
it is food poisoning. Or perhaps, like cancer sweet water and prefer sweet water, but avoid
patients, it is chemotherapy that makes you ill. the plain water with the the plain water with the
Pairing the smell and taste of food (CS) with a light and buzzer. light and buzzer.
toxin or some illness-producing agent (UCS) FIGURE 7.19 Biological preparedness in classi-
can produce a CR called conditioned taste cal conditioning. This figure illustrates the design and
aversion: The taste and smell of the food now main results of Garcia and Koelling’s (1966) aversion
disgusts and repulses us (Garcia et al., 1985). It experiment.
may even make us feel queasy, and we learn to
avoid it. Cancer patients may develop aversions exposed to X-rays (UCS) upon drinking the water,
to foods they eat before treatment even though which later made them ill (UCR). Would the rats
they know that the food did not cause their post- develop an aversion to all three neutral stimuli?
treatment stomach illness. Pairing food with No, they avoided the sweet water but not the light
nausea creates an aversion involuntarily. or buzzer. Why did only the sweet taste become a
Psychologist John Garcia pioneered numerous CS? Because rats are biologically primed, or pre-
taste aversion experiments that challenged two pared, to form taste-illness associations, which
basic assumptions of classical conditioning. First, means that in nature they most easily identify
behaviourists had assumed that the CS-UCS time poisonous or “bad” food by its taste (or smell). 27. How do
interval had to be relatively short, usually within Sounds and lights in nature don’t make rats sick. learned taste
a few seconds. Garcia showed that animals When rats in a second condition licked the aversions
learned taste aversions even though exposure to tube, the light, buzzer, and sweet taste were all illustrate the
the taste (CS) was up to several hours—or even a paired with an electric shock. Would the rats concept of
day—before they became ill (UCR). learn to fear all three neutral stimuli? No, they preparedness?
Second, in a classic experiment, Garcia illus- avoided the light and buzzer, but kept drinking
trated how biological preparedness influences the sweet water. This action also makes adap- 28. How has
knowledge of
learned aversions (Garcia & Koelling, 1966). tive sense. In nature, sights and sounds—but not
learned taste
Whenever rats licked a drinking tube, they were how food and drink taste—signal fear-provoking
aversions been
simultaneously exposed to three neutral stimuli: situations (e.g., a cat about to pounce). The applied to help
sweet-tasting water, a bright light, and a buzzer same principle applies in humans. When a food animals?
(Figure 7.19). In one condition, half the rats were makes us sick, we may develop an aversion to
262 CHAPTER SEVEN
it, but not to the friends we ate with. Further- who do not have as long a learning history
more, seeing the food again may repulse us, but about foods as do adults. Although it may not be
it would not make us afraid. possible to completely prevent the development
Psychologists have applied their knowledge of conditioned taste aversions, it is possible to
of conditioned aversions to save animals’ lives. direct how they form. Darla Broberg and Ilene
To prevent coyotes from killing ranchers’ sheep, Bernstein (1987) gave child cancer patients
Carl Gustavson and his colleagues laced pieces unusual-tasting candy before their chemother-
of meat with lithium chloride, a nausea-inducing, apy treatments. The candy, with its novel and
non-lethal drug (Gustavson et al., 1974). The unusual flavour, became the “scapegoat” for the
meat was wrapped in sheep hide and left out for children’s taste aversions, protecting them from
coyotes to eat. The coyotes ate it, became ill, developing aversions to their normal foods.
developed an aversion to the meat, and became
less likely to kill sheep. This conditioning saved
the lives of sheep and also of the coyotes, who
Are We Biologically Prepared
otherwise would have been shot by ranchers. to Fear Certain Things?
As part of wildlife management, researchers Seligman (1971) and others (e.g., Öhman, 2008)
also have created conditioned aversions to vari- proposed that humans, like other animals, are
ous foods in other species, such as raccoons, biologically prepared to acquire certain fears
wolves, and baboons (Gustavson & Gustavson, more readily than others. Case studies of pho-
1985). For an intriguing example of nature’s own bic patients support this idea. The British psy-
use of learned taste aversions, see Figure 7.20. chologist Isaac Marks (1977) provided a famous
As mentioned earlier, a serious problem that example of this idea. A four-year-old girl saw
can occur with patients receiving chemother- a snake and then had her hand accidentally
apy is that chemotherapy makes many patients slammed in a car door. Although it was a car
extremely nauseous. Patients undergoing che- that injured her, she developed a lasting phobia
motherapy are thus exposed to the necessary not of cars or car doors, but of snakes.
conditions for the development of conditioned Numerous experiments by Arne Öhman and
aversions: a CS (taste and smell of food at meal- his Swedish research team provide evidence
time) is later followed by nausea (UCS), in this of preparedness (Öhman et al., 1978; Öhman &
instance caused not by food but by the cancer Soares, 1998). For example, it has been shown
treatment (Bovbjerg, 2006; Hickok, Morrow, & that participants will easily develop conditioned
Roscoe, 2001; Stockhorst, Steingrueber, Enck, & fear responses to pictures of snakes, spiders,
Klosterhalfen, 2006). Patients receiving chemo- or angry faces, but not to pictures of flowers,
therapy for cancer risk the gradual elimination houses, berries, or happy faces, even when the
of more and more items from their diets as they pictures are shown too briefly to be consciously
accumulate more and more conditioned aver- perceived. Humans develop phobias to many
sions. This is especially important for children, stimuli, but most often we fear things that seem to
(both): Lincoln P. Brower
FIGURE 7.20 This blue jay has never eaten a monarch butterfly before and doesn’t pass up an easy meal. Soon
toxins in the butterfly cause food poisoning. The jay feels discomfort, vomits, and develops a conditioned aversion
triggered by the sight of the monarch’s brightly patterned wings. From now on, it will leave monarchs alone.
have evolutionary significance: snakes, spiders, example, raccoons received tokens they were to
other animals, and dangerous places. Although deposit in a piggy bank. Rather than dropping
there are cases of it occurring, people rarely the tokens into the bank, they kept rubbing their
develop phobias to the things that really do injure, tokens together; an action raccoons naturally
maim, and kill people in today’s world; phobias to perform with food that has a hard shell. These
cars, cigarettes, knives, and guns are rare. Is this behaviours are so deeply rooted in the animals’
the result of evolution-based preparedness, or evolutionary history that it simply overrode the
might it be due to learning experiences within our conditioning procedure. The Brelands called
own lifetime? Through cultural transmission of this instinctive drift: A conditioned response
knowledge, perhaps we come to expect that some “drifts” back toward instinctive behaviour.
stimuli can be dangerous, making us “cognitively” Experiments confirm that operant learning
rather than “biologically” prepared to acquire cer- is constrained by biology. For example, it is rel-
tain fears. As children we all heard friends and atively easy to train a pigeon to peck a novel
relatives exclaim that snakes and spiders are object (such as a disc on a wall) for food rein-
frightening and repulsive. The role of cognitive forcers, because pigeons come into the world
factors in human fear conditioning continues to biologically primed to peck for food. Training a
be examined (Davey, 1995), but one thing is clear: pigeon to peck an object to escape from electric
As with taste aversions, fear can be conditioned shock is more difficult because in their natural
much more easily to some stimuli than to others. environment pigeons do not escape from dan-
ger by pecking; they fly away.
Constraints on Operant Learning and the Brain
Conditioning: Animals Biology and learning are deeply intertwined.
That “Won’t Shape Up” Clearly, biology determines our ability to learn.
Two of B.F. Skinner’s students, Keller and Mar- The concepts of preparedness and instinctive drift
ian Breland, became renowned animal train- illustrate how organisms are biologically predis- 29. What
posed to learn some associations more easily than evidence led
ers. They used shaping and chaining to train
the Brelands
thousands of animals for circuses, advertis- others. Neuroscientists have found that certain
to propose
ing agencies, TV, and movies. Training usually brain regions, such as the nucleus accumbens, the concept of
was successful but not always. Sometimes the and certain neurotransmitters, such as dopamine, instinctive drift?
animals simply refused to behave according to play a key role in regulating the ability to predict
the “laws” of operant conditioning (Breland & and experience reward (Platt & Pearson, 2016). 30. How
Breland, 1961, 1966). Yet, no single part of the brain “controls” do biology
On one occasion, the Brelands tried to train learning. For example, the cerebellum plays and learning
a chicken to play baseball. The game was an important role in acquiring classically con- influence each
arranged so that a small ball would roll toward ditioned movements—such as conditioned other?
home plate, and the chicken would pull a chain eyeblink responses—whereas the amygdala
to swing a small metal bat. If the ball was hit, is centrally involved in acquiring classically
a bell would ring and the chicken would run conditioned fears (Carr, 2016; LeDoux, 1992).
to first base to get its food. The Brelands eas- We examine the brain mechanisms underlying
ily trained the chicken to pull the chain that learning more closely when discussing memory
swung the bat and to run to first base when it in the next chapter (without memory, we could
heard the bell. But when the ball was introduced not learn from experience).
into the game, utter chaos occurred. Whenever Biology affects learning, but experience and
the chicken hit the ball, instead of running to learning environments also influence our biolog-
first base to collect its food reinforcement, it ical functioning (Wachs, 2000). Compared with
chased the ball all over the playing field, peck- their littermates who grow up in standard cages,
ing furiously at it, and flapping its wings. Try as young animals who are exposed to enriched
they might, the Brelands could not extinguish environments—with toys and greater oppor-
these behaviours. End of training, and end of the tunities to learn—develop heavier brains with
chicken’s baseball career. In this and many other more dendrites and synapses, and with greater
examples, animals simply refused to “shape up.” concentrations of various neurotransmitters
The Brelands found that once a particular (Rosenzweig, 1984). Experiments with humans
stimulus came to represent food, animals began find that infants who regularly receive stimulat-
to act as if it were food. The chicken pecked at ing “touch sessions” develop more mature move-
the ball as if it were something to eat. In another ment patterns, are less stressed, and perform
264 CHAPTER SEVEN
In Review
• An animal’s evolutionary history prepares it to their chemotherapy. This anticipatory nausea is
learn certain associations more easily than oth- a classically conditioned response.
ers. This principle is called biological prepared- • It is difficult to operantly condition animals to per-
ness, and it illustrates that there are biological form behaviours that are contrary to their evolved
constraints on learning. natural tendencies. Such conditioned behaviours
• Humans show faster fear conditioning to CSs often are abandoned in favour of a more natural
that have evolutionary significance, suggesting response, a concept called instinctive drift.
that we are biologically prepared to acquire spe- • Various brain regions and chemicals regulate
cific kinds of phobias. learning. Environmental experiences affect brain
• Cancer patients may develop anticipatory nau- development and functioning, which in turn influ-
sea or vomiting to stimuli that are paired with ence our future ability to learn.
stimulus leads to an emitted response: Light

comes on → a hungry rat presses the lever to
obtain food. This behaviourist orientation came
to be known as SR (stimulus-response) psy-
chology. Behaviourists opposed explanations of
learning that went beyond observable stimuli
and responses. They did not deny that people had
thoughts and feelings, but argued that behaviour
Learning a Computer Game could be explained without referring to such
© Monte S. Buchsbaum, M.D., Mt. Sinai School of Medicine, New York, NY. mentalistic concepts (Skinner, 1953, 1990).
Behaviourism guided much learning research
FIGURE 7.21 While learning a computer game, the
brain of a novice player is highly active and uses a from the early 1900s through the 1960s, and
lot of energy, as indicated by the large yellow and red it remains influential (Reid & Staddon, 1998;
areas in the left PET scan. As the right scan shows, Leighland, 2000). But even in psychology’s
energy consumption decreases with experience. early days, some learning theorists argued that
between the stimulus (S) and the response (R)
there was something else: the organism’s (O)
better on cognitive tests than infants who do not mental representation of the world. This model
31. How do the receive these sessions (Field, 2002). came to be known as the S-O-R, or cognitive
concepts of model of learning. The cognitive perspective
In late adulthood, continued exposure to
“insight” and represents an important force in learning theory
“cognitive maps” stimulating environments seems to slow down
the decline in human brain functioning, as mea- (Kirsch et al., 2004).
challenge the
sured by better performance on intellectual and The study of animal cognition has expanded
behaviourist view
of learning? perceptual tasks (Goldstein et al., 1997; Schaie, to include a wide range of topics, such as
1998). In a sense then, every day you are alive, insight, cognitive maps, the role of cognition in
your brain continues its own “personal evo- classical and operant conditioning, and as we
lution”; its neural networks and patterns of will discover later in this chapter’s Frontiers
activity are affected not only by your genetic feature—even numerosity.
endowment, but also, as Figure 7.21 shows, by
your experiences as well. Insight and Cognitive Maps
In the 1920s, German psychologist Wolfgang
COGNITION Köhler (1925) challenged Thorndike’s behav-
iourist assumption that animals learn to per-
AND LEARNING form tasks only by trial-and-error learning.
Early behaviourists believed that learning Köhler exposed chimpanzees to novel learning
involves the relatively automatic formation of tasks and concluded that they were able to learn
bonds between stimuli and responses. In classical by insight, the sudden perception of a use-
conditioning, the CS elicits the CR: tone → sali- ful relationship that helps to solve a problem.
vation. In operant conditioning, a discriminative Figure 7.22 shows how one of his apes solved
the problem of how to reach bananas that were

dangling beyond reach. Köhler emphasized that
the apes often spent time staring at the bananas
and available tools, and then responded cor-
rectly, as if the solution suddenly appeared.
Although the debate over animal insight contin-
ues, Köhler’s work helped to place the cognitive
learning viewpoint on the map.
Another cognitive pioneer, learning theorist
Edward Tolman, studied spatial learning in rats.
Look at the maze in Figure 7.23a. A rat runs to
an open circular table, continues across, and
follows the only path available to a goal box
Goal
Start
(a)
Start
(b)
FIGURE 7.23 Rats first learned to run the simple

maze shown in (a). When the maze was switched
(all): © Superstock
(b), many rats chose the fourth path to the right of the
FIGURE 7.22 Sultan seemed to study the hanging original route. Tolman proposed that the rats had devel-
bananas that were out of reach. After looking around, oped a cognitive map of the maze.
he suddenly grabbed some crates, stacked them, and Source: Adapted from Tolman, E.C. (1948). Cognitive maps in
obtained his tasty reward. rats and men. Psychological Review, 55, 189–208.
266 CHAPTER SEVEN
Focus on
Neuroscience
PLACE CELLS AND COGNITIVE MAPS

Edward Tolman’s work on cognitive maps was widely influ-
ential and helped to foreshadow the rise of cognitive psy-
chology in the 1950s and ’60s. In 2014, John O’Keefe
was awarded the Nobel Prize in Physiology or Medicine for
work that renewed interest in cognitive maps. O’Keefe was
awarded the Nobel Prize for his discovery of place cells in
the hippocampus (O’Keefe & Dostrovsky, 1971).
A place cell is a type neuron in the hippocampus that
becomes active when an animal is in a specific location in
the environment (Wu & Foster, 2014). A specific place cell
will have one or a few locations where it becomes active.
Different cells represent different parts of the environment,
and the firing pattern of these groups of place cells is
thought to represent a cognitive map that supports recogni-
tion of different locations and enables the animal to suc-
cessfully navigate in its environment (Figure 7.24). Place
cells also become active in temporal sequences that are
related to the order in which the animal has visited loca-
tions in the environment (Wu & Foster, 2014). Damage to
the hippocampus causes a severe deficit in spatial memory
(Morris et al., 1982), presumably because the place cells,
and ability to process spatial location, are impaired as a
result of the damage to the hippocampus.
Will & Deni McIntyre/Science Source
Overall, it has been thought that individual place cells
encode locations of the environment—and hence compo- FIGURE 7.24 Neurons in the hippocampus become active
nents of the cognitive map—each contributing a piece of when an animal is in specific locations in the environment.
map much the same way that each piece of a jigsaw puz- These so-called place cells are thought to be important for the
zle contributes to the overall picture (Babichev, Cheng, & representation of cognitive maps.
containing food. After 12 trials, the rat easily concept of cognitive maps supported Tolman’s
negotiates the maze. Next, the maze is changed. belief that learning does not merely “stamp in”
The rat runs its usual route and reaches a dead stimulus-response connections. Rather, learn-
end (Figure 7.23b). What will the rat do? ing provides knowledge, and, based on their
Tolman found that rats returned to the table, knowledge, organisms develop an expectancy,
briefly explored most of the 18 new paths for a cognitive representation of “what leads to
just a few centimetres, and then chose one. By what.” Tolman’s concept of expectancy remains
far, the largest number—36 percent—chose the a cornerstone of today’s cognitive approaches
fourth path to the right of their original route, to both classical and operant conditioning
which took them to about 10 centimetres in front (Jeffery, 2008; Jensen, 2006).
of where the goal box had been. In short, the
rats behaved as you would, given your advan-
tage of seeing the maps in Figure 7.23.
Cognition in Classical
Tolman (1948) argued that reinforcement Conditioning
32. Provide theory could not explain this behaviour but Early American behaviourists believed that
evidence that that he could: The rats had developed a mental classical conditioning created a direct reflex-
supports the
representation of the maze layout—a cogni- like connection between the CS (tone) and CR
“expectancy
model” of tive map. Neuroscience research has expanded (salivation).
classical on our understanding of cognitive maps and Cognitive learning theorists also argue
conditioning. their neurobiological basis, as discussed in this that classical conditioning forms a CS-UCS
chapter’s Focus on Neuroscience feature. The link. In cognitive terminology, the link is an
Dabaghian, 2016). The situation, however, is more com- recorded the electrical activity of place cells in the rat hip-
plex than this. For example, neighbouring place cells do not pocampus as the animals navigated a maze to get a food
become active in neighbouring spatial locations, so it has reward (chocolate milk). The maze was constructed so that
been unclear how the activity of place cells fit together to its arms could either be straight or curved. Changing the
form a cohesive cognitive map. maze in this way, changing it from a straight line to a “U”
One question is about the type of map that is repre- shape to a zig-zag, does not alter the topology because
sented by the activity of place cells in the hippocampus. the relative order of its various components—such as
One possibility is that it is a geometric map, the type of the positions of chocolate milk wells in the arms—are
map you might see of a city in which the geometry is rep- unchanged. It does, however, alter the maze’s geometry.
resented; angles and relative distances are preserved and By changing the geometry of the environment but preserv-
accurate. This is the type of map that you can look at and ing the topology (what locations were connected to each
tell that one location is twice as far away as another—or other and in what order), the researchers could tell what
that if you go north for two blocks and then turn west and type of map corresponded to place cell activity. As rats
go three blocks, you will arrive at your destination. Another ran through different configurations of the maze, the activ-
type of map is a topological map. A topological map ity of the place cells remained largely unchanged. That
includes the relative order of locations and the connections is, the place cells preserved the sequence of locations
between them, but there is little or no information about dis- visited along the track even when the geometry of the
tance or geometry. A common example of this type of map track changed. This is what you would expect if the place
is a subway map. The different subway stops are listed in cells represented a topological map but not a map that
the correct order but with little or no information about dis- preserves the geometry of the environment. The research
tances or absolute location. For example, if you are travel- by Dabaghian et al. (2014) provides evidence that hippo-
ling on the green line of Montreal’s Metro (subway) system, campal maps have more in common with a subway map
the subway map will show you that Place Des Arts is one than with a street map. This work provides a framework for
stop east of the McGill stop, but there is no information further experiments into place cell functions and important
about how far apart those two stops really are or if they are information for theories of cognitive maps.
actually in a straight line as shown on the subway map. Although it has been about 70 years since Tolman per-
In a recent study of place cells, Dabaghian and col- formed his original experiments on cognitive maps, and
leagues tested whether place cells in the hippocam- more than 30 years since O’Keefe first recorded place
pus contributed to a geometric map or to a topological cells, we are still trying to understand how cognitive maps
map. They recorded place cell activity in rats while the are developed and represented in the brain, and in devel-
rats explored an environment, but the shape of that envi- oping a fuller theoretical understanding of cognitive maps
ronment could change (Dabaghian et al., 2014). They (Babichev et al., 2016).
expectation that the CS will be followed by the tone-shock pairings as the first group, but they
UCS (Bolles, 1979; Hollis, 1997). This expec- also received as many shocks that were not
tancy model states that the most important fac- preceded by the tone. Would the tone become
tor in classical conditioning is not how often the a CS for fear? According to traditional learning
CS and the UCS are paired, but how well the theory, the answer should be “Yes,” because the
CS predicts (i.e., signals) the appearance of number of tone-shock pairings was the same
the UCS (Rescorla & Wagner, 1972). It is impor- as in the first group. But the expectancy model
tant to note that the expectancy model does predicts “No,” because the tone does not reliably
not refer to the conscious expectation of the predict when the shock will occur. The results
UCS. The development of a CR is not the result supported Rescorla’s hypothesis: The tone did
of an individual’s conscious inferences about not elicit a fear response for the second group.
the relationship between the CS and the UCS CS-UCS inconsistency also explains why
(Perruchet et al., 2015). we don’t become conditioned to all the neu-
In a classic study Robert Rescorla (1968) tral stimuli that are present just before a UCS
demonstrated this principle in an experi- appears. For example, imagine a doctor testing
ment on fear conditioning. Rats in one condi- your knee-jerk reflex. Many of us jerk slightly
tion received electric shocks (UCS), and each at the mere sight of that little rubber mal-
shock was preceded by a tone. As usual, the let moving toward our knee. Why doesn’t this
tone soon became a CS that elicited a fear response occur to other stimuli that are pres-
response when presented alone. In a second ent just before the hammer strikes, such as the
condition, rats received the same number of sight of our doctor? Most of the time that we see
268 CHAPTER SEVEN
Frontiers
ANIMAL COGNITION
As we have seen, behaviourism focused on the study of
associative learning with little or no attention paid to inter-
nal mental activity. Psychologists, however, moved away
from this perspective and the cognitive revolution in psy-
chology combined with perspectives from evolutionary
psychology and ethology led to questions about the men-
tal capabilities of animals. The cognitive perspective in
the study of learning dates back to work by researchers
such as Köhler and Tolman, but it is more recent that the
study of a wide range of cognitive capabilities in animals
has received sustained attention. Are animals other than
humans capable of numerosity (counting), of forming con-
cepts for use in problem solving, or of accurately estimating
the passage of time? Pavlov was studying classical con- Public Domain
ditioning at the beginning of the 20th century, and by the
FIGURE 7.25 Wilheim von Osten and Clever Hans perform-
end of the 20th century research in animal cognition had
ing for a crowd of amazed spectators. Hans used onlookers’
increased sufficiently that the scientific journal Animal Cog-
reactions to guide his responses.
nition was introduced in 1998.
One active area of research deals with numerosity,
or frequency discrimination—that is, whether or not ani-
mals are sensitive to the number of items. Can a nonhu- a sequential counting task that has been used with pigeons
man primate, a rat, a pigeon, or a fish tell the difference is to present a sequence of red and blue flashes on a cen-
between different numbers of items, or keep track of how tral key. The pigeon is to choose a side key depending on
many items have been presented? Numerosity provides which colour was shown more frequently (Roberts, 2010).
an example that has a long and checkered history in psy- The pigeon might be shown red, red, blue, red, blue on
chology. In 1904 Wilhelm von Osten, a retired elementary one trial and blue, blue, red, blue, red, blue, blue, red on
school mathematics teacher, claimed to have a horse that another. The pigeon is to choose, for example, left if red is
could perform amazing feats (Bringmann & Abresch, 1997). more frequent, and right if blue is more frequent. Pigeons
Von Osten and his horse Hans gave performances in which are capable of making such a number discrimination, as are
Hans would answer questions by tapping a hoof or moving a number of different animals (Roberts, 2010). Even fish
his head (Figure 7.25). Hans, who came to be called Clever are capable of discriminating between larger and smaller
Hans, was reported to count, perform simple arithmetic numbers (Piffer et al., 2012).
(up to compound fractions), and identify colours, musical Studies of numerosity among animals have found that
notes, and coins. Since Hans could answer both spoken they make predictable errors when comparing two numbers,
and written questions, he must also have been able to read and these errors follow two principles. The first is that the
and understand spoken German. After an investigation in larger the difference between the two groups of items, the
1907, psychologist Oskar Pfungst concluded that Hans had easier the comparison. Thus, it is easier to differentiate 1
learned to respond to subtle cues in the body language of from 4, than 3 from 4. The other principle is that accuracy
the humans watching him perform, and to use those cues decreases as the number of items increase, even when the
as a signal to stop moving his head or stomping his hoof distance between the two stays the same. Thus, it is easier
(Bringmann & Abresch, 1997). Clever perhaps, but not read- to discriminate 2 items from 3 items, than it is 9 items from
ing, counting, or multiplication. The episode gave the idea 10 (Roberts, 2010). The types of errors made by nonhu-
that animals were capable of numerosity—of counting—a man primates and by other animals and the principles that
very bad reputation within psychology. describe those errors are similar to what has been found in
Despite the case of Clever Hans, are animals sensitive studies using young children (Canton, 2012). Gallistel and
to numerosity? Research has shown that members of a sur- Gelman (2000) have argued that animals and humans share
prisingly wide range of species are capable of discriminat- a non-verbal counting system, and research on numerosity
ing different numbers of items, whether the task is choosing has attempted to explore numerosity by studying both child
between two sets of items presented simultaneously development and animal cognition (Canton, 2012).
(Bogale et al., 2011) or keeping track of the number of A wide range of cognitive abilities once thought to be
items presented sequentially (Roberts, 2010). For example, the exclusive domain of humans is now being studied in
continued
nonhuman primates and other animals. Examination of a the study of animal cognition and the linkages between
recent issue of Animal Cognition, for example, reveals arti- animal and human cognition provide a modern illustration
cles on decision making among primates (Pelé & Sueur, of a statement made by Charles Darwin: “Nevertheless the
2013), inferential reasoning among nutcrackers (Tornick & difference in mind between man and the higher animals,
Gibson, 2013), and voice recognition by cats (Saito & great as it is, certainly is one of degree and not of kind”
Shinozuka, 2013). The theories and approaches used in (Darwin, 1871, p. 101).
our doctor they are not about to tap our knees.

From a cognitive viewpoint, these neutral stim-
uli do not consistently predict the arrival of the
UCS, and that dramatically reduces the chance
that they will become a CS. This is highly adap-
tive; if it were not the case, we would be twitch-
ing, salivating, blinking, and exhibiting all sorts
of embarrassing reflexive responses to so many
stimuli that it would be difficult to function.
Other types of evidence support this cogni-
tive model over a simple CS-UCS pairing model.
For example, recall that forward pairing (CS fol-
lowed by UCS) typically produces the strongest
learning, simultaneous pairing produces weaker
Cartoon by H. Mazzeo & P. Gardner, from Columbia Jester, Nov. 1950,
learning, and backward pairing (UCS followed
vol. 50, no. 4, p. 9. Courtesy of the University Archives, Columbia
by CS) produces the weakest or no learning. This University, in the City of New York.
makes sense, based on the expectancy model. In
forward tone-food pairing, the tone predicts the FIGURE 7.26 Perception versus reality.
imminent arrival of the UCS; it is a signal that
something meaningful is about happen. With
simultaneous pairing, the tone has less value as a path or the other would produce the best con-
signal because the food arrives at the same time. sequence, once they learned that their primary
And in backward pairing, the tone has no predic- route was blocked.
tive value because the food has already arrived From a cognitive perspective, the concept
(it may signal a period during which it will not be of “awareness” implies that the best predictor
presented). In sum, there is good evidence that of behaviour is the perceived contingency, not
cognition plays a role in classical conditioning. the actual one (Figure 7.26). In many instances
Learning theorists continue to test other the two are identical, but sometimes people per-
models of classical conditioning (Giftakis & ceive contingencies that do not actually exist.
Tait, 1998; Schmajuk & Holland, 1998; Tait & One example is superstitious behaviour. In cog-
Saladin, 1986), but the expectancy model has nitive terms, the person misperceives that a spe-
been highly influential (Siegel & Allan, 1996). cific behaviour produces good consequences
or helps to avoid bad ones. For example, you
may have classmates who believe their exami-
Cognition in Operant Conditioning nation performance will be better if they have
Cognitive theorists point to a variety of evi- their “lucky pen” with them, or you may have a
dence to support their claim that mental teammate who performs the same ritual prior to 33. What role
processes also play a key role in operant condi- each game. does awareness
tioning. We’ll examine three issues here. play in operant
Latent Learning conditioning?
The Role of Awareness Tolman’s research, described in Figure 7.24, sug-
34. How does
Cognitive theorists emphasize that organ- gested that rats developed cognitive maps when
latent learning
isms develop an expectancy of the relations they were reinforced with food for running the challenge the
between their responses and probable conse- maze. Tolman also believed that cognitive maps behaviourist view
quences. Many of Tolman’s rats acted as if they could be learned without reinforcement, posing of learning?
were aware that running through one alternate an even greater challenge to the behaviourist
270 CHAPTER SEVEN
sudden performance improvement? According

14 Reinforced (R) to Tolman, during Days 1 to 10, the Group 3 rats
Not reinforced (NR)
12 Reinforced starting on 11th
were learning the spatial layout of the maze as
Average number of errors

day (NR-R) they wandered about. They were not being rein-
10 forced by food, but they gained knowledge and
developed their cognitive maps. This learning
8 remained hidden or “latent” until the rats dis-
covered a reason on Day 11 to get to the goal
6
Indicates box quickly, and then it immediately was man-
latent ifested in performance the next day. Tolman’s
4
learning
experiments supported the concept of latent
2 learning, which refers to learning that occurs
but is not demonstrated until there is an incen-
0 tive to perform (Blodgett, 1929). In short, we
0 5 10 15 20
may “learn how” to do something (gain knowl-
Days
edge) but not display that knowledge outwardly
FIGURE 7.27 Tolman’s demonstration of latent learn- (performance) until some future time.
ing. Rats had one trial in the maze per day. Group NR
received no reinforcement in the maze at any time.
Members of Group R were reinforced with food every OBSERVATIONAL
time they reached the end of the maze. The criti-
cal group (NR-R) had food reward introduced on the
LEARNING: WHEN
11th day. Their immediate performance improvement OTHERS PAVE THE WAY
suggested that they had learned the maze prior to the
introduction of reinforcement. How did you learn to write, drive a car, and
make a peanut-butter-and-jelly sandwich?
Source: Tolman, E.C., & Honzik, C.H. (1930). Introduction and
Reinforcement certainly was involved but so
removal of reward and maze performance in rats. University of
California Publications in Psychology, 4, 257–275. was observational learning, the learning
that occurs by observing the behaviour of a
viewpoint. In one classic experiment, three model. Teachers and parents help us learn by
groups of rats were run in a complex maze modelling academic skills. Coaches and music
(Tolman & Honzik, 1930). Rats in Group 1 found teachers demonstrate motor skills. Through
food each time they reached the goal box. Rats observation, we learn that peanut butter is
in Group 2 found an empty goal box. The third spread across a piece of bread, rather than
group of rats found no food at the end of the piled up in the centre. In the time-honoured
maze for the first 10 days but did find food in the apprenticeship system, a novice watches and
goal box starting on the 11th day. learns from a master.
The results are shown in Figure 7.27. The key Observational learning can be highly adap-
35. What is
finding is that on Day 11, the rats in Group 3 tive. By observing others, an organism can
the adaptive
discovered food in the goal box for the first time learn which events are important, which stim-
significance of
observational and by the very next day they were perform- uli signal that such events are about to occur,
learning? ing as well as rats who had been reinforced all and which responses are likely to produce posi-
along (Group 1). What could explain this large, tive or negative consequences. Bennet Galef of
In Review
• Köhler’s early research on animal insight and • Cognitive theorists view operant condition-
Tolman’s pioneering research on cognitive maps ing as the development of an expectancy that
indicated that cognitive factors play a role in certain behaviours will produce certain conse-
learning. Tolman emphasized that learning is quences under cer tain conditions. Tolman’s
based on knowledge and an expectation of “what research on latent learning indicates that
leads to what.” “knowledge” and “performance” are conceptu-
• Cognitive interpretations of classical conditioning ally distinct, and that learning can occur without
propose that what is learned is an expectancy reinforcement.
that the CS will be followed by the UCS.
McMaster University found that rats can learn also known by its former name social learning
food aversions (Galef & Whiskin, 2000), food theory, emphasizes that people learn by observ-
preferences (Galef & Whiskin, 2001), what to ing the behaviour of models and acquiring the
eat and where to find food (Galef & Giraldeau, belief that they can produce behaviours to influ-
2000) by observing other rats. Elena Choleris ence events in their lives (Bandura, 2006).
of the University of Guelph has studied social
learning of food preferences in mice (Choleris The Modelling Process and Self-Efficacy
et al., 2011). Bandura views modelling as a four-step process
Observational learning is also important in that includes several cognitive factors:
how we perceive social situations. For example,
• Attention: First, we must pay attention to the
children’s fear of performing in front of other is
model’s behaviour.
increased if they have seen a negative outcome
for someone else’s performance (Askew, Hagel & • Retention: Second, we must retain that infor-
Morgan, 2015). mation in memory so that it can be recalled
Recent advances in neuroimaging are shed- when needed.
ding new light on observational learning. Inter- • Reproduction: Third, we must be physically
estingly, the same set of brain areas that are capable of reproducing the model’s behav-
active when we perform a task are activated iour or something similar to it.
when we see someone else perform that task • Motivation: Fourth, we must be motivated to
(Rizzolatti et al., 2014), as we discussed in Chap- display the behaviour.
ter 3’s Frontiers feature, which dealt with mir-
ror neurons. At the beginning of this chapter, we defined
Our capacity to learn by observation, which learning as a change in an organism’s behaviour
is also called modelling, far outstrips that of or capabilities based on experience. According
other creatures. It saves us enormous time to Bandura, the knowledge or capability to per-
and effort, and helps us bypass the potentially form a behaviour may be acquired at one time
time-consuming and dangerous process of trial but not displayed until a later time when the
and error. We do not want each new generation motivational conditions are favourable.
of medical surgeons, airline pilots, and fire- A classic experiment by Bandura (1965) on
36. Explain
fighters to learn their craft only through trial modelling demonstrated both observational
how Bandura’s
and error. learning and the learning-versus-performance
experiment
distinction. In this famous experiment, children illustrates the
watched a film in which a model acted aggres-
Bandura’s Social-Cognitive Theory sively toward a “Bobo doll” (an inflatable plastic
distinction
between
As you’ve seen, research on biological prepared- clown), punching, kicking, and hitting it with a learning and
ness and cognitive factors in conditioning chal- mallet. One group saw the model rewarded with performance.
lenged behaviourism’s stimulus-response view praise and candy, a second group saw the model
of learning. Alberta native and University of reprimanded for aggression, and a third group
British Columbia alumnus Albert Bandura pio- saw no consequences for the model. After the
neered research and theory on observational film, each child was placed in a room with vari-
learning. Bandura’s social-cognitive theory, ous toys, including a Bobo doll (Figure 7.28).
(all): © Courtesy of Albert Bandura, Stanford University
FIGURE 7.28 In Bandura’s experiment, most children who watched an aggressive model attack a Bobo model later imitated that behaviour.
These photos show only one of several specific actions that the children spontaneously imitated.
272 CHAPTER SEVEN
Children who saw the model punished per- in aggressive behaviours and a decrease in pro-
formed fewer aggressive actions toward the social behaviours (Wiedeman et al., 2015).
Bobo doll than did children in the other two
groups. Does this mean that this group failed Applications of Observational Learning
to learn how to respond aggressively? To find In everyday life, we learn many skills from
out, the experimenter later offered the children observing models. Elementary school teachers
attractive prizes if they could do what the model model how to write, pronounce, and use words.
had done. All of the children quickly reproduced In college, foreign-language instructors do the
the model’s aggressive responses. Bandura dem- same. Parents, teachers, business managers,
onstrated that regardless of whether the model and athletic coaches model how to solve prob-
was reinforced or punished, children had indeed lems and perform tasks. If you play sports or
learned the model’s behaviour. video games, you may have picked up strate-
Models, of course, differ in many ways. We gies or moves by watching other players.
are more likely to imitate those who we consider Psychologists have also used observa-
to be successful and respected, or that we see tional learning to enhance prosocial behav-
as similar to ourselves (Brewer & Wann, 1998). iour. For example, researchers showed high
Public service announcements and advertisers school students an audiovisual program that
tend to use either celebrity spokespersons, such featured models (other students) who donated
as famous athletes or actors, or they use mod- blood; donations to a blood bank subsequently
els who appear similar to the target audience increased by 17 percent (Sarason et al., 1991).
(Shead et al., 2011). Observational learning has also been used in
helping to promote appropriate social behav-
Imitation of Aggression iour among children with autism spectrum dis-
and Prosocial Behaviour order (Ledford & Wolery, 2015).
More ambitiously, observational learning has
Bandura’s work helped stir a societal contro-
been used to address global social problems.
versy that was brewing in the 1960s and con-
Miguel Sabido, a vice president in charge of
tinues to this day: What effect does viewing
research at Mexico’s largest media company, used
aggressive models on TV or in movies have on
Bandura’s theory to help develop the first project
our attitudes and behaviour? In brief, research
of its kind in 1975 (Smith, 2002). When a national
(Eron, 2000; Huesmann et al., 2003) suggests
literacy program in Mexico failed to draw a good
that viewing media violence
turnout, Sabido created a TV soap opera to give
• decreases viewers’ concerns about the suffer- the literacy program a boost. The popular soap
ing of victims; opera aired for a year and featured a literate
• habituates us to the sight of violence; and female character who, as part of the national pro-
gram, organized a self-study group for teenagers
• provides aggressive models that increase
and adults who struggled with illiteracy. Sabido
some viewers’ tendency to act aggressively.
hoped that the soap opera characters learning
If watching media violence can enhance our to read would provide viewers with positive role
tendency to act aggressively, might watching pro- models and motivate viewers to enroll in the lit-
social models who do good deeds increase our ten- eracy program. His hope bore fruit. After one
dency to help others? Psychologist Joyce Sprafkin episode in which viewers were directly asked to
and her colleagues (1975) conducted a classic enroll, “about 25,000 people descended on the dis-
experiment on this issue. They found that chil- tribution center in Mexico City to get their reading
dren who watched a TV show in which an action materials” (Bandura, 2002, p. 224). New annual
hero helped save a young puppy, were more likely enrollments in the literacy program jumped from
to help what they believed real puppies were in 100 000 in the previous year to over 900 000 in the
danger, even though helping meant giving up the year the soap opera aired and decreased to about
opportunity to win prizes. Many studies indicate 400 000 the year after the soap opera ended.
that exposure to prosocial models enhances peo- Mass media programs incorporating social-
ple’s helping behaviour (Bierhoff, 2005). cognitive learning principles have since tack-
Exposure to violent media is currently not led social problems in South America, Africa,
considered to be the cause of aggressive and India, and Asia (Bandura, 2006). This chapter’s
violent behaviour but research indicates that it Research Foundations feature describes an
is an important risk factor. Viewing violent TV experiment that implemented and evaluated
shows and movies can contribute to an increase one of these programs.
Learning
Levels of Analysis
Although this chapter has highlighted the centrality of environmental
experiences, as we now recap, the study of learning also points to ENVIRONMENTAL
key factors at the biological and psychological levels of analysis. • Cultural norms and socialization
affect the content of what we learn.
• The pairing of neutral stimuli with
unconditioned stimuli can produce classically
conditioned responses.
• The consequences of an operant behaviour, the
pattern of those consequences, and the presence of
antecedent stimuli affect where and how often the
BIOLOGICAL behaviour will recur.
• Heredity determines each species’ • The behaviour of other people, live or in the media,
potential to learn via habituation, may be imitated or provide knowledge.
classical and operant conditioning,
and modelling.
• Evolution has biologically predisposed each
species to learn some associations more readily
than others.
• Multiple brain regions and neurotransmitters
underlie our capacity to learn, such as dopamine
pathways that help to regulate our ability to PSYCHOLOGICAL
experience reward.
• Awareness plays a role in learning.
• Learning produces changes in brain Organisms develop expectancies of CS-UCS
activity and neural circuitry. associations and response-consequence
contingencies.
• As illustrated by superstitious behaviour, perceived
associations can influence behaviour even when they are
inaccurate.
• Learning can provide knowledge, which may be
demonstrated overtly in behaviour at a later time.
Reflecting on your emotional reactions, other bodily responses • Self-evaluations, which may generate feelings
of pride and shame, can serve as internal
to specific stimuli, and your likes and dislikes, can you reinforcers and punishers.
identify any that may have resulted from classical conditioning
experiences? Can you think of examples of behaviours (including
skills and the attitudes that you express) that you have acquired
because of operant conditioning or observational learning?
FIGURE 7.29
In Review
• Many behaviours are learned through obser- • Children can learn aggressive and prosocial
vation. The behaviour may not be displayed behaviours by watching models, and modelling
immediately but instead may appear later when is an instructional technique in skill-learning
incentive conditions change. situations.
• Observing successful models can increase peo-
ple’s self-efficacy and motivate them to perform
the modelled behaviour.
274 CHAPTER SEVEN
Research
Foundations
USING SOCIAL-COGNITIVE LEARNING for contracting HIV/AIDS but that they could control this risk
THEORY TO PREVENT AIDS: A NATIONAL through safe sexual practices. Listeners spoke more often
EXPERIMENT with their partners about HIV/AIDS, reduced their number of
sexual partners, and increased their use of condoms. These
Introduction findings were replicated in the seventh geographic region
In the 1990s, the African nation of Tanzania faced a grow- after it was switched from being a control condition to an
ing AIDS crisis that was fuelled by risky sexual practices experimental condition.
and widespread misinformation about HIV transmission
(Bandura, 2006). HIV/AIDS was widely spread through het- Discussion
erosexual contact, such as between truck drivers and prosti- This study illustrates how a scientific theory can guide
tutes who frequented the areas where truckers made stops. the development of a treatment program that addresses a
To combat this crisis, the Tanzanian government and major societal problem. By cleverly turning the comparison
Radio Tanzania produced 208 episodes of a radio soap region into an experimental region after three years, the
opera over several years. The content took advantage of researchers were able to test whether their initial findings
principles from social-cognitive theory. In this five-year would replicate.
study, Peter Vaughan and his colleagues (2000) measured Conducting large-scale research in the real world pres-
the effects of the radio program on listeners’ attitudes and ents difficult challenges that can threaten a study’s internal
sexual practices. validity. Within each experimental region, the research-
ers could not control who tuned in to the radio programs.
Method Indeed, listeners and non-listeners differed in several ways
The soap opera featured three types of role models. Positive (e.g., listeners were somewhat better educated and wealth-
role models were knowledgeable about HIV/AIDS, minimized ier) beyond just their exposure to the radio program. To
risky sex, and ultimately attained rewarding social out- minimize the chance that such factors would distort the
comes. Transitional role models began by acting irresponsi- results, the researchers statistically adjusted for these fac-
bly but eventually adopted safe sexual practices. Negative tors when they analyzed the data.
role models engaged in risky sex that led to adverse out- The study also relied heavily on participants’ self-
comes, including contracting HIV/AIDS and death. reports. But by gathering some objective data (such as
The program’s content had three goals. It was designed to increases in the number of condoms distributed in these
(1) make listeners realize that they were at risk for contract- regions), the researchers were able to corroborate some of
ing HIV/AIDS; (2) increase listeners’ self-efficacy by showing the self-report measures.
them how to control risks; (3) have listeners reduce their num-
ber of sexual partners and to use condoms when having sex.
This prime-time soap opera was broadcast twice weekly Design
to six geographic regions (e.g., the experimental regions) of
Tanzania for five years. A seventh geographic region served Question: Can a radio soap opera series, designed
as a control region for the first three years and received the using social cognitive learning principles, change
radio program for only the final two years. Each year inter- people’s attitudes and behaviour regarding risky sex?
viewers gathered information about participants’ attitudes, Type of Study: Field experiment
sexual behaviours, and personal characteristics. One or
more family members from roughly 2750 randomly chosen Dependent
households participated. Independent Variables
Variables • Attitudes about
Results Immediate (all 5 years) risky sex and HIV/
versus delayed (final AIDS
In the six experimental regions, the typical listener heard
2 years only) exposure • Self-efficacy for
108 of the 204 episodes, and about 80 percent said that to a radio soap opera reducing risk of
the program helped them learn about preventing HIV/AIDS. series. AIDS
Compared to people not exposed to the program, those who • Sexual practices
listened became more likely to believe that they were at risk
Source: Peter W. Vaughan, Everett M. Rogers, Arvind Singhal, and Ramadhan M. Swalehe (2000). Entertainment-education and HIV/AIDS
prevention: A field experiment in Tanzania. Journal of Health Communication, 5, 81–100.
Gaining Direction
What are the Fear of flying can be debilitating. It does no good in the air as soon as possible. Fear is aroused and
issues? to point out the statistics (e.g., you’re 80 times confronted. Passengers fly in a flight simulator,
more likely to be killed crossing the street than and then board a real plane. How do they con-
flying)—people with aviophobia simply will not trol their fear? How can they board a plane after
process the information. So how can we treat this a short, two-day program? Will the fear return?
disorder? Plourde’s approach is to get people back How was the phobia acquired in the first place?
What do How are phobias learned? Do extinguished responses recover?

we need to What maintains the fear response? Why are other methods (e.g., self-help
know? How can we extinguish the fear response? recordings) not as successful?
Where can There are two critical places in the chapter to examine the material on acquiring and over-
we find the examine. First, examine the section on classi- coming fear. In the classical model, the key
information to cal conditioning. Most phobias are the result of to overcoming fear is exposure. In essence,
a classically conditioned fear response. Look exposure will extinguish the learned response.
answer these
at the sections on the acquisition and general- Escape and avoidance responses are relevant
questions? ization of classically learned responses. Next, as well.
CHAPTER
Memory 8
CHAPTER MEMORY AS INFORMATION PROCESSING Applications: Improving Memory
and Academic Learning
OUTLINE A Three-Component Model
Research Foundations: In Search of the Icon FORGETTING
ENCODING: ENTERING INFORMATION The Course of Forgetting
Why Do We Forget?
Effortful and Automatic Processing
Amnesia
Levels of Processing: When Deeper Is Better
Forgetting to Do Things: Prospective Memory
Exposure and Rehearsal
Frontiers: Methods to Enhance Memory
Organization and Imagery
How Prior Knowledge Shapes Encoding MEMORY AS A CONSTRUCTIVE PROCESS
STORAGE: RETAINING INFORMATION Memory Distortion and Schemas
The Misinformation Effect and Eyewitness
Memory as a Network
Testimony
Types of Long-Term Memory
The “Recovered Memory” Controversy: Repression
RETRIEVAL: ACCESSING INFORMATION or Reconstruction?
The Value of Multiple and Self-Generated Cues THE BIOLOGY OF MEMORY

The Value of Distinctiveness Sensory and Working Memory
Context, State, and Mood Effects Long-Term Memory
on Memory
Focus on Neuroscience: How Are Memories Formed?
The charm, one might say, the genius of memory is that it is choosy, chancy,
and temperamental.
—Elizabeth Boren
What were you doing during the afternoon of

October 25, 2006? You probably cannot remember, What are the
unless it was an important date for you such as a issues here?
birthday. But Aurelien Hayman (pictured) can tell exactly
what he was doing on that date. He remembers what he What do we need
what he had for lunch, who he was with, what he was wear- to know?
ing, what the temperature was, and if anything happened in
the news that day. Where can
Aurelien, who was born in Cardiff, Wales, notes that his we find the
memory is somewhat limited. While he can tell you almost information to
any fact about his life, his performance in university does answer these
questions?
not seem to be helped at all. He notes that his memory is like
a visual file drawer that he can access, but only if he experi-
enced the events himself.
Huw Evans/Rex Features/The Canadian Press
Memory 277
There are only about 20 people in the world who are known to have this memory enhancement,
including actress Marilu Henner. In almost every case, the superior memory started when they were
about 14 years old.
M
emory refers to the processes that chapter, we explore these and other fascinating
allow us to record and later retrieve questions about memory.
experiences and information. Memory
is precious and complex, as illustrated by the
case of H.M. (Henry Molaison). H.M. had most MEMORY AS
of his hippocampus and surrounding brain tis- INFORMATION
sue surgically removed in 1953 to reduce severe
epileptic seizures. The operation succeeded,
PROCESSING
but it unexpectedly has left H.M. with amnesia, Psychological research on memory has a rich 1. In what ways
or memory loss. He can discuss his childhood, tradition, dating back to late 19th century is memory like
teens, and early 20s, but has forgotten some Europe, when Hermann Ebbinghaus (1885) an information-
events that occurred within the two years prior studied the rate at which new information is processing
to surgery, and has lost the ability to form new forgotten and Sir Francis Galton (1883) inves- system?
memories. Typically, once an experience or tigated people’s memories for personal events.
fact leaves his immediate train of thought, he Decades later, the cognitive revolution within
cannot remember it. Spend the day with H.M., North American psychology and the advent
depart and return minutes later, and he will not of computers ushered in a metaphor that has
recall having met you. He forgets that he has influenced memory research since the 1960s:
recently eaten and reads magazines over and the mind as a processing system that encodes,
over as if he has never seen them before. What stores, and retrieves information (Bower, 2000).
prevents H.M. from recalling new experiences, Encoding refers to getting information
while leaving most of his pre-1953 memories into the system by translating it into a neural
intact? Why is it, as Figure 8.1 shows, that H.M. code that your brain processes. Encoding is
can learn and remember how to perform new a little like what happens when you type on
tasks, yet swear each time he encounters these a computer keyboard, as your keystrokes
tasks that he has never seen them before? In this are translated into an electrical code that the
40
Day 1 Day 2 Day 3
Number of errors per trial
30
20
10
1 5 11 1 5 10 1 5 9
Trials
(a) (b)
FIGURE 8.1 (a) On this complex task, participants trace a pattern while looking at its mirror image, which shows
their hand moving in the direction opposite to its actual movement. (b) H.M.’s performance rapidly improved over
time, indicating that he had retained a memory of how to perform the task. Yet, each time he performed it, he
stated that he had never seen the task before, and had to have the instructions re-explained.
Source: Adapted from B. Milner, 1965, “Memory Disturbances After Bilateral Hippocampal Lesions,” in Cognitive Processes and
the Brain, Peter Milner & S.G. Glickman, eds., Fig. 6, p. 108. Reprinted with permission.
278 CHAPTER EIGHT
computer can understand and process. Stor- memory has distinct yet interacting components,
age involves retaining information over time. one temporary and the other more long-lasting?
Once in the system, information must be filed The model shown in Figure 8.2 incorporates
away and saved, as happens when a computer this assumption. Originally developed by Richard
stores information on a hard drive. Finally, Atkinson and Richard Shiffrin (1968), and sub-
there must be a way to pull information out sequently modified, it proposes that memory
of storage when we want to use it, a process has three major components: sensory memory,
called retrieval. On a computer, retrieval short-term or “working” memory, and long-term
occurs when you give a software command memory. The model does not assume that each
(e.g., “Open File”) that transfers information component corresponds to a specific structure
from the hard drive back to the screen where within the brain. Rather, the components may
you can view it. Keep in mind, however, that involve interrelated neural sites, and memory
this analogy between human and computer researchers use these terms in a more abstract
is crude. For one thing, we routinely forget sense.
and distort information, and may “remember”
events that never occurred (Laney & Loftus, Sensory Memory
2010; Morris et al., 2006; Pickrell et al., 2003). Sensory memory holds incoming sensory infor-
2. What is Human memory is highly dynamic, and its mation just long enough for it to be recognized.
sensory
complexity cannot be fully captured by any It is composed of different subsystems, called
memory? How
did Sperling existing information-processing model. sensory registers, which are the initial informa-
assess the Encoding, storage, and retrieval represent tion processors. Our visual sensory register is
duration of iconic what our memory system does with information, called the iconic store, and in 1960, George Sper-
memory? and they could not take place without memory ling conducted a classic experiment to assess
having some type of organization or structure. how long it stores information (see this chapter’s
Thus, before exploring these processes in more Research Foundations feature). As Figure 8.3
detail, let us examine some basic components of illustrates, the time course for visual sensory
memory. memory is very brief. Indeed, it is difficult, per-
haps impossible, to retain complete information
in purely visual form for more than a fraction of
A Three-Component Model a second (Figure 8.4; Barsalou, 1992).
Our encounter with H.M. suggests an interesting The auditory sensory register, called the echoic
possibility regarding how memory might be orga- store, is studied by asking participants to recall
nized. If you told H.M. your name or read him a different sets of numbers or letters that are simul-
series of numbers, he could recall the information taneously presented to their left and right ears via
for a short time. Yet he could not form a lasting headphones. Echoic memory lasts longer than
memory; once his train of thought changed, that iconic memory. A nearly complete echoic trace
information would be lost forever. Could it be, as may last about two seconds and a partial trace
William James (1890) suggested long ago, that may linger for several more (Winkler et al., 2002).
a
Rehe rsal
Encoding
Encoding Working
Sensory Sensory Long-term
registers (short-term) memory
input
Attention memory
Retrieval
FIGURE 8.2 In this model, memory has three major components: (1) sensory registers, which detect and briefly
hold incoming sensory information; (2) working memory, which processes certain information received from the
sensory registers and information retrieved from long-term memory; and (3) long-term memory, which stores infor-
mation for longer periods of time.
Source: Adapted from The Psychology of Learning and Motivation: Advances in Theory and Research, Vol. 2, K.W. Spence & J.T.
Spence, eds. R.C. Atkinson & R.M. Shiffrin, "Human Memory: A Proposed System and Its Control Processes." Copyright © 1968
by Elsevier. Reprinted by permission.
Memory 279
Research
Foundations
IN SEARCH OF THE ICON Discussion

Introduction Sperling argued that some kind of memory trace must
remain after the visual stimulus is removed. This trace is
How does information from some sensory input get trans- very short-lived (less than one second) but is available for
lated into memory? Are we able to attend to all the informa- scanning and, thus, any line in the matrix can be accurately
tion or is only some of it available? These questions were of recalled. However, when asked for a total report (recall as
central importance in George Sperling’s pioneering work on many letters as possible without the tone cue), the trace
iconic memory. has faded by the time one line is reported.
This memory trace (referred to as an icon; Neisser,
Method 1967) is a purely visual representation of the stimulus
Sperling (1960) had participants view matrices of letters array. It is subject to interference by additional visual infor-
such as the one shown in Figure 8.3. The matrix was pre- mation, and its strength is affected by visual factors such
sented for a very brief time (about 50 milliseconds). When as contrast and intensity. This notion of a sensory stor-
asked to report what they had seen, participants could, on age mechanism was quickly integrated into many models
average, correctly identify only 4.5 letters (typically from of memory and Sperling’s 1960 paper remains one of the
the first row). Even if the presentation time was increased to most cited studies in psychology.
500 milliseconds or the number of letters was reduced, the
results remained the same. Thus, it would appear that the
memory span for a visual stimulus was quite limited—only
about 33 percent of the display could be reported. Design
Sperling devised a method of partial report to demonstrate
that much more information was actually available. In Study 2, Question: Can participants report the letters from
the same matrices were presented, but when the visual stimu- each row of a brief visual display if you cue the row
lus was removed a tone was presented. For a high-pitched for them to attend to?
tone, participants were to report the letters in the first row. If Type of Study: Experimental
the tone was low-pitched, the bottom row was to be reported.
A medium-pitched tone called for a report of the middle row. Independent
Variable
Results Dependent
Tone, three types
• low-pitched Variable
Results indicated that approximately 75 to 90 percent of the
• medium-pitched Number of letters
letters could be correctly reported, regardless of the line they reported
• high-pitched
appeared in. Since the pitch of the tone was determined ran-
domly, participants could not predict which line they needed
to attend to until the stimulus display was gone.
Source: George Sperling (1960). The information available in brief visual presentations. Psychological Monographs: General and Applied, 74(11), 1–30.
Fixation Display (1/20 s) plus tone Report

Pitch signals
row to report
S F C B High DLHP
D L H P Medium
A K R G Low
FIGURE 8.3 After a participant fixates on a screen, a matrix of letters is flashed for 1/20 of a second. In one condition, participants do
not hear any tone and must immediately report as many letters as they can. In another condition, a high-, medium-, or low-pitched tone
signals the participant to report the top, middle, or bottom row. If the tone occurs immediately, participants typically can report three or
all four letters, no matter which row is signalled.
280 CHAPTER EIGHT
original stimulus. For example, as you read these

words (visual stimuli) you probably are not stor-
ing images of the way the letters look. Rather, you
likely are forming phonological codes (saying the
words silently to yourself) and, as you think about
the material, semantic codes that represent their
meaning (Lee, 2009). When people are presented
with lists of words or letters and asked to recall
them immediately, the errors that they make often
are phonetic. They might recall a V instead of a B
because of the similarity in how the letters sound
(Conrad, 1964). Likewise, given word lists such as
(1) man, mad, cap, can, map; (2) old, late, thin,
© Nick Daly/Photodisc/Getty Images
wet, hot; and (3) big, huge, broad, long, tall, people
FIGURE 8.4 The arc of light that you see traced by become most confused recalling the first list, in
a fiery baton, or the lingering flash that you see after which the words sound similar (Baddeley, 1966).
observing a lightning bolt, results from the brief dura- Such findings suggest that phonological codes
tion of information in iconic memory. Because of a play an important role in short-term memory.
slow camera shutter speed, this photo captures more
arcs of light than you could actually see: Because your Capacity and duration. Short-term memory can
iconic memory stores complete information for only a hold only a limited amount of information at a
fraction of a second, the image would quickly vanish. time. Depending on the stimulus, such as numbers,
letters, or words, it is believed that most people
can hold no more than five to nine meaningful
Short-Term/Working Memory items in short-term memory, leading George Miller
Because our attentional capabilities are limited, (1956) to set the capacity limit at “the magical
3. Describe most information in sensory memory simply number seven, plus or minus two,” though others
the limitations suggest that the number may in fact be as few
fades away. But through selective attention,
of short-term as four (Cowan, 2001). However, the number of
memory, and
a small portion enters short-term memory,
which holds the information that we are con- items in visual working memory may be up to 30
how they can be
overcome. scious of at any given time. Short-term mem- or more (Endress & Potter, 2014). To demonstrate
ory also is referred to as working memory, Miller’s limit, try administering the digit-span task
because it consciously processes, codes, and in Table 8.1 to some people you know.
“works on” information (Atkinson & Shiffrin, If our short-term memory capacity is so lim-
1968; Baddeley, 2003). ited, how can we remember and understand
sentences as we read? To answer this, read the
Memory codes. Once information leaves sensory line of letters below (about one per second), and
memory, it must be represented by some type of
code if it is to be retained in short-term and eventu-
ally long-term memory. For example, the words
that someone just spoke to you (“please buy some TABLE 8.1 Digit-Span Test
gum”) or the phone number that you just looked up Directions: Starting with the top sequence, read
must somehow become represented in your mind. these numbers at a steady rate of one per second.
Such mental representations, or memory codes, Immediately after saying the last number in each
can take various forms (Jackendoff, 1996). We may series, signal the person to recall the numbers in
try to form a mental image (visual encoding), code order. Most people can recall a maximum sequence
of five to nine digits.
something by sound (phonological encoding),
or focus on the meaning of a stimulus (semantic 8352
encoding). For physical actions, such as learning 43931
sports or playing musical instruments, we code 714937
patterns of movement (motor encoding). Study of 5469236
memory codes and their underlying neural mecha- 15248584
nisms may provide a key to understanding how 932658214
the brain represents and makes sense of informa- 6813194735
tion received through the senses (Tsien, 2007).
42469521743
Note that the form of a memory code
379846172495
often does not correspond to the form of the
Memory 281
then cover it up and write down as many letters backwards for as little as 18 seconds, few sylla-
as you can remember in the order presented. bles were recalled.
By rehearsing information, we can extend
BIRCYKAEUQSASAWTI
its duration in short-term memory indefinitely.
Did you have trouble remembering even half This occurs when you look up a telephone num-
of these 17 letters in order? Now we rearrange ber and keep saying it to yourself, either out
(reverse) the letters and again ask you to write loud or silently, while waiting to use a phone.
them down in order. Here are the 17 letters: “It was This simple repetition of information is called
a squeaky crib.” No doubt, you find this task much maintenance rehearsal. In contrast, elabora-
easier. The limit on short-term memory capacity tive rehearsal involves focusing on the meaning
concerns the number of meaningful units that can of information or relating it to other things we
be recalled, and the original 17 letters have been already know. Thus, you could rehearse the term
combined into five meaningful units (words). Com- iconic memory by thinking about examples of
bining individual items into larger units of meaning iconic memory in your own life. Both types of
is called chunking, and it can greatly aid recall. rehearsal keep information active in short-term
Short-term memory is limited in duration as memory, but elaborative rehearsal is more effec-
well as capacity. Have you ever experienced rapid tive in transferring information into long-term
forgetting, such as being introduced to someone, memory, which is our more permanent memory
starting a conversation, and then suddenly real- store (Gardiner et al., 1994; Mäntylä, 1986).
izing that you don’t have the foggiest idea what
her or his name was? Without rehearsal, the Putting short-term memory “to work.” Picture
“shelf-life” of information in short-term memory the seemingly endless stacks of a library (repre- 4. Why do
is indeed short, perhaps lasting about 20 seconds. researchers
senting long-term memory) and a tiny loading plat-
Lloyd and Margaret Peterson (1959) demonstrated refer to short-
form (representing short-term memory) outside the term memory
this by presenting participants with three-letter building. New books (pieces of information) rap- as working
syllables (all consonants), such as BSX, followed idly arrive and, because there isn’t enough space, memory?
by a three-digit number, such as 140. Upon see- knock other ones off the platform. According to
ing the number, participants counted backwards the original three-stage model, items that remain
by threes, which prevented them from rehearsing on the short-term loading dock long enough—such
the letters. As Figure 8.5 indicates, after counting as through maintenance rehearsal—eventually get
transferred into the long-term library.
100
The original three-stage model of memory
focused on short-term memory primarily as a
Percentage of syllables correctly recalled
loading platform or holding station for informa-

80
tion along the route from sensory to long-term
memory. Many cognitive scientists now reject
this view of short-term memory as too passive
60 and too sequential. Instead, they view short-term
memory as a working memory—a “mental work-
space” that actively and simultaneously processes
40 different types of information and supports other
cognitive functions, such as problem solving and
planning, and interacts with long-term memory
20 (Baddeley, 2010). Metaphorically, rather than
a loading platform, working memory “is instead
more like the office of a busy librarian, who is
energetically categorizing, cataloging, and cross-
3 6 9 12 15 18 referencing new material” (Reisberg, 1997, p. 139).
Retention interval (seconds) To illustrate how working memory stores
information, processes it, and supports prob-
FIGURE 8.5 Participants who were prevented from
lem solving, add the numbers 27 and 46 “in your
rehearsing three-letter syllables in working memory showed
almost no recall of the letters within 18 seconds, illustrating head.” Your working memory stores the num-
the rapid forgetting of information in short-term memory. bers, calls up information from long-term mem-
Source: Based on Peterson, L.R., & Peterson, M.J. (1959). ory on “how to add,” keeps track of the interim
Short term retention of individual verbal items. Journal of steps (7 + 6 = 13, carry the 1), and coordinates
Experimental Psychology, 58, 193–198. these mental processes.
282 CHAPTER EIGHT
One model, proposed by Alan Baddeley long-term memories until we die. And, as far as
5. Identify three
(1998, 2007; Repous & Baddeley, 2006), divides we know, long-term storage capacity essentially
components of
working memory into four components. First, is unlimited. Once formed, a long-term memory
working memory.
we maintain some information in an auditory can endure for up to a lifetime (Bahrick et al.,
6. What is the
working memory (the “phonological loop”), 1994).
serial position such as when you repeat a phone number, Are short-term and long-term memory really
effect? Under name, or new vocabulary terms to yourself distinct? Case studies of amnesia victims, such
what conditions mentally. A second component, visual-spatial as H.M., support this distinction, but another
do primacy and working memory (the “visuospatial sketch- source of evidence comes from laboratory
recency effects pad”), allows us to temporarily store and manip- experiments in which participants with normal
occur? ulate images and spatial information, as when memory learn lists of words. Suppose that we
forming mental maps of the route to some des- present you with a series of unrelated words,
tination. A third component, the episodic buf- one word at a time. The list might contain 10, 15,
fer, provides temporary storage space where 20, or even 30 items. Immediately after the last
information from long-term memory and from word is presented, you will recall as many words
the phonological loop and/or visuospatial sub- as you can, in any order you wish. As Figure 8.6
systems can be integrated, manipulated, and illustrates, most experiments find that words at
made available for conscious awareness. For the end and beginning of the list are the easiest
example, after reading or hearing someone say, for participants to recall. This U-shaped pattern
“How much is 87 plus 36?” your phonological is called the serial position effect, meaning
loop initially maintains the acoustic codes for that recall is influenced by a word’s position in
the sounds of 87 and 36 in working memory. a series of items. The serial position effect has
Your visuospatial sketchpad also might main- two components, a primacy effect, reflecting
tain a mental image of the numbers. But to do the superior recall of early words, and a recency
this task, the rules for performing addition must effect, representing the superior recall of the
be retrieved from long-term memory and tempo- most recent words.
rarily stored in your episodic buffer, where they What causes the primacy effect? According
7. According are integrated (i.e., applied to) information from to the three-stage model, as the first few words
to the three-
the phonological and visuospatial subsystems. enter short-term memory, we can quickly
component
This creates the ingredients for the conscious rehearse them and transfer them into long-
model, why do
primacy and perceptions that you experience as you perform term memory. However, as the list gets longer,
recency effects the mental addition (e.g., “7 + 6 = 13, carry the short-term memory rapidly fills up, and there
occur? 1 . . .”). The episodic buffer also comes into play are too many words to keep repeating before
when you chunk information. Finally, a control the next word arrives. Therefore, beyond the
process, called the central executive, directs the first few words, we cannot rehearse the items
action. It decides how much attention to allo- and they are less likely to get transferred
cate to mental imagery and auditory rehearsal, into long-term memory. If this hypothesis is
calls up information from long-term memory, correct, then the primacy effect should dis-
and integrates the input. Many authors support appear if we can prevent people from rehears-
this account of working memory (e.g., Norman, ing the early words, say by presenting the list
2013) and research suggests that the prefron- at a faster rate. Indeed, this is what happens
tal cortex, the seat of “executive functions” (Glanzer, 1972).
described in Chapter 3, is heavily involved in As for the recency effect, the last few words
directing the processing of information in work- have the benefit of not being “bumped out” of
ing memory (Nelson et al., 2000; Tsujimoto short-term memory by any new information.
et al., 2004). Thus, if we try to recall the list immediately,
all we have to do is “read out” the last words
Long-Term Memory while they linger in short-term memory. In sum,
As already noted, long-term memory is our according to the three-stage model, the primacy
vast library of more durable stored memories. effect is due to the transfer of early words into
Perhaps there have been times in your life, such long-term memory, whereas the recency effect
as periods of intensive study during finals, when is due to short-term memory.
you have felt as if “the library is full,” with no If this explanation is correct, then we should
room for storing so much as one more new be able to wipe out the recency effect—but not
fact inside your brain. In reality, barring brain the primacy effect—by eliminating the last words
damage, we remain capable of forming new from short-term memory. This happens when the
Memory 283
80
Tested immediately
Test delayed by 30 seconds
70 Primacy
Recency
60
Proportion correct
50
40
30
No recency
20
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Position in original list
FIGURE 8.6 Immediate recall of word lists produces a serial position curve, in which primacy and recency effects are
both evident. However, even a short delay of 30 seconds in recall (during which rehearsal is prevented) eliminates the
recency effect, indicating that the later items in the word list have disappeared from short-term memory.
Source: Adapted from Journal of Verbal Learning and Verbal Behavior (now Journal of Memory and Language), 5, M. Glanzer &
A. Cunitz, “Two Storage Mechanisms in Free Recall,” pp. 351–360, Fig 2. Copyright © 1966, Elsevier. Reprinted by permission.
recall test is delayed, even by as little as 15 or visual, phonological, and motor codes—that
30 seconds, and you are prevented from rehears- later enable us to activate information in long-
ing the last words. To prevent rehearsal, we term memory and access it. The more effectively
might briefly ask you to count a series of num- we encode material into long-term memory, the
bers immediately after presenting the last word greater the likelihood of retrieving it (Van Over-
(Glanzer & Cunitz, 1966; Postman & Phillips, 1965). schelde et al., 2005).
Now, by the time you try to recall the last words,
they will have faded from short-term memory and
been “bumped out” by the arithmetic task (six . . .
Effortful and Automatic
seven . . . eight . . . nine . . .). Figure 8.6 shows that, Processing
indeed, under these delayed conditions, the last Think of the parade of information that you
words are recalled no better than the middle ones, have to remember: names, phone numbers, com- 8. Provide some
while a primacy effect remains. examples of
puter passwords, and mountains of schoolwork
effortful and
Having examined some of the basic com- on which you expect to be tested. Learning automatic
ponents of memory, let us now explore more such information involves effortful process- processing in
fully how information is encoded into long-term ing, encoding that is initiated intentionally and your own life.
memory, how it is stored, and factors that affect requires conscious attention. Rehearsing, mak-
our ability to retrieve it. ing lists, and taking class notes illustrate effort-
ful processing.
ENCODING: ENTERING In contrast, have you ever been unable to
INFORMATION answer an exam question, and said to yourself,
“Why can’t I answer this? I can even picture the
The holdings of your long-term memory, like diagram; it was on the upper portion of the left
those of a library, must be organized in terms of page”? Here incidental information about the
specific codes if the information is to be avail- diagram’s location on the page (that you were
able when you wish to retrieve it. In a library, not trying to learn) appears to have been trans-
new material is assigned a call number before ferred into long-term memory through auto-
it is placed in storage. As noted earlier, our “call matic processing, encoding that occurs without
numbers” come in various forms—semantic, intention and requires minimal attention.
284 CHAPTER EIGHT
Information about the frequency, spatial

location, sequence, and timing of events often 90
is encoded automatically (Gallivan et al., 2009).
For example, if someone asks you what you did
Percentage correctly recognized

80
yesterday, you probably will have little trouble
remembering your sequence of activities, despite
70
the fact that you never had to sit down and inten-
tionally memorize this information. Some pro-
cesses (e.g., reading) are so automatic that we 60
have difficulty switching to a more effortful style.
50
Levels of Processing:
When Deeper Is Better 40
Imagine that you are participating in a labora-
tory experiment and are about to be shown a
list of words, one at a time. Each word will be Structural Phonemic Semantic
followed by a question, and all you have to do is (shallow) (deeper) (deepest)
answer “Yes” or “No.” Here are three examples: Type/depth of encoding
1. POTATO “Is the word in capital letters?” FIGURE 8.7 Depth of processing facilitates mem-
ory. Participants were shown words and asked ques-
2. horse “Does the word rhyme with course?” tions that required superficial structural processing
3. TABLE “Does the word fit in the sentence, of a word, somewhat deeper phonemic processing,
‘The man peeled the _____’?” or deeper semantic processing. Depth of processing
increased later recognition of the words in a larger list.
Each question requires effort but differs from Source: Data from Craik, F.I.M., & Tulving, E. (1975). Depth
the others in an important way. The first ques- of processing and the retention of words in episodic memory.
tion requires superficial structural encoding, Journal of Experimental Psychology: General, 104, 268–294.
since you have to notice only how the word
looks. Question 2 requires a little more effort.
You must engage in phonological (also called
Although many experiments have replicated
phonemic) encoding by sounding out the word
this finding (Gabrieli et al., 1996), at times the
to yourself and then judging whether it matches
concept of “depth of processing” can be diffi-
the sound of another word. The last question
cult to measure. Suppose that some randomly
requires semantic encoding, because you must
assigned students study a chapter by creat-
pay attention to what the word means.
ing hierarchical outlines and notes. A second
In this experiment, every word shown to you
group creates flash cards, jumbles them up,
will be followed by a question similar to one of
and rehearses them. Which study method repre-
these. Unexpectedly, you will then be given a
sents deeper processing? If the first group per-
memory test. Which group of words will be rec-
forms better on a test, should we assume that
ognized most easily: those processed structur-
they must have processed the information more
ally, phonologically, or semantically?
deeply? To do so, warns Alan Baddeley (1990),
According to the levels of processing
9. Explain is to fall into a trap of circular reasoning. Still,
concept developed by Fergus Craik and
the concept the levels of processing model has generated
Robert Lockhart (1972, 2008) of the Univer-
of “depth of much research (Craik, 2002; Froger et al., 2008).
sity of Toronto, the more deeply we process
processing.” Then again, there are situations in which few
information, the better it will be remembered.
would argue with at least a broad distinction
In the study just mentioned, semantic encod-
between shallow and deep processing. The fol-
ing involves the deepest processing because it
lowing section discusses one of them.
requires us to focus on the meaning of informa-
tion. Merely perceiving the structural properties
of the words (e.g., capitalized versus lowercase) Exposure and Rehearsal
involves shallow processing, and phonemically Years ago a student came into my (M.W.P.)
encoding words is intermediate. You can see in office after failing the first exam in introduc-
Figure 8.7 that the results of a study conducted tory psychology. He told me he had been to all
by Craik and Endel Tulving (1975) in Toronto the lectures, completed the chapters ahead of
support the value of deeper, semantic encoding. time, and reread each chapter twice more just
Memory 285
before the exam. Yet when I looked through Organization and Imagery
his textbook, not a word or sentence had been
underlined or highlighted. I asked whether he Dining at the restaurant where J.C. is a waiter
took notes as he read or paused to reflect on can be an awe-inspiring experience. Perhaps
the information, and he said, “No.” Instead, he you would like a filet mignon, medium-rare,
read each chapter quickly, much like a novel, with a baked potato, and Thousand Island dress-
and assumed that merely by looking at every- ing on your salad? Whatever you choose, it rep-
thing three times the information would some- resents only one of over 500 possible options
how “sink in.” that can be ordered (seven entrees × five serv-
Unfortunately, this student’s approach stood ing temperatures × three side dishes × five
little chance of success. To learn factual and choices of salad dressing). Yet, you and 20 or so
conceptual information presented in most aca- of your best friends can place your selections
demic or job settings, we need to employ effort- with J.C., and he will remember them perfectly
ful, deep processing. Simple repeated exposure without writing them down. How does he do it?
to a stimulus without stopping to think about Psychologists K. Anders Ericsson and Peter
it represents shallow processing. To demon- Polson (1988), who studied J.C., found that he
strate this, try drawing from memory a picture invented an overall organizational scheme to aid
of a Canadian penny, accurately locating all his memory. He divided his customers’ orders
the markings. Few of our students can do this. into four categories (entrees, temperatures, side
Thus, even thousands of shallow exposures to dish, dressing) and then used a different sys-
a stimulus do not guarantee long-term retention tem to encode the orders in each category. For
(Jones, 1990; Nickerson & Adams, 1979). example, he represented dressings by their ini-
Rehearsal goes beyond mere exposure tial letter, so orders of Thousand Island, oil and
because we are thinking about the information. vinegar, blue cheese, and oil and vinegar would
10. How
Of course, not all thinking is created equal, become TOBO.
effectively do
and neither is all rehearsal. As noted earlier, Imposing organization on a set of stimuli is maintenance
maintenance rehearsal involves simple repeti- an excellent way to enhance memory. An orga- and elaborative
tion, as when silently repeating an unfamiliar nizational scheme can enhance the meaningful- rehearsal
phone number while waiting to use the phone. ness of information and also serve as a cue that process
Maintenance rehearsal is most useful for keep- helps to trigger our memory for the information information
it represents, just as the word TOBO jogs J.C.’s into long-term
ing information active in short-term, work-
memory of the four orders of salad. memory?
ing memory, and it may help to transfer some
information into long-term memory (Naveh &
Jonides, 1984; Wixted, 1991). However, it is Hierarchies and Chunking
an inefficient method for bringing about long- Organizing material in a hierarchy takes
term transfer. advantage of the principle that memory is 11. Why do
In contrast, elaborative rehearsal focuses hierarchies,
enhanced by associations between concepts.
on the meaning of information—we elaborate chunking,
Gordon Bower and his colleagues (1969) dem-
on the material in some way. Organizing infor- mnemonic
onstrated this experimentally by presenting devices, and
mation, thinking about how it applies to our some participants with a logically organized imagery enhance
own lives, and relating it to concepts or exam- list of words, based on a hierarchical tree memory?
ples we already know illustrate such elabora- like the one in Figure 8.8a. Other participants
tion. According to Craik and Lockhart (1972, received the same words placed randomly
2008), elaborative rehearsal involves deeper within the tree. As Figure 8.8b shows, partici-
processing than maintenance rehearsal and pants presented with a meaningful hierarchy
should be more effective in transferring infor- remembered more than three times as many
mation into long-term memory. In contexts as words.
varied as university students learning word Notice that the hierarchy in Figure 8.8a does
lists to Grade 6 students learning CPR (car- not reduce the amount of information to be
diopulmonary resuscitation), experiments remembered. With or without it, there are the
support the greater effectiveness of elabora- same number of words to learn. Rather, a logi-
tive rehearsal (Gardiner et al., 1994; Mäntylä, cal hierarchy enhances our understanding of
1986; Rivera-Tovar & Jones, 1990). Even think- how these diverse elements are related, and as
ing about examples of concepts that other we proceed from top to bottom, each category
people provide for us facilitates later recall can serve as a cue that triggers our memory
(Palmere et al., 1983). for the associated items below it. Because the
286 CHAPTER EIGHT
100
Encoding 90
80
70
Percentage recalled
Automatic processing Effortful processing
60
50
40
Elaborative rehearsal Maintenance rehearsal
(deeper processing) (shallower processing) 30
20
10
Links to your
Meaning of 0
life and existing Organization Imagery
information Random Meaningful
knowledge
hierarchy hierarchy
(a) (b)
FIGURE 8.8 Words presented in a logically organized hierarchical structure (a) are remembered better than the same words placed ran-
domly in a similar-looking structure (b).
Source: Bower, G.H., Clark, M.C., Lesgold, M.A., & Winzenz, D. (1969). Hierarchical retrieval schemes in recall of categorized word lists, Journal of Verbal
Learning and Verbal Behavior, 8(3), 323–343. Copyright © 1969 Elsevier. Reprinted with permission from Elsevier.
hierarchy has a visual organization, there also (ne-MON-iks), which refers to “the art of improv-
is a greater possibility of using imagery as a ing memory,” derives from the name Mne-
supplemental memory code. mosyne, the Greek goddess of memory. A
Chunking refers to combining individual mnemonic device is any type of memory aid.
items into a larger unit of meaning, and it widens Hierarchies and chunking represent two types
the information-processing bottleneck caused of mnemonic devices. So do acronyms, which
by the limited capacity of short-term memory combine one or more letters (usually the first
(Gobet et al., 2001; Miller, 1956). To refresh your letter) from each piece of information you wish
memory, read the line of letters below to your- to remember. For example, many students learn
self (about one per second) and try to recall as the acronyms HOMES and ROY G. BIV to help
many as you can, in the same sequence. remember the names of the five Great Lakes of
North America (Huron, Ontario, Michigan, Erie,
CTVYMCAIBMKGBFBI
Superior) and the hues in the visible spectrum—
If you remembered four to eight of the letters in the “colours of the rainbow” (red, orange, yel-
order, you did quite well. Now we can reorganize low, green, blue, indigo, violet). Acronyms are
these 16 individual bits of information into five one of the most popular mnemonic techniques
larger, more meaningful chunks: CTV, YMCA, among university students (Soler & Ruiz, 1996;
IBM, KGB, and FBI. This rearrangement is easier Manolo, 2002).
to keep active in short-term memory and, should Keep in mind that when you are learning new
you be so motivated, to rehearse and transfer material, mnemonic devices do not reduce the
into long-term memory. A common example of amount of raw information you have to encode
chunking in everyday life is the way we encode into memory. Rather, they reorganize informa-
and later retrieve phone numbers from long-term tion into more meaningful units and provide
memory. Thus, if you periodically call someone extra cues to help you retrieve information from
who lives far away, you probably encode the long-term memory. When chunking seven dig-
number as a set of three chunks (e.g., 905-430- its into 430-5147, you still have to encode seven
5147) rather than as 10 individual numbers. digits. And the acronym HOMES is useful only
when you have also encoded the names of the
Mnemonic Devices Great Lakes into long-term memory. Thus, some
The search for memory aids dates back thou- researchers argue that acronyms—DAM—don’t
sands of years. In fact, the term mnemonics aid memory, or at least do so only when you are
Memory 287
already familiar with the material (Carney et al., How Prior Knowledge Shapes
1981, 1994).
Encoding
Visual Imagery Long-term memory is densely populated with
How many windows are there in your home? semantic codes that represent the meaning of
Can you tell us, in as much detail as possible, information. Typically, when we read, listen
what your bedroom looked like during your to someone speak, or experience some other
high school years? To answer these questions, event, we do not precisely record every word,
you might try to construct and scan a series of sentence, or moment. Rather, we form a mental
mental images in your working memory, based representation that captures the essential mean-
on information that you draw out of long-term ing or gist of that event. For example, in the
memory. two preceding paragraphs we described the
Allan Paivio (1969, 2006) proposes that infor- method of loci. Can you recall those paragraphs
mation is stored in long-term memory in two word for word? More likely, what you have
forms: verbal codes and non-verbal (typically encoded is the gist—the general theme—that
visual) codes. According to his dual coding the method of loci involves forming images that
theory, encoding information using both codes link items to places.
enhances memory, because the odds improve
that at least one of the codes will be available Schemas: Our Mental Organizers
later to support recall. In short, two codes are The themes that we extract from events and
better than one, though dual coding is harder store in memory are often organized around
to use with some types of stimuli than others. schemas. A schema (plural: schemas, or sche-
Try to construct a mental image for each of the mata) is a “mental framework”—an organized
following: (1) fire truck, (2) light bulb. Now con- pattern of thought about some aspect of the
struct an image for these words: (1) jealousy, world, such as a class of people, events, situ- 12. What is a
(2) knowledge. You probably found the second ations, or objects (Bartlett, 1932; Koriat et al., schema? Explain
task more difficult, because the latter words rep- 2000). We form schemas through experience, how schemas
and they can strongly influence the way we influence
resent abstract concepts rather than concrete
encoding.
objects (Sadoski et al., 1997). Abstract concepts encode material in memory (Tse et al., 2007). To
are easier to encode semantically than visually. demonstrate this, read the following paragraph:
Memory improvement books often recom- The procedure is actually quite simple.
mend using imagery to dual-code information, First you arrange things into different
and research supports this approach (Tye, groups. Of course, one pile may be suffi-
1991). The ancient Greeks developed an effec- cient depending on how much there is to
tive and well-known imagery technique called do. If you have to go somewhere else due
the method of loci (loci is Latin for “places”). to lack of facilities, that is the next step;
To use this technique, imagine a physical envi- otherwise you are pretty well set. It is
ronment with a sequence of distinct landmarks, important not to overdo things. That is, it
such as the rooms in a house or places on your is better to do too few things at once than
campus. In psychology classes, students can too many. In the short run this might not
rapidly learn to use the 40 locations on the seem important, but complications can
Monopoly game board as their visual reference easily arise. A mistake can be expensive as
(Schoen, 1996), or campus locations to remem- well. . . . After the procedure is completed,
ber shopping lists (McCabe, 2015). one arranges the materials into different
To remember a list of items or concepts, take groups again. Then they can be put into
an imaginary stroll through this environment their appropriate places. Eventually they
and form an image linking each place with an will be used once more, and the whole
item or a concept. To remember the components cycle will have to be repeated. However,
of working memory, you might imagine walk- that is part of life. (Bransford & Johnson,
ing into the administration building (central 1972, p. 722)
executive), then watching a band rehearsal in
your gym (phonological loop), visiting an art Asked to recall as much as you can of the pre-
class (visuospatial sketchpad), and finally, the ceding paragraph, you would probably have
offices of the campus newspaper (episodic buf- difficulty remembering much of it. Certainly,
fer). Many studies support the method of loci’s participants in the original experiment did. How-
effectiveness (Massen et al., 2009). ever, suppose we tell you that the paragraph is
288 CHAPTER EIGHT
about a common activity: washing clothes. Now 25

Experts (coaches)
if you read the material again, you will find that
Mean number of elements recalled

Novices
the abstract and seemingly unrelated ideas sud- 20
denly make sense. Your schema—your mental
framework for “washing clothes”—helps you
15
organize these ideas and recall a great deal more.
This example illustrates that how we per-
ceive a stimulus shapes the way we men- 10
tally represent it in memory. Essentially,
schemas create a perceptual set, which is a read- 5
iness to perceive—to organize and interpret—
information in a certain way.
Logical Illogical
Schemas, Encoding, and Expertise plays plays
When people who have never learned to “read FIGURE 8.9 Diagrams of football plays were shown to
13. In what notes” look at a musical score, they see an unin-
sense are football coaches (experts) and people who had played
terpretable mass of information. In contrast, football but were not coaches (novices). Coaches,
schemas
and expert musicians see organized patterns that they can allowed to see each play for just five seconds, displayed
easily encode, eventually learning to play a excellent memory—but only when the plays were logical.
knowledge
piece “from memory.” In music as in other fields, Their well-developed football schemas were of little use
related?
when the patterns of Xs and Os were illogical. The find-
acquiring expert knowledge can be viewed as
ings are very similar to those obtained when expert and
a process of developing schemas—mental novice chess players tried to reproduce meaningful and
frameworks—that help to encode information random arrangements of chess pieces.
into meaningful patterns. From a neurological
Source: Data based on Garland, D.J., & Barry, J.R. (1991).
perspective, the active area involved in creating Cognitive advantage in sport: The nature of perceptual
and using schema information is the medial pre- structures. American Journal of Psychology, 104, 211–228.
frontal lobe (van Kesteren et al., 2014).
William Chase and Herbert Simon (1973) dem- schemas to recognize patterns and group pieces
onstrated the relation between expertise, sche- together. For example, he would treat as a unit
mas, and encoding in a classic study. Three chess all pieces that were positioned to attack the
players—an expert, an intermediate player, and king. The intermediate player and especially the
a beginner—were allowed to look at a chess- novice, who did not have well-developed chess
board holding about 25 pieces for only five sec- schemas, could not construct the chunks and had
onds. Then they looked away and, on an empty to try to memorize the position of each piece.
board, attempted to reconstruct the placement However, if the pieces were not in positions that
of the pieces from memory. This procedure was would occur in a real game, they were no more
repeated over several trials, each with a different meaningful to the expert than to the other play-
arrangement of pieces. On some trials, the chess ers. In this case, the expert lost the advantage
pieces were arranged in meaningful positions of schemas and had to approach the task on a
that actually might occur in game situations. piece-by-piece basis just as the other players
With only a five-second glance, the expert typi- did. Similarly, football coaches show much bet-
cally recalled 16 pieces, the intermediate player ter recall than novices do after looking at dia-
eight, and the novice only four. What may sur- grams of football plays (patterns of Xs and Os)
prise you is that when the pieces were in ran- only when the plays are logical (Figure 8.9).
dom positions there was no difference in recall
between the three players. They each did poorly,
accurately recalling only two or three pieces. Thinking critically
What explains these results? We have to
reject the idea that the expert had better overall
WOULD PERFECT MEMORY BE A GIFT
memory than the other players, because he per-
OR A CURSE?
formed no better than they did with the random
arrangements. But the concepts of schemas If you could have a perfect memory, would you
want it? What might be the drawbacks?
and chunking do explain the findings (Chase &
Simon, 1973; Gobet & Simon, 1998). When the Think about it, and then see the Answers section
chess pieces were arranged in meaningful posi-
tions, the expert could apply well-developed
Memory 289
You may not be an advanced chess player, but Associative Networks

there are many areas in which you possess expert One group of theories proposes that memory can
knowledge. You have used language for most of be represented as an associative network, a mas- 14. Explain
your life and have years of experience about how the concepts
sive network of associated ideas and concepts
the world works. As the washing machine example of associative
(Bower, 2008; Collins & Loftus, 1975). Figure 8.10 networks and
illustrates, your own “expert schemas” strongly shows what a small portion of such a network priming.
influence what you encode and remember. might be like. In this network, each concept or unit
One area that we are all “expert” in is sur- of information—fire engine, red, and so on—is rep-
vival. From a functional perspective, we should resented by a node somewhat akin to each knot in a
be extremely good at processing and remem- huge fishing net. The lines in this network represent
bering words and concepts related to survival. associations between concepts, with shorter lines
Nairne et al. (2007) demonstrated that this was indicating stronger associations. For simplicity,
indeed the case. If I ask you to imagine being Figure 8.10 shows only a few connections extend-
stranded in a remote location and to give a list ing from each node, but there could be hundreds or
of everything you need to find food and water, more. Notice that items within the same category—
protect yourself, etc., your memory for the types of flowers, types of fruits, colours, and so
words on the list is much better than if I ask you on—generally have the strongest associations and
to generate items you need for a cross country therefore tend to be clustered closer together.
move. This effect has been replicated by numer- Alan Collins and Elizabeth Loftus (1975) theo-
ous authors (e.g., Bell et al., 2015; Nouchi, 2013). rize that when people think about a concept, such
Apparently, it is very adaptive for us to encode as “fire engine,” there is a spreading activation
and remember items related to survival. of related concepts throughout the network.
For example, when you think about a “fire
STORAGE: RETAINING engine,” related concepts, such as “truck,” “fire,”
INFORMATION and “red,” should be partially activated as well.
The term priming refers to the activation of one
After information is encoded, how is it orga- concept (or one unit of information) by another.
nized and stored in long-term memory? Con- Thus, “fire engine” primes the node for “red,”
sider the following statements, indicating as making it more likely that our memory for this
quickly as possible whether each is true or false: colour will be accessed (Chwilla & Kolk, 2002).
1. A raccoon has wings. The notion that memory stores information
in an associative network provides one pos-
2 Moscow is in Russia. sible explanation for why hints and mnemonic
3. A bat is a fish. devices help to stimulate our recall (Reisberg,
4. Coca-Cola is green. 1997). For example, when someone says, “Name
5. An apple is a fruit. the colours of the rainbow,” the nodes for
“colour” and “rainbow” jointly activate the node
6. Some fire engines are red. for ROY G. BIV, which in turn primes our recall
Chances are, you were able to respond to for “red,” “orange,” and so forth.
each statement almost instantaneously. Con-
sidering their diversity, it is remarkable that Neural Networks
you could access the information so quickly. The neural network approach provides a different
The fact that we are able to perform such tasks and increasingly popular model of memory and
routinely—that we can recall an incredible cognition (Chappell & Humphreys, 1994; McClel-
wealth of information at a moment’s notice— land & Rumelhart, 1985). A neural network has
has influenced many cognitive models of how nodes that are linked to one another, but these
knowledge is stored and organized in memory. nodes are physical in nature and do not contain indi-
vidual units of information. There is no single node
for “red,” for “fire engine,” and so on. Instead, each
Memory as a Network node is more like a small information-processing
We noted earlier that memory is enhanced by unit. As an analogy, some proponents would say:
elaborative rehearsal, which involves form- Think of each neuron in your brain as a node. A
ing associations between new information and neuron processes inputs and sends outputs to other
other items already in memory. The general neurons, but as far as we know, the concepts of
principle that memory involves associations “red,” or “fire engine,” or your mental image of an
goes to the heart of the network approach. elephant are not stored within any single neuron.
290 CHAPTER EIGHT
Types of Long-Term Memory

Street Vehicle
Think back to the nature of H.M.’s amnesia.
Since his brain operation, H.M. has been unable
Car Bus
Truck to consciously recall new facts or personal expe-
riences once they leave his short-term memory.
Ambu-
lance Each time he meets you he will believe it is the
first time. Yet with practice, H.M. learned new
Fire House
tasks, even though he would never remember
engine
having seen them before (Milner, 1965).
Fire
Orange Based on research with amnesia patients,
brain-imaging studies, and animal experiments,
Yellow Red many cognitive scientists believe that we possess
Apples
several long-term memory systems that interact
Green with one another (Squire & Zola-Morgan, 1991;
Cherries Pears Tulving, 2002). This view is consistent with the
Violets Roses
concept, described in Chapter 6, that the mind
involves distinct yet interrelated modules.
Flowers Sunsets
Sunrises Clouds
Declarative and Procedural Memory
Declarative memory involves factual knowledge,
and includes two subcategories (Figure 8.11). Epi-
FIGURE 8.10 A network of concepts in semantic mem- sodic memory is our store of factual knowledge
ory. The lines in the semantic network represent asso- concerning personal experiences: when, where,
ciations between concepts, with shorter lines indicating and what happened in the episodes of our lives.
stronger associations.
Your recollection that you ate pizza last night is
Source: Adapted from A.M. Collins and E.F. Loftus, 1975, an episodic memory. Semantic memory repre-
“A Spreading Activation Theory of Semantic Processing,”
sents general factual knowledge about the world
Psychological Review, 82, 412, Figure 1. Copyright © 1975
by the American Psychological Association. Reprinted by and language, including memory for words and
permission of the author and the publisher. concepts. You know that Mt. Everest is the world’s
For an interesting three-dimensional look at an associative network, tallest peak and that e = mc2. Episodic and seman-
check out the visual thesaurus at www.visualthesaurus.com. tic memories are called declarative because, to
demonstrate our knowledge, we typically have to
“declare it”—we tell other people what we know.
H.M.’s brain damage severely impaired both
Where, then, is the concept “red” stored? In a components of his declarative memory, but this is
15. How do not always the case. Some brain-injured children
neural network, each concept is represented
neural network
by a particular pattern or set of nodes that with amnesia cannot remember their daily personal
models differ
becomes activated simultaneously. When node experiences but can retain general factual knowl-
from associative
network models? 4 is activated simultaneously (i.e., in parallel) edge, enabling them to learn language and attend
with nodes 9 and 42, the concept “red” might mainstream schools (Vargha-Khadem et al., 1997).
16. Use the come to mind. But when node 4 is simultane- In contrast to declarative memory, whose
concepts of ously activated with nodes 75 and 690, another contents are verbalized, procedural memory
declarative concept enters our thoughts. Looking across (nondeclarative memory) is reflected in skills
versus the entire network, as a multitude of nodes dis- and actions (Cohen et al., 2005). One compo-
procedural tributed throughout the brain fire in parallel at nent of procedural memory consists of skills
memory, and each instant and spread their activation to other that are expressed by “doing things” in particu-
explicit versus nodes, concepts and information are retrieved lar situations, such as typing, riding a bicycle, or
implicit memory, playing a musical instrument. Classically condi-
and thoughts arise. For this reason, neural net-
to explain the
work models are often called parallel distrib- tioned responses also reflect procedural memory
pattern of H.M.’s
uted processing models (PDP). Researchers (Gabrieli, 1998). After a tone was repeatedly
amnesia.
in many fields are using the neural network paired with a puff of air blown toward H.M.’s eye,
approach to model learning, memory, language he began to blink involuntarily to the tone alone
disorders, and other cognitive processes (Bot- (Woodruff-Pak, 1993). Although H.M. could not
vinick & Plaut, 2006; Joanisse, 2009; Vogels, recall undergoing this procedure, his brain stored
Rajan, & Abbott, 2005). a memory for the association between the tone
Memory 291
Long-term
memory
Procedural
Declarative
(nondeclarative)
Personally Facts—
experienced general Skills— Classical
events knowledge motor and conditioning
(episodic (semantic cognitive effects
memory) memory)
FIGURE 8.11 Some theorists propose that we have separate but interacting declarative and procedural memory
systems. Episodic and semantic memories are declarative; their contents can be verbalized. Procedural memory is
nondeclarative; its contents cannot readily be verbalized.
and the air puff, affecting his actions (he blinked) requires us to decide whether a stimulus is famil-
when subsequently exposed to the tone alone. iar, as when an eyewitness is asked to pick out 17. Describe
some ways to
a suspect from a police lineup or when students
Explicit and Implicit Memory measure explicit
take multiple-choice tests. In recognition tasks,
and implicit
Many researchers distinguish between explicit the “target” stimuli (possible suspects or answers) memory.
and implicit memory. Explicit memory involves are provided for you. Recall involves spontane-
conscious or intentional memory retrieval, as ous memory retrieval, in the sense that you must
when you consciously recognize or recall some- retrieve the target stimuli or information on your
thing (Graf & Schacter, 1985). Recognition own. This occurs when you are briefly shown a
In Review
• Memory involves three main processes (encod- dual-coding by adding visual imagery, and other
ing, storage, and retrieval) and three main com- mnemonic devices facilitate deeper encoding.
ponents (sensory memory, short-term/working • Schemas are mental frameworks that shape how
memory, and long-term memory). we encode information. As we become experts in
• Sensory memory briefly holds incoming sensory any given field, we develop schemas that allow
information. Some information reaches working us to encode information into memory more
memory and long-term memory, where it is men- efficiently.
tally represented by phonological, visual, seman- • Associative network models view long-term mem-
tic, or motor codes. ory as a network of associated nodes, with each
• Short-term/working memory actively processes node representing a concept or unit of informa-
information and supports other cognitive function. Neural network models propose that each
tions. It has auditory, visuospatial, and executive piece of information in memory is represented
(coordinating) components. Long-term memory not by a single node but by multiple nodes dis-
stores enormous amounts of information for up tributed throughout the brain. Each memory is
to a lifetime. Studies of amnesia patients and represented by a unique pattern of simultane-
research on the serial position effect support ously activated nodes.
the distinction between short- and long-term • Declarative long-term memories involve fac-
memory. tual knowledge and include episodic memories
(knowledge concerning personal experiences)
• Effortful processing involves intentional encod-
and semantic memories (facts about the world
ing and conscious attention. Automatic process-
and language). In contrast, procedural memory
ing occurs without intention and requires minimal
is reflected in skills and actions. Explicit mem-
effort.
ory involves conscious or intentional memory
• Deep processing enhances memory. Elabora- retrieval, whereas implicit memory occurs when
tive rehearsal provides deeper processing than memory influences our behaviour without con-
maintenance rehearsal. Hierarchies, chunking, scious awareness.
292 CHAPTER EIGHT
list of words and then are asked to recall them. that triggers memories of that person. Priming
With cued recall, hints are given to stimulate mem- is a good example of how a retrieval cue (“fire
ory. If you cannot recall the word hat from the engine,” “MO_____”) can trigger associated ele-
list, we might say, “It rhymes with bat.” In academ- ments (“red,” “MOon”) in memory, presumably
ics, essay, short-answer, and fill-in-the-blank ques- via a process of spreading activation.
tions involve recall or cued recall.
Implicit memory occurs when memory influ-
ences our behaviour without conscious aware- The Value of Multiple
ness (Mulligan & Dew, 2009). H.M. was able to and Self-Generated Cues
remember how to perform the mirror-tracing task, Timo Mäntylä (1986) conducted a series of
18. Why does although he had no conscious awareness of hav- experiments that vividly show the value of
having multiple, ing learned it. His memory for the task (in this having not just one, but multiple retrieval cues.
self-generated case, procedural memory) was implicit. In one experiment, Swedish university students
retrieval cues In less dramatic ways, all of us demonstrate were presented with a list of 504 words. Some
enhance recall? memory without conscious awareness. Riding a students were asked to think of and write down
bicycle, driving, or performing any well-learned an association for each word, while others
skill provides a common example. You may be were asked to think of and write down three
consciously thinking about an upcoming school associations. To illustrate, what three words
test or last night’s party, while your implicit, come to your mind when you hear the word
procedural memory enables you to keep execut- “banana”? Perhaps you might think of monkey,
ing the skill. peel, and fruit.
Priming tasks provide another example. You The students had no idea that their memory
might read a list of words (one word per second) for these words would be tested, and once the
that includes kitchen, moon, and defend. Later— association task was completed, they were given
even a year later—you are rapidly shown many an unexpected immediate recall test for 252 of
word stems, some of which might be KIT_____, the words. For some words, students were first
MO_____, and DE_____, and are asked to com- shown the one or three associations that they
plete each stem to form a word. You are not aware had previously generated. As a control, for other
that this is a memory test. Compared with people words, they were first shown one or three asso-
not given the original list of words, you will be ciations that another participant had generated.
more likely to complete the stems with words on Then they were asked to recall the original word.
the original list (e.g., MOon, rather than MOther). The results were astounding. When the asso-
The word stems have activated or “primed” your ciations (i.e., retrieval cues) were self-generated,
stored mental representations of these words— students shown one cue correctly recalled 61
the information is still in your memory—even percent of the words, and those shown three
though you may be unable to consciously recall cues correctly recalled 91 percent. In contrast,
the original words (Bruss & Mitchell, 2009; when students were shown cues that someone
Schacter, 1992). else had generated, recall with one cue dropped
to 11 percent and with three cues to 55 percent.
RETRIEVAL: ACCESSING Finally, when given another surprise recall test
one week later on the remaining words, stu-
INFORMATION dents still remembered 65 percent of the words
Storing information is useless without the abil- when they were first provided with three self-
ity to retrieve it. Imagine looking for a specific generated retrieval cues, far better than any
title in a library, searching book by book because other condition.
items are placed onto shelves without call num- In seven experiments, Mäntylä consistently
bers. In contrast, if we have a call number and found that having multiple, self-generated
the book is shelved correctly, we can easily gain retrieval cues was the most effective approach
access to it. to maximizing recall (Mäntylä, 1986; Mäntylä &
A retrieval cue is any stimulus, whether inter- Nilsson, 1988). Why might this be? On the
nal or external, that stimulates the activation encoding side of the equation, generating our
of information stored in long-term memory. If own associations involves deeper, more elabo-
someone asks you, “Have you seen Sally today?” rative rehearsal than does being presented with
the word Sally is intended to serve as a retrieval associations generated by someone else. Simi-
cue. Likewise, seeing a yearbook picture of a larly, generating three associations involves
high school classmate can act as a retrieval cue deeper processing than thinking of only one.
Memory 293
On the retrieval side, these self-generated associ-

ations become cues that have personal meaning.
And with multiple cues, if one fails, another may
activate the memory. The implication for study-
ing academic material is clear. Think about the
material, and draw one or preferably more links
to items you already have in memory.
The Value of Distinctiveness

You can perform the following quick exercise to
demonstrate a simple point regarding memory.
A list of words appears below. Say each word
silently to yourself (about one per second), then
when you see the word WRITE, look away and
jot down as many words as you can recall, in any © RGB Ventures LLC dba SuperStock/Alamy Stock Photo
order. Here are the words: robin, eagle, nest, crow, FIGURE 8.12 A flashbulb memory is a recollection
feather, goose, owl, tomato, rooster, fly, sparrow, that seems so vivid and clear that we can picture it as if
nightingale, chirp, hawk, pigeon, WRITE. it were a snapshot of a moment in time.
Recall that in the serial position effect, words
in the middle of a list usually are recalled less
well than those at the beginning or the end of I (M.A.) distinctly remember waking up to reports
the list. Yet, if you are like 95 percent of our stu- of incredible damage and then watching as cam-
dents, you will have recalled the word tomato, eras captured the incoming waves (Figure 8.12).
which occurred in the middle. In this list, tomato Flashbulb memories are recollections that
is distinctive. It stands out from the crowd (or at seem so vivid, so clear, that we can picture them
least, from the flock) and catches our attention. as if they were a snapshot of a moment in time.
Upon retrieval, it is less likely to “blend in” with They are most likely to occur for distinctive,
all the other words. In general, distinctive stimuli positive or negative events that evoke strong
are better remembered than non-distinctive ones emotional reactions (Curci & Luminet, 2009).
(Bireta & Simels, 2009; Ghetti et al., 2002). This Because flashbulb memories are vivid and eas-
principle also applies to the events of our lives. ily recalled, we are confident of their accuracy. But
19. Do flashbulb
In one study, university students were asked are they accurate? The day after the space shuttle
memories always
to list their three clearest memories (Rubin & Challenger blew up shortly after takeoff, Ulric Neis- provide an
Kozin, 1984). Distinctive events such as wed- ser and Nicole Harsch (1993) asked university stu- accurate picture?
dings, romantic encounters, births and deaths, dents to describe how they learned of the accident, Describe some
vacations, and accidents were among the most where they were, and so on. Reinterviewed three evidence.
frequently recalled. years later, about half of them remembered some
Can we enhance the memorability of nondis- details correctly, but they recalled other details
tinctive stimuli by associating them with other inaccurately. A fourth of the students completely
stimuli that help to make them distinctive? misremembered all the major details and were
According to Mäntylä (1986), this is a key rea- astonished by how inaccurate their memories were
son why students who generated their own three- after reading their original descriptions.
word associations were able to remember almost In the seventh week after the 9/11 terrorist
all the 500 words on their list. Associating each attacks, psychologist Kathy Pezdek (2002) asked
word with three others helped form a distinctive, 569 students attending college in New York City
personally meaningful set of cues. Thus, when (Manhattan), Southern California, and Hawaii
studying, one way to increase your recall when to complete a memory questionnaire. One item
all the material “starts looking alike” is to make asked, “On September 11, did you see the video-
it distinctive by associating it with other informa- tape on television of the first plane striking the
tion that is personally meaningful to you. first tower?” Overall, 73 percent of the students
said “Yes.” Yet this was impossible, because the
videotape of the first plane crashing was not
Flashbulb Memory: Fogging broadcast until after September 11. Moreover,
Up the Picture? students who incorrectly responded “Yes” were
Do you recall what you were doing when a mas- more confident in their memory than the students
sive earthquake and tsunami hit Japan in 2011? who correctly said “No”! Similarly, after Princess
294 CHAPTER EIGHT
Diana died in a car crash in 1997, a study in Eng- event. While jogging one day shortly thereafter,
land found that 44 percent of participants said she consciously recalled the rape.
that they had seen a videotape on the TV news Because this is a case study, we can-
showing the crash take place. No such tape was not be sure what caused the woman’s mem-
ever shown; in fact, it is highly doubtful that such ory to return. One possibility, the encoding
a tape even exists, yet they were as confident specificity principle, states that memory
in their memory as participants who said they is enhanced when conditions present during
never saw such a tape (Ost et al., 2002, 2008). retrieval match those that were present dur-
Memory researchers have studied the rela- ing encoding (Tulving & Thomson, 1973). This
tion between confidence and accuracy with enhancement occurs because stimuli asso-
children and adults, inside and outside the lab- ciated with an event may become encoded
oratory, and for many types of events. Overall, as part of the memory and later serve as
confidence and accuracy are weakly related retrieval cues.
(Busey et al., 2000; Talarico & Rubin, 2003).
Context-Dependent Memory:
People accurately recall many events—even
after years pass—and typically are very confi-
Returning to the Scene
dent when they do. But people often swear by Applying the encoding specificity principle to
20. Explain
inaccurate memories too. Even for a distinctive external cues leads us to context-dependent
how context-
dependent and event, a memory can feel “like it just happened memory: It typically is easier to remember
state-dependent yesterday” when, in truth, it’s foggy. something in the same environment in which
memory it was acquired. Thus, upon returning to your
illustrate the elementary school or old neighbourhood, sights
encoding
Context, State, and Mood Effects and sounds may trigger memories of teachers,
specificity on Memory classmates, and friends. As with the Swedish
principle. Years ago, two Swedish researchers reported jogger, police detectives may take an eyewit-
the case of a young woman who was raped ness or crime victim back to the crime scene,
while out for a jog (Christianson & Nilsson, hoping to stimulate the person’s memory.
1989). When found by a passerby, she was in In a classic experiment, Duncan Godden and
shock and could not remember the assault. Over Alan Baddeley (1975) asked scuba divers to
the next three months, the police took her back learn some lists of words underwater and some
to the crime scene several times. Although she on dry land. As Figure 8.13 shows, when the div-
could not recall the rape, she became emotion- ers were later retested in the two environments,
ally aroused, suggesting implicit memory of the lists learned underwater were recalled better
40
Percentage of words recalled
30
20
10
0
Land/ Water/ Land/ Water/
land water water land
Same context Different contexts
FIGURE 8.13 Context-dependent memory. Scuba divers who learned lists of words while underwater later
recalled them better while underwater, whereas words learned on land were recalled better on land. Recall was
poorer when the learning and testing environments were mismatched.
Source: Data from D.R. Godden & A.D. Baddeley, 1975, “Context-Dependent Memory in Two Natural Environments: On Land and Under
Water,” British Journal of Psychology, 66, 325–331. Reprinted by permission of the author. Photo: © Richard Hermann/Visuals Unlimited
Memory 295
underwater and those learned on land were

better recalled while on land. Similarly, when
randomly assigned university students studied
material in either a quiet or noisy room, they
later displayed better memory on short-answer
and multiple-choice questions when tested in
a corresponding (quiet or noisy) environment
(Grant et al., 1998). Thus, if you take exams
in quiet environments, try to study in a quiet
environment.
The context or environment in which learn-
ing occurs may even influence the nature of the
memory itself. Hupbach and colleagues (2008)
claim that when new learning occurs in the
Photofest
same environment as prior learning, the context
reactivates the earlier memory and as a result FIGURE 8.14 State-dependent memory. In the film
the new information modifies and updates the City Lights, a drunken millionaire befriends and spends
memory. When new learning occurs in a novel the evening partying with Charlie Chaplin after Chaplin
environment, on the other hand, the informa- saves his life. The next day, in a sober state, the mil-
tion is consolidated into a new episodic memory lionaire doesn’t remember Chaplin and considers him
an unwanted pest. After getting drunk again, he remem-
instead of modifying an existing memory.
bers Chaplin and treats him like a good buddy.
State-Dependent Memory:
Arousal, Drugs, and Mood
Moving from external to internal cues, the con-
cept of state-dependent memory proposes 1998; Rezayof et al., 2008). This finding does not
that our ability to retrieve information is greater mean, by the way, that drugs improve memory
when our internal state at the time of retrieval during initial learning.
matches our original state during learning. The Does state-dependent memory extend to
Swedish jogger who was raped consciously mood states? Is material learned while in a 21. Identify
remembered her assault for the first time while practical
happy mood or a sad mood better recalled when
principles of
jogging. In her case, both context-dependent we are in that mood again? Inconsistent findings encoding and
cues (similar environment) and state dependent suggest that such mood-dependent memory is retrieval that
cues (arousal while jogging) may have stimu- not a reliable phenomenon, although research- can be used
lated her memory. ers continue to study whether it might occur to enhance
Diverse experiments support this effect. under certain conditions (Ryan & Eich, 2000). memory.
Many students at the campus gym read course Instead, there is more consistent evidence of
materials while exercising on a bicycle, tread- mood-congruent recall: We tend to recall
mill, or stairclimber machine. Christopher Miles information or events that are congruent with
and Elinor Hardman (1998) found that material our current mood (Teasdale & Fogarty, 1979;
learned while we are aroused during aerobic Fiedler, 2000). When happy, we are more likely
exercise is later recalled more effectively if we to remember positive events, and when sad, we
are once again aerobically aroused, rather than tend to remember negative events. This likeli-
at rest. Conversely, material learned at rest is hood helps to perpetuate our mood and may be
better recalled at rest. one factor that maintains depression once peo-
Many drugs produce physiological effects ple have entered a depressed state (Pyszczynski
that directly impair memory, but state- et al., 1991). There is also evidence that some
dependency is another reason why events expe- people experience mood-incongruent recall,
rienced in a drug state may be difficult to recall which is thought to be related to negative mood
later while in a drug-free state (Figure 8.14). regulation, or attempts to improve a negative
Experiments examining alcohol, marijuana, mood state (Rusting & DeHart, 2000).
amphetamines, barbiturates, nicotine, caffeine, Clearly, many factors affect how we encode,
antihistamines, and other drugs have often store, and retrieve information. This chapter’s
found that information recall is poorer when Applications feature highlights some principles
there is a mismatch between the person’s state that are particularly relevant to helping you
during learning and testing (Carter & Cassaday, improve your memory.
296 CHAPTER EIGHT
Applications
IMPROVING MEMORY AND ACADEMIC Organize Information

LEARNING Organizing information keeps you actively thinking about
the material and makes it more meaningful. Before reading
Memory enhancement strategies fall into three broad cat-
a chapter, look at the outline to determine how the mate-
egories (Park et al., 1990; Soler & Ruiz, 1996):
rial is logically developed. When studying, take notes from
• external aids, such as shopping lists, notes, appointment a chapter and use outlining to organize the information.
calendars, and placing objects (such as keys) in the same This hierarchical structure forces you to arrange main ideas
location; above subordinate ones and becomes an additional retrieval
• g eneral memory strategies, such as organizing and cue that facilitates recall (Bower et al., 1969).
rehearsing information; and
• formal mnemonic techniques, such as acronyms and other Overlearn the Material
systems that take training to be used effectively.
Overlearning refers to continued rehearsal past the point of
Overall, memory researchers most strongly recommend initial learning, and it significantly improves performance on
using external aids and general strategies to enhance mem- memory tasks (Driskell et al., 1992). In general, the greater
ory (Park et al., 1990; Moe & De Benji, 2005). Of course, the amount of overlearning, the greater the benefit. More-
in situations such as “closed-book” exams, using external over, much of this memory boost persists for weeks after
aids may land you in the dean’s office! The following sound overlearning ends. In short, just as elite athletes keep prac-
psychological principles can best enhance memory. tising their skills, you should continue to rehearse material
after you have first learned it.
Use Elaborative Rehearsal to Process
Information Deeply Distribute Learning over Time
Elaborative rehearsal—focusing on the meaning of You have finished the readings and organized your notes
information—enhances deep processing and memory for an upcoming test. Now it’s time to study and review. Are
(Gabrieli et al., 1996). Put simply, if you are trying to com- you better off with massed practice, a marathon session
mit information to memory, make sure that you understand of highly concentrated learning, or with distributed prac-
what it means. You may feel that we’re daffy for stating tice, several shorter sessions spread out over a few days?
such an obvious point, but let us ask you this: Do you Research suggests that you will retain more information
always seek assistance when you encounter material that with distributed practice (Smith & Rothkopf, 1984; Under-
you have trouble understanding? Unfortunately, some stu- wood, 1970). It can reduce fatigue and anxiety, both of
dents who find material confusing simply try to “learn” it which impair learning.
by rote memorization, an approach that usually fails. The
“directed questions” that appear in this book’s margins can Minimize Interference
help you process the course material more deeply, and also
Interference, as we soon will discuss more fully, occurs
serve as good retrieval cues.
when one piece of information encoded in memory impairs
our ability to remember some other piece of information.
Link New Information to Examples
Distributed practice is effective because the rest periods
and Items Already in Memory between study sessions reduce interference from compet-
Once you understand the material, process it more deeply ing material. However, when studying for several exams on
by associating it with information you already know. This the same or consecutive days, there really are few rest peri-
association creates memory “hooks” onto which you can ods. There is no simple solution to this problem. Suppose
hang new information. Because you already have many you have a psychology exam on Thursday and a sociology
memorable life experiences, make new information person- exam on Friday. Try to arrange several sessions of distrib-
ally meaningful by relating it to your life. uted practice for each exam over the preceding week. On
Pay attention to examples, even if they are unrelated Wednesday, limit your studying to psychology if possible.
to your own experience. In one study, participants read a Once your psychology exam is over, turn your attention to
32-paragraph essay about a fictitious African nation. Each your second test. This way, the final study period for each
paragraph presented a topic sentence stating a main theme course will occur as close as possible to test time and mini-
along with zero, one, two, or three examples illustrating that mize interference from other cognitive activities.
theme. The greater the number of examples, the better the Studying before you go to sleep may enhance retention
participants recalled the themes (Palmere et al., 1983). by temporarily minimizing interference, but, most of all, a
continued
Memory 297
typical university course load illustrates why overlearning is customers’ orders, some restaurant waiters and waitresses
so important. Realistically, interference cannot be avoided, form images, such as visualizing a man who has ordered
so study the material beyond the point where you feel you a margarita turning light green. As one waitress remarked,
have learned it. “After a while, customers start looking like drinks” (Bennett,
1983, p. 165). Perhaps an image of a camera flashbulb
Use Imagery with a big red X through it will help you remember that flash-
bulb memories often are less accurate than people think
Among formal mnemonic techniques, memory research-
they are. In sum, although there may not be any “magic” or
ers view imagery as the most valuable (Park et al., 1990).
effortless way to enhance memory, psychological research
As dual-coding theory predicts, images provide a splendid
has established numerous principles that you can use to
second “cognitive hook” on which to hang and retrieve
your advantage.
information (Paivio, 1969, 1995). Instead of writing down
FORGETTING He created over 2000 nonsense syllables, mean-

ingless letter combinations (e.g., biv, zaj, xew),
Some very bright people are legendary for their to study memory with minimal influence from
memory failures, or “absentmindedness.” The prior learning, as would happen if he used
eminent French writer Voltaire began a pas- actual words. A dedicated scientist, in one study
sionate letter “My Dear Hortense” and ended it Ebbinghaus spent over 14 000 practice repeti-
“Farewell, my dear Adele.” The splendid absent- tions trying to memorize 420 lists of nonsense
mindedness of Canon Sawyer, an English noble- syllables.
man, once led him, while welcoming a visitor at Ebbinghaus typically measured memory
the railroad station, to board the departing train by using a method called relearning and
and disappear (Bryan, 1986). Indeed, how we computing a savings percentage. For exam-
forget is nearly as interesting a scientific ques- ple, if it initially took him 20 trials to learn
tion as how we remember. a list, but only half as many trials to relearn
it a week later, then the savings percentage
The Course of Forgetting was 50 percent. In one series of studies, he
retested his memory at various time inter-
German psychologist Hermann Ebbinghaus
vals after mastering several lists of nonsense
(1885/1964) pioneered the study of forgetting by
syllables. As Figure 8.16a shows, forgetting
testing only one person—himself (Figure 8.15).
occurred rapidly at first and slowed notice-
ably thereafter.
Perhaps you are dismayed by this finding,
which suggests that we quickly forget most of
what we learn. Ebbinghaus, however, studied so
many lists that his ability to distinguish between
them undoubtedly suffered. If you learned
just one or a few lists of syllables, the general
shape of your forgetting curve might resemble
Ebbinghaus’s over the first 24 hours, but the
amount you forget would likely be much less.
Moreover, when material is meaningful (unlike
nonsense syllables), we are likely to retain more
of it for a longer time. 22. Describe
Consider the forgetting curve shown in Ebbinghaus’s
Figure 8.16b, based on a study examining the “forgetting
curve” and
vocabulary retention of people who had studied
factors that
Spanish in school anywhere from 3 to 50 years contributed
earlier and then rarely used it (Bahrick, 1984). to his rapid,
US National Library of Medicine
Once again, forgetting occurred more rapidly substantial
FIGURE 8.15 Hermann Ebbinghaus was a pioneering at first, and then more slowly as time passed. forgetting.
memory researcher. Notice, however, that we are now employing a
298 CHAPTER EIGHT
100 100
90 90
Percentage of original vocabulary

Percentage of syllables retained
80 80
70 70
words retained
60 60
50 50
40 40
30 30
20 20
10 10
0 0
20 60 9 1 2 5 31 1 3 5 9.5 14.5 25 35.5 49.5
min. min. hours day days days days Years since completion of Spanish course
(a) Retention interval (b)
FIGURE 8.16 (a) Hermann Ebbinghaus’s forgetting curve shows a rapid loss of memory for nonsense syllables at first, then a more
gradual decline. The rapid decline is probably due to the meaningless nature of the nonsense syllables. (b) The forgetting of vocabulary
from high school Spanish language classes follows a similar curve, except that the time frame is in years, not days.
Source: Data from (a) Ebbinghaus, H. (1885/1964). öber das Gedächtnis: Untersuchungen Zur Experimentellen Psychologie (Memory: A contribution to
experimental psychology). (H.A. Ruger & C.E. Bussenius, Trans.). New York, NY: Dover. (Original work published 1885; and (b) Data from Bahrick, H.P. (1984).
Semantic memory content in permastore: Fifty years of memory for Spanish learned in school. Journal of Experimental Psychology: General, 113, 1–29.
time frame of years rather than hours and days We noted earlier that few people can draw a
as Ebbinghaus did. Similarly, in another study, penny (or other coin) from memory, with accu-
first- and second-year university students accurate detail. Even when the task is made easier
rately recalled 73 percent of their grades from by requiring only recognition, as in Figure 8.17,
their last year in high school, and their recall for most people cannot identify the correct coin
grades from earlier years was almost as good (Jones, 1990; Nickerson & Adams, 1979). The
(Bahrick et al., 1996). Of course, although par- details of a coin’s appearance are not mean-
ticipants in these studies retained considerable ingful to most of us, so we do not encode them
information over time, their memory was far no matter how often we see coins in our daily
from perfect. lives.
At other times, we may notice information
but fail to encode it deeply because we turn
Why Do We Forget? our attention to something else. Brad Bush-
Given that some memories last a lifetime, why man and Angelica Bonacci (2002) randomly
do we forget so much? Researchers have pro- assigned 328 adults to watch either a sexually
posed several explanations for normal memory explicit, violent, or neutral TV program. Nine
loss, emphasizing difficulties in encoding, stor- commercial advertisements (e.g., for snacks,
age, and retrieval. cereal, laundry detergent) appeared during
each program. Immediately afterward and
Encoding Failure again a day later, the researchers tested view-
If memory is in some respects like a giant ers’ memory for the ads. When analyzing their
23. Identify library, then one reason we do not remember findings, Bushman and Bonnaci adjusted for
encoding, information is that the book was never put on the fact that some of the TV programs were
storage, the shelf. Many memory failures result not from more interesting and arousing than others.
retrieval, and
“forgetting” information that we once knew Even so, at both time periods, viewers who
motivational
processes
well, but from failing to encode the informa- watched the sexually explicit and violent
that have been tion into long-term memory in the first place. programs remembered the fewest number of
hypothesized Much of what we sense is not processed deeply ads. Several factors might account for this,
to contribute to enough to commit to memory, which is under- and, as the researchers proposed, one of them
forgetting. standable given the flood of stimuli that enter is encoding failure: All the viewers clearly
the sensory registers every day. saw the ads, but those watching the sexually
Memory 299
material during the second testing than dur-

ing the first. This phenomenon, called remi-
niscence, seems inconsistent with the concept
that a memory trace decays over time (Greene,
1992). In sum, scientists still debate the validity
of decay theory (Brown et al., 2007).
Interference, Retrieval Failure,

and the Tip-of-the-Tongue
According to interference theory, we forget
information because other items in long-term
memory impair our ability to retrieve it (Mayr,
2009; Postman & Underwood, 1973). Figure 8.18
illustrates two major types of interference.
Proactive interference occurs when mate-
rial learned in the past interferes with recall of
newer material. Suppose that Charles changes
residences, acquires a new phone number, and
memorizes it. That night he sees a friend who
asks for his new number. When Charles tries to
FIGURE 8.17 Which of the coins pictured here cor- recall it, he can remember only two or three dig-
responds to a real penny? Most people have difficulty its, and instead keeps remembering the digits of
choosing the correct one because they have never
his old phone number. Memory of his old phone
bothered to encode all the features of a real penny.
Which representation of the penny is correct? Check number is interfering with his ability to retrieve
your answer at the end of the chapter. the new one.
Retroactive interference occurs in the
Source: Adapted from Nickerson, R.S., & Adams, M.J. (1979).
Long term memory for a common object. Cognitive Psychology,
opposite direction. Here, newly acquired infor-
11, 287–307. mation interferes with the ability to recall infor-
mation learned at an earlier time (Tulving &
Psotka, 1971). Suppose Charles has now had
explicit and violent programs likely were the his new phone number for several months and
most preoccupied with thoughts about the con- recalls it perfectly each time. If we ask him,
tent of the shows. “What was your old phone number?” Charles
may have trouble remembering it, perhaps mix-
Decay of the Memory Trace ing up the digits with his new number. In gen-
Turning from encoding to storage, one early eral, the more similar two sets of information
explanation for forgetting was decay the- are, the more likely it is that interference will
ory, which proposed that with time and dis-
use the physical memory trace in the nervous
system fades away. Decay theory soon fell
into disfavour because scientists could not Proactive interference Retroactive interference
identify what physical memory traces were,
Learn Spanish Learn Spanish
where they were located, or how physical
decay could be measured. In recent decades,
however, scientists have begun to unravel
some of the ways that neural circuits change Learn French Learn French
when a long-term memory is formed. This
research has sparked new interest in examin-
ing how these changes might decay over time Spanish interferes French interferes
with recall of with recall of
(Villarreal et al., 2002).
French words Spanish words
Decay theory’s prediction that the longer the
interval of disuse between learning and recall,
FIGURE 8.18 Interference is a major cause of for-
the less would be recalled, was also problem- getting. With proactive interference, older memories
atic. When participants learn a list of words interfere with the retrieval of newer ones. With retro-
or a set of visual patterns and are retested at active interference, newer memories interfere with the
two different times, they sometimes recall more retrieval of older ones.
300 CHAPTER EIGHT
occur. You would probably experience little his patients suddenly remembered with great
interference in recalling highly dissimilar mate- shame that while standing beside her sister’s
rial, such as French vocabulary and mathemati- coffin, she had thought, “Now my brother-in-
cal formulas. law is free to marry me.” Freud concluded that
Some researchers believe that interference the thought had been so shocking and anxiety
is caused by competition among retrieval cues arousing that the woman had repressed it—
(Anderson & Neely, 1996; Runquist, 1975). pushed it down into her unconscious mind—
When different memories become associated there to remain until it was uncovered years
with similar or identical retrieval cues, confu- later during psychoanalysis.
sion can result and accessing a cue may “call The concept of motivated forgetting is con-
up” the wrong memory. Wixted (2004) has troversial. Some evidence supports it, and
suggested that in fact any mental activity can other evidence does not (Follette & Davis,
interfere with not-yet-consolidated memo- 2009; Karon, 2002). People certainly do forget
ries, even if the activity is not similar to the unpleasant events (and pleasant ones as well),
previously learned information. Retrieval fail- but it has been difficult to demonstrate experi-
ure also can occur because we have too few mentally that a process akin to “repression” is
retrieval cues or the cues may be too weak the cause of such memory loss or whether it is
(Tulving & Psotka, 1971). due to normal information-processing failure.
Almost all of us have experienced the so- Even more basically, if a person has not thought
called “tip-of-the-tongue” (TOT) phenom- about an event for many years, does this neces-
enon, in which we cannot recall a fact or sarily indicate that the memory has been forgot-
name (a target word) but feel that we are on ten (McNally & Geraerts, 2009)? We will return
the verge of recalling it. Often we keep recall- to this topic shortly.
ing an incorrect word that sounds similar
to or resembles the target word. TOT states
are common, perhaps occurring on average Amnesia
about once a week (Brown, 1991). Eventu- The most dramatic instances of forgetting occur
24. Describe the ally, we retrieve the correct answer about in amnesia, which takes several forms. Retro-
nature and some half the time, and when we cannot, we often grade amnesia represents memory loss for
possible causes
recall related information that makes us feel events that occurred prior to the onset of amne-
of retrograde,
“I really do know the answer” (Brown, 1991; sia. For example, H.M. suffered mild memory
anterograde,
and infantile Riefer et al., 1995). loss for events in his life that had occurred dur-
amnesia. Do TOT states always reflect a retrieval ing the year or two before his operation. A foot-
problem? In one experiment, Bennett Schwartz ball player who is “knocked out” in a concussion,
(1998) asked university students a series of gen- regains consciousness, and cannot remember
eral factual questions, some of which actually the events just before being hit, is experienc-
had no correct answer. Yet when asked these ing retrograde amnesia. In one study, Hassabis
impossible questions, all students claimed at and colleagues (2007) reported that amne-
least once that the answer was on the tip of their siac patients with damage to their hippocam-
tongue. In short, some TOT experiences seem pus were unable to imagine new experiences.
to be illusory. Rather than retrieval failure, per- Findings like these demonstrate the impor-
haps we never knew the answer to begin with tance of memory systems and even memories
(Lampinen & Schwartz, 2000). themselves to everyday mental experience—
without the ability to retrieve episodic memo-
Motivated Forgetting ries we would be incapable of imagining new
Psychodynamic theorists and other psycholo- experiences.
gists suggest yet another reason for some Anterograde amnesia refers to memory
forgetting. They maintain that motivational pro- loss for events that occur after the initial onset
cesses, such as repression, may protect us by of amnesia. H.M.’s brain operation, and par-
blocking the recall of anxiety-arousing memo- ticularly the removal of much of his hippocam-
ries (Knafo, 2009; Singer, 1999). pus, produced severe anterograde amnesia and
During therapy sessions Sigmund Freud robbed him of the ability to consciously remem-
often observed that his patients remembered ber new experiences and facts. Anterograde
traumatic or anxiety-arousing events that had amnesia can also be produced by other condi-
long seemed “forgotten.” For example, one of tions, such as Korsakoff’s syndrome, which can
Memory 301
result from chronic alcoholism and may also whereas tangles are fibres that get twisted
cause severe retrograde amnesia (Brand, 2007). and wound together within neurons (Shep-
herd et al., 2009). Neurons become damaged
Dementia and Alzheimer’s Disease and die, brain tissue shrinks, and communica-
Dementia refers to impaired memory and other tion among neurons is impaired as AD disrupts
cognitive deficits that accompany brain degen- several neurotransmitter systems, especially
eration and interfere with normal functioning. the acetylcholine system. Acetylcholine plays
There are more than a dozen types and causes a key role in synaptic transmission in several
of dementia, and although it can occur at any brain areas involved in memory, and drugs
point in life, dementia is most prevalent among that help to maintain acetylcholine functioning
elderly adults. have had some temporary success in improv-
Alzheimer’s disease (AD) is a progres- ing AD patients’ cognitive functioning (Ritchie
sive brain disorder that is the most common et al., 2004).
cause of dementia among adults over the age Working memory and long-term memory
of 65. Half a million Canadians currently have worsen as AD progresses. If you read a list of
Alzheimer’s disease or a related dementia, and just three words to healthy 80-year-old adults
it is predicted that by 2035 the number of cases and then test their recall after a brief time delay,
will reach 1.1 million Canadians (Alzheimer they will typically remember two or all three
Society, 2010). words. Patients with AD, however, typically
The early symptoms of AD, which worsen recall either no words or one word (Chandler
gradually over a period of years, include for- et al., 2004). Anterograde and retrograde amne-
getfulness, poor judgment, confusion, and dis- sia become more severe, and procedural, seman-
orientation. Often, memory for recent events tic, episodic, and prospective memory can all
and new information is especially impaired. be affected. Patients may lose the ability to
By itself, forgetfulness is not necessarily a learn new tasks or remember new information
sign that a person is developing AD. However, or experiences, forget how to perform familiar
memory is the first psychological function tasks, and have trouble recognizing even close
affected, as AD initially attacks subcortical family members.
temporal lobe regions—areas near the hip- What causes AD and its characteristic
pocampus and then the hippocampus itself— plaques and tangles? Scientists have identi-
that help convert short-term memories into fied several genes that contribute to early-
long-term ones. onset AD, an inherited form of the disease
Alzheimer’s disease spreads across the tem- that develops before age 65 (and as early as
poral lobes and to the frontal lobes and other age 30) but accounts for only 5 to 10 percent
cortical regions (Figure 8.19). As German phy- of Alzheimer’s cases (Belbin et al., 2009). For
sician Alois Alzheimer first noticed a century the more typical, late-onset AD, researchers
ago, patients with this disease have an abnor- have identified a gene called ApoE (on chro-
mal amount of plaques and tangles in their some pair 19) as a major risk factor (Jonsson
brains. Plaques are clumps of protein frag- et al., 2013; Yuan et al., 2009). This gene helps
ments that build up on the outside of neurons, to direct the production of proteins that carry
Preclinical AD Mild to moderate AD Severe AD

Blue indicates areas affected at various stages of AD.
FIGURE 8.19 The progression of Alzheimer’s disease.

Source: National Institute of Health. (2002). Alzheimer’s disease: Unraveling the mystery. NIH Publication 02-3782. Bethesda,
MD. Retrieved from http://www.alzheimers.org/unraveling/unraveling.pdf.
302 CHAPTER EIGHT
cholesterol in the blood plasma, and high cho- typically involve little content (Baddeley,
lesterol and other risk factors for cardiovas- 1990). Often we need only recall that we must
cular disease may likewise increase the risk perform some event-based task (“Remember,
of developing AD. on your way out, mail the letter”) or time-
If you know someone who has AD, then based task (“Remember, take your medication
you’re aware that it involves much more than at 4 p.m.”). Successful prospective memory,
memory loss. Patients experience language however, draws on other cognitive abilities,
problems, disorganized thinking, and mood such as planning and allocating attention
and personality changes. Ultimately, they while performing other tasks (Einstein et al.,
may lose the ability to speak, walk, and con- 2000; Marsh et al., 1998). The frontal lobes,
trol bladder and bowel functions. We’ll have which direct these executive processes,
more to say about the psychological, physical, appear to be centrally involved in prospective
and social aspects of dementia and aging in memory (McDaniel et al., 1999).
Chapter 16. Are people with better retrospective mem-
ory less likely to be forgetful on prospective
Infantile (Childhood) Amnesia memory tasks? Some findings suggest not, at
There is one type of amnesia that almost least when retrospective memory is measured
all of us encounter: an inability to remem- explicitly by recall and recognition tasks
ber personal experiences from the first few (McDaniel & Einstein, 1993). In one experi-
years of our lives. Even though infants and ment, researchers assessed participants’ ret-
preschoolers can form long-term memories rospective memory ability by having them
of events in their lives (Peterson & Whalen, recall lists of words (Wilkins & Baddeley,
2001), as adults we typically are unable to 1978). Next, participants performed a pro-
recall these events consciously. This memory spective, simulated pill-taking task by carry-
loss for early experiences is called infantile ing around a small box with a button. Four
amnesia (also known as childhood amnesia). times a day at a specified time they had to
Our memories of childhood typically do not remember to press the button, which time-
include events that occurred before the age stamped their response. Overall, participants
of three or four, although some adults can who performed better on the word-recall task
partially recall major events (e.g., the birth did not display better memory on the simu-
of a sibling, hospitalization, or a death in the lated pill-taking task.
family) that happened before the age of two During adulthood, do we become increas-
(Eacott & Crawley, 1998). ingly absentminded about remembering to
What causes infantile amnesia? One hypoth- do things, as a common stereotype suggests?
esis is that brain regions that encode long-term Numerous studies support this view (Logie &
episodic memories are still immature in the Maylor, 2009; Vogels et al., 2002). Typically, in
first years after birth. Another is that we do not these studies, participants perform a task that
encode our earliest experiences deeply and fail requires their ongoing attention while trying to
to form rich retrieval cues for them. Addition- remember to signal the researcher at certain
ally, because infants lack a clear self-concept, time intervals or whenever specific events take
they do not have a personal frame of refer- place. Older adults generally display poorer
ence around which to organize rich memories prospective memory, especially when signal-
(Harley & Reese, 1999). ling is time-based. However, when prospec-
tive memory is tested outside the laboratory
by using tasks such as simulated pill-taking,
Forgetting to Do Things: healthy adults in their 60s to their 80s often
Prospective Memory perform as well as or better than adults in their
Have you ever forgotten to mail a letter, turn 20s (Rendell & Thomson, 1993, 1999; Henry
off the oven, keep an appointment, or pur- et al., 2004; Phillips et al., 2006). Perhaps older
chase something at the market? In contrast to adults are more motivated to remember in such
retrospective memory, which refers to mem- situations or rely more on a standard routine
ory for past events, prospective memory (Anderson & Craik, 2000). In sum, prospective
concerns remembering to perform an activity memory—like other areas of memory—is far
in the future (Meacham & Singer, 1977). That from simple. Want to remember things better?
people forget to do things as often as they do We offer some suggestions in the Frontiers
is interesting, because prospective memories feature.
Memory 303
Frontiers
METHODS TO ENHANCE MEMORY Curiosity

While much of the latest research on memory has focused When we are really curious about an event, we attend to
on neural mechanisms (e.g., Elhalal et al., 2014), there it very closely. This increased attention can have benefits
are a number of recent authors who have begun to explore for the memory of other material that occurs at roughly the
methods for remembering things better. Surprisingly, many same time. Gruber et al. (2014) asked participants a trivia
of these memory enhancement techniques are probably question that they were curious about. While waiting for
strategies that we have used before or thought about using. the answer to appear on the screen, they were shown a
Let’s examine a few of these. picture of a face. Those who were highly curious about
the topic later remembered more of the answers and they
Caffeine were also better at remembering the faces that appeared
while waiting. The researchers suggest that curiosity acti-
Many people use caffeine, typically in the form of cof- vates the hippocampus, enhancing memory for all things
fee, to enhance concentration and keep us awake. But that occur during and around the topic in question.
does caffeine improve memory? Yassa (2015) repor ts
that that caffeine can enhance memory for up to Longhand Writing
24 hours. Participants who rarely used caffeinated bever-
ages received a 200-milligram caffeine tablet or a pla- Increasingly, more students are taking class notes on their
cebo after exposure to a series of images. The next day computers rather than writing out the information using pen
they viewed another set of images, some of which were and paper. But is this the best way to learn and remember?
identical to those shown before while others were similar Muller and Oppenheimer (2014) asked university students
to the ones seen at training. Results indicated that those to watch video lectures and take notes either with a lap-
participants who had consumed caffeine were better at top computer or by writing out the information in longhand.
correctly identifying the similar images as new. It should Students were then given a test on the lecture material.
be noted that caffeine was administered after the initial Results indicated that those who wrote out the notes gen-
memory task rather than before in an effort to eliminate erally performed better than those who keyboarded. The
the potential effects of attention, focusing, and so on. So researchers suggest that keyboarding is a relatively fast
to enhance memory, you need to have that coffee after task and encourages taking down the information verbatim.
studying, not before. Longhand requires you to listen and assimilate the informa-
tion, resulting in better memory.
Napping
Chewing Gum
Sleep is essential for the consolidation of memory,
as we have seen earlier, but what about power naps? Many major league athletes are constantly shown on the
Studte et al. (2015) asked par ticipants to learn a list field chewing gum. The claim is that it helps with focus
of phone numbers, words, and unrelated word pairs and attention. But gum chewing can be beneficial for your
such as “milk-taxi.” Following the training session, half memory as well. Morgan et al. (2014) asked participants
of the participants were allowed to nap for 45 minutes, to listen to a list of numbers and respond by pressing a
while the others watched a DVD. When asked to recall button if they heard a sequence of odd-even-odd numbers
the items on the list, the nappers were five times better (e.g., 5-8-3). Some participants were given gum to chew
at remembering the word pairs (an associative memory during the task and others were not. Results indicated
task). There was no enhancement for the single words or that those who chewed gum had faster reaction times and
phone numbers. Interestingly, a large number of sleep were accurate at identifying the sequences. Apparently,
spindles were observed on the EEGs of those who were chewing gum helps you to focus and remember better.
napping, suggesting memory consolidation. Napping also But before you chew a wad of gum during your next test,
improves memory in infants (Seehagen et al., 2015). research by Onyper et al. (2011) suggests that you have
Babies watched a researcher play with a hand puppet to stop chewing before you actually take the test. Stu-
and then either napped or did not. When tested four and dents who chewed then stopped for five minutes before a
twenty-four hours later, the babies who a napped were test of memory performed better than those who did not
better able to mimic the actions of the researcher with chew at all and those who continued to chew gum during
the puppet. the tests.
304 CHAPTER EIGHT
In Review
• Retrieval cues activate information stored in • Decay theory proposes that physical memory
long-term memory. Memory retrieval is more traces in long-term memory deteriorate with dis-
likely to occur when we have multiple cues, self- use over time, but evidence of reminiscence con-
generated cues, and distinctive cues. tradicts this view.
• We experience flashbulb memories as vivid and • Proactive interference occurs when material
clear “snapshots” of an event and are confi- learned in the past interferes with recall of newer
dent of their accuracy. However, over time many material. Retroactive interference occurs when
flashbulb memories become inaccurate. Overall, newly acquired information interferes with the
memory accuracy and memory confidence are ability to recall information learned at an earlier
only weakly related. time.
• The encoding specificity principle states that mem- • Psychodynamic theorists propose that we may
ory is enhanced when cues present during retrieval forget anxiety-arousing material through repres-
match those that were present during encoding. sion, an unconscious process of motivated
Typically, it is easier to remember a stimulus forgetting.
when we are in the same environment (context- • Retrograde amnesia represents memory loss for
dependent memory) or same internal state (state- events that occurred prior to the onset of amne-
dependent memory) as when the stimulus was sia. Anterograde amnesia refers to memory loss
originally encoded. One exception is mood states, for events that occur after the initial onset of
where we tend to recall information or events that amnesia. Infantile amnesia is our inability to
are congruent with our current mood. remember personal experiences from the first
• Forgetting tends to be most rapid relatively soon few years of our lives.
after initial learning, but the time frame and • Whereas retrospective memory refers to mem-
degree of forgetting can vary widely depending ory for past events, prospective memory refers
on many factors. to our ability to remember to perform some
• Because of encoding failure, we often cannot activity in the future.
recall information because we never entered it
into long-term memory in the first place.
MEMORY AS A Most important, errors were positively biased;

students usually remembered their B’s as hav-
CONSTRUCTIVE PROCESS ing been A’s, their C’s as B’s, and so on (Bah-
Retrieving information from long-term memory rick et al., 1996). Similar errors occur for recall
is not like viewing a taped replay on a video of university grades (Bahrick et al., 2008). As
recorder. Usually, our memories of things past we will see, however, memory construction
are incomplete and sketchy. In such situations, also can have serious personal and societal
we may literally construct (or as some research- consequences.
ers prefer to say, reconstruct) a memory by
piecing together bits of stored information in a
Memory Distortion
way that intuitively “makes sense,” and which and Schemas
therefore seems real and accurate (Schacter & Many years ago, Sir Frederick Bartlett (1932)
Curran, 2000; Garoff-Eaton et al., 2006). Mem- provided an excellent illustration of mem-
ory construction can be amusing at times. ory construction. Bartlett asked residents of
Many of us have a tendency to recall the world Cambridge, England, to read and then retell
through slightly rosy glasses, which helps us stories days, months, or years later. One story,
feel good about ourselves. For example, when “The War of the Ghosts,” is a Pacific Northwest
university students in one study recalled their Indian tale about a man on a seal-hunting trip
high school grades, the worse the grade was, the who meets a group of warriors and goes on a
less often students remembered it accurately. raid with them. During the raid, he discovers
Students correctly recall almost all of their A’s that his companions are ghosts; subsequently,
but only about a third of their D’s (Figure 8.20). he dies a supernatural death.
Memory 305
100 schemas are a key component of “expert knowl-

90
edge.” But schemas can exert a cognitive price.
Percentage of grades accurately recalled Fitting information into our schemas is sometimes
80 like trying to squeeze a square peg into a round
70 hole, requiring us to reshape and distort informa-
tion so that it “makes sense” and fits in with pre-
60 existing assumptions about the world.
50 Memory construction extends, quite liter-
ally, to how we visualize the world (Dickinson &
40
Intraub, 2009). As Figure 8.21 illustrates, when
30 university students look at photographs that
have a main object within a scene, and then
20
draw the pictures from memory, they consis-
10 tently display boundary extension, remem-
bering a scene as more expansive—as being
A B C D
“wider-angle”—than it really was (Intraub et al.,
1996, 1998). In real life, objects occur against
High school grade
an expansive background, creating a schema
FIGURE 8.20 The lower the grade, the less likely uni- for how we expect scenes to look. Thus, when
versity students were to accurately recall it. When stu- remembering close-up images, our schemas
dents incorrectly recalled a grade, they almost always
overestimated how well they did.
Source: Adapted from Bahrick, L.K. Hall & S.A. Berger,

1996, Accuracy and Distortion in Memory for High School
Grades, Psychological Science, 7(5), 265–271, Table 2.
Copyright © 1996 Association for Psychological Science.
Reprinted by permission of Sage Publications.
Bartlett’s participants, however, were 20th-

century residents of England, not 18th-century 25. How do
Bartlett’s
Native Americans. When these English partici-
research
pants retold the story, they reconstructed it in and studies
(a)
a way that made sense to them. For example, of boundary
one participant who retold the story 20 hours extension
after reading it shortened the story and changed illustrate
the plot significantly. Now the hero was fishing memory
rather than hunting seals, the word boat was construction?
substituted for canoe, and most importantly the
enemy—not the war party—were described as
ghosts. Bartlett found that the longer the time
interval between the reading and retelling of the
story, the more the story changed to fit English
culture.
Bartlett, who coined the term schema, (b)
believed that people have generalized ideas
FIGURE 8.21 Boundary extension. (a) What you see.
(schemas) about how events happen and that (b) What you remember. Helene Intraub and her col-
they use these ideas to organize and recon- leagues (1996) have found that when people briefly
struct their memories. In reading “The War of look at close-up pictures, such as this one of a teddy
the Ghosts,” our pre-existing schemas no doubt bear, and then draw the pictures from memory, they
affect how we encode the story, but they also unknowingly convert the image into a “wider-angle
influence how we “fill in the gaps” and recon- scene” in which the size of the main object (e.g., the
teddy bear) shrinks. This effect is less likely to occur if
struct the story when we later recall it.
the original picture already is a wide-angle scene.
In general, the use of appropriate schemas
Images courtesy of Helene Intraub. Intraub, H., Gottesman,
improves memory by helping us organize informa-
C.V., Willey, E.V., & Zuk, I.J. (1996), Boundary extension for
tion as we encode and retrieve it. Remember that, briefly glimpsed pictures: Do common perceptual processes
whether we are a chess player, a coach, a musi- result in unexpected memory distortions? Journal of Memory
cian, or simply an experienced user of language, and Language, 35, 118–135.
306 CHAPTER EIGHT
lead us to “see beyond the edge” and retrieve a

broader scene, not the one we saw.
The Misinformation Effect

and Eyewitness Testimony
If memories are constructed, then infor-
mation that occurs after an event may
shape that construction process. This mis-
information effect, the distortion of a
memory by misleading post-event informa-
tion, has been demonstrated in numerous
studies (Porter et al., 2010; Sutherland &
Hayne, 2001). Misinformation effects have been
investigated most thoroughly in relation to mis-
taken eyewitness testimony. In fact, mistaken
eyewitness identification is the source of more
wrongful convictions in both Canada and the
United States than all other sources together
(Pezdek, 2012; Yarmey, 2001). In one celebrated
case, Father Bernard Pagano, a Roman Catholic
priest, was positively identified by seven eyewit-
nesses as the perpetrator of a series of armed
robberies in the Wilmington, Delaware, area. He
was saved from almost certain conviction when
the true robber, dubbed the “gentleman bandit”
because of his politeness and concern for his
victims, confessed to the crimes. You can see in
Figure 8.22 that there was little physical resem-
blance between the two men.
Two pieces of information may have affected
the witnesses’ memory. First, the gentlemanly
and concerned manner of the robber is consistent (both): © Bettmann/Corbis
with the schema many people have of priests. All
else being equal, we will tend to make decisions FIGURE 8.22 Seven eyewitnesses to armed robber-
ies committed by Ronald Clouser (a) mistakenly identi-
in line with our schemas. Indeed, there is a high
fied Father Bernard Pagano (b) as the robber, probably
degree of consistency in the schemas that people as a result of information from police that influenced
have for “good guys” and “bad guys” in eyewitness their memory reconstructions.
situations (Yarmey, 1993). Second, before present-
ing pictures of suspects to the eyewitnesses, the
police let it be known that the suspect might be a (Loftus & Palmer, 1974). The recalled speed
priest. Father Pagano was the only suspect wear- became progressively slower when the words
ing a clerical collar, and the witnesses’ memories smashed into (65.3 km/h) were changed to col-
may have been strongly affected by this informa- lided with (62.9 km/h), bumped (61.0 km/h), hit
tion (Rodgers, 1982; Tversky & Tuchin, 1989). (54.4 km/h), and contacted (50.9 km/h). Even your
The misinformation effect can be subtle, pro- mood can enhance the misinformation effect.
duced by changing a single word while ques- Van Damme and Seynaeva (2013) had students
tioning an eyewitness. Imagine that after you watch a movie while in a happy, sad or neutral
witness a two-car crash, a police officer takes mood. They were then exposed to misleading
your statement and asks you, “About how fast information. Participants were influenced by the
were the cars going when they smashed into misinformation and were more confident with
26. Explain how their false beliefs in the sad condition.
each other?” In a classic experiment, university
source confusion
contributes to students viewed a brief film of a car accident
misinformation and then judged how fast the cars were going. Confusing the Source
effects. Their judgments varied by almost 25 percent, Misinformation effects also occur because
depending on how the question was asked of source confusion (also called the source
Memory 307
monitoring error), our tendency to recall some- blood-alcohol level of 0.10 resulted in less infor-
thing or recognize it as familiar, but to forget mation being recalled from a staged theft, and
where we encountered it. Suppose an eyewit- more inaccurate identifications one week later
ness to a crime looks through a series of mug- (Yuille & Tollestrup, 1990). The effects of mari-
shots and reports that none of the individuals juana are much less pronounced (Yuille et al.,
is the perpetrator. Several days later, the eye- 1998) and seem limited to a slight decrease in
witness is brought back to view a lineup and is information recalled directly after an incident.
asked to identify the person who committed the One’s ability to identify a possible perpetrator
crime. In reality, none of the people in the lineup depends as well on the kind of information we
did, but one suspect was pictured in a mugshot have available. Identifications based on voice
that the eyewitness had seen days ago. “That’s alone (“earwitness” identification) tend to be
the person,” says the eyewitness. Source con- less accurate than those based on both visual
fusion occurred because the eyewitness recog- and auditory cues, or on visual cues alone
nized that individual’s face as familiar, but failed (Yarmey, 1993). Finally, we should note that,
to remember that this familiarity stemmed from while men and women are equally inaccurate in
the mugshot. Instead, the witness mistakenly their identifications, men tend to be more confi-
assumed that he or she saw the familiar-looking dent in their decisions (Yarmey & Yarmey, 1997).
suspect committing the crime.
This scenario has been tested many times in The “Recovered Memory”
experimental analogues. Participants who wit-
ness a staged event and later view mugshots are
Controversy: Repression
more likely to misidentify innocent suspects as or Reconstruction?
having been involved in the event because of In 1997, a woman from Illinois settled a lawsuit
source confusion (Deffenbacher et al., 2006). against two psychiatrists and their hospital for 27. Are younger
Source confusion also occurs when partici- and older
$10.6 million. She alleged that her psychiatrists
children equally
pants are exposed to several misleading state- used hypnosis, drugs, and other treatments that
susceptible to
ments about an event that they have witnessed led her to develop false memories of having misinformation
(Zaragoza & Mitchell, 1996; Dalton & Daneman, been a high priestess in an abusive satanic cult. effects and
2006). They eventually forget that the source That same year, criminal charges were brought equally accurate
of the misinformation (e.g., that a bare-handed against a group of Houston mental-health pro- in recalling
thief wore gloves) was a statement made by fessionals, alleging that they “used techniques traumatic
someone else, and come to believe it was part of commonly associated with mind control and events? Describe
what they saw while witnessing the event. brainwashing” with seven patients, creating some evidence.
Does post-event information permanently false memories of having been abused in a
alter a witness’s original memory, so that the satanic cult (APA Monitor, December 1997, p. 9).
original memory can never again be retrieved? Yet, only years earlier, there had been a wave of
Researchers debate the answer, but all agree cases in which adults—usually in the course of
that eyewitness reports can be influenced by psychotherapy—began to remember long-for-
post-event information. Results like these have gotten childhood abuse and sued their parents,
raised concern about the reliability of eyewit- other family members, and former teachers for
ness testimony not only from adults, but also the alleged trauma (Figure 8.23).
from children in cases of alleged physical and In some cases it appears that accurate
sexual abuse. memories can indeed return after decades of 28. Do people
ever forget
post-trauma forgetting (Kluft, 1999; McNally &
Other Factors in Eyewitness Testimony traumatic
Geraerts, 2009). Yet memory loss after psycho- personal
Misinformation effects are one source of inaccu- logical trauma usually is far shorter, with mem- events? Why
racy in eyewitness testimony, but other factors ory returning over weeks, months, or perhaps a are recovered
may come into play as well. Imagine that a fight few years. In many cases of trauma the victim’s memories and
breaks out in a bar. An eyewitness insists that primary problem is not memory loss but rather repression
it was George who started the fight, not Paul. an inability to forget, which may involve recur- controversial
What are some possible sources of inaccuracy rent nightmares and flashbacks (Ross et al., topics?
in this situation? 1989). Experiments with adults and children
We might expect alcohol to be a factor. After also indicate that false memories of personal
people have been drinking, their memory for events can be created (“implanted”) by sug-
events may be less than accurate. Compared gestive questioning or comments, or merely by
with people who have not consumed alcohol, a having someone imagine that the event took
308 CHAPTER EIGHT
place (Laney & Loftus, 2005; Bruck et al., 1998;

Herndon et al., 2014; Loftus & Pickrell, 1995).
Many memory researchers are concerned that
in “recovered memory therapy,” therapists
repeatedly suggest the possibility of abuse to
people who already are emotionally vulner-
able. Indeed, even when observers recognize
that a therapist may be overly suggestive, rat-
ings of competence remain high (Myers et al.,
2015). Given everything psychology has taught
us about forgetting, constructive memory, and
the “fogging up” of even flashbulb memories,
they argue that it is naive to take the accuracy
of recovered memories of long-past events at
face value.
The message from science is not that all
claims of recovered traumatic memories
should be dismissed (Brewin, 2012; Geraerts
et al., 2007). Rather, it is to urge caution in
unconditionally accepting those memories,
© Shahn Kermani particularly in cases where suggestive tech-
niques are used to recover the memories
FIGURE 8.23 In a famous 1990 repressed mem-
ory case, George Franklin was convicted of murder-
(Follette & Davis, 2009; Gothard & Ivker,
ing Susan Nason, an eight-year-old girl killed in 1969. 2000). Some day it may be possible scientifi-
Franklin’s 28-year-old daughter Eileen (shown above), cally to separate true memories from false
who had been Susan’s childhood friend, provided ones. Researchers have begun to establish
the key evidence. During therapy, Eileen recovered that some types of true versus false memo-
memories of her father sexually assaulting and killing ries are associated with different cognitive
Susan. A judge overturned the conviction after learn- mechanisms (Geraerts et al., 2009) and even
ing that Eileen’s memories had been recovered under
hypnosis. All the details about the case that Eileen
different patterns of brain activity (Abe et al.,
recalled had been published in the newspapers, creat- 2008), and true memories often are described
ing the possibility of source confusion in her memory. in greater detail than false ones. But at pres-
Eileen also had other recovered memories that were ent, these findings cannot be used to deter-
proven to be untrue, such as those of her father killing mine reliably whether any individual memory
two other girls. is true or false (Pickrell et al., 2003).
In Review
• Our schemas may cause us to remember • Like adults, children experience misinformation
events not as they actually occurred but in effects. Vulnerability is greatest among younger
ways that fit with our pre-existing concepts children and when suggestive questions are
about the world. asked repeatedly. Experts cannot reliably tell
• At times, we may recall information that never when children are reporting accurate versus sin-
occurred. Schemas, spreading activation, and cerely believed false memories.
priming are some of the reasons why this • Psychologists debate whether recovered mem-
occurs. ories of child abuse are accurate and whether
• Misinformation effects occur when our memory they are forgotten through repression or other
is distorted by misleading post-event informa- psychological processes. Concern about the pos-
tion, and they often occur because of source sibility of false memory has led many experts
confusion—our tendency to recall something or to urge caution in unconditionally accepting the
recognize it as familiar but to forget where we validity of recovered memories.
encountered it.
Memory 309
THE BIOLOGY made considerable progress in understanding

the biological bases of memory.
OF MEMORY
Since the early 1900s, the scientific quest to
determine the biological basis of memory has Sensory and Working Memory
taken some remarkable twists and turns. Karl Sensory memory depends on our visual, audi-
Lashley, a pioneering physiological psycholo- tory, and other sensory systems to detect stim-
gist, spent decades searching for the engram— ulus information (e.g., the sounds of “Hi, my
the physical “memory trace” that presumably name is Carlos”), transform it into neural codes,
was stored somewhere in the brain when a and send it to the brain, where sensory areas
memory was formed. Lashley (1950) trained of the cerebral cortex initially process it. As
animals to perform various tasks, such as run- working memory becomes involved in different
ning mazes, and later removed or damaged types of tasks—remembering a person’s name
(lesioned) specific regions of their cortex to see and face, recalling a list of numbers, learning
whether they would forget how to perform the a concept in your textbook—cortical networks
task. No matter what small area was lesioned, located in different lobes of the brain become
the animals’ memory remained intact. Large more active (Lehmann et al., 2010). For exam-
lesions affected memory, but even then, it didn’t ple, using visuospatial working memory to form
seem to matter where the lesion was made. a mental image of an object will activate some
Lashley never found the engram, and concluded of the same areas of the visual cortex and other
that a memory is stored throughout the brain. brain regions that become more active when
Other research initially suggested that, indeed, looking at the actual object (Ganis et al., 2004).
engrams exist. While performing neurosurgery, The frontal lobes—especially the prefron-
Wilder Penfield and his colleagues (1963) at tal cortex—play key roles in working memory
the Montreal Neurological Institute electrically (Christoff et al., 2009). The frontal lobes gen-
stimulated specific sites on the cerebral cortex erally become more active during tasks that
of patients who were under local anaesthesia and place greater demands on working memory. In
fully conscious. Penfield reported that the stimu- one brain-imaging experiment, students paid
lation sometimes triggered patients’ memories. attention to the meaning of words (i.e., deep,
One patient reported seeing the office in which semantic encoding) or to whether the words
she had worked a long time ago, with a man lean- were in capital or lowercase letters (i.e., shal-
ing on her desk, pencil in hand. Unfortunately, low, perceptual encoding). Deeper encoding
when other researchers reviewed Penfield’s data, produced better memory for the words and
they concluded that such instances were rare and greater activity in areas of the left prefrontal
probably involved inaccurate, “reconstructed” cortex, as Figure 8.24 shows (Gabrieli et al.,
images (Loftus & Loftus, 1980). For example, 1996). The prefrontal cortex has also been
people sometimes reported memories of being in shown to enhance memory by searching for
places where, in fact, they had never been. commonalities and differences in material
Perhaps most striking was James McConnell’s (Elhalal et al., 2014), presumably to facilitate
(1962) discovery of “memory transfer.” He clas- further encoding.
sically conditioned flatworms to a light that The frontal lobes seem to be particularly
was paired with an electric shock, eventually important in supporting central-executive func-
causing the worms to contract to the light alone. tions, such as allocating attention to the other
Next, he chopped them up and fed a chemi- components of working memory (Curtis &
cal from their cells, RNA (ribonucleic acid), to D’Esposito, 2003). This does not mean, however,
a sample of untrained worms. Amazingly, the that the central executive resides exclusively
new worms showed some conditioning to the within the frontal lobes. Frontal-lobe dam-
light. This result suggested that RNA might be age often—but not always—impairs central-
a chemical engram, a “memory molecule” that executive functions of working memory. More-
stored experiences. Some scientists found mem- over, patients with intact frontal lobes but
ory transfer effects with rats, mice, and gold- damage in other brain areas may exhibit central-
fish, but others were unable to replicate these executive impairments (Andrés, 2003). Thus,
findings. Controversy ensued, and McConnell even the “master control” executive functions of
gave up on the idea (Rilling, 1996). Yet, despite working memory depend on a network of neural
the inevitable “dead ends,” neuroscientists have activity that connects regions across the brain.
310 CHAPTER EIGHT
his long-term memories acquired earlier in life.

Rather, it helps to gradually convert short-term
memories into permanent ones.
According to one view, the diverse compo-
nents of an experience—where something
happened, what the scene or people looked
like, sounds we heard, the meaning of events
or information, and so on—are processed ini-
tially in different regions of the cortex and then
gradually bound together in the hippocampus.
This hypothetical and gradual binding process
is called memory consolidation (Hardt et al.,
2010). Once a memory for a personal experience
is consolidated, its various components appear
to be stored across wide areas of the cortex,
Photo courtesy of John Gabrieli although we retrieve and reintegrate these com-
FIGURE 8.24 Four of the participants in this experi- ponents as a unified memory. Semantic mem-
ment performed shallow (i.e., perceptual/structural) ories (factual information) also appear to be
encoding and deep (semantic) encoding tasks while stored across wide-ranging areas of the brain.
undergoing functional magnetic resonance imaging As John Gabrieli (1998) notes, “knowledge
(fMRI). Activity in a section of their prefrontal cortex in any domain [e.g., for pictures or words] . . .
was imaged every 1.5 seconds, yielding a total of
is distributed over a specific, but extensive,
224 images per participant. The results, shown here
for one participant, revealed that semantic encoding neural network that often extends over several
was accompanied by greater neural activity in specific lobes” (p. 94). Several brain regions, including
regions of the left prefrontal cortex. portions of the prefrontal cortex and hippo-
campus, appear to be involved in consciously
retrieving declarative memories (Simons &
Spiers, 2003; van Strien et al., 2009).
Long-Term Memory Although we have focused on the frontal
Where are long-term memories formed and lobes and hippocampus, memory formation
stored? Once again, multiple brain areas are also depends on other brain areas. For example,
involved, but the hippocampus and its adjacent damage to the thalamus—the brain’s major sen-
areas appear to play important roles in encoding sory relay station—can impair both the encoding
certain types of long-term memories (Lisman & of new memories and the retrieval of old ones
Grace, 2005; Squire et al., 2004). We exam- (Hampstead & Koffler, 2009). In one famous case,
ine this matter in the Focus on Neuroscience a young U.S. Air Force technician named N.A. was
feature. injured in a freak accident (Squire, 1987). While
his roommate was practising thrusts with a min-
Declarative Memory iature fencing foil, N.A. suddenly turned around in
The pioneering work of Brenda Milner at McGill his seat and was stabbed through the right nostril,
University and her colleague W.B. Scoville led piercing his brain and damaging a portion of his
to the conclusion that the hippocampus and its thalamus. The damage permanently limited his
adjacent tissue help to encode and retrieve long- ability to form new declarative memories (Cohen &
term declarative memories (Milner, 1965; Rolls, Squire, 1981). He also could not recall events from
2000; Scoville & Milner, 1957). Like H.M., many the two-year period prior to the accident, but over
patients with extensive hippocampal damage time this retrograde amnesia improved. In many
retain the use of their short-term memory but cases, however, thalamic damage results in per-
cannot form new, explicit long-term declarative manent, extensive anterograde and retrograde
memories—memories for new personal experi- amnesia. Following a car accident in 1988, Terry
ences and facts. For example, one patient could Evanshen, a former CFL star receiver, awoke
recall the names of presidents elected before his from a coma to find that his memory of every-
brain injury occurred but not the names of pres- thing prior to the accident had vanished. He could
idents elected after his injury (Squire, 1987). The not remember how to speak, did not recognize his
hippocampus does not seem to be the site where wife or daughters, and had no recollection of any-
long-term declarative memories are perma- thing from the past 40 years. Terry had to relearn
nently stored, which explains why H.M. retained everything all over again.
Memory 311
Focus on
Neuroscience
HOW ARE MEMORIES FORMED? pathway becomes stronger—synaptic connections are acti-
vated more easily—for days or even weeks (Wang & Morris,
How does the nervous system form a memory? The answer 2010). This enduring increase in synaptic strength is called
appears to lie in chemical and physical changes that take long-term potentiation (LTP). LTP has been studied most
place in the brain’s neural circuitry. One possible mecha- extensively in regions of the hippocampus where neurons
nism is at the level of the synapse, while a different line of send and receive messages by using glutamate, the most
research, involving rats and other species with more com- abundant neurotransmitter in the brain (Lynch, 2004).
plex nervous systems, supports the hypothesis that syn- For LTP to occur, complex biochemical events must take
aptic changes may be the basis for memory consolidation. place inside and between these neurons (e.g., Liu et al., 2013).
Administering drugs that inhibit these events will block LTP.
Synaptic Change and Memory Moreover, mice can be genetically bred to be deficient in certain
Eric Kandel (2001) and his colleagues have studied a marine proteins required for LTP. These mice not only have impaired
snail, Aplysia californica, for more than 25 years—work for long-term potentiation, but also display memory deficits on a
which Kandel received a Nobel Prize in 2000. Aplysia is no variety of learning tasks (Schimanski & Nguyen, 2005).
mental giant, but it can learn, form memories, and has only How does LTP occur? At least in some cases, when
about 20 000 neurons (compared with 100 billion in humans) neural pathways are sufficiently stimulated, postsynaptic
that are larger and easier to study than ours. For example, neurons alter their structure to become more responsive to
Aplysia retracts its gill slightly in self-defence when a breathing glutamate. For example, postsynaptic neurons may change
organ atop the gill is gently squirted with water. But if a squirt the shape of some receptor sites or may increase the num-
is paired with an electric shock to its tail, Aplysia covers up ber of receptor sites by developing additional tiny branches
its gill with a protective flap of skin. After repeated pairings, (spines) on their dendrites. Thus, in the future, presynaptic
Aplysia acquires a classically conditioned response and will neurons will not need to release as much glutamate to stim-
cover its gill with the protective flap when the water is squirted ulate postsynaptic neurons to fire. In sum, the formation of
alone. In other words, Aplysia forms a simple procedural mem- a long-term memory seems to involve long-lasting changes
ory. Kandel and his colleagues have traced the information in synaptic efficiency that result from new or enhanced con-
of this procedural memory to a series of biochemical events nections between presynaptic and postsynaptic neurons
that occur between and within various sensory neurons and (Kandel, 2001; Wang & Morris, 2010).
motor neurons. How long these events last seems to be one A number of researchers now believe that memory con-
key in determining whether short-term memories become long- solidation in humans and other animals takes place during
term ones. If a single shock is paired with the squirt of water, sleep (e.g., Buzsaki, 1989; Carr et al., 2011). When we
certain chemical reactions shut off after a brief period and are awake, memory traces are laid down in the hippocam-
no permanent memory is formed. But with repeated pairings, pus. But we need to move these traces to a larger informa-
these chemical reactions persist and a long-term memory tion store and incorporate it with all of the other knowledge
forms. Days later, a squirt of water will still trigger a condi- that we have. This seems to happen during slow-wave sleep
tioned response. During the conditioning procedure, various (stages 3 and 4). Buzsaki first discovered how this works
sensory neurons become densely packed with neurotransmit- when he was a post-doctoral student at Western University.
ter release points, and postsynaptic motor neurons (which As he was trying to record from single cells in the rat hip-
cause the protective flap to cover the gill) develop more recep- pocampus, he noted a burst of synchronized activity that
tor sites. These structural changes result in a greater ease disappeared very quickly. He referred to this burst of activ-
of synaptic transmission that may be the basis for memory ity as a sharp wave ripple (SWR) and hypothesized that
consolidation (Abel & Kandel, 1998; Martin et al., 2000). the purpose of this burst was to consolidate memory in
the cortex. Buzasaki (1989) suggests that the neocortex
sends out signals representing the various sensory inputs
Long-Term Potentiation
that have occurred. These signals are received and synthe-
A different line of research, involving rats and other species sized by the hippocampus and then broadcast back to the
with more complex nervous systems, supports the hypoth- neocortex in an SWR. This ripple or index code (Leutgeb
esis that synaptic changes may be the basis for mem- et al., 2005) is stored in the cortex for future retrieval. When
ory consolidation. Here, researchers try to mimic (albeit we need this information, the ripple is replayed (Foster &
crudely) a process of long-term memory formation by stimu- Wilson, 2006). The information may be essential in learn-
lating specific neural pathways with rapid bursts of electric- ing and decision making (Jadhav et al. 2012), and memory
ity (say, 100 impulses per second for several seconds). strength has been correlated with reactivation in humans
They find that once this rapid stimulation ends, the neural (Deuker et al., 2013).
312 CHAPTER EIGHT
The amygdala encodes emotionally arous- helps to explain why H.M., whose cerebellum
29. What major ing aspects of stimuli and plays an important was not damaged by the operation, showed
roles do the
role in helping us form long-term memories for improved performance at various hand-eye
hippocampus,
cerebral cortex, events that stir our emotions (LaBar & LeDoux, coordination tasks (e.g., mirror tracing), even
thalamus, 2006). As we discussed earlier, in laboratory though he was unable to consciously remember
amygdala, and experiments, most people remember emotion- having performed the tasks. Richard Thomp-
cerebellum play ally arousing stimuli (e.g., film clips, slides) bet- son (1985) and his colleagues have examined
in memory? ter than neutral ones. Damage to the amygdala another type of procedural memory. Study-
eliminates much of this “memory advantage” ing rabbits, they repeatedly paired a tone (CS)
from arousing stimuli (LaBar & Phelps, 1998). with a puff of air to the eyes (UCS), and soon
the tone alone caused the rabbits to blink. As
Procedural Memory the rabbits learned this conditioned response,
Along with other parts of the brain, the cerebel- electrical recordings revealed increased activ-
lum plays an important role in forming proce- ity in the cerebellum. Later, Thompson found
dural memories (Hubert et al., 2009). This role that removing a tiny portion of the cerebellum
Memory
Levels of Analysis
In this chapter, we’ve explored remembering and forgetting, and
have seen that both processes can be examined at biological, ENVIRONMENTAL
psychological, and environmental levels. Let’s use these levels of • Stimulus characteristics (e.g.,
analysis to recap some of the main points we’ve covered. distinctiveness, organization) influence
encoding and retrieval.
• The position of an item in a series affects recall.
• The amount and rate of information affects our
ability to recall it.
• Memory may be enhanced when encoding and
retrieval take place in the same environment.
BIOLOGICAL • Cultural upbringing influences our schemas and the
• Our evolved memory capabilities age of earliest memories.
display a balance between the • Misinformation effects (post-event stimuli) can
adaptiveness of remembering and the distort memories..
adaptiveness of forgetting.
• Sensory memory depends on sensory systems
that detect stimuli and output neural codes that are
initially processed by the sensory cortex.
• The frontal lobes, hippocampus, amygdala, thalamus,
and cerebellum are among many brain regions that
play key roles in working and/or long-term memory. PSYCHOLOGICAL
• Chemical and structural changes in neurons
that increase synaptic transmission efficiency • Memory codes are mental
underlie long-term memory formation. representations; and memory is a network of
• Brain damage from disease, sudden brain associated mental representations.
injury, brain surgery, or other trauma can • Elaborative and maintenance rehearsal facilitate
produce retrograde and anterograde encoding.
amnesia. • Memory confidence doesn’t ensure memory
We noted in the chapter accuracy.
that memory is essential for • Mental schemas influence encoding and retrieval.
survival. At the psychological and • Encoding failure and interference effects impair
environmental levels of analysis, can recall.
you think of other functions that memory serves? • Motivational biases (e.g., to feel good
Put differently, if you no longer had the ability to about oneself, to avoid anxiety-arousing
information) may distort memories.
remember, what other psychological effects would
this have for you, and how would it affect your ability
to interact with the physical and social environment?
FIGURE 8.25
Memory 313
In Review
• Memory involves numerous interacting brain declarative memories across distributed sites.
regions. Sensory memory depends on input from The amygdala encodes emotionally arousing
our sensory systems and sensory areas of the aspects of events, and the cerebellum helps to
cortex that initially process this information. form procedural memories. Damage to the thala-
• Working memory involves a network of brain mus can produce severe amnesia.
regions. The frontal lobes play a key role in per- • Studies of long-term potentiation in several spe-
forming the executive functions of working memory. cies indicate that as memories form, complex
• The hippocampus helps to consolidate long-term chemical and structural changes that enhance
declarative memories. The cerebral cortex stores synaptic efficiency occur in neurons.
completely abolished the memory for the con- In closing, we hope that this chapter has
ditioned eyeblink but did not affect the rabbits’ piqued your interest in understanding why we
general (unconditioned) eyeblink response. remember, forget, and sometimes misremem-
Similarly, eyeblink conditioning fails to work ber. We also hope that the chapter has provided
with human patients who have a damaged cer- some useful applied knowledge for you.
ebellum (Green & Woodruff-Pak, 2000).
Gaining Direction
What are the Aurelien has a condition known as hyperthyme- other memory stores. Why is this condition lim-
issues? sia—a heightened form of autobiographical ited to autobiographical memory? How many
memory. He can recall everything regarding kinds of memory stores are there? Is each type
personal memories of things he has done, but of memory encoded in the same fashion? Where
not more factual details that would be found in in the brain might these memories be stored?
What do How does memory work? Do people with hyperthymesia use different
we need to How are memories stored? brain structures to process memory?
know? Why do we forget material? Is there such a thing as photographic memory?
Is all memory processed in the same fashion?
Where can Look back at the compass icons in the chapter. schemas, processes involved in retrieval and
we find the You will find reference to the three-component forgetting, and the construction of memory.
information to model of memory, factors that result in main- Pay careful attention to the section on types of
taining memory (encoding), the influence of memory and the brain structures involved.
answer these
questions?
Answers:
In Figure 8.17, penny D is the actual penny—check it out while you still find some pennies in your
pocket change.
CHAPTER
Language and Thinking 9

CHAPTER LANGUAGE THINKING
OUTLINE Adaptive Functions of Language Thought, Brain, and Mind
Properties of Language Concepts and Propositions
The Structure of Language Reasoning
Understanding and Producing Language Problem Solving
Acquiring a First Language Knowledge, Expertise, and Wisdom
Bilingualism: Learning a Second Language Applications: Guidelines for Creative Problem Solving
Linguistic Influences on Thinking
Mental Imagery
Focus on Neuroscience: The Bilingual Brain Metacognition: Knowing Your Own Cognitive Abilities
Frontiers: Can Animals Acquire Human Language? Research Foundations: “Why Did I Get That Wrong?”
Improving Students’ Awareness of Whether They
Understand Text Material
Let language be the divining rod that finds the sources of thought.
—Karl Krauss
In 1799, three hunt-

ers discovered a What are the
remarkable child issues here?
in the forests of
Aveyron, France. The child What do we need
had grown up isolated from to know?
human contact for 12 years.
He made few sounds but Where can
could walk upright. Some we find the
regarded him as only half- information to
human and called him the answer these
questions?
Wild Boy of Aveyron. He was
sent to Paris for training with
a prominent physician, who
named him Victor. Victor
learned to read and write Midwestgal/Dreamstime.com/GetStock.com
some words, but he never learned to speak.
In 1970, 13-year-old Genie was discovered in Temple City, California. When Genie’s mother
and grandmother inquired with a social worker about resources for the blind, the social
worker thought the girl appeared quite “strange.” Over the next few weeks, the authorities
learned that Genie had been kept isolated in a locked room for almost all her life. Her total
spoken vocabulary consisted of two words: stopit and nomore. Over the next few months,
her vocabulary increased, but she never mastered the ability to string words together. Most
experts would agree that Genie’s ability to speak seemed to be stalled at the level of an average
two- or three-year-old.
In 1982, Dominique was discovered in Quebec at age five. She had been similarly abused: locked
in the basement where her mother, grandmother, and the family cat would occasionally visit. Upon
her rescue, she received language training from Aimee Leduc at Laval University. Dominique made
quick progress in a number of mental abilities and seemed quite capable of fully acquiring language.
Unfortunately, her foster placement did not work and she was institutionalized.
W Adaptive Functions of Language

e humans are physically puny and
relatively defenceless in compari-
son with some other species, but we According to anthropologists who have stud-
dominate our world because we communicate ied the skulls of prehistoric humans, the brain
more effectively and think better than other probably achieved its present form some
animals do. Humans have a remarkable ability 50 000 years ago (Pilbeam, 1984). Yet it took 1. What are
to create mental representations of the world another 35 000 years before lifelike paintings some adaptive
and to manipulate them in the forms of lan- began to appear on cave walls and another functions of
guage, thinking, reasoning, and problem solv- 12 000 years after that before humans devel- language?
ing (Simon, 1990). Mental representations oped a way to store knowledge outside the
include images, ideas, concepts, and princi- brain in the form of writing (Kottak, 2000).
ples. At this very moment, through the printed These time lags tell us that human thought and
words you are reading, mental representations behaviour depend on more than the physical
are being transferred from our minds to yours. structure of the brain; although the structure of
Indeed, the process of education is all about the brain may not have evolved much over the
transferring ideas and skills from one mind to past 50 000 years, human cognitive and linguis-
another. tic skills clearly have.
Over the course of evolution, humans
adopted a more socially oriented lifestyle that
LANGUAGE helped them survive and reproduce (Flinn,
Language has been called “the jewel in the 1997). Some evolutionary theorists believe
crown of cognition” (Pinker, 2000) and “the that the use of language evolved as people
human essence” (Chomsky, 1972). Much of gathered to form larger social units. As the
our thinking, reasoning, and problem solv- social environment became more complex,
ing involve the use of language. In turn, these new survival problems emerged: the need to
advanced cognitive processes build on the large create divisions of labour and cooperative
store of knowledge that resides in memory, social systems, to develop social customs
and they provide a foundation for intelligent and communicate thoughts, and to pass on
behaviour. knowledge and wisdom. The development of
Language consists of a system of symbols language made it easier for humans to adapt
and rules for combining these symbols in ways to these environmental demands (Dor, 2014;
that can generate an infinite number of pos- Pinker, 2003).
sible messages and meanings. To most of us, It is no coincidence, then, that every human
using our native language comes as naturally culture, no matter how isolated or geographi-
as breathing, and we give it about as much cally remote, has developed one or more lan-
thought. Yet using language actually involves guages. Nor is it a coincidence that the human
a host of complex skills. Psycholinguistics brain seems to have an inborn capacity to
is the scientific study of the psychological acquire any of the roughly 5000 to 6000 lan-
aspects of language, such as how people under- guages spoken across the globe. Humans have
stand, produce, and acquire language. Before evolved into highly social creatures who need
delving into some of these topics, let’s consider to communicate with one another and have the
some adaptive functions and characteristics of physical characteristics (e.g., a highly devel-
language. oped brain, a vocal tract) that allow them to do
316 CHAPTER NINE
2. Describe key Properties of Language

properties of What is it that first captures your attention
language. when someone uses a foreign language that you
don’t speak? Perhaps it is how different that lan-
guage sounds or looks when written, or simply
how incomprehensible it seems to you. Yet what
is truly striking about the world’s languages is
not their differences but the underlying features
that they share.
As we noted earlier, language is a system of
symbols and rules for combining these symbols
in ways that can generate an infinite number of
messages and meanings. This definition encom-
passes four properties that are essential to any
language: symbols, structure, meaning, and gen-
erativity. We will also describe a fifth property:
displacement.
Language Is Symbolic and Structured

Language uses sounds, written characters, or
© 2000 by Sidney Harris. ScienceCartoonsPlus.com. Reprinted with some other system of symbols (e.g., hand signs)
permission.
to represent objects, events, ideas, feelings, and
FIGURE 9.1 According to many theorists, the devel- actions. Moreover, the symbols used in any given
opment of language was a major milestone in human language are arbitrary. For example, the Span-
evolution. ish, French, and German words for dog are perro,
chien, and hund, respectively. None of these
written words looks like a dog, and when spo-
ken, there is nothing about how any one of these
words sounds that makes it an intrinsically cor-
so in the most flexible way known: through lan- rect choice for representing the concept of “dog.”
guage (Figure 9.1). In English, gerk, kreg, woof, zog, professor, or
Language underlies so much of what we do countless other words could be used to represent
that it is almost impossible to imagine function- what we call a dog, but they aren’t. (Even though
ing without it. Our conscious thinking usually “No Professors Allowed on the Lawn” has a cer-
takes the form of self-talk, or inner speech. tain ring.) Regardless of how the word dog came
Through language, we are also able to share into being, it has an agreed-on meaning to people
our thoughts, feelings, goals, intentions, desires, who speak English. The same holds true for all
needs, and memories with other people and the other words we use.
thus interact socially in rich and diverse ways Language also has a rule-governed structure.
that would not otherwise be possible. Indeed, A language’s grammar is the set of rules that
some authors have suggested that language and dictate how symbols can be combined to cre-
memory evolved at the same time (e.g., Gong & ate meaningful units of communication. Thus,
Shuai, 2015). if we ask you whether zpf lrovc is an English
In ways small and big, language also is an word, you will almost certainly say that it is
extremely powerful learning mechanism. To get not. Why? Because it violates the rules of the
to a friend’s house for the first time, you don’t English language; z is not to be followed by pf,
have to drive or walk all over the area (trial- and five consonants (z, p, f, l, r) cannot be put
and-error learning) or wait until someone shows in an unbroken sequence. Likewise, if we ask
up to lead the way (observational learning). you whether “Bananas have sale for I” is an
Instead, you simply ask for directions or read a appropriate English sentence, you will shake
map. More broadly, in oral and written form— your head and say, “No. It should read: ‘I have
through storytelling, books, instruction, mass bananas for sale.’” In this case, “Bananas have
media, and the Internet—language puts the cus- sale for I” violates a portion of English gram-
toms and knowledge accrued over generations mar called syntax, the rules that govern the
at your fingertips. order of words.
You may not be able to verbalize the formal Displacement refers to the fact that lan-
rules of English that are violated in these exam- guage allows us to communicate about events
ples, but you know them implicitly because and objects that are not physically present.
they are part of the language you speak. The In other words, language frees us from being
grammars of all languages share common func- restricted to focusing on events and objects that
tions, such as providing rules for how to change are right before us in the present. You can dis-
present tense (“I am walking the dog”) into the cuss the past and the future, as well as people,
past tense (“I walked the dog”) or a negative (“I objects, and events that currently exist or are
didn’t walk the dog”). Yet just as symbols (e.g., taking place elsewhere. You can even discuss
words) vary across languages, so do grammati- completely imaginary situations, such as a spar-
cal rules. In English, for example, we say “green row standing underneath a pancake.
salad” and “big river,” which follow the rule that
adjectives almost always come before the nouns The Structure of Language
they modify. In French and Spanish, however,
Psycholinguists describe language as having a
adjectives often follow nouns (“salade verte,”
surface structure and a deep structure. They
“rio grande”). Although language changes over
also examine the hierarchical structure of lan-
time, with new words appearing regularly, new
guage, in which smaller elements are combined
words and new phrases need to conform to the
into larger ones. Let’s look at both of these
basic rules of that language.
issues.
Language Conveys Meaning
Surface Structure and Deep Structure
No matter the arbitrary symbols or grammati-
cal rules used, once people learn those sym- When you read, listen to, or produce a sentence,
its surface structure consists of the symbols 3. Differentiate
bols and rules, they are able to form and then between
transfer mental representations to the mind of that are used and their order. As noted earlier,
the syntax of a language provides the rules for surface and
another person. Thus, you can talk with a friend deep structure.
about your courses, your favourite foods, how ordering words properly. In contrast, a sen-
Describe the
you feel, and so on. Based in part on the words tence’s deep structure refers to the underlying hierarchy of
you use and how they are organized, both you meaning of the combined symbols, which brings language.
and your friend will extract meaning—and, it is us back to the issue of semantics.
hoped, the correct or intended meaning—from Sentences can have different surface struc-
what is being said. But understanding seman- tures but the same deep structure. Consider
tics, the meaning of words and sentences, actu- these examples:
ally is a tricky business. For example, when 1. Sam ate the cake.
you ask a friend “How did you do on the test?” 2. The cake was eaten by Sam.
and the reply is “I nailed it,” you know that your
friend is not saying “I hammered the test to the 3. Eaten by Sam the cake was.
desk with a nail.” Someone who is familiar with Each sentence conveys the underlying mean-
English knows from experience not to interpret ing: that the cake ended up in Sam’s stomach.
this expression literally; someone just begin- Notice that the syntax of the third sentence is
ning to learn English might find this expression incorrect. English isn’t spoken this way, except,
perplexing. perhaps, by the fictional Star Wars charac-
ter Yoda. Still, in this case its meaning is clear
Language Is Generative and Permits enough.
Displacement Sometimes, a single surface structure can
Generativity means that the symbols of lan- give rise to two deep structures, as happens
guage can be combined to generate an infinite when people speak or write ambiguous sen-
number of messages that have novel meaning. tences. Consider this example:
The English language, for example, has only
The police must stop drinking after
26 letters, but they can be combined into more
midnight.
than half a million words, which in turn can be
combined to create a virtually limitless number of On the one hand, this sentence could mean
sentences. Thus, you can create and understand that police officers need to enforce a curfew
a sentence like “Why is that sparrow standing designed to prevent citizens from drinking alco-
underneath my pancake?” even though you are hol after midnight. On the other hand, it could
unlikely to have heard anything like it before. mean that if police officers go out for a few
318 CHAPTER NINE
drinks after work, they need to wrap up their The Hierarchical Structure of Language
drinking by midnight. Human language has a hierarchical structure,
In everyday life, when you read or hear and its most elementary building block is the
speech, you are moving from the surface struc- phoneme, the smallest unit of speech sound
ture to deep structure: from the way a sentence in a language that can signal a difference in
looks or sounds to its deeper level of meaning. meaning. Linguists have identified about 100
After time, you may forget the precise words phonemes that humans can produce, including
used in the sentence, but you’re likely to recall the clicking sounds used in some African lan-
its essential meaning. In contrast, when you guages, but no language uses all these sounds.
express your thoughts to other people, you must The world’s languages vary considerably in pho-
transform deep structure (the meaning that you nemes, some employing as few as 15 and others
want to communicate) into a surface structure more than 80. English uses about 40 phonemes,
that others can understand. Eloquent speak- consisting of the various vowel and consonant
ers and writers have the ability to convert their sounds, as well as certain letter combinations
deep-structure meanings into clear and pleasing such as th and sh. Thus, sounds associated with
surface-structure expressions. th, a, and t can be combined to form the three-
phoneme word that.
Phonemes have no inherent meaning, but
they alter meaning when combined with other
Thinking critically elements. For example, the phoneme d creates
a different meaning from the phoneme l when
DISCERNING THE DEEP STRUCTURE it precedes og (i.e., dog versus log). At the next
OF LANGUAGE level of the hierarchy, phonemes are combined
Figure 9.2 shows a grave marker in the Boothill into morphemes, the smallest units of meaning
Graveyard in Tombstone, Arizona, where many in a language. Thus, dog, log, and ball are all
notorious outlaws and gunfighters are buried. morphemes, as are prefixes and suffixes such
Analyze the marker carefully, and then identify two
possible meanings for the inscription.
as pre-, un-, -ed, and -ous. Notice in Figure 9.3
that morphemes are not always syllables. For
example, in English, s is not a syllable, but the
final s on a noun is a morpheme that means
“plural.” Thus, the word fans has one syllable
but two morphemes; players has two syllables
but three morphemes. In every language, rules
determine how phonemes can be combined into
morphemes. English’s 40 phonemes can be com-
bined into more than 100 000 morphemes.
Morphemes, in turn, are the stuff of which
words are formed. English morphemes can be
combined into over 500 000 words, words into
countless phrases, and phrases into an infinite
number of sentences. Thus, from the humble
phoneme to the elegant sentence, we have a
five-step language hierarchy (see Figure 9.3).
Beyond this basic hierarchy lies the sixth and
most comprehensive level, that of discourse, in
which sentences are combined into paragraphs,
articles, books, conversations, and so forth.
Understanding and Producing

© Kay Smith
Language
FIGURE 9.2 This grave marker in Boothill Grave- One day after a class discussion on language,
yard illustrates an interesting relation between
a student told us about a humorous incident
surface structure and deep structure.
that had happened the evening before. Her hus-
band answered a phone call, listened for five
seconds, and hung up. “It was a prerecorded
Discourse
Sentence The players talked to the fans.
Phrases The players talked to the fans
Words The players talked to the fans
Morphemes The play er s talk ed to the fan s
Phonemes d pley r z tok t tuw d f a n z

e
FIGURE 9.3 Human language is structured hierarchically, with phonemes being the most basic unit. The row of
phonemes contains symbols used by linguists to denote particular sounds.
telemarketing call,” he said. “Some company and top-down processing (concepts that you
called Pressgrits.” “Pressgrits. That’s a really may recall from Chapter 5). In bottom-up
weird name,” she replied. And then it dawned on processing, individual elements of a stimulus
her. She was expecting an automated call from are analyzed and then combined to form a unified
a company called Express Scripts to confirm an perception. Analyzing the hierarchical structure
order. Later, she found out that this had indeed of spoken language as a set of building blocks
been the confirmation call. that involve the use of phonemes to create mor-
How can a voice on the phone produce the phemes and the combination of morphemes to
words Express Scripts, which the student’s hus- create words reflects a bottom-up approach.
band hears as “Pressgrits”? Did he need to clean Likewise, as you read this sentence, special-
out his ears? Hardly. He simply failed to per- ized cell groups in your brain are (1) analyzing
ceive the morpheme Ex, which left Press for the the basic elements (e.g., contours, angles of
first word. And by saying both words rapidly, as lines) of the visual patterns that are right before
the prerecorded voice did (try it five times, fast), your eyes and (2) feeding this information to
you’ll realize that phonetically, pressscripts and other cell groups that lead you to perceive these
pressgrits are not that far apart. Most impor- patterns as letters. We then recognize words
tantly, the student’s husband had no context either directly by perceiving the visual patterns
for interpreting the message. Later on, when of letters or indirectly by first translating those
our student listened to a callback of the same visual patterns into auditory codes, as happens
message, she heard “Express Scripts” because when you sound out in your head the phonemes
she knew what to expect. Context, as you’ll see, and morphemes created by the letter sequences
plays a key role in understanding language. (Bernstein & Carr, 1996). Words and their gram-
matical sequence then become the building 4. Explain the
The Role of Bottom-Up Processing blocks for sentences, and sentences the build- role of bottom-up
To understand language, your brain must rec- ing blocks for discourse. But at every step in and top-down
ognize and interpret patterns of stimuli—the this bottom-up sequence, including pattern rec- processes
sounds of speech, shapes of letters, movements ognition, our understanding of language also is in language.
Use speech
that create hand signs, or tactile patterns of influenced by top-down processing.
segmentation
dots used in Braille—that are detected by your and pragmatics
sensory systems. And just like other perceptual The Role of Top-Down Processing as examples.
tasks, extracting information from linguistic In a famous farmers’ market, there used to be
stimuli involves the joint influence of bottom-up a store called The Bead Store. The store sold
320 CHAPTER NINE
beads for making jewellery. Tourists would distinctly segment each whole word, creating a
often walk by and ask “Where’s the bread?” The sound energy break between each one? Or were
store’s sign said Bead, but these patrons per- your segments more like “We ho pew ha va nice
ceived the word as Bread, a function perhaps day”? Moreover, in English about 40 percent of
of their mental set (i.e., a perceptual expecta- words consist of two or more syllables that are
tion) that they were in a farmer’s market that vocally stressed (i.e., emphasized) when spoken
sold food. It got so bad for the merchants that (Mattys, 2000). Thus, in these and other words,
they eventually put up a sign saying “We Don’t the auditory breaks that we hear in speech often
Sell Bread.” do not correspond well to the physical breaks
In top-down processing, sensory informa- produced by the spaces in written sentences.
tion is interpreted in light of existing knowledge, Psycholinguists have discovered that we
concepts, ideas, and expectations. In Chapter 5, use several cues to tell when one spoken word
we discussed how people’s unconscious expec- ends and another begins (Cunillera et al., 2006).
tations (i.e., mental sets) literally shape what For example, through experience we learn that
they visually perceive. As the Bead Store exam- certain sequences of phonemes are unlikely to
ple illustrates, people looked at a stimulus pat- occur within the same words, so when we hear
tern on a store sign that said Bead, but Bread is these sounds in sequence we are more likely to
what they saw. perceive them as the ending or beginning of an
Language by its very nature involves top- adjacent word.
down processing, because the words you write, We also use the context provided by the other
read, speak, or hear activate and draw on your words in a sentence to interpret the meaning of
knowledge of vocabulary, grammar, and other any individual word. In two classic experiments,
linguistic rules that are stored in your long-term Irwin Pollack and J.M. Pickett (1964) recorded
memory. That’s why if we write “Bill g_ve th_ the conversations of four female university stu-
pe_cil to h_s fr__nd,” you can probably inter- dents and text passages spoken by four adult
pret the words with little difficulty (“Bill gave men. The researchers then played back one-,
the pencil to his friend”), despite the absence of two-, three-, or four-word segments taken from
several bottom-up elements. these recordings to 38 university students. For
Let’s consider another example of top-down example, from the words “. . . of the world was
processing. Have you ever listened to someone covered in ice,” the researchers created the seg-
speak a foreign language in which you aren’t flu- ments “of,” “of the,” “of the world,” and “of the
ent and found that it was difficult to tell where world was” and asked participants to identify
one word ended and the next began? Even if you the first word in the segment. Remarkably, when
have studied that language for a term or two participants listened to one-word excerpts, and
in school, native speakers may seem to talk so thus had to identify a word based on its sound
quickly that you can’t distinguish the individual alone, they could do so on average only 35 to
words they are saying. Conversely, they would 62 percent of the time, depending on the voice
have the same problem listening to you speak of the particular speaker. When participants
English. Despite all the sophistication of mod- listened to the four-word segments, they were
ern computers and software, many still struggle able to identify the initial word between 70 and
with human voice recognition. 100 percent of the time, depending on the speaker.
How is it, then, that in your native language In sum, the availability of context made the job of
this process of speech segmentation— identifying individual words much easier.
perceiving where each word within a spoken
sentence begins and ends—seems to occur Pragmatics: The Social Context
automatically? When you read a sentence, the of Language
spaces between words make segmentation Suppose that you call up a friend and someone
easy. But when people speak, they don’t pause else answers the phone. You ask, “Is Bill there?”
in between each pair of words. In fact, when The person says, “Hang on,” and goes to get Bill.
psycholinguists measure the sound energy Or imagine that a passerby asks you “Do you
produced as people utter sentences, they find have the time?” You say, “10:20” and part ways.
that the decreases in energy output between In these cases, the questions really are short-
words often are smaller than the decreases hand for “Is Bill there, and if so, please go get
between segments within the same words. To him and tell him to pick up the phone” and “I’m
illustrate, say “We hope you have a nice day” not wearing a watch, so please tell me what time
out loud and at a normal speech rate. Did you it is right now.” You wouldn’t expect the person
who answered the phone to merely say “Yes”

and then wait until you gave more instructions Thinking critically
(“Uh, okay, would you please go get him?”). Nor
would you respond to the request “Do you have THE SLEEPING POLICEMAN
the time?” merely by saying “Yes, I do” and then You’re on vacation in England, driving to a coun-
walking away. tryside bed-and-breakfast to spend the night. You
Instead, you and the other people involved stop in a small town to get directions. A store-
in these communications understand the social keeper tells you to take a left turn a mile up the
road, drive “until you come to the sleeping police-
context and rules for how to respond. Likewise, man,” and then take a right. What do you imagine
if a friend says, “I need you to explain this mate- “the sleeping policeman” (or “The Sleeping Police-
rial to me. Do you have the time?” you wouldn’t man”) might be?
say “10:20” and walk away. In this context, you Think about it, and then see the Answers section at
understand that “Do you have the time?” means the end of the book.
“Can you take a few minutes to help me?”
These examples illustrate that it takes
more than having a vocabulary and arranging
words grammatically to understand language
and communicate effectively with others. It Pragmatics also depend on other aspects of
also involves pragmatics, a knowledge of the social context. For example, when you write
the practical aspects of using language (Cum- a term paper or go for a job interview, you nor-
mings, 2005; McNally, 2013). Language occurs mally would use a more formal tone than when
in a social context, and pragmatic knowledge writing an email or speaking to friends. Thus,
not only helps you understand what other peo- when a university student sent an email to her
ple are really saying, but also helps you make instructor (it wasn’t to one of us) that read “I
sure that other people get the point of what can’t find tomorrow’s assignment could you
you’re communicating. In essence, pragmatics pleeeeez send it to me pleeeeez, could ya, could
is another example of how top-down process- ya?” the instructor sternly let the student know
ing influences language use and it is essential about her violation of pragmatics, namely, that
for language acquisition (Clark, 2014; Ryder & the style of the message was completely inap-
Leinonen, 2014). propriate for the context.
Psycholinguists have identified social rules
Language Functions, the Brain,
that guide communication between people
(Arundale, 2005; Grice, 1975). One rule states
and Sex Differences
that messages should be as clear as possible Language functions are distributed in many
areas of the brain, but the regions shown in 5. What sex
(Figure 9.4). Thus, depending on whether you differences
talk with an adult who is fluent in your lan- Figure 9.5 are especially significant. As dis-
exist in the
guage, a foreign visitor who barely speaks your cussed in Chapter 3, Broca’s area, located in
brain’s language
language, or a young child, you usually adjust the left hemisphere’s frontal lobe, is most cen- processing?
your speech rate, choice of words, and sentence trally involved in word production and articula-
complexity. tion (lower-right brain scan). This area is also
© Jim Toomey. Reprinted with special permission of King Features Syndicate.
FIGURE 9.4 A breakdown of pragmatics. Although most of us might understand the underlying meaning of “Can I
see you again?” it seems that in this case our suitor made an error in his choice of words.
322 CHAPTER NINE
Marcus Raichle, Washington University, St. Louis, Mcdonnell Center for High Brain Function
FIGURE 9.5 Brain areas involved in various aspects of language. In these PET scans, regions of white, red,
and yellow show the greatest activity. Notice in the upper-left image that Wernicke’s area (in the temporal lobe) is
especially active when we hear words, and in the lower-right image that Broca’s area (located in the frontal lobe) is
especially active when we generate words.
involved in the hand motor-control system, language task in which words and nonwords
which explains why people often “talk with their were presented on each side of a computer
hands” (Gentilucci & Volta, 2008). Wernicke’s screen. Participants had to identify which was
area, in the rear portion of the temporal lobe, is the real word as quickly as possible by press-
more centrally involved in speech comprehen- ing one of two computer keys. Functional MRIs
sion (upper-left scan). People with damage in (fMRIs) were recorded during the task and dur-
one or both areas typically suffer from aphasia, ing a nonlanguage control task. As the image
an impairment in speech comprehension and/or in Figure 9.6 shows, men exhibited greater left-
production that can be permanent or temporary hemisphere activation (red areas) during the lan-
(LaPointe, 2005). The visual area of the cortex guage task, whereas women’s brain activation
is also involved in recognizing written words. occurred in both the left and right hemispheres.
In a fascinating study, Bedny et al. (2015) have Maximum activation occurred in regions corre-
show that the visual cortex will respond to sponding to Broca’s area and Wernicke’s area.
spoken words in children who were blind from Neural systems involved in several aspects
birth. Without visual input, language process- of language may be organized differently in
ing recruits part of the primary visual cortex women than in men, but because this finding has
through plasticity. been successfully replicated in some studies but
Years ago scientists noted that men who suf- not others, more research is needed to sort out
fer left-hemisphere strokes are more likely than why these inconsistencies occur (Gleason & Ely,
women to show severe aphasic symptoms. In 2002; Sommer et al., 2004; Démonet et al., 2005).
female stroke victims with left-hemisphere dam- Further, as a critical thinker, you should recog-
age, language functions are more likely to be nize that if men’s and women’s brains differ over-
spared, suggesting that more of their language all in some aspects of language processing, this
function is shared with the right hemisphere. finding does not establish by itself whether the
Brain-imaging research by Susan Rossell and sources of those differences lies in our genes or
her colleagues (2002) supports this hypothesis. possible gender-differences in language social-
In their study, men and women engaged in a ization (Kaiser et al., 2009).
deaf that developed independently in differ-

ent parts of the world—seem to have common
underlying structural characteristics. Language
acquisition thus represents the unfolding of a
biologically primed process within a social
learning environment (Chomsky, 1987; Kuhl,
2004).
Whether born in Toronto, Taiwan, or
Tanzania, young infants can perceive the
entire range of phonemes found in the world’s
languages. Between 6 and 12 months of age,
however, they begin to discriminate only those
sounds that are specific to their native tongue.
For example, Japanese children lose the abil-
ity to distinguish between the r and l sounds
because their language does not make this
phonetic distinction, but children exposed to
English continue to discriminate these sounds
as they mature. Likewise, Japanese-speaking
children learn the syntactic rule to put the
object before the verb (“Ichiro the ball hit”),
whereas English-speaking children learn the
syntactic rule that the verb comes before the
FIGURE 9.6 Brain activation, as recorded by fMRI, is object (“Ichiro hit the ball”).
shown in the red areas. For males, the left hemisphere is The linguist Noam Chomsky (1987) proposed
more active than the right hemisphere during this language that humans are born with a language acqui-
task. Females’ activation patterns are distributed in cor-
sition device (LAD), an innate biological
responding areas of both the left and right hemispheres,
indicating less lateralization of language functions than in mechanism that contains the general grammati-
the males’ brains. The yellow activation patterns occurred cal rules (which he terms universal grammar)
in response to a control (nonlanguage) task. common to all languages. Among the principles
inherent in LAD are that languages contain such
Source: Rossell, S.L. et al. (2002). Sex differences in
functional brain activation during a lexical visual field task. things as noun phrases and verb phrases that
Brain and Language, 80(1), 97–105, Figure 1, p. 102; Brain are arranged in particular ways, such as sub-
and Language Copyright © 2003 Elsevier. Reprinted with jects, predicates, and adjectives. Chomsky lik-
permission from Elsevier. ened LAD to a huge electrical panel with banks
of linguistic switches that are thrown as chil-
dren hear the words and syntax of their native
Acquiring a First Language language. For example, for a child learning
Language acquisition is one of the most striking to speak English, the “switch” that indicates
events in human cognitive development. It rep- whether to insert a pronoun before a verb (as in
resents the joint influences of biology (nature) “I want”) is set to yes. But in Spanish, the same
and environment (nurture). Many language switch is set to no, because the applicable verb
experts believe that humans are born linguists, (in this case, deseo) already includes the first-
inheriting a biological readiness to recognize person singular and inserting a pronoun is not
and eventually produce the sounds and struc- necessary. In this manner, universal grammar 6. How do
ture of whatever language they are exposed to becomes calibrated to the grammar and syntax biological
(Chomsky, 1965; Clowey, 2014; Pinker, 2000). of one’s native tongue. factors influence
language
Biological Foundations Social Learning Processes acquisition?
Several facts suggest a biological basis for lan- Given the required biological foundation, social
7. How do
guage acquisition. First, human children, despite learning plays a central role in acquiring a lan-
social learning
their limited thinking skills, begin to master language (Pruden et al., 2006). Early on, mothers factors influence
guage early in life without any formal instruc- and fathers attract their children’s attention and language
tion. Moreover, despite their differences at the maintain their interest by conversing with them acquisition?
phoneme level, all adult languages throughout in what has been termed child-directed speech,
the world—including sign languages for the a high-pitched intonation that seems to be used
324 CHAPTER NINE
“truth value” (or deep structure) of what the

child is trying to communicate. Thus, they are
less likely to correct a young child who says
“I have two foots” than they are to correct
one who says “I have four feet,” even though
the latter statement is grammatically correct
(Brown, 1973).
As this point also shows, much of children’s
language is very different from that of their
parents, and thus it can’t be explained simply as
an imitative process. Nonetheless, social learn-
ing is a crucial contributor to language acqui-
sition, and the interplay between biological
and environmental factors is a given for most
modern theorists. Psychologist Jerome Bruner
(1983) proposed the term language acquisi-
tion support system (LASS) to represent
factors in the social environment that facilitate
the learning of a language. One could say that
when LAD and LASS interact in a mutually sup-
portive fashion, normal language development
occurs.
Developmental Timetable
and Sensitive Periods
As biological factors (including the matura-
© Photodisc/Getty Images tion of speech-production mechanisms) and
experiential factors combine their influences,
FIGURE 9.7 Language development depends not
only on the brain’s biological programming device but language acquisition proceeds according to a
also on exposure to one’s language. Childhood is an developmental timetable that is common to all
important sensitive period for such exposure. cultures. As shown in Table 9.1, children prog-
ress from reflexive crying at birth through
stages of cooing, babbling, and one-word utter-
all over the world (Fernald et al., 1989). Parents ances. By two years of age, children are utter-
also teach their children words by pointing out ing sentences called telegraphic speech that at
objects and naming them, by reading aloud, first consist of a noun and a verb (e.g., “Want
and by responding to the never-ending question cookie”), with nonessential words left out as in
“What dat?” (Figure 9.7). a telegraph message. Soon, additional words
The behaviourist B.F. Skinner (1957) devel- may be added (e.g., “Daddy go car”). From that
oped an operant conditioning explanation point on, speech development accelerates as
for language acquisition. His basic premise vocabulary increases and sentences become
was that children’s language development more grammatically correct. In the short span
is strongly governed by adults’ positive rein- of five years, an initially non-verbal creature
forcement of appropriate language and non- has come to understand and produce a com-
reinforcement or correction of inappropriate plex language.
verbalizations. However, most modern psycho- In Chapter 5, we saw how the normal devel-
linguists doubt that operant learning principles opment of perceptual abilities requires certain
alone can account for language development. kinds of sensory input early in life. A study of
For one thing, children learn so much so children who were born deaf and received
quickly. By second grade in elementary school, cochlear implants early in life showed signifi-
children have acquired about 5000 to 6000 cant advantages in language and speech percep-
words (Biemiller & Slonim, 2001). Moreover, tion among children who received an implant
observational studies have shown that parents before the age of two compared to children who
do not typically correct their children’s gram- received one at three or four years of age (Svir-
mar as language skills are developing. Rather, sky, Teoh & Neuburger, 2004). Some linguists are
parents’ corrections focus primarily on the convinced there is also a sensitive period from
TABLE 9.1 Course of Normal Language Development in Children

Age Speech Characteristics
1–3 months Infant can distinguish speech from nonspeech sounds and prefers speech sounds
(phonemes). Undifferentiated crying gives way to cooing when happy.
4–6 months Babbling sounds begin to occur. Child vocalizes in response to verbalizations of others.
7–11 months Perception of phonemes narrows to include only the phonemes heard in the language
spoken by others in the environment. Child moves tongue with vocalizations (“lalling”).
Child discriminates between some words without understanding their meaning and begins
to imitate word sounds heard from others.
12 months First recognizable words typically spoken as one-word utterances to name familiar people
and objects (e.g., da-da or block ).
12–18 months Child increases knowledge of word meanings and begins to use single words to express
whole phrases or requests (e.g., out to express a desire to get out of the crib); primarily
uses nouns.
18–24 months Vocabulary expands to between 50 and 100 words. First rudimentary sentences appear,
usually consisting of two words (e.g., more milk) with little or no use of articles (the, a),
conjunctions (and ), or auxiliary verbs (can, will). This condensed, or telegraphic, speech is
characteristic of first sentences throughout the world.
2–4 years Vocabulary expands rapidly at the rate of several hundred words every six months. Two-word
sentences give way to longer sentences that, though often grammatically incorrect, exhibit
basic language syntax. Child begins to express concepts with words and to use language to
describe imaginary objects and ideas. Sentences become more correct syntactically.
4–5 years Child has learned the basic grammatical rules for combining nouns, adjectives, articles,
conjunctions, and verbs into meaningful sentences.
infancy to puberty during which the brain is most Bilingualism: Learning

responsive to language input from the environ-
ment. Support for a sensitive period comes from
a Second Language
studies of children who lived by themselves in the For those of us labouring to learn a second
wild or who were isolated from human contact language, there are models to inspire us. M.D.
by deranged parents. One such child, found when Berlitz, inventor of the system for teaching lan-
she was six years old, immediately received languages that bears his name, spoke 58 of them. Sir
guage training and seemed to develop normal John Bowring, once the British governor of Hong
language abilities (Brown, 1958). In contrast, lan- Kong, could speak 100 languages and read 100
guage-deprived children who were found when more. And some sort of record must be held by
they were past puberty seemed unable to acquire Benjamin Schulze (1699–1760), who could recite
normal language skills despite extensive training the Lord’s Prayer in 215 languages (Bryan, 1986).
(Clarke & Clarke, 2000; Curtiss, 1977). We should Somewhat more modestly, only about 18 percent
note that some authors (e.g., White et al., 2013) of Canadians (including 43 percent of those liv-
have reminded us to consider that there is con- ing in Quebec) report that they speak both Eng-
siderable neural plasticity and transfer of train- lish and French (Statistics Canada, 2013).
ing in auditory learning. Thus, we are not exactly A second language is learned best and spoken
most fluently when it is learned during the sen- 8. What factors
sure of how wide or narrow the critical period affect the
might be. sitive period of childhood. Much of the evidence
learning of a
The importance of early language exposure argues that the vocabulary of a language can be second language
applies to any language, not just spoken lan- learned at any age, but mastery of the syntax, and its effects
guage. Because sign languages share the deep- or grammar, depends on early acquisition (Bial- on thinking?
structure characteristics of spoken languages, ystok, 2001). After about age seven, mastery of
deaf children who learn sign language before English grammar, for example, becomes progres-
puberty develop normal linguistic and cognitive sively more difficult (Johnson & Newport, 1989,
abilities, even though they never hear a spoken 1991). One concern with the early learning of mul-
word (Marschark & Mayer, 1998). In contrast, tiple languages is that children will confuse the
deaf people who are not exposed to sign lan- two languages. Young bilingual children do some-
guage before age 12 show language-learning times mix their two languages, but as McGill Uni-
deficits later in life (Morford, 2003). versity’s Fred Genesee has shown, children begin
326 CHAPTER NINE
to differentiate their two languages by two years

of age, perhaps younger, and such code mixing OR
is not a lasting or important source of confusion
(Nicoladis & Genesee, 1997).
The study of bilingualism has special impor-
tance in Canada, with our two official languages
and policy of multiculturalism. During the past 40
years, the study of second language learning has
often focused on the Canadian development and
practice of French-immersion programs in the edu-
cational system. The idea of French immersion pro- Keyboard
X O
grams originated with a group of English-speaking letters
parents in St. Lambert, Quebec. The parents wanted
their children to acquire proficiency in French so FIGURE 9.8 Measuring your ability to ignore irrel-
that they would be able to function in the majority evant details. This figure shows one of the attention-
inhibition tasks used by Bialystok and Martin (2004).
language of the province and also to improve rela-
tionships with francophone Quebecers (Genesee & Source: From E. Bialystok & M. Martin, 2004, “Attention
Inhibition in Bilingual Children: Evidence from the Dimensional
Gandara, 1999). This group of parents began to Change Card Sort Tasks,” Developmental Science, 7(3), 325–
work with Wally Lambert, a psychologist at McGill 339, Fig 1b. Copyright © 2004 Wiley/Blackwell. Reprinted by
University, and a French immersion program was permission of Blackwell Publisher.
developed. The first French immersion class in Can-
ada opened in September 1965. From these modest same colour. If a blue square appears, you press
beginnings, the French immersion program has the letter O on the keyboard to drop it into the
grown tremendously; more than 300 000 Canadian lower-right box. If a red circle appears, you press
students are now enrolled in immersion programs the X key to drop it into the lower-left box. After
(Genesee & Gandara, 1999). several trials, however, we switch the rule. Now
Some of the early research on bilingualism your task is to sort each stimulus by its shape,
suggested that having to learn two vocabular- not by its colour: Drop blue squares into the left
ies and sets of grammar put bilingual speakers box and red circles into the right box. This new
at a disadvantage. Lambert (Lambert, 1992; rule requires you to ignore the colour of each
Lambert et al., 1993), however, found quite the stimulus, which just a moment ago was foremost
opposite. When matched on background vari- in your mind, and instead to selectively focus
ables, bilingual speakers scored at least as well as your attention on the shape of the stimulus.
monolinguals on performance tests. More recent Positive correlates of bilingualism, such as
research has found that bilingual children actually greater flexibility in thinking and better perfor-
show superior cognitive processing when com- mance on standardized intelligence tests, have
pared with their monolingual peers (Bialystock been discovered in a number of countries, includ-
et al., 2010; Barac & Bialystock, 2012). On aver- ing Switzerland, South Africa, and Canada. For
age, French immersion students outperform children who are entering into a new language
monolingual students in reading (Allen, 2004). group, such as the children of recent immi-
Ellen Bialystok, at York University, has found grants, research has found that non-English-
that bilingual children better understand the speaking immigrant children perform best in
symbolic nature of print, even before they can bilingual educational settings in which they
read (Bialystok, 1997). Bilingual children also are taught in both their native language and
perform better than monolingual children on per- English. Compared with similar children who
ceptual tasks that require them to inhibit atten- are placed in English-only classrooms, those
tion to an irrelevant feature of an object and in bilingual classes are less likely to drop out
pay attention to another feature (Bialystok & of school and they develop higher self-esteem,
Martin, 2004). For example, suppose you sit in achieve better academic performance, and have
front of a computer screen like the one shown in better English fluency (Thomas & Collier, 1997).
Figure 9.8. There’s a box in the lower-left corner
with a red square above it and a box in the lower- Learning a Second Language:
right corner with a blue circle above it. Next, a Is Earlier Better?
stimulus appears at the top of the screen—either Given that children are language sponges, it seems
a blue square or a red circle. At first, your task obvious that a second language would be learned
is to place the stimulus into the box that has the best and spoken most fluently when acquired
early in life. Some psycholinguists believe that 276

there is a critical period for learning a second
Mean English grammar score

language that ends in childhood or possibly in 256
the early teens. If this is the case, it would not be
possible for people who begin to learn a second 236
language in high school or university, or after emi-
grating as late teens or adults to a foreign country,
216
to achieve the fluency of native speakers. What do Native Chinese and
you think about this hypothesis? Korean speakers
196
In one sense, it does appear that the earlier Native Spanish
one learns a second language, the better. If speakers
you start to learn a second language in child- Native 3–7 8–10 11–16 17–39
hood, then by the time you reach age 25 to 30, English
let’s say, you will have had many more years speakers
of exposure to that language than if you had Age at arrival
first started to learn it in your late teens. Thus,
FIGURE 9.9 Age and proficiency of learning a second
“age of acquisition” can easily be confounded
language. The X represents the grammar score of native-
with “years of exposure and practice.” As a criti- born Americans. The blue line shows the relation between
cal thinker, realize that to test the biologically age of arrival in the United States by Korean and Chi-
based critical-period hypothesis, researchers nese individuals and their scores on a 276-item test of
must try to compare the proficiency of people English grammar, compared with native-born Americans.
who are “early” versus “late” second-language The red line shows the relation between age of arrival in
learners yet who also have had a similar amount the United States by native Spanish speakers and their
scores on a 274-item version of the same grammar test.
of overall exposure to that second language.
In one well-known study, Jacqueline Johnson Based on data from Johnson, J.S., & Newport, E.L. (1989).
Critical period effects on universal properties of language:
and Elissa Newport (1989) studied university
The influence of maturational state on the acquisition of
students and faculty members who had emi- English as a second language. Cognitive Psychology, 21(1),
grated from Korea or China to the United States 60.; Birdsong, D., & Molis, M. (2001). On the evidence for
when they were either 3 to 16 years old (“early maturational constraints in second-language acquisition.
arrivals”) or 17 to 39 years old (“late arrivals”). Journal of Memory and Language, 44, 235–249.
Overall, the early- and late-arrival groups had
nearly identical years of exposure to English 1989). These findings suggest that because late
since coming to the United States. Johnson arrivals had missed a critical period for learning
and Newport presented these individuals with a second language, it mattered little at what age
276 English sentences that were either gram- they started to acquire English.
matically correct (e.g., “Every Friday our neigh- Other findings, however, complicate the
bour washes her car.”) or incorrect (e.g., “Two picture. David Birdsong and Michelle Molis
mouses ran into the house this morning.”). The (2001) used the same grammar test in a study of
participants were asked to judge the correct- native Spanish speakers who had immigrated to
ness of each sentence. A sample of native-born America at different ages and were now either
Americans also took this grammar test. faculty members, students, or employees at a
The findings strongly supported the critical- university. Once again, despite having a similar
period hypothesis. Overall, the early arrivals per- amount of overall exposure to English, early-
formed far better than the late arrivals. Moreover, arriving immigrants (i.e., arrival by age 16)
even among the early arrivals, those who had performed much better than late-arriving immi-
arrived by age seven mastered English grammar grants (i.e., arrival after age 16). But unlike the
just as well as native-born Americans, whereas previous study, performance among early arriv-
immigrants who had arrived between the ages of als generally remained high all the way through
8 and 10 and between 11 and 16 did progressively age 16 (Figure 9.9). And among the late arrivals,
worse on the grammar test (Figure 9.9). The 17- age did make a difference. It was not as if some
to 39-year-olds showed the poorest understanding biological second-language acquisition switch
of grammar and, within this age group, breaking got completely turned off by the end of child-
the data down by age subgroups made little dif- hood or even by the late teens. Overall, immi-
ference: Immigrants who had arrived after age 30 grants who arrived in their 20s, though not as
performed as well, for example, as those who had proficient as early arrivals, still performed bet-
arrived in their late teens (Johnson & Newport, ter than those who arrived in their 30s or 40s.
328 CHAPTER NINE
In addition, Adamuti-Trache (2013) has shown strict linguistic determinism would suggest, the
that older immigrants to Canada have fewer lan- Dani could discriminate among and remember a
guage learning opportunities, which contributes wide assortment of hues in much the same man-
to poorer second language acquisition in this ner as can speakers of the English language,
population. which contains many colour names. Similarly,
Differences in the patterns of findings across in the Amazon, the language of the Mundurukú
studies have led researchers to debate whether people contains few words for geometric or spa-
there is a biologically based critical period for tial concepts, yet Mundurukú children perform
second-language acquisition and, if so, at what as well on many geometric and spatial tasks as
age range it ends. Moreover, some studies sug- American children (Dehaene et al., 2006).
gest that to speak a second language with the Other research, however, comparing English
fluency and accent of a native speaker, people children and Himba children from Africa, sug-
must begin to acquire that language in child- gests that colour categories in a given language
hood. Other studies find that even after mid- have a greater influence on colour perception
adolescence, some second-language learners than Rosch’s study of the Dani suggested (Dav-
acquire the proficiency (if not quite the perfect idoff, 2004). The English language contains 11
accent) of native speakers (Bialystok, 2001; basic colour terms, whereas the Himba language
Birdsong & Molis, 2001). has only five. Himba children made fewer dis-
The issue of whether earlier is better—or, tinctions among coloured tiles than did English
9. Is there more precisely, whether earlier is biologically children. For example, Himba children catego-
a critical (or
better—is far from resolved. One study, for rized under the colour term zoozu a variety of
sensitive) period
for acquiring example, found that the better grammar profi- dark colours, such as dark shades of blue, green,
a second ciency of early- versus late-arriving immigrants brown, purple, red, and the colour black. Eng-
language? to the United States seemed to be due not to lish children distinguished among these colours
Discuss the a biological critical period but to the greater and remembered the different hues better when
evidence. amount of formal education in English that the retested on which ones they had seen earlier.
early arrivals had received (Flege et al., 1999). Still, most psycholinguists do not agree with
Still, the two studies just discussed, along with Whorf’s strong assertion that language deter-
most others, support the general principle that mines how we think. They would say instead
it is more difficult to learn a second language that language can inf luence how we think,
in adulthood than in childhood. Overall, at pres- categorize information, and attend to our daily
ent, the data suggest that there may at least experiences (Newcombe & Uttal, 2006). Lan-
be a sensitive (rather than a critical) period guage can also colour our perceptions, the deci-
for learning a second language that extends sions we make, and the conclusions we draw
through mid-adolescence. The Focus on Neuro- (Figure 9.10). Consider, for example, the ability
science feature for this chapter examines brain
areas involved in bilingualism.
Linguistic Influences on Thinking

Does the language we speak shape how
10. How does we think? The linguist Benjamin Lee Whorf
language
(1956a) took an extreme position on this matter,
influence
thinking? contending in his linguistic relativity hypoth-
esis that language not only influences but also
determines what we are capable of thinking.
If the linguistic relativity hypothesis is cor-
rect, then people whose cultures have only a
few words for colours should have greater diffi-
culty in perceiving the spectrum of colours than © Digital Vision/Getty Images
do people whose languages have many colour
words. To test this proposition, Eleanor Rosch FIGURE 9.10 Sexist language influences our per-
ceptions, our decisions, and the conclusions we draw.
(1973) studied the Dani of New Guinea, who
Which of these people would you assume is the chair-
have only two colour words in their language, person of this committee? Might you consider the ques-
one for bright warm colours and the other for tion differently if we said “Which of these people would
dark cool ones. She found that contrary to what you assume is the chairman of the committee?”
Focus on
Neuroscience
THE BILINGUAL BRAIN

Is a second language represented in the same parts of the
brain as the native language? One intriguing set of findings
comes from studies of bilingual people who experience a
brain trauma (e.g., from a tumour or a stroke) and subse-
quently develop an aphasia. In some bilingual patients, the
same linguistic ability—such as understanding the meaning
of words—may be impaired to different degrees in each
language, or impaired in one language and not the other
(Fabbro, 2001). Moreover, when brain damage produces
similar impairments in both languages, patients may experi-
ence some simultaneous recovery in both languages, or
recovery in one language but not the other. These findings
suggest that there is variability among people in how bilin-
gual abilities are represented in the brain, but also that in
some cases, each language is represented by at least par- Superior temporal gyrus Inferior temporal gyrus
© Royalty-Free/Corbis
tially distinct neural networks.
Brain-imaging studies shed further light on this issue. At
the University of Milan, Daniela Perani and her colleagues network, some brain regions become more active when flu-
(1998) used PET scans to measure cortical activation patent bilinguals use the language to which they have been
terns in the brains of English-speaking Italians as they lis- less extensively exposed (usually the second language). For
tened to stories read aloud in Italian and in English. People example, fMRI imaging suggests that even though roughly
who were highly proficient in English and who had learned this the same brain regions are involved in first and second lan-
second language before the age of ten showed representa- guage processing, there are some subtle differences. In
tion of the two languages in the same cortical areas. The two the left inferior frontal gyrus, different centres are activated
languages had, in a sense, become one, accounting for the for first versus second language processing, but there is
fluent participants’ ability to use the languages interchange- no distinction in the superior temporal gyrus or the inferior
ably. In contrast, less fluent Italians who had learned English parietal cortex (Marian et al., 2003; Stein et al., 2012).
later in life showed brain activity in different areas, depending Thus, despite a person’s fluency in both languages, this
on whether they listened to stories in Italian or English. difference may suggest that the person has to exert more
In general, it appears that when people acquire a sec- conscious effort to process the less dominant language
ond language early in life or learn it to a high degree of (Hulstijn, 2005; Marian et al., 2003). In contrast, people
proficiency later in life, both languages use a common who learn a second language only moderately well later in
neural network (Démonet et al., 2005). However, the clas- life show more variability in their patterns of neural activa-
sic language areas may show some fundamental changes tion; at least in certain cases, some of the specific brain
(Jasinska & Petitto, 2013). Yet even within this common areas that process each language are distinct.
of sexist language to evoke gender stereotypes. The students then were asked to rate the
In one study, college students read one of the attractiveness of a career in psychology for men
following statements about psychology: and women. Those who had read the first state-
ment rated psychology as a less attractive profes-
The psychologist believes in the dignity
sion for women than did the students who read
and worth of the individual human being.
the second statement, written in gender-neutral
He is committed to increasing man’s under-
language (Briere & Lanktree, 1983). Apparently,
standing of himself and others.
the first statement implied that psychology is a
Psychologists believe in the dignity and male profession (when, actually, the majority of
worth of the individual human being. psychology doctorates awarded over the past
They are committed to increasing people’s decade went to women). In such ways, language
understanding of themselves and others. can help to create and maintain stereotypes.
330 CHAPTER NINE
Language not only influences how we think five; in contrast, by age five, many Chinese chil-
but also may influence how well we think in cer- dren understand this concept, enabling them to
tain domains. For example, English-speaking do addition and subtraction with greater ease
children consistently score lower than children (Miller & Stigler, 1987). In this manner, the Eng-
from Asian countries in mathematical skills such lish language appears to hamper the develop-
as counting, addition, and subtraction (Miller ment of skills in using numbers, whereas Asian
et al., 2005). One reason may be the words and languages seem to facilitate the development of
symbols the languages use to represent numbers. mathematical skills.
Asian languages make it far easier to learn the In sum, language provides the foundation of
base-10 number system, particularly the num- many human behaviours and capabilities, and
bers between 10 and 100. For example, in Chi- in this chapter we have touched on only a few
11. Does nese, the number 11 is “ten-one,” 12 is “ten-two,” of its complexities. As a central topic of psy-
evidence
and 13 is “ten-three.” In contrast, English speak- chological research, it continues to be studied
support the view
that apes can ers struggle with such words as eleven, twelve, vigorously at the biological, psychological, and
acquire human and thirteen, which bear little conceptual rela- environmental levels of analysis (Figure 9.11).
language? Why tion to a base-10 mode of thinking. Regardless of You may wonder if humans are the only species
or why not? their counting proficiency, American and British to use language. We examine this question in the
children fail to grasp the base-10 system by age Frontiers feature.
Language
Levels of Analysis
ENVIRONMENTAL
We’ve seen that language is a complex cognitive activity jointly
• Social learning experiences guide
shaped by biology and the social environment. Let’s consider how language acquisition, beginning with early
some of the factors we have discussed represent the biological, caretaker speech that exposes infants to the
psychological, and environmental levels of analysis. phonemes of a particular language.
• Formal educational experiences facilitate language
development and are integral to learning to read.
• Extensive exposure to a bilingual environment
influences the number of languages that children
BIOLOGICAL acquire.
• Acquiring language depends on • There are cultural variations in word use, such as
brain maturation; it also modifies in the number of words used to identify colours or
the brain. the degree of sexist language.
• There appears to be amaturational critical
or sensitive period for acquiring normal
language capabilities.
• Using language involves a network of brain
structures; among bilingual speakers, whether
the two languages share the same network PSYCHOLOGICAL
depends on age of acquisition and other
factors. • Cognitive processes (e.g., attention,
• Hemispheric lateralization for memory) are involved in learning a language’s
language may differ between symbols and grammatical rules.
Consider this possible men and women. • Bottom-up and top-down processes influence our
interaction between the ability to recognize speech and to read.
biological and environmental • Bilingualism appears to influence other
levels of analysis. Suppose a cognitive abilities.
highly proficient bilingual speaker, • Language influences how we think.
raised from birth in a bilingual home, studies
a third language in university and eventually learns it
well. Would you expect all three languages to share a
common brain network?
FIGURE 9.11
Frontiers
CAN ANIMALS ACQUIRE HUMAN language has long been regarded as the sole province of
LANGUAGE? humans. Several decades ago, some scientists attempted
to challenge this assumption by teaching apes to use
Nonhuman species communicate in diverse ways. Chim- human language.
panzees grunt, bark, scream, and make gestures to other
chimps. Dolphins make clicking sounds and high-pitched Washoe: Early Signs of Success
vocalizations (Figure 9.12). Many species use special calls
At first, investigators tried to teach chimpanzees to speak
to warn of predators and to attract mates (Alcock, 2005).
verbally, but chimps lack a vocal system that would per-
Communication also abounds in the insect world. Hon-
mit humanlike speech. A breakthrough came in 1966 when
eybees use a repertoire of body movements—so-called
Allen Gardner and Beatrice Gardner (1969) took advantage
“dances”—to communicate. When a honeybee discovers
of chimps’ hand and finger dexterity and began teaching
nectar, it returns to the hive and performs a turning “waggle
American Sign Language to a ten-month-old chimp named
dance” (von Frisch, 1974). The dance’s pattern and dura-
Washoe. They cross-fostered Washoe: They raised her
tion convey information about the nectar’s location, which
at home and treated her like a human child. By age five,
other bees receive by sensing vibrations as they stay in
Washoe had learned 160 signs. More important, at times
contact behind the dancer. Using this information and odour
she combined signs (e.g., “more fruit,” “you tickle Washoe”)
cues, they can zero in on the food source. Honeybees also
in novel ways. For example, when a researcher showed
vibrate their bodies from side to side in a “grooming invita-
Washoe a baby doll inside a cup and signed “What that?”
tion dance” that signals other bees to come by and help
Washoe signed back “Baby in my drink.” Other research-
clean them (Land & Seeley, 2004).
ers also had success. A gorilla named Koko learned more
In some species, communication shows interesting
than 600 signs (Bonvillian & Patterson, 1997), and a chimp
parallels to human language. Just as humans have differ-
named Lana learned to communicate via visual symbols on
ent languages, each songbird species has its own songs.
a specially designed keyboard (Rumbaugh, 1990).
Remarkably, some songbirds also have local dialects, as
humans do (Catchpole & Rowell, 1993). Thus, experts can
tell whether a male white-crowned sparrow lives in certain Project Nim: Dissent from Within
areas north, south, or east of San Francisco by how it At Columbia University, behaviourist Herbert Terrace (1979)
sings. And just as humans have a sensitive period in child- taught sign language to a chimp he named Nim Chimpsky—
hood for language acquisition, some songbirds will not sing a play on the name of linguist Noam Chomsky. But after
normally in adulthood unless they hear the songs of their years of work and videotape analysis of Nim’s “conversa-
species while growing up (Wilbrecht & Nottebohm, 2003). tions,” Terrace concluded that when Nim combined symbols
Although other species can communicate in intriguing into longer sequences, he was either imitating his train-
and sophisticated ways, the capacity to use full-fledged er’s previous signs or “running on” with his hands until he
got what he wanted. Moreover, Nim spontaneously signed
only when he wanted something, which is not how humans
use language. Terrace concluded that Nim had not learned
language.
Not surprisingly, some ape-language researchers dis-
puted Terrace’s conclusions. They agreed that although apes
signed mainly to request things, other types of communica-
tion also occurred. For example, Chantek, an orangutan who
had been taught a symbol for “dirty” in regard to feces and
urine, spontaneously began applying the symbol to spilled
food, soiled objects, and toilets (Miles et al., 1996). At Cen-
tral Washington University, Roger Fouts and Deborah Fouts
“Although humans make sounds with their mouths and continued working with Washoe and other cross-fostered
occasionally look at each other, there is no solid evidence chimps. They intentionally refrained from signing in front
that they actually communicate with each other.” of Loulis, Washoe’s adopted son, and found that Loulis
Copyright © 2004 by Sidney Harris. ScienceCartoonsPlus.com. Reprinted with acquired over 50 signs by observing other chimps commu-
permission.
nicate (Fouts et al., 1989). The chimps also signed with
FIGURE 9.12 Human scientists debate whether dolphins one another when humans were not present, and signing
and other animals use language. Could the opposite also be occurred across various contexts, such as when they were
occurring? playing, feeding, and fighting (Cianelli & Fouts, 1998).
continued
332 CHAPTER NINE
Kanzi: Chimp versus Child to designate who should chase whom during play. Kanzi
also responded readily to spoken English commands.
Sue Savage-Rumbaugh of Georgia State University has
Savage-Rumbaugh and her colleagues (1993; Segerdahl
worked extensively with a chimpanzee species called the
et al., 2006) also tested Kanzi’s ability to understand unfa-
bonobo (Figure 9.13). At age one, a bonobo named Kanzi
miliar spoken sentences under controlled conditions. For
spontaneously showed an interest in using plastic geomet-
example, when told “Give the doggie a shot,” Kanzi picked
ric symbols that were associated with words. By age four,
up a toy dog, grabbed a toy hypodermic needle, and gave
with only informal training during social interactions, Kanzi
the dog a shot. Kanzi also appeared to understand syntax.
had learned more than 80 symbols and produced a num-
Given slightly different requests, such as “Make the [toy]
ber of two- and three-word communications. Kanzi typically
snake bite the [toy] doggie” and “Make the doggie bite
combined gestures and symbols that he pointed to on a
the snake,” Kanzi responded appropriately. For comparison,
laminated board or typed on a specially designed keyboard.
one of the researcher’s daughters, Alia, was tested under
For example, Kanzi created the combinations “Person chase
the same conditions between the ages of two and two-and-
Kanzi,” “Kanzi chase person,” and “Person chase person”
a-half. Kanzi correctly responded to 74 percent of the novel
requests and Alia to 65 percent. In short, Kanzi was com-
prehending speech at the level of a human toddler. Sav-
age-Rumbaugh has also demonstrated that Kanzi and his
half-sister can use emotion-laden words such as “happy”
and “hurt” appropriately, suggesting that apes can both
feel emotion and communicate about emotion in a symbolic
fashion (Lyn & Savage-Rumbaugh, 2013).
Is It Language?
What should we conclude about apes’ language abilities?
Recall that human language (1) is symbolic, (2) is struc-
tured, (3) conveys meaning, (4) is generative, and (5) per-
mits displacement. Evidence is strongest for the first and
(a) third criteria. Apes, undisputedly, are capable of commu-
nicating with symbols and hand signs, and they can learn
80 a small vocabulary of several hundred words. However,
whether the apes perceive the symbols and signs as words
70
in the sense that humans do is still unclear. As for convey-
ing meaning, realize that just as toddlers can convey mean-
Number of words acquired
60
ing by using one- or two-word utterances, apes can convey
50 meaning by using one- or two-symbol communications (e.g.,
“banana” or “give banana”), and they have also produced
40 longer symbol strings that, at least some of the time, con-
vey meaning. As for structure, both sides can point to exam-
30 ples of how apes follow—and violate—rules of grammar.
Lastly, the evidence for generativity and displacement is
20 limited and controversial.
Critics—even those impressed by Kanzi’s feats—are not
10
persuaded. Some believe that ambiguous ape communica-
0 tions are interpreted as language because the research-
30 32 34 36 38 40 42 44 46 ers erroneously assume what must be going on inside the
(b) Age (in months) apes’ minds. Conversely, proponents believe the data show
(a) Courtesy of Sue Savage-Rumbaugh; (b) E.S. Savage-Rumbaugh, K. that great apes can acquire rudimentary language skills
McDonald, R.A. Sevick, W.D. Hopkins & E. Rupert, 1986, “Spontaneous Symbol (Segerdahl et al., 2006). If it were anatomically possible,
Acquisition and Communicative Use by Pygmy Chimpanzees (Pan Paniscus), argues Sue Savage-Rumbaugh, Kanzi would be speaking.
Jounal of Experimental Psychology: General, 115, 220, Fig 1. Copyright © 1986
by the American Psychological Association. Reprinted by permission.
At present, neither side in the debate has convinced the
other. If nothing else, this intriguing scientific work should
FIGURE 9.13 Can a chimpanzee acquire language? (a) Using remind us to appreciate something that we often take for
complex symbols, a bonobo communicates with psycholo- granted, namely, the seemingly natural ease with which
gist Sue Savage-Rumbaugh. (b) This graph shows the rate of humans acquire a native language.
Kanzi’s symbol acquisition over 17 months of informal training.
continued
We do know that many of the necessary components based partly on perceptual and neurobiological mecha-
for acquiring language are not unique to humans. The nisms that may be common to all primates, and perhaps
“mirror system hypothesis” (Rizzolatti & Arbib, 1998) other species.
states that imitation of manual gestures—an ability Recently, Perlman and Clark (2015) reported that a
observed in all primate species—was the initial seed for gorilla named Koko engages in verbal and breathing-related
the development of language in our hominid ancestors. behaviours, such as movements of the larynx, tongue, and
Arbib (2005) argues that a key component in the evolu- lips, when making sounds. This control over vocalization
tion of human language was a system of mirror neurons could represent a precursor to speaking. Finally, dolphins
in Broca’s area that permit imitation of manual gestures, appear to communicate with each other in a manner similar
which was the basis for a gestural precursor to spoken to human speech. By manipulating structures in their nasal
language. The same system of mirror neurons exists in cavities, they are able to modulate the “whistle” sound
monkeys’ brains in an area analogous to Broca’s area when they greet each other (so-called “signature-identifying
called premotor area F5. Other research shows that whistles”). Hodson (2014) reported that one researcher
the ability of newborns to tune to certain properties in (Denise Herzing) was able to translate some of the whistle
speech—and to distinguish various speech sounds—is sounds using a sophisticated telemetry device. Perhaps
also present in tamarin monkeys (Ramus et al., 2000), one day we will have the ability to actually communicate
suggesting that humans’ ability to acquire speech is with another species.
In Review
• Human languages across the globe share the • Language development seems to depend heavily
same underlying features. Language is symbolic on innate mechanisms that permit the learning
and structured, conveys meaning, is generative, and production of language, provided that the
and permits displacement. Language has many child is exposed to an appropriate linguistic envi-
adaptive functions, such as facilitating coopera- ronment during a sensitive period that extends
tive social systems and allowing people to trans- from early childhood to puberty.
mit knowledge to one another. Scientists believe • Although research findings are not entirely consis-
that humans have evolved an innate capacity for tent, it appears that a second language is most
acquiring language. easily mastered and fluently spoken if it is learned
• The surface structure of a language refers to during a sensitive period that ranges from early
how symbols are combined; the deep structure childhood possibly through mid-adolescence. Bilin-
refers to the underlying meaning of the symbols. gual children tend to perform better than monolin-
Language elements are hierarchically arranged: gual children on a variety of cognitive tasks.
from phoneme to morpheme to words, phrases, • In general, it appears that when people acquire
and sentences. Discourse involves higher-level a second language early in life or learn it to a
combinations of sentences. high degree of proficiency later in life, both lan-
• Understanding and producing language—includ- guages share a common neural network.
ing pattern recognition of words and the hierar- • Language influences what people think and how
chical structure of language—involve bottom-up effectively they think. Expansion of vocabulary
and top-down processing. allows people to encode and process informa-
• In infancy, babies can perceive all the pho- tion in more sophisticated ways.
nemes that exist in all the languages of the • Researchers have attempted to teach apes to
world. Between 6 and 12 months of age, their use hand signs or keyboard symbols to commu-
speech discrimination narrows to include only nicate in language-like fashion. At best, apes are
the sounds specific to their native tongue. By capable of learning, combining, and communi-
ages four to five, most children have learned the cating with symbols at a level similar to that of a
basic grammatical rules for combining words into human toddler. Skeptics question whether apes
meaningful sentences. can learn syntax and generate novel ideas.
334 CHAPTER NINE
THINKING As Lundemo notes, “I just think up, up, up or

over left, left, left and it moves” (Paulson, 2004,
Can pure thought move mountains? Perhaps p. A15). Figure 9.14b shows that several brain
not yet, but pure thought can play a video regions become most active when Lundemo’s
game. In a scene that could be taken right out thought moves the cursor in a particular direc-
of a science-fiction movie, 19-year-old Tristan tion. The pattern of brain activity changes when
Lundemo looks at a video screen located next to he has a thought that moves the cursor in a
his hospital bed and, without speaking a word different direction. Researchers hope that this
or lifting a finger, makes a red electronic cursor technology eventually will improve the lives of
(similar to the paddle in the video game Pong) people who have lost limbs or are paralyzed.
move up, down, left, or right, merely by thinking As we discussed in Chapter 6, according to
it (Paulson, 2004). In this literal mind game, Lun- some neuroscientists, conscious thought arises
demo tries to move the cursor quickly enough to from the unified activity of different brain
strike rectangular targets that pop up and then areas. In essence, of the many brain regions
disappear from random locations on the video and connecting circuits that are active at any
screen. instant, a particular subset becomes joined in
unified activity that is strong enough to become
Thought, Brain, and Mind a conscious thought or perception (Koch, 2004).
Lundemo is a patient with epilepsy who agreed The specific pattern of brain activity that com-
to participate in a brain-computer interface poses this dominant subset varies from moment
study while undergoing diagnostic tests at Seat- to moment as we experience different thoughts
tle’s Harborview Medical Center (Figure 9.14a). and respond to changing stimuli. Even altering
During a session, the researchers attach 72 elec- one’s thought from “move up” to “move down,”
trodes to Lundemo’s scalp to record his brain’s “move left,” or “move right” produces a different
electrical activity. A computer analyzes the pat- pattern of brain activity. Although we’re still far
terns and intensity of these brain signals and from understanding exactly how the brain pro-
uses that information to control the movement duces thought, it is clear that from a biological
of the cursor on the video screen. It’s not quite level of analysis, thought exists as patterns of
that simple, however, as computer and human neural activity.
essentially have to adapt to each other and learn Subjectively, at the psychological level,
the precise patterns of thought that will make thinking may seem to be the internal language
the cursor move. Lundemo was a fast study (as of the mind—somewhat like “inner speech”—
was the computer), and in two days he mastered but it actually includes several mental activities.
the task. Electric mind over electronic matter. One mode of thought does indeed take the form
(a) © Jim Bryant; (b) © Kai Miller, Barborview Medical Center, University of Washington, Seattle.
FIGURE 9.14 The power of pure thought. (a) With electrodes attached to his scalp underneath the bandage,
Tristan Lundemo uses his thoughts to control the movement of a cursor on a video screen. (b) Various brain regions
become active when Lundemo moves the cursor in a particular direction.
of verbal sentences that we say or hear in our often decide which category something belongs
minds. This is called propositional thought to by its degree of resemblance to the prototype.
because it expresses a proposition, or state- Consider the following questions:
ment, such as “I’m hungry” or “It’s almost time
Is an eagle a bird?
for dinner.” Another thought mode, imaginal
thought, consists of images that we can see, Is a penguin a bird?
hear, or feel in our mind. A third mode, motoric Is a bat a bird?
thought, relates to mental representations of
According to the prototype view, you should
motor movements, such as throwing an object.
have come to a quicker decision on the first ques-
All three modes of thinking enter into our abili-
tion than on the last two. Why? Because an eagle
ties to reason, solve problems, and engage in
fits most people’s “bird” prototype better than
many forms of intelligent behaviour. In this
does a penguin (which is a bird, though it lacks
chapter, however, we’ll focus on propositional
some essential prototypic features, such as the
and imaginal thought.
ability to fly) or a bat (which is not a bird, even
though it flies). Experiments measuring how
Concepts and Propositions quickly participants responded “Yes” or “No” to
Much of our thinking occurs in the form of the preceding questions have found that it does
propositions, statements that express ideas. indeed take most people longer to decide whether 12. What are
or not penguins or bats are birds (Rips, 1997). concepts, and
All propositions consist of concepts combined
The use of prototypes is perhaps the most how do they
in a particular way. For example, “college stu-
enter into
dents are intelligent people” is a proposition elementary method of forming concepts. It
propositions?
in which the two concepts “college students” requires that we note only similarities among How are
and “intelligent people” are linked by the verb objects. Thus, children’s early concepts are prototypes
are (Figure 9.15). Concepts are basic units based on prototypes of the objects and people involved
of semantic memory—mental categories into they encounter personally. They then decide in concept
which we place objects, activities, abstrac- whether or not new objects are similar enough formation?
tions (such as “liberal” and “conservative”), to the prototype to be a “Mommy,” a “cookie,”
and events that have essential features in com- a “doggie,” and so on (Smith & Zarate, 1992).
mon. Every psychological term you are learn- Because prototypes may differ as a result of
ing in this course is a concept. Concepts can be personal experience, there is considerable
acquired through explicit instruction or through room for arbitrariness and individual dif-
our own observations of similarities and differ- ferences in prototypic concepts. Thus, one
ences among various objects and events. person’s “terrorist” can be another person’s
Many concepts are difficult to define explic- “freedom fighter.”
itly. For example, you are quite familiar with the
concept “vegetable,” yet you might have diffi- Reasoning
culty coming up with an explicit definition of
One aspect of intelligent thinking is the abil-
what a vegetable is. However, you can quickly
ity to reason and think logically. Such thinking
think of a good example of a vegetable, such as
helps us acquire knowledge, make sound deci-
broccoli or carrots. According to Eleanor Rosch
sions, and solve problems. Reasoning helps us
(1977), many concepts are defined by proto-
avoid the hazards and time-consuming efforts
types, the most typical and familiar members
of trial and error. Philip Johnson-Laird (2010;
of a category or a class. Rosch suggests that we
Johnson-Laird et al., 1992) proposed that we
reason about an observation (e.g., viewing a tri-
angle) by constructing mental models of each
Concepts: Intelligent
Students possibility based on that observation and our
people
existing knowledge (“this is a square,” “this is
a triangle”), and then compare each possibility
Intelligent to determine which most closely matches our
Proposition: Students are
people
experience. This process of constructing and
comparing mental models suggests that reason-
FIGURE 9.15 Concepts are building blocks of think-
ing and reasoning. Concepts can be combined into
ing is based not on formal rules of inference as
propositions to create simple and complex thoughts, previously thought, but on internal representa-
and the propositions can serve as the basis for reason- tions of our world combined with our knowl-
ing and discourse. edge about the world.
336 CHAPTER NINE
Deductive Reasoning negative consequences when she gets drunk may

Two types of reasoning underlie many of our eventually conclude that binge drinking is a high-
attempts to make decisions and solve problems risk behaviour to be avoided.
(Figure 9.16). In deductive reasoning, we rea- An important difference between deductive
son from the top down, that is, from general and inductive reasoning lies in the certainty of
principles to a conclusion about a specific case. the results. Deductive conclusions are certain
When people reason deductively, they begin to be true if the premises are true, but induc-
with a set of premises (propositions assumed to tive reasoning leads to likelihood rather than
be true) and determine what the premises imply certainty. Even if we reason inductively in a
about a specific situation. Deductive reasoning flawless manner, the possibility of error always
is the basis of formal mathematics and logic. remains because some new observation may
Logicians regard it as the strongest and most disprove our conclusion. Thus, you may observe
valid form of reasoning because the conclusion that every person named Jordan you have ever
cannot be false if the premises (factual state- met has blue eyes, but it would obviously be
ments) are true. More formally, the underlying inaccurate to reason that, therefore, all people
deductive principle may be stated: Given the named Jordan have blue eyes.
general proposition “if X, then Y,” if X occurs, In daily life and in science, inductive and
then you can infer Y. Thus, to use a classic deductive reasoning may be used at different
deductive argument, or syllogism, points in problem solving and decision making.
For example, psychologists often make infor-
If all humans are mortal (first premise), and mal observations (e.g., hearing about crime vic-
if Socrates is a human (second premise), tims such as Kitty Genovese who do not receive
then Socrates must be mortal (conclusion). help when many bystanders are present). These
specific observations may prompt them to con-
Inductive Reasoning struct an initial explanation (e.g., diffusion of
In inductive reasoning, we reason from the responsibility) for the observed phenomenon.
13. Distinguish This is inductive reasoning, so the explanation
bottom up, starting with specific facts and try-
between could be wrong even if it is consistent with all
ing to develop a general principle. Scientists use
deductive the known facts. Therefore, scientists move to a
reasoning induction when they discover general principles,
or laws, as a result of observing a number of deductive process in which they design experi-
and inductive
specific instances of a phenomenon. After Ivan ments to formally test specific if-then hypoth-
reasoning. How
do irrelevant Pavlov observed repeatedly that the dogs in his eses, moving now from a general explanatory
information, laboratory began to salivate when approached principle to a specific observation (the experi-
belief bias, and by the experimenter who fed them, he began to ment’s results). If the results of these experi-
framing influence think in terms of a general principle that even- mental tests do not support their hypotheses,
reasoning? tually became the foundation of classical condi- the scientists conclude that their explanation
tioning (i.e., repeated CS-UCS pairings produce a or theory cannot be correct and needs to be
CR). A college student who experiences repeated revised or discarded.
Deductive Reasoning Inductive Reasoning

(general principles to specific case) (specific facts to general principle)
General principles, Formulate

assumed universally true general principle
Assess “fit” to specific instance Evaluate facts
Conclusion regarding Collect factual

individual case information
FIGURE 9.16 A comparison of deductive and inductive reasoning.

Stumbling Blocks in Reasoning syllogism was presented with a nonsense word,

The ability to reason effectively is a key factor such as ramadians substituted for cigarettes,
in critical thinking, sound decision making, and the errors in logic were markedly reduced
problem solving. Unfortunately, several factors (Markovitz & Nantel, 1989). Incidentally, we
may prevent us from selecting the information agree that the conclusion that cigarettes are
needed to draw sound conclusions. good for one’s health is factually false. However,
it is false because the first premise is false, not
Distraction by irrelevant information. Distin- because the logic is faulty. Unfortunately, many
guishing relevant from irrelevant information people confuse factual correctness with logical
can be challenging. Consider the following correctness. The two are not at all the same.
problem. As you solve it, analyze the mental Johnson-Laird (2001) suggests that whereas
steps you take, and do not read on until you people construct mental models of the possibili-
have decided on an answer. ties compatible with a set of premises to deter-
Your drawer contains 19 black socks and mine if a given conclusion is valid, errors in
13 blue socks. Without turning on the light, deductive reasoning often occur because people
how many socks do you have to pull out of fail to consider all possible models. The stronger
the drawer to have a matching pair? your belief in a particular topic, the more you
reject other possibilities and the stronger the
As you solved the problem, what information
bias effect (Pennycook et al., 2013). Klauer and
entered into your reasoning? Did you take into
colleagues (2000) have suggested that belief
account the fact that there were 19 black socks
bias occurs when people construct only one
and 13 blue ones? If so, you’re like many of Robert
mental model representing the premises and
Sternberg’s (1988) Yale University students who
the conclusion (or its logical negation), leading
did the same thing, thereby making the problem
to biased reasoning. In addition, the more dif-
much more difficult than it should be. In this case,
ficult the problem, the stronger the belief bias
all that matters is how many colours of socks there
(Brisson et al., 2014). On the other hand,
are. It wouldn’t matter if there were 1000 socks of
research using event-related fMRI suggests that
each colour; once you have selected any three of
emotion may play a role in belief bias—differ-
them, you are bound to have at least two of the
ent brain areas were observed to be related to
same colour. People often fail to solve problems
reasoning processes, including activation of the
because they simply don’t focus on the relevant
ventral medial prefrontal cortex, a region asso-
information. Instead, they take into account irrel-
ciated with emotion, when reasoning was influ-
evant information that leads them astray.
enced by belief bias (Goel & Dolan, 2003).
Belief bias. Belief bias is the tendency to aban-
don logical rules in favour of our own personal Emotions and framing. When we evaluate
beliefs. To illustrate, let us consider an experi- problems or make decisions, at times we may
ment in which college students were asked to abandon logical reasoning in favour of relying
judge whether conclusions followed logically on our emotions—“trusting one’s gut”—to guide
from syllogisms like the following: us (Slovic & Peters, 2006). And even when we
try to reason logically, emotions may still creep
All things that are smoked are good for one’s into the picture.
health. Reasoning also can be affected by the par-
Cigarettes are smoked. ticular way that information is presented to us,
Therefore, cigarettes are good for one’s or framed. Framing refers to the idea that the
health. same information, problem, or options can be
structured and presented in different ways. For
What do you think? Is the logic correct? Actu- example, in one classic study, college students
ally, it is. If we accept (for the moment) that who were told that a cancer treatment had a
the premises are true, then the conclusion does 50 percent success rate judged the treatment to
follow logically from the premises. Yet students be significantly more effective and expressed a
in one study frequently claimed that the con- greater willingness to have it administered to a
clusion was not logically correct because they family member than did participants who were
disagreed with the first premise that all things told that the treatment had a 50 percent failure
smoked are good for one’s health. In this case, rate (Kahneman & Tverksy, 1979). Representing
their beliefs about the harmful effects of smok- outcomes in terms of positives or negatives has
ing got in the way of their logic. When the same this effect because people tend to assign greater
338 CHAPTER NINE
costs to negative outcomes (such as losing $100) Understanding, or framing, the problem. Most
than they assign value to an equivalent positive of us have had the experience of feeling totally
outcome (finding $100). The proposition that frustrated in our attempts to solve a problem.
“there is a 50 percent chance of failure” evokes We may even think that the problem is unsolv-
thoughts about the patient’s dying and causes able. Then someone suggests a new way of
the 50–50 treatment to appear riskier (Slovic et looking at the problem, and the solution sud-
al., 1988). Similarly, graphs or other visual dis- denly becomes obvious. How we mentally
plays can be designed to make identical infor- frame a problem can make a huge difference.
mation “look different” and, thus, influence Consider the following problem (illustrated in
people’s judgments and decisions (Diacon & Figure 9.18):
Hasseldine, 2007).
Train A leaves Winnipeg for its 50-kilome-
Framing influences how we perceive infor-
tre trip to St. Boniface at a constant speed
mation and can interfere with logical reason-
of 25 kilometres/hour. At the same time,
ing. This may be especially so when choices are
Train B leaves St. Boniface, bound for
framed to highlight potential positive or nega-
Winnipeg at the same speed of 25 kilome-
tive outcomes, thereby triggering emotions—
tres/hour. An energetic crow leaves Win-
such as fear, anger, or sadness—that may alter
nipeg at the same time as Train A, flying
our perceptions of the risks associated with
above the tracks toward St. Boniface at
various choice options (Slovic & Peters, 2006).
a speed of 60 kilometres/hour. When the
Framing also can enhance reasoning, however,
crow encounters Train B, it turns and flies
as you’ll now see as we discuss problem solving
back to Train A, then instantly reverses
and decision making.
its direction and flies back to Train B. The
supercharged bird continues this sequence
Problem Solving until Trains A and B meet midway between
Humans have an unmatched ability to solve Winnipeg and St. Boniface. Try to solve
14. Summarize
problems and adapt to the challenges of their this problem before reading on: What is
the four major
world. People can systematically use inductive the total distance the bird will have trav-
stages of
problem solving. and deductive reasoning to solve problems. elled in its excursions between Trains A
Why are problem Such problem solving proceeds through four and B?
framing and stages (Figure 9.17). How well we carry out
Many people approach the problem as a dis-
mental sets each of these stages determines our success in
tance problem, which is quite natural because
important? solving the problem.
the question is stated in terms of distance. They
try to compute how far the bird will fly dur-
Stage 1 ing each segment of its flight between trains A
and B, sometimes filling up several pages with
Interpret (frame) and
understand the problem increasingly frenzied computations in the pro-
cess. But suppose you approach the problem by
asking not how far the bird will fly but how long
Stage 2 it will take the trains to meet. The crow will have
Generate hypotheses or flown the same period of time at 60 kilometres/
possible solutions hour. Now that you have reframed it as a time
problem, the problem becomes much easier to
solve. (Check your solution against the answer
Stage 3 given at the end of the chapter.)
Test the solutions, As you can see, our initial understanding of a
hypotheses, seeking to problem is a key step toward a successful solu-
disconfirm one or more
of them
tion. If we frame a problem poorly, then we can
easily be led into a maze of blind alleys and inef-
fective solutions. If we frame it optimally, then
Stage 4 we at least have a chance to generate an effec-
tive solution. A knack for framing problems in
Evaluate results and, if
necessary, revise effective ways that differ from conventional
steps 1, 2, or 3 expectations has been called outside-the-box
thinking; it is a prized ability in many academic
FIGURE 9.17 Stages of problem solving. and work environments.
Winnipeg St. Boniface

50 km
60 km/h
25 km/h
25 km/h
FIGURE 9.18 The crow-and-trains problem. (The answer appears at the end of the chapter.)
Generating potential solutions. Once we have

interpreted the problem, we can begin to formu-
late potential solutions or explanations. Ideally,
we might proceed in the following fashion:
A B C
1. Determine which procedures and explana-
tions will be considered.
Given jugs of these sizes Measure out
2. Determine which solutions are consis-
this much water
tent with the evidence that has so far been Problem A B C
observed. Rule out any solutions that do not 1 21 127 3 100
fit the evidence. 2 14 46 5 22
3 18 43 10 5
Testing the solutions. Consider the possible
4 7 42 6 23
solutions that remain. If a solution requires you
to choose between specific explanations, ask if 5 20 57 4 29
there is any test that should give one result if 6 23 49 3 20
one explanation is true and another result if a 7 15 39 3 18
different explanation is true. If so, evaluate the
explanations again in light of the evidence from FIGURE 9.19 Luchins’s water jugs problems. Using
that test. In essence, this is what scientists do containers A, B, and C with the capacities shown in
when they design experiments. the table, how would you measure out the volumes
Let us consider a common difficulty in the indicated in the right-hand column? You may discover
process of discovering and applying solutions a general problem-solving schema that fits all seven
to problems. Consider problem 1 in Figure 9.19: problems.
You have a 21-cup jug, a 127-cup jug, and

a 3-cup jug. Drawing and discarding as you a logical formula that you could apply to the
much water as you like, how will you mea- rest of the problems. And it worked, didn’t it?
sure out exactly 100 cups of water? However, by applying this successful formula to
problems 6 and 7, you may have missed even eas-
Try to solve all seven problems in Figure
ier solutions for these last two problems, namely
9.19 in order, and write down your calcula-
A − C for problem 6 and A + C for problem 7.
tions for each one before reading on. Does
Abraham Luchins (1942) developed the water
a common solution emerge? If so, can you
jugs problems to demonstrate the manner in
specify what it is?
which a mental set—the tendency to stick to
As you worked the problems, you prob- solutions that have worked in the past—can
ably discovered that they are all solvable by result in less-effective problem solving. Luchins
the same formula, namely B − A − (2 × C ) = found that most people who worked on prob-
desired amount. In problem 1, for example, 127 − lems 6 and 7 were blinded by the mental set
21 − (2 × 3) = 100. If you discovered this, it gave they had developed by working the first five
340 CHAPTER NINE
problems. In contrast, people who had not procedures that automatically generate correct
worked on problems 1 through 5 almost always solutions. Mathematical and chemical formulas
applied the simple solutions to problems 6 and are algorithms; if you use them correctly, you
7. Studies of mental sets show how easy it is will always get the correct answer. Consider
to become rigidly fixated on one particular another example of an algorithm. If the let-
approach that has been successful in the past. ters of a word are scrambled in random order
to produce an anagram like teralbay, we can
Evaluating results. The final stage of problem
identify the word by using a process in which
solving is to evaluate the solutions. As we saw
we rearrange the eight letters in all possible
in the water jugs problems, even solutions that
combinations—all 40 320 combinations, that is.
prove successful may not be the easiest or the
As you can see, using algorithms can be very
best. Thus, after solving a problem, we should
time-consuming. You might therefore decide to
ask ourselves, “Would there have been an easier
use some rule-of-thumb strategy, such as trying
or more effective way to accomplish the same
out only consonants in the first and last posi-
objective?” This question can lead to the devel-
tions, because you know that more words begin
opment of additional problem-solving principles
and end in consonants than in vowels. When we
that may be applicable to future problems.
adopt rule-of-thumb approaches like this, we
The Role of Problem-Solving Schemas are using heuristics.
Heuristics are general problem-solving
In solving problems, people often learn to
15. What are strategies that we apply to certain classes of
employ shortcut methods that apply to specific
problem-solving situations. Means-ends analysis is one example
situations (Rips, 1997). Problem-solving sche-
schemas? of a heuristic (Newell & Simon, 1972). In means-
Distinguish mas are like mental blueprints or step-by-step
ends analysis, we identify differences between
between scripts for selecting information and solving spe-
the present situation and the desired state, or
algorithms cialized classes of problems. We have all learned
goal, and then make changes that will reduce
and heuristics. a great many of them, from schemas for cook-
these differences. Assume, for example, that
Describe the ing dinner to schemas for studying and master-
you have a 30-page paper due at the end of the
means-ends and ing academic course content (Figure 9.20). Once
subgoal analysis term and have not begun working on it yet. The
we master them, we seem to know what to do
heuristics. present situation is no pages written; the desired
without having to engage in step-by-step formal
end state is a 30-page paper. What, specifically,
problem-solving procedures.
needs to be done to reduce that discrepancy,
Algorithms and heuristics.
Algorithms and and how are you going to do it?
heuristics are two important strategies for You would be foolish to decide, “There are
problem solving. Algorithms are formulas or 30 days until the paper is due, so all I have to
do is write one page a day.” This approach
is likely to result in a 30-page paper, but it is
unlikely to result in one that will earn a pass-
ing grade. Instead, you would be wise to use
another heuristic known as subgoal analysis,
formulating subgoals, or intermediate steps,
toward a solution. In this case, your expertise
as a student will likely lead you to break down
the task of writing a paper into subgoals, such
as (1) choosing a topic, (2) doing library and
Internet research on the topic to get the facts
you need, (3) organizing the facts within a gen-
eral outline of the paper, (4) writing a first draft
or specific sections of the paper, (5) reorganiz-
© Digital Images/Getty Images
ing and refining the first draft, and so on. In so
FIGURE 9.20 Experienced snowboarders and ski- doing, a huge task becomes a series of smaller
ers learn schemas for various types of snow, and the and more manageable tasks, each with a sub-
discriminations made possible by these schemas can goal that leads you toward the ultimate goal of
affect planning and decision making. This boarder a quality 30-page paper.
might approach a slope covered with “powder” dif-
The value of setting subgoals can be seen in
ferently from one covered with “corn” or “hardpack”
because of their different effects on the board and the Tower-of-Hanoi problem, which is explained
potentially on the boarder’s safety. in Figure 9.21. Breaking this task into subgoals
Start In daily life, we routinely make decisions

about what other people are like. Suppose, for
A example, you are given the following descrip-
B
tion of a young woman:
C
Linda is 31 years old, single, outspoken,
and very bright. She majored in philoso-
1 2 3 phy. As a student, she was deeply con-
cerned with issues of discrimination and
Finish
social justice, and she also participated in
A anti-nuclear demonstrations.
B Now rate the likelihood that each of the fol-
C
lowing hypotheses is true. Use 1 to indicate the
most likely statement, 8 to indicate the least
likely statement, and any number between 2 and
1 2 3
7 to indicate the likelihood of the second most
FIGURE 9.21 The Tower-of-Hanoi problem. The object likely statement.
is to move the rings one at a time from peg 1 to peg _ ____ Hypothesis A: Linda is active in the
3 in no more than seven moves. Only the top ring on feminist movement.
a peg can be moved, and a larger ring can never be
_____ Hypothesis B: Linda is a bank teller.
placed on top of a smaller one. (The answer appears at
the end of the chapter.) _____ Hypothesis C: Linda is active in the
feminist movement and is a bank teller.
Cognitive psychologists Daniel Kahneman
helps us solve the problem. The first subgoal is
and Amos Tversky (1982) used this problem in
to get ring C to the bottom of peg 3. The second
a series of experiments that studied the role of
subgoal is to get ring B over to peg 3. With these
heuristics in judgment and decision making.
two subgoals accomplished, the final subgoal of
They showed that certain heuristics underlie
getting ring A to peg 3 is quite easy. The solu-
much of our inductive decision making (draw-
tion requires planning (hypothesis formation),
ing conclusions from facts) and that their mis-
checking, and revising hypotheses. The correct
use results in many of our thinking errors. Let
seven-step sequence of moves appears at the
us examine how that occurs.
end of the chapter.
Heuristics enter not only into problem- The representativeness heuristic. “What does
solving strategies but also into a wide range 16. What role do
it look (or seem) like?” This decision is prob-
uncertainty and
of decisions and judgments, from judgments ably the first faced by our perceptual system heuristics play in
about other people, to judgments about our when it processes incoming stimuli. Earlier, decision making?
own health, to decisions about buying products we discussed the importance of prototypes in How do the
(Katapodi et al., 2005). As we shall see, heuris- concept formation. We use the representative- representativeness
tics can also contribute to errors in judgment. ness heuristic to infer how closely something and availability
or someone fits our prototype for a particular heuristics distort
Uncertainty, Heuristics, and Decision concept, or class, and therefore how likely it is probability
Making to be a member of that class. In essence, we are judgments?
Few decisions in everyday life can be made with asking, “How likely is it that this [person, object,
the absolute certainty that comes from applying event] represents that class?” In this case, does
some mathematical formula or other algorithm. Linda seem like a feminist? This question is a
Typically, the best we can hope for is a decision perfectly logical one to ask ourselves. Some-
that has a high probability of a positive outcome. times, however, our use of representativeness
Because we seldom know what the exact prob- can cause us to make decisions that fly in the
abilities are (e.g., how likely it is that the stock face of logic.
market will be up or down when you need your For example, what was your order of likeli-
money in the future, or how probable it is that a hood judgments concerning Linda? Figure 9.22
new dating relationship will become permanent), shows the mean likelihood estimates that uni-
we tend to apply certain heuristics to form judg- versity students attached to each statement (a
ments of likelihood. These heuristics can serve low number indicating greater likelihood). First
us well, but they also can lead to errors in judg- of all, there is a clear tendency to favour hypoth-
ment (Kaheman, 2011; Kaheman & Klein, 2009). esis A (Linda is a feminist). This tendency is not
342 CHAPTER NINE
Highest description of Linda as “outspoken” and “con-

1
cerned with issues of discrimination and social
2
justice” serves a priming function, activating
the elements in memory that are associated with
3 the concept of “feminist,” so it is hard to think of
Linda without thinking of a feminist. On the other
Likelihood 4 hand, there is nothing in Linda’s description that
would activate the concept of “bank teller.” Thus,
5 if Linda is to be a bank teller at all, we think she
must be a feminist bank teller. Kahneman (2011)
6 notes that the use of representativeness reflects
what he calls System 1 thinking—we respond
7
reflexively to situations in order to quickly iden-
8
tify the situation at hand and respond to any per-
Lowest ceived danger.
Feminist Bank Bank teller
teller and feminist The availability heuristic. A nother heuristic
Linda is a: that can sometimes lead us astray is the avail-
ability heuristic, which causes us to base
FIGURE 9.22 Illogical judgments. This graph shows judgments and decisions on the availability of
the mean likelihood judgments made by participants on information in memory. We tend to remember
the basis of the description of Linda (top left column). events that are most important and significant
Overall, people judge it to be more likely that Linda is a
to us. Usually that principle serves us well, keep-
bank teller and a feminist rather than just a bank teller.
Logically, this is impossible. ing important information at the forefront in our
memories, ready to be applied. But if something
Based on Tversky, A., & Kahneman, D. (1982). “Judgements
of and by representativeness”. In D. Kahneman, P. Slovic, &
easily comes to mind, we may exaggerate the
A. Tversky (Eds.), Judgement under uncertainty: Heuristics and likelihood that it could occur. For example, con-
biases (pp. 23–31). Cambridge, MA: Cambridge University Press. sider each of the following pairs and choose the
more likely cause of death:
surprising; the description does make her sound • murder or suicide?
like a feminist. However, the significant finding • botulism or lightning?
is that hypothesis C (Linda is a feminist bank
• asthma or tornadoes?
teller) was favoured over hypothesis B (Linda is
a bank teller). But this cannot possibly be cor- When Paul Slovic and his colleagues
rect. Why not? Because everyone who is both a (1988) asked people to make these judgments,
feminist and a bank teller is also simply a bank 80 percent chose murder over suicide as the more
teller. Furthermore, there are many bank tell- likely cause of death, 63 percent chose botulism
ers who are not feminists, and Linda could be over lightning, and 43 percent chose tornadoes
one of them. Stated differently, any person is over asthma. In actuality, public health statistics
more likely to be simply a bank teller than to be show that people are 25 percent less likely to be
a bank teller and a feminist—or, for that matter, murdered than to kill themselves, that lightning
a bank teller and anything else. People who say kills 53 times more people than botulism does,
that hypothesis C is more likely than hypoth- and that death by asthma is 21 times more likely
esis B (and about 85 percent of people given this than death as a result of a tornado. Yet murder,
problem do so) violate the logical principle that botulism, and tornadoes are more highly and
the combination of two events cannot be more dramatically publicized when they do occur and,
likely than either event alone. thus, are more likely to come to mind.
Tversky and Kahneman believe that the rea- A recent memorable event can increase peo-
son people make this sort of error is that they ple’s belief that they may suffer a similar fate.
confuse representativeness with probability. After the terrorist hijackings of September 11,
Linda represents our prototype for a feminist 2001, airline bookings and tourism declined
bank teller better than she fits our prototype for dramatically within the United States for a
a bank teller. Therefore, we erroneously think significant period. Demand for office space in
the former is more likely than the latter. Notice landmark high-rise buildings also declined, and
how this argument fits with the ideas about mem- many businesses sought space in less conspicu-
ory discussed in Chapter 8. On the one hand, the ous suburban settings. Similarly, in the summer
of 1975, when Steven Spielberg’s movie Jaws people, compatible mass media sources and
burned into people’s memories graphic images Internet sites, and recall feedback from others
of a great white shark devouring swimmers at that confirms their beliefs about themselves. The
a New England seaside town, beach attendance fact that people find it difficult or even upsetting
all over the country decreased. In fact, Jaws to test and challenge their ideas, particularly
was blamed for a drop in tourism on the New those to which they are strongly committed,
England coast so dramatic that in the summer can be a major obstacle to getting the evidence
of 1976 many beachfront resorts nearly went needed to make a correct decision.
bankrupt. The images available in memory— Confirmation bias often contributes to a dis-
even though the movie was clearly fiction— torted sense of how correct our opinions and
increased people’s perceived likelihood that beliefs are. Overconfidence, the tendency to
they, too, could become shark bait. overestimate one’s correctness in factual knowl-
Thus, at times the representativeness and edge, beliefs, and decisions, is another reason
availability heuristics can lead us astray by people do not challenge their beliefs. This ten-
distorting our estimates of how likely an event dency, like confirmation bias, is widespread. In
really is. In other words, they can blind us to the one study, college students were asked at the
base rates, or actual frequencies, at which things beginning of the academic year to make predic-
occur. In general, it’s always best to find out what tions about how likely it was (from 0 percent
the actual probabilities are and make judgments to 100 percent) that they would experience any
on that basis; that’s the strategy that allows insur- of a long list of personal events, such as drop-
ance companies (and casinos) to flourish. ping a course, breaking up with a romantic
partner, or joining a fraternity or sorority. They
Confirmation Bias and Overconfidence also indicated how confident they were in their 17. When
Sometimes one of the most challenging tasks is probability estimates (i.e., how likely it was that making
they would be correct). At the end of the fol- decisions, why
obtaining new evidence to test a hypothesis or
lowing semester and at the end of the academic is disconfirming
solution. But what’s the best type of evidence?
evidence
Here is a principle that may seem puzzling to you: year, they indicated which events had in fact
important?
The best thing we can do to test our ideas is to occurred. As shown in Figure 9.23, confidence How does
seek evidence that will disconfirm them, rather exceeded accuracy overall, and the difference overconfidence
than look for evidence that supports them. Why? contribute to
Because the most informative piece of evidence confirmation
we can obtain is one that rules out a hypothesis 100 bias?
Confidence
or an idea. Disconfirming evidence proves con-
Accuracy
clusively that our idea cannot be true in its cur-
Likelihood of occurrence
90
rent form. In contrast, confirming evidence only
supports our idea. It doesn’t prove it with cer- 80
tainty, for it is possible that some future observa-
tion will disconfirm it or that another explanation
70
fits the facts even better. Especially in the area of
causal beliefs, you can be absolutely sure when
you’re wrong about something, but you can’t be 60
absolutely sure when you’re right because there
might be a better explanation or an impending 50
observation that calls your belief into question. All predictions 100% confident
(N = 7670) (N = 1946)
Following this disconfirmation principle is
easier said than done, because people are often FIGURE 9.23 Displaying overconfidence. Overcon-
unwilling to challenge their cherished beliefs. fidence is illustrated in the discrepancy between the
Instead, they are prone to fall into a trap called accuracy with which students predicted that specific
confirmation bias, tending to look for evidence events would occur to them during the coming aca-
that will confirm what they currently believe demic year and the degree of confidence that they had
rather than looking for evidence that could dis- in their predictions. Overall, accuracy was considerably
lower than confidence level, even for those events for
confirm their beliefs. Often, when people have
which the students expressed complete certainty.
strong beliefs about something—including beliefs
Source: Based on Vallone, R.P., Griffin, D., Lin, S., & Ross,
about themselves—they are very selective in the L. (1990). Overconfident prediction of future actions and
kinds of information they expose themselves to outcomes by self and others. Journal of Personality and Social
(Chen et al., 2006). They seek out like-minded Psychology, 58, 582–592.
344 CHAPTER NINE
between the two was equally great when the and socialization. This vast library of knowl-
18. Discuss
students were originally 100 percent confident edge, shaped by cultural learning and by other
some factors
in their predictions (Vallone et al., 1990). Simi- environmental experiences (including trial-
that inhibit and
facilitate creative lar overconfidence effects have been found in and-error learning), also supports the reason-
problem solving. studies involving investment professionals, mili- ing, decision-making, and problem-solving
tary strategists, weather forecasters, and other skills that we have been discussing in this
populations. It apparently stems from people’s chapter.
need to see themselves as knowledgeable and
competent (Blanton et al., 2001). Acquiring Knowledge: Schemas
Overconfidence and confirmation bias can and Scripts
be potent adversaries in our search for correct One way to think about knowledge acquisi-
19. What roles predictions and decisions. When we’re confident tion is as a process of building schemas. Most
do schemas play in the correctness of our views and reluctant to broadly, a schema is a mental framework, an
in knowledge seek evidence that could prove them wrong, we
acquisition and organized pattern of thought about some aspect
can easily be blinded to the truth. The Applica- of the world. Concepts and categories represent
expertise?
tions feature discusses some aspects of creative types of schemas, and together they help you
problem solving. build a mental framework of your world, such as
“interesting versus dull people” or “easy versus
hard exams.” Algorithms and heuristics also are
Knowledge, Expertise,
types of schemas—problem-solving schemas—
and Wisdom that provide you with mental frameworks for
Knowledge forms a foundation for expertise solving certain types of problems.
and wisdom. Each culture passes down its Another type of schema, called a script, is
knowledge and world view from one genera- a mental framework concerning a sequence
tion to the next through language, instruction, of events that usually unfolds in a regular,
In Review
• In deductive reasoning, we reason from general training and practical experience, as well as
principles to a conclusion about a specific case. knowing when to apply them.
Inductive reasoning, in contrast, involves reason- • Algorithms are formulas or procedures that guar-
ing from a set of specific facts or observations antee correct solutions. Heuristics are general
to a general principle. Deduction is the strongest strategies that may or may not provide correct
and most valid form of reasoning, because the solutions. Means-ends analysis is one commonly
conclusion cannot be false if the premises are used heuristic. The representativeness heuristic
true. Inductive reasoning cannot yield certainty. is the tendency to judge evidence according to
• Unsuccessful deductive reasoning can result whether it is consistent with an existing concept
from (1) failure to select the appropriate informa- or schema. The availability heuristic is the ten-
tion; (2) failure to apply the appropriate deductive dency to base conclusions and probability judg-
reasoning rules, particularly in novel situations; ments on what is readily available in memory.
and (3) belief bias, the tendency to abandon logi- Humans exhibit confirmation bias, a tendency to
cal rules in favour of personal beliefs. look for facts to support hypotheses rather than
• Problem solving proceeds through a number of to disprove them; and they suffer from overcon-
steps: (1) understanding the nature of the prob- fidence, a tendency to overestimate their knowl-
lem, (2) establishing initial hypotheses or poten- edge, beliefs, and decisions.
tial solutions, (3) testing the solutions against • In some situations, divergent thinking is needed
existing evidence to rule out hypotheses that do for generating novel ideas or variations on ideas.
not apply, and (4) evaluating results. Functional fixedness can blind us to new ways
• Problem-solving schemas are shortcut methods of using an object or a procedure, thereby inter-
for solving specialized classes of problems. fering with creative problem solving. In some
They are stored in long-term memory and can cases, a period of incubation permits problem
help to overcome the limitations of working mem- solving to proceed on a subconscious level while
ory. Expertise results from acquiring a range of giving the problem solver psychological distance
successful problem-solving schemas through from the problem.
Applications
GUIDELINES FOR CREATIVE PROBLEM rearranging parts, or by modifying the sequence in which
SOLVING things are done, could I make it more useful?
• Do the elements remind me of anything else? What else is
Creativity is the ability to produce something that is both like this?
new and valuable (Sternberg, 2006). The product may
be virtually anything, from a creative painting to a novel Use some of these questions when trying to solve the
approach to solving a problem. In this case, we will be con- candlestick problem illustrated in Figure 9.25.
cerned with creative problem solving. Solving the problem requires using some of the objects
Research on reasoning offers insights into how effective in unconventional ways. Many people, however, are pre-
and creative problem solvers think and how they approach vented from doing so because of functional fixedness, the
problems. In some ways, as experts so often demonstrate, tendency to be so fixed in their perception of the proper
there is no substitute for experience, for it teaches us use- function of an object or a procedure that they are blinded to
ful heuristics and problem-solving schemas. Yet one of new ways of using it.
the marks of creativity is the ability to break out of con- Sometimes creative solutions to problems seemingly
ventional schemas when the occasion demands it and to appear out of the blue, suddenly popping into our minds
engage in divergent thinking, the generation of novel ideas in a flash of insight after we have temporarily given up and
that depart from the norm (Guilford, 1959). In part, this put the problem aside. Incubation is the name given to this
means being able to apply concepts or propositions from phenomenon; it is as if the problem is incubating and being
one domain to another unrelated domain in a manner that worked on at a subconscious level (Cattell, 1971). Some-
produces a new insight. It also means refusing to be con- times the best approach when we are stymied by a problem
strained by traditional approaches to a problem (Sternberg, is to put it aside for a while and gain a bit of psychologi-
2006). Creative people are, in this respect, intellectual reb- cal distance from it. Perhaps this causes mental sets and
els. The constraints created by the tried-and-true can be other biases to dissipate somewhat, allowing a new idea to
difficult to overcome. emerge (Anderson, 1985). In addition, as time passes, new
Consider, for example, the nine-dot problem in Figure 9.24. internal or external stimuli may activate a different perspec-
Many people have difficulty solving this problem. Did you? tive on the problem, aiding its solution.
If so, it is probably because you imposed a traditional but As you can see, creative problem solving involves many
unnecessary constraint on yourself and tried to stay within of the principles discussed earlier in the chapter. We see the
the boundary formed by the dots. But nothing in the state- operation of means-ends reasoning, the testing of hypotheses,
ment of the problem forced you to do so. To solve the prob- and the need to overcome biases that may cause us to over-
lem, you have to think outside the box. estimate or underestimate the likelihood of certain outcomes.
Creative problem solvers are often able to ask them- Here are some other general problem-solving guidelines:
selves questions like the following to stimulate divergent
1. When you encounter a new problem you haven’t solved
thinking (Simonton, 1999):
before, ask yourself if it is similar to other problems you’ve
• What would work instead? solved. Maybe the schema for solving a problem with simi-
• Are there new ways to use this? How else could it be used lar features can be modified to solve this one. Take advan-
if I modified it in some way? By adding, subtracting, or tage of the storehouse of knowledge in long-term memory.
FIGURE 9.24 The nine-dot problem. Without lifting FIGURE 9.25 The candlestick problem. Using these
your pencil from the paper, draw no more than four objects, find a way to mount the candle on a wall so it
straight lines that will pass through all nine dots. (The functions like a lamp. (The answer appears at the end
answer appears at the end of the chapter.) of the chapter.)
continued
346 CHAPTER NINE
2. Make a true effort to test your ideas. Try to find evi- in favour of its being a sparrow because there are so
dence that would disconfirm your ideas, not evidence many more sparrows (even big ones) than Patagonian
that would confirm what you already believe. For exam- warblers.
ple, if you are asked to accept statement X as true, 4. Make use of the means-ends problem-solving heuristic.
see if you can imagine situations in which X would be Ask yourself what you are trying to accomplish, what the
false. Beware of the human tendency toward confirma- present state of affairs is, and what means you have for
tion bias. reducing the discrepancy.
3. Be careful not to confuse representativeness with proba- 5. Don’t be afraid to use a pencil and paper. Orderly notes
bility. The bird you see that looks too big to be a sparrow and schematics can substitute for our rather limited
but just the right size to be a rare Patagonian warbler is working memory and allow us to have more information
probably . . . a big sparrow; the odds are overwhelmingly at hand to work with.
almost standardized order. For example, if

we tell you that “John and Linda went to the
movies,” these mere seven words convey a lot
of information because “going to the movies”
is a fairly standardized (i.e., scripted) activ-
ity. You can reasonably assume that John and
Linda got to the theatre, waited in the ticket
line and bought tickets (or bought them
online), entered the theatre where someone
checked their tickets, bought a snack, found
seats, and so on. The scripts that you learn—
“attending class,” “shopping,” “driving,” and so
on—provide knowledge to guide and interpret © Adam Nadel/AP Photo
actions. In sum, your knowledge grows as you
acquire new scripts, concepts, and other types FIGURE 9.26 Chess master Gary Kasparov has
developed chess schemas that make him a worthy
of schemas; as your existing schemas become opponent for even the most sophisticated computers,
more complex; and as you form connections including IBM’s Deep Blue.
between schemas.
The Nature of Expertise

Schemas help to explain what it means to be than novices at recognizing when each schema
an expert. Masters and grand masters in chess should be applied (Montgomery et al., 2005).
can glance at a chessboard and quickly plan Applying the correct mental blueprint provides
strategies and make adjustments in the heat of a proven route to solving a problem quickly and
competition. The world’s best players can store effectively.
in memory as many as 50 000 board configu-
rations, together with the locations of the indi- Expert Schemas and Memory
vidual pieces (Chase & Simon, 1973). For years, Consider what the ability to flexibly apply sche-
world chess champion Garry Kasparov’s sophis- mas means in terms of what we know about
ticated schemas enabled him to regularly defeat human memory and pattern recognition. As you
chess-playing computers that used logical rules, learned in Chapter 8, schemas reside in long-
even those capable of logically analyzing up to term memory. Because they rely on learned
100 000 moves per second. It took Deep Blue, a schemas, experts take advantage of their spa-
1273 kilogram behemoth capable of calculating at cious long-term memory. They can quickly ana-
a rate of 200 million positions and 200 000 moves lyze a problem deductively, select the retrieval
per second, to finally defeat the schemas within cues needed to pull the appropriate schema
Kasparov’s 1.4 kilogram brain (Figure 9.26). from memory, and apply the schema to solve
Whether in medicine, science, sports, poli- the problem at hand (Horn & Masunaga, 2000).
tics, or other fields, experts have developed In contrast, novices who haven’t yet learned
many schemas to guide problem solving in their specialized schemas must use general problem-
field, and just as critically, they are much better solving methods in working memory, the
space-limited blackboard of the mind (Newell & life (Baltes & Kunzmann, 2004). What, then, are
Simon, 1972). In so doing, they tax their working the components—the types of schemas—that
memory—the weakest link in the human mind. make up this system of knowledge? One way to
When people develop expertise, their brain answer this question would be to study the char-
functioning changes in ways that increase pro- acteristics of people who are widely esteemed
cessing efficiency. This change occurs even for their wisdom. Yet, say Baltes and Kunzmann,
in animals. Thus, as macaque monkeys in one this approach is not ideal, because “Wise per-
study became experts in categorizing objects, sons are approximations to wisdom, but they
brain recordings revealed quicker and stronger are not wisdom” (2004, p. 290). Instead, Baltes
activity in the specific neurons that responded and his colleagues took another approach,
to the important features used to categorize the reviewing numerous cultural, historical, philo-
stimuli (Sigala & Logothetis, 2002). sophical, religious, and psychological views of
wisdom (Baltes & Staudinger, 2000). They con-
What Is Wisdom? cluded that wisdom has five major components:
Anthropologist Peter Collings (2001) notes
1. Rich factual knowledge about life. This 20. What
that, as in many cultures, the Inuit living in the
includes knowledge about human nature, are some
Arctic of western Canada accord their elders
social relationships, and major life events. components of
special status and great respect (Figure 9.27).
2. Rich procedural knowledge about life. Such wisdom? How
Young and old Inuit alike regard wisdom as do wisdom and
a key component of aging successfully. To knowledge includes strategies for mak-
expertise differ?
them, wisdom reflects “the individual’s func- ing decisions, handling conflict, and giving
tion as a repository of cultural knowledge and advice.
his or her involvement in community life by 3. An understanding of lifespan contexts. This
interacting with younger people and talking includes an awareness that life involves
to them, teaching them about ‘traditional’ cul- many contexts, such as family, friends, work,
tural values” (p. 146). and leisure.
Does the Inuit conception of wisdom coin- 4. An awareness of the relativism of values and
cide with yours? If not, how would you define priorities. This includes recognizing that val-
wisdom? Until the past 20 years, relatively few ues and priorities differ across people and
psychologists explored this issue, but their inter- societies.
est in studying wisdom has grown considerably
5. The ability to recognize and manage uncer-
since then. To German psychologist Paul Baltes
tainty. This ability stems from an awareness
and his colleagues, wisdom represents a system
that the future cannot be fully known.
of knowledge about the meaning and conduct of
You can readily see from this discussion that
expertise and wisdom, though they may partly
intersect, are not the same. For example, being
an expert does not guarantee the breadth of
qualities and knowledge that comprise wis-
dom. True wisdom, say Baltes and Staudinger,
is hard to achieve, for it combines extraor-
dinary scope with “a truly superior level of
knowledge, judgment, and advice . . . used for
the good or well-being of oneself and that of
others” (2000, p. 123).
Mental Imagery
Having spent most of this chapter discussing
language and the types of thought that primar-
ily involve what we subjectively experience
as inner speech, let’s turn to another mode of
© Lawrence Migdale thought: mental imagery. A mental image is
a representation of a stimulus that originates
FIGURE 9.27 Among the Inuit of the Canadian Arctic,
wisdom involves extensive cultural knowledge, involve- inside your brain rather than from external sen-
ment in community life, and teaching young people sory input. Nighttime dreams are among the
about cultural values. most common forms of mental imagery. During
348 CHAPTER NINE
daydreaming, people may intentionally create Mental Rotation

and manipulate mental images to get a break Take a look at the objects shown in Figure 9.28.
from reality or relieve boredom. Many elite In each pair, are the two objects different, or are
athletes receive psychological training in how they the same object that has simply been rotated
to effectively use mental imagery to rehearse to a different orientation? This activity is called a
skills, and people from all walks of life may use mental rotation task. Typically, people rotate one
mental imagery to help to solve problems. By object in their mind’s eye until it lines up sufficiently
using mental imagery to conduct experiments with the other object to permit a same–different
in their minds, Sir Isaac Newton and Albert Ein- judgment. (By the way, in pairs (a) and (b), the
stein gained insights that led to the discovery objects are the same. In pair (c), they are different.)
of several laws of physics. In a daydream at In 1971, the journal Science published an
age 16, experiment by psychologists Roger Shepard and
Einstein imagined himself running along- Jacqueline Metzler that helped place the study
side a light beam and asked himself the of mental imagery on the scientific map. At a
fateful question: what would the light time when cognitive psychology was still in its
beam look like. Like Newton visualizing infancy and emerging from under the shadow
throwing a rock until it orbited the earth of behaviourism’s half-century-long dominance,
like the moon, Einstein’s attempt to imag- this elegant experiment demonstrated that men-
ine such a light beam would yield deep tal images could be studied by gathering objec-
21. Why was and surprising results. (Kaku, 2004, p. 43) tive data, rather than by relying exclusively on
Shepard and people’s subjective self-reports.
Metizer’s mental Although people have mental images that Shepard and Metzler presented each par-
rotation study subjectively involve sounds, tastes, smells, and ticipant in their study with 1600 pairs of rotated
important? What so on, visual mental images are the most com- objects, including the objects shown in Figure 9.28.
did they find? mon and most thoroughly researched. Thus, Upon seeing each pair, participants pulled one of
we’ll focus on them here. two levers to signal whether the two objects were
5
Picture plane pairs
(a)
Mean reaction time for "same"
4
pairs (seconds)
(b)
2
0 20 40 60 80 100 120 140 160 180
(c) (d) Angle of rotation (degree)
FIGURE 9.28 Mental rotation. (a, b, c) These are three of the many pairs of objects used in Shepard and Metzler’s
(1971) mental rotation study. (d) This graph shows the average number of seconds it took participants to decide that
the two objects in each pair were similar, as a function of the initial angle of rotation. Factoring in the time that it took
to make a physical response, participants’ speed of mental rotation was approximately 60 degrees per second.
Source: Adapted from R.N. Shepard & J. Metzler, 1971, “Mental Rotation of Three-Dimensional Objects,” Science, 171, Figures 1 & 2.
Reprinted with permission from the American Association for the Advancement of Science.
the same or different, and their speed of response

was measured. In 800 of the pairs, the objects within
the pair were identical and were rotated from each
other at an angle of either 0, 20, 40, 60, 80, 100, 120,
140, 160, or 180 degrees. The two objects in pair
(a) and pair (b) in Figure 9.28, for example, are
rotated 80 degrees from each other. Because the
two objects in pair (c) differ from each other, the
concept of angle of rotation does not apply.
Subjectively, the participants reported that
they were able to mentally rotate the objects
as if the objects existed physically in three-
dimensional space (i.e., they could rotate the
objects vertically, horizontally, and from front to
back) but that the speed of this mental rotation
process was limited. Shepard and Metzler’s key
finding concerned the pairs in which the two
objects were the same. On these trials, the greater
the difference in rotation between the two pic-
tured objects, the longer it took participants to
reach their decision. Moreover, as Figure 9.28d
shows, this relation was linear. Shepard and FIGURE 9.29 Imagine an island. This island is simi-
lar to one used in Kosslyn et al.’s (1978) mental imag-
Metzler (1971) concluded, “If we can describe ery scanning study.
this process as some sort of ‘mental rotation in
Source: From S.M. Kosslyn, T.M. Ball & B.J. Reiser, 1978,
three-dimensional space,’ then . . . the average “Human Perception and Performance.” Journal of Experimental
rate at which these particular objects can be thus Psychology, 4(51), Fig 2. Copyright © 1978 by the American
‘rotated’ is roughly 60° per second” (p. 703). Psychological Association. Reprinted by permission of the
author and the publisher.
Are Mental Images Pictures in the Mind?
Many researchers believe that mental images, (3) press a button (which measures your response
while not literally pictures in the mind, function time) when you find the hill. On another trial, we
in ways analogous to actual visual images and might ask you to start at the tree and scan the
are represented in the brain as a type of per- map until you come to the lake. In total, you will
ceptual code (Kosslyn et al., 2006). If this is the end up taking 21 of these mental trips as you scan
case, then mental images should have qualities once between every possible pair of locations.
similar to those that occur when we perceive In the real world, visually scanning between
objects and scenes in the real world. For exam- two objects takes longer when they are farther
ple, if the objects portrayed in Figure 9.28 were apart. When Stephen Kosslyn and his colleagues
real objects, you would be able to physically (1978) conducted the actual experiment, they
rotate them in three-dimensional space. Shepard found that the greater the distance between the
and Metzler’s (1971) experiment suggested that two locations on the mental image of the map,
mental images likewise can be rotated within the longer it took participants to scan and find
mental space. the second location. This result supports the
view that mental images involve a spatial repre-
Mental imagery as perception. Based on stud-
sentation. Kosslyn (1978) also conducted exper-
ies by Stephen Kosslyn, a leading researcher
iments that indicated that the size and level of
in the field of mental imagery, let’s consider an
detail of mental images can be changed in ways
example that illustrates the perceptual nature of
that correspond to perceiving actual objects.
mental imagery. Take a look at the island shown
in Figure 9.29, and notice that it contains seven Mental imagery as language. Some research-
landmarks (e.g., a hut, lake, hill, beach), each ers challenge the view that mental images orig-
of which is marked by a red dot. Suppose that inate from visual codes that are stored in the
after giving you time to memorize this map, we brain. Instead, they argue that mental imagery
ask you to close your eyes and focus on a men- is more closely tied to language than to visual
tal image of the map. Next, we ask you to (1) perception (Pylyshyn, 2003). According to this
focus on a particular landmark (say, the beach), view, for example, when you create a mental
(2) scan the map until you come to the hill, and image of a brick wall, you are not pulling a
350 CHAPTER NINE
visual code that represents a brick wall directly do not map onto all the same neural compo-
out of your long-term memory. Rather, you may nents, there is a lot of overlap between these
subjectively experience a mental image of a two processes (Slotnick et al., 2005).
brick wall that seems visual, but in reality “brick
wall” is being represented by linguistic concepts Metacognition: Knowing Your Own
that are brought together to form propositions
(“brick,” “bonded with,” “mortar,” “stacked,”
Cognitive Abilities
“vertical,” “spread,” “horizontal”). But it must be Have you ever had a friend or classmate say to
more than that. Graham et al. (2014) had partici- you after an exam, “I don’t understand why I got
pants perform a demanding isometric exercise. this question wrong” or “I don’t understand how
During a break, half rested quietly, while the I got such a low grade—I thought I really knew
other half imagined performing the exercise. All this stuff”? Have you ever felt that way?
participants then did a second isometric exer-
cise. Those who imagined the exercise during Recognizing What You Do and Don’t Know
the break were more fatigued during the sec- To cognitive psychologists, the term metacog-
ond effortful task. As the title to their paper sug- nition refers to your awareness and under-
gests, “It wears me out just imagining it!” standing of your own cognitive abilities. For
example, comprehension has to do with under-
Mental Imagery and the Brain standing something, such as a concept that you
22. Does If mental imagery is rooted in perception, then just read about. You may think you understand
research, people who experience brain damage that the concept, but in actuality you may or may
including brain causes perceptual difficulties might also be not understand it. Metacognition has to do with
research, expected to show similar impairments in form- truly knowing whether you do or do not under-
support the ing mental images. In most instances, this seems stand the concept. The particular component of
view that mental to be the case, but there are exceptions. For metacognition that we’re discussing in this case
images are example, some patients who have damage on is metacomprehension. In other words, people
perceptual in one side of the brain (usually, the right hemi- who display good metacomprehension are
nature? Explain.
sphere) suffer from a condition called visual accurate in judging what they do or don’t know,
neglect: They fail to visually perceive objects on whereas people with poor metacomprehension
23. What is
metacognition? the other side (e.g., the left side) of their visual have difficulty judging what they actually do
Identify two field. If you showed patients who have left-side and don’t understand. They may typically think
types of visual neglect the picture of the island in Fig- they understand things that, in fact, they don’t,
metacognition, ure 9.29 and asked them to draw a copy, they or they may often think they don’t understand
and provide would draw the right side of the island but fail things that they actually do.
examples. to copy the left side. However, in some cases, if Metacomprehension is only one aspect of
you were to ask the patients to draw the picture metacognition. Another component, called
from memory (by calling up a mental image of metamemory, represents your awareness and
the picture of the island) rather than to copy it knowledge of your memory capabilities. For
(which relies on direct visual perception), they example, suppose that you try to memorize a list
would be able to draw the entire island (Halli- of definitions or facts. Your ability to accurately
gan et al., 2003). Most often, however, damage judge how well you will be able to remember
to brain regions involved in perception also dis- those items for an upcoming test reflects one
rupts people’s ability to form mental images. aspect of metamemory. In this discussion, how-
Brain-imaging studies of healthy people ever, we’ll focus on metacomprehension.
reveal that many brain regions that become As a student, your ability to effectively moni-
more active when people perceive actual objects tor what you do and don’t know is an impor-
also become more active when people form tant ingredient in studying efficiently (Koriat &
mental images of those objects (Berger & Henrik Bjork, 2005; Schraw, Crippen, & Hartley, 2006;
Ehrsson, 2014; Ganis et al., 2004; Slotnick et al., Son & Metcalfe, 2000). Some students excel at
2012). Moreover, researchers have found evi- this. Unfortunately, many studies have found
dence of neurons, called imagery neurons, that that when it comes to reading text material,
fire in response to a particular stimulus regard- students, overall, are only mildly to moderately
less of whether it is visual (a photo of a base- accurate in judging how well they understand
ball) or imagined (a mental image of a baseball). what they are reading. Our Research Foun-
Altogether, studies of brain functioning suggest dations feature examines one technique for
that while mental imagery and visual perception improving students’ metacomprehension.
Research
Foundations
“WHY DID I GET THAT WRONG?” Design

IMPROVING STUDENTS’ AWARENESS
OF WHETHER THEY UNDERSTAND Question: Will writing summaries of text material
TEXT MATERIAL that they have read improve students’ accuracy in
judging how well they understand that material?
Introduction Type of Study: Experimental
According to psychologists Keith Theide and Mary Anderson,
this study is the first to examine whether students’ meta-
comprehension for text material can be enhanced by requir- Independent Variable Dependent Variable
ing them to write summaries of that material. Theide and Writing summaries of 1.
Actual
Anderson hypothesized that students who write delayed text material, three comprehension of
types (randomly material
summaries of passages of text material will show better 2.
Students’ perceptions
assigned groups)
metacomprehension than students who write immediate • no summary of how well they
summaries or no summaries. Presumably, the task of writ- • immediate summary comprehend the
ing delayed rather than immediate summaries taps more • delayed summary material
3.
Metacomprehension
powerfully into students’ long-term memory and provides
accuracy (degree of
them with a better opportunity to assess whether they association between
truly understand what they have read. actual and perceived
comprehension)
Method
Ethnically diverse samples of 75 and 90 university students
taking introductory psychology participated, respectively,
in Experiment 1 and Experiment 2. The students in each Results
experiment read six passages of text material, with each
In all three conditions, there was a positive correlation
passage focusing on a different topic (e.g., black holes,
between students’ comprehension ratings and comprehen-
global warming, genetics, intelligence, Norse settlements).
sion scores, but in the no-summary and immediate-summary
In Experiment 1, the passages were each about 220 words
groups, this correlation was only weak to moderate. The
long, whereas in Experiment 2 they were much longer
critical finding was that in both experiments, students in
(1100 to 1600 words) and more similar in style to material
the delayed-summary group were much more accurate than
presented in textbooks.
the other students in judging whether they knew or didn’t
Students in each experiment were randomly assigned
know the material. In other words, the correlation between
to one of three groups. In the no-summary group (control
their comprehension ratings and their comprehension test
group), they read all six passages and then rated their
scores was much stronger (Figure 9.30).
comprehension of each passage (“How well do you think
The data also revealed that, overall, the three groups did
you understood the passage?”) on a scale ranging from
not differ in their comprehension ratings or in their test per-
1 (“very poorly”) to 7 (“very well”). In the immediate-
formance. In other words, students in the delayed-summary
summary group, students summarized each passage imme-
group did not feel that they knew the material better, and
diately after they read it and then, after finishing all six
in fact they didn’t. Rather, summarizing the passages after
summaries, rated their comprehension of each one. In the
a time delay helped them become more accurate in distin-
delayed-summary group, students read all six passages
guishing the material they did know from the material they
before summarizing each one and then rating their compre-
didn’t.
hension of each passage.
All students, after rating their comprehension, took a
Discussion
multiple-choice comprehension test for each passage that
included both factual and conceptual questions. These Both experiments supported the researchers’ hypothesis:
tests enabled Theide and Anderson to measure how well Students’ ability to accurately determine how well they
students’ beliefs about their comprehension (measured by understood passages of text improved greatly when they
the rating scales) correlated with their actual comprehen- summarized that material after a time delay. Because the
sion (measured by their test scores). The Design box sum- delayed-summary group did not rate their comprehension
marizes the basic design of this research. higher or perform better on the comprehension tests than
continued
352 CHAPTER NINE
0.8 the other groups, we want to take special care in making

sure that you do not reach the wrong conclusion of “So
what if metacomprehension improved? The students didn’t
Metacomprehension accuracy
0.6 do better on the test.”

Realize that the students in this experiment were not
allowed to go back and study the text passages again
before taking the comprehension tests. Therefore, students
0.4 in the delayed-summary group did not have the opportunity
to act on their superior metacognitive knowledge (i.e., to
bone up on the material that they accurately felt they didn’t
0.2 know). But in real-world test situations, students who are
better at recognizing what they know and don’t know can
indeed put that information to efficient use in the days and
the hours before a test. They can allocate more time to
0.0 studying the material they have found difficult and less
No Immediate Delayed
time to the material that they already understand. Stu-
summary summary summary
dents with poor metacomprehension may end up allocating
FIGURE 9.30 Writing summaries helps us recog- their study time less efficiently, ignoring material that they
nize what we do and don’t know. Students who wrote think they know but truly don’t. Indeed, Theide and Ander-
delayed summaries of text material showed far better son found in Experiment 2 that when all the students were
metacomprehension than did students who wrote imme- asked to identify the passages of text that, hypothetically,
diate summaries or no summaries. they would select to restudy for an exam, students in the
Source: Reprinted from Contemporary Educational Psychology, delayed-summary group were the most likely to accurately
28(2), K.W. Thiede & M. Anderson, 2003, “Summarizing can select the passages that they had learned least well.
improve metacomprehension accuracy,” pp. 129–160, Fig 3.
Copyright © 2003 Elsevier. Reprinted by permission.
Source: Keith W. Theide and Mary C.M. Anderson (2003). Summarizing can improve metacomprehension accuracy. Contemporary Educational
Psychology, 28, 129–160.
Further Advice on Improving text material (Winne & Hadwin, 1998). Many
Metacomprehension university textbooks provide preview ques-
In Chapter 1’s Applications feature, we dis- tions or review questions in each chapter. In
24. Based on cussed several study strategies that can enhance this textbook, there are focus questions in the
the Research margins of each chapter. Use these focus, pre-
your academic performance. As a student, you
Foundations view, or review questions as the basis for writ-
feature and also want to be able to accurately assess your
understanding of how well you know the mate- ing brief summaries of the text. It’s not magic.
other research, It takes time and effort. But in writing these
describe rial before it’s time to take a test. One way to
do this is to take advantage of practice tests, summaries, if you find yourself struggling to
some ways to
enhance meta such as those found in study guides. Trying to remember the material or if you have a hard
comprehension. memorize specific questions and answers from time articulating the main concepts, then you
practice tests—as some students do—will do lit- have gained the knowledge that you need to
tle to help you assess your broader understand- restudy this material or seek assistance in try-
ing of the material. Instead, seriously study the ing to understand it.
material first and then try to answer the ques- Finally, you may consider assessing your
tions. For each question, rate how confident you confidence on your answers to multiple choice
are that your answer is right; this may help you questions as you answer them. Couchman et al.
develop a better sense of whether your meta- (2015) found that confidence ratings of each
comprehension is good. question were better predictors of overall per-
The study discussed in the Research Foun- formance than students perceptions of how well
dations feature found that writing delayed they knew the material before or after the exam.
summaries improved students’ metacompre- In closing this chapter, Figure 9.31 provides
hension, and other research finds that writing a levels-of-analysis summary of some of the
summaries boosts actual comprehension of aspects of thinking that we have discussed.
Thinking Processes
Levels of Analysis
We have now covered diverse aspects of human thought. The subjective
experience of thinking fits squarely within the psychological level of ENVIRONMENTAL
analysis, but as we now recap, research on thinking spans the • Irrelevant information can impair
biological, psychological, and environmental levels of analysis. reasoning.
• How a question is framed influences our
ability to reason logically.
• The resemblance of a stimulus to a prototype
can prompt the proper or improper use of the
representativeness heuristic.
• Dramatic, vivid events may lead us to overestimate
BIOLOGICAL the likelihood of such future events.
• Conscious thoughts exist as • Cultural and educational experiences foster
patterns of neural activity. expertise and wisdom.
• Developing expertise changes brain • Following instructions to write a delayed
functioning in ways that improve processing summary of textbook material increases
efficiency. students’metacomprehension.
• In general, during mental imagery the brain’s
activity corresponds to that of visual perception.
• Often, brain damage that disrupts visual perception
also impairs mental imagery.
PSYCHOLOGICAL
• Much of our thinking involves concepts and
takes the form of propositional thought.
• Belief bias can impair logical reasoning.
• We often rely on heuristics to solve problems and
make decisions.
• At times the representativeness and availability
heuristics, confi rmation bias, and overconfidence may
impair our decision making.
• To solve problems in their fields, experts make more
effective use of schemas than do novices.
Consider this possible interaction between the
• In some ways, mental images function
environmental and psychological levels of analysis. analogously to visual images.
Do you think that educational experiences or training
about thinking errors and biases would reduce
people’s future tendency to display such errors and
biases?
FIGURE 9.31
In Review
• At the level of the brain, thoughts are patterns of • In deductive reasoning, we reason from gen-
neural activity. At the level of the mind, thoughts eral principles to a conclusion about a specific
are propositional, imaginal, or motoric mental case. Inductive reasoning involves reasoning
representations. from a set of specific facts or observations
• Concepts are mental categories, or classes, that to a general principle. Deduction is the stron-
share certain characteristics. Many concepts are gest and most valid form of reasoning because
based on prototypes, the most typical and famil- the conclusion cannot be false if the prem-
iar members of a class. How much something ises are true. Inductive reasoning cannot yield
resembles the prototype determines whether the certainty.
concept is applied to it. Propositional thought • Unsuccessful deductive reasoning can result
involves the use of concepts in the form of from (1) failure to select relevant informa-
statements. tion; (2) failure to apply the appropriate
354 CHAPTER NINE
deductive-reasoning rules, particularly in novel • Knowledge acquisition can be viewed as a

situations; (3) belief bias, the tendency to aban- process of building schemas, which are men-
don logical rules in favour of personal beliefs; tal frameworks. Scripts, which are one type of
and (4) emotional reactions and framing effects. schema, provide a framework for understanding
• Problem solving proceeds through several steps: sequences of events that usually unfold in a reg-
(1) understanding the nature of the problem, ular, almost standardized, order.
(2) establishing initial hypotheses or potential • Experts rely heavily on schemas that they have
solutions, (3) testing the solutions against exist- developed from experience. Compared with
ing evidence, and (4) evaluating the results of novices, experts have more schemas to guide
these tests. problem solving in their field and are much bet-
• People use several types of problem-solving ter at recognizing when each schema should be
schemas. Algorithms are formulas or proce- applied. Schemas also enable experts to take
dures that guarantee correct solutions. Heuris- greater advantage of long-term memory.
tics are general strategies that may or may not • Wisdom represents a system of knowledge
provide correct solutions. Means-ends analysis about the meaning and conduct of life. Accord-
is a common heuristic. The representativeness ing to one model, wisdom has five major com-
heuristic is the tendency to judge evidence ponents: rich factual knowledge, rich procedural
according to whether it is consistent with an knowledge, an understanding of lifespan con-
existing concept or schema. The availability heu- texts, an awareness of the relativism of values
ristic is the tendency to base conclusions and and priorities, and the ability to recognize and
probability judgments on what is readily avail- manage uncertainty.
able in memory. • A mental image is a representation of a stimulus
• Humans exhibit confirmation bias, a tendency to that originates inside the brain rather than from
look for facts to support hypotheses rather than external sensory input. The objective, quantifi-
to disprove them. They also suffer from overcon- able study of mental imagery received a huge
fidence, a tendency to overestimate their knowl- boost from research examining people’s ability
edge, beliefs, and decisions. to mentally rotate objects.
• In some situations, divergent thinking is needed • Mental images of objects seem to have prop-
for generating novel ideas or variations on ideas. erties that are analogous to the properties of
Functional fixedness can blind us to new ways of actual objects (e.g., you can rotate them, visu-
using an object or a procedure, thereby interfer- ally scan them). Thus, one viewpoint holds
ing with creative problem solving. Sometimes, that mental images are basically perceptual in
a period of incubation permits problem solving nature. A second viewpoint proposes that mental
to proceed on a subconscious level while giving images actually are based on language. Over-
the problem solver psychological distance from all, brain research offers more support to the
the problem. imagery-as-perception view.
Gaining Direction
What are the The opening vignette describes the tragic abilities. Was there something different about
issues? cases of Victor, Genie, and Dominique. These Dominique’s case? Why did she appear to
three children were more or less isolated develop normally, whereas Victor and Genie
from birth. Their interaction with adults was did not? Such tragic cases provide us with
severely restricted, and it appears that they an opportunity to examine the “forbidden
were rarely, if ever, spoken to. When rescued, experiment.” Should we investigate language
they all began to use speech, but only Domi- development in this fashion? Are there ethical
nique continued to develop normal language concerns?
What do How does human language develop? How did Victor’s, Genie’s, and Dominique’s isola-
we need to Is experience necessary for language acquisition? tion differ?
What are the properties of a language? How do we learn language?
know?
Is there a sensitive period for language Is it ethical to study abused children?
learning?
Where can You might want to start by reviewing the infor- Note as well the material on second language
we find the mation on general issues in language acquisi- learning. The Frontiers feature on language
information to tion. Pay close attention to what we know about acquisition in animals will also be helpful. A
the biological underpinnings of language and wealth of information on isolated children can
answer these
how experience shapes our use of language. be found at http://feralchildren.info.
questions?
Answers to Problems in Text

Figure 9.18 Winnipeg and St. Boniface are 50 kilometres apart. The trains
are travelling at the same speed (25 kilometres per hour). Hence,
they will meet at the halfway point, which is 25 kilometres, after
one hour of travel time. Since the crow is flying at 60 kilometres
per hour, it will have flown a total of 60 kilometres when the
trains meet.
Figure 9.21 Sequence of moves: A to 3, B to 2, A to 2, C to 3, A to 1,

B to 3, A to 3.
Figure 9.24 Here are two solutions Figure 9.25 Solution to the
to the nine-dot candlestick problem:
problem. Both require
you to “think outside
the box.”
CHAPTER
Intelligence 10
CHAPTER INTELLIGENCE IN HISTORICAL PERSPECTIVE Assessing Intelligence in Non-Western Cultures
OUTLINE Sir Francis Galton: Quantifying Mental Ability Focus on Neuroscience: Brain Size and Intelligence
Alfred Binet’s Mental Tests HEREDITY, ENVIRONMENT, AND INTELLIGENCE
Binet’s Legacy: An Intelligence-Testing
Industry Emerges GROUP DIFFERENCES IN INTELLIGENCE
THE NATURE OF INTELLIGENCE Applications: Early-Childhood Interventions: A Means
of Boosting Intelligence?
The Psychometric Approach: The Structure of Intellect
Ethnic Group Differences
Cognitive Process Approaches: The Nature of
Intelligent Thinking Sex Differences in Cognitive Abilities
Broader Conceptions of Intelligence: Research Foundations: Effects of Hormonal
Beyond Mental Competencies Fluctuations on Perceptual and Motor Skills
THE MEASUREMENT OF INTELLIGENCE EXTREMES OF INTELLIGENCE

Increasing the Informational Yield from The Intellectually Gifted
Intelligence Tests Frontiers: Musical Training and Auditory Processing
Theory-Based Intelligence Tests The Intellectually Disabled
Should We Test for Aptitude or Achievement? A Concluding Thought
Psychometric Standards for Intelligence Tests
Many highly intelligent people are poor thinkers. Many people of average intelligence
are skillful thinkers. The power of a car is separate from the way the car is driven.
—Edward De Bono
In the 1988 Oscar-winning

movie Rain Man, the inspi- What are the
ration for Dustin Hoffman’s issues here?
character was Kim Peek. When Peek
came into this world on November
What do we need
11, 1951, he was born without a cor- to know?
pus callosum, and a damaged cer-
ebellum. Although he did not walk
Where can
until the age of four, he began to we find the
demonstrate some special abilities information
early in his life. By 20 months of to answer the
age, he was able to memorize every questions?
book read to him—in a single read-
ing. By the time he was three years
old, he could use the dictionary, look
up words alphabetically, pronounce
them correctly, and remember the © Universal/courtesy Everett Collection/The Canadian Press
definition. Peek could tell you practically anything about world history, geography, sports, movies,
and literature. In all, his expertise spanned 14 different content areas. He read and memorized over
7600 books and, knowing your birthday, could tell you without hesitation on what day of the week
you would turn 65 years old.
Peek had autism and his tested IQ was over two standard deviations below normal. He died in 2009.
I
n Western cultures, being smart is typically
thought of as having good mental skills that
are instrumental to succeeding in school and
in higher-level jobs and occupations. As we shall
see, people with good mental skills do indeed
do better in school and on the job in our cul-
ture. But if we view intelligence in a broader
perspective as the ability to respond adaptively
to the demands of a particular environment, we
see that other cultures are less impressed with
the products of Anglo-Saxon education than
we are. It’s important to remember, then, that
intelligence is not something that has concrete
existence; it is, instead, a socially constructed
concept (Sternberg, 2004; Figure 10.1).
In previous chapters, we have explored
general principles of human learning, mem-
ory, thinking, reasoning, and problem solving.
In all these areas, we have seen that people
differ widely in how effectively they learn,
remember, think, and behave. Is it therefore
the case that some people are generally more
intelligent than others? If so, can we measure
these differences and use the measures to pre-
dict success and failure in real-life settings?
What is the nature of intelligence, and what
factors account for the differences we observe
in people’s cognitive, emotional, and behav-
ioural skills? Attempts to answer these ques-
tions have influenced our culture enormously.
Today, there exists a multi-billion-dollar intel-
ligence-testing industry. You yourself have
undoubtedly taken mental ability tests for edu-
cational or occupational reasons.
As we shall see, however, even after more
1. What is
than a century of research and theory develop-
our working
ment, there are still sharp disagreements about definition of
what intelligence is. In our discussion, we use the (top): © Creatas/AGE Fotostock; (bottom): ton koene/Alamy Stock Photo intelligence?
following definition, which accommodates most
viewpoints: Intelligence is the ability to acquire FIGURE 10.1 The skills required to adapt success-
fully to environmental demands may differ from culture
knowledge, to think and reason effectively, and to culture, suggesting to some theorists that what con-
to deal adaptively with the environment. stitutes intelligence may be somewhat culture-specific.
358 CHAPTER TEN
INTELLIGENCE IN people who were more socially and occupation-

ally successful would also perform better on a
HISTORICAL PERSPECTIVE variety of laboratory tasks thought to measure
Historically, two scientists with entirely differ- the “efficiency of the nervous system.” He devel-
ent agendas played seminal roles in the study oped measures of reaction speed, hand strength,
and measurement of mental skills. The contribu- and sensory acuity. He even measured the
tions of Sir Francis Galton and Alfred Binet set size of people’s skulls, believing that skull size
the stage for later attempts to measure intelli- reflected brain volume and hence intelligence.
gence and discover its causes. In time, Galton’s approach to mental-skills
measurement fell into disfavour because his
Sir Francis Galton: Quantifying measures of nervous-system efficiency proved
Mental Ability unrelated to socially relevant measures of men-
tal ability, such as academic and occupational
Sir Francis Galton was a cousin of Charles
success. Nonetheless, Galton’s work created an
Darwin and was strongly influenced by Darwin’s
interest in the measurement of mental abilities,
theory of evolution (Figure 10.2). In his book
setting the stage for the pioneering work of
Hereditary Genius (1869), Galton showed
Alfred Binet.
through the study of family trees that eminence
and genius seemed to occur within certain
families. No intellectual slouch himself, young
Alfred Binet’s Mental Tests
Francis wrote a childhood letter to his sister that The modern intelligence-testing movement
2. How did
Galton and Binet contained the following: “My dear Adele, I am began at the turn of the 20th century, when the
differ in their 4 years old, and I can read any English book. I can French psychologist Alfred Binet was commis-
approaches say all of the Latin substantives and adjectives and sioned by France’s Ministry of Public Education
to measuring active verbs besides 52 lines of Latin poetry.” to develop the test that was to become the
mental abilities? forerunner of all modern intelligence tests
Galton’s research convinced him that emi-
nent people had “inherited mental constitutions” (Figure 10.3). Unlike Galton, with whom he had
that made them more fit for thinking than their trained, Binet was interested in solving a prac-
less successful counterparts. Exhibiting his tical problem rather than supporting a theory.
own belief bias, Galton dismissed the fact that Certain children seemed unable to benefit from
the more successful people he studied almost normal public schooling. Educators wanted an
invariably came from privileged environments. objective way to identify these children as early
Galton then attempted to demonstrate a as possible so that some form of special educa-
biological basis for eminence by showing that tion could be arranged for them.

FIGURE 10.3 Alfred Binet developed the first intelli-
FIGURE 10.2 Sir Francis Galton pioneered the gence test to assess the mental skills of French school
study of intelligence with his studies of hereditary children. His test launched the modern intelligence-
genius. testing movement.
Intelligence 359
In developing his tests, Binet made two that educational attainment could be enhanced
assumptions about intelligence: First, mental if placement in school were based at least in
abilities develop with age. Second, the rate at part on the child’s mental age. An eight-year-old
which people gain mental competence is a char- child with a mental age of six could hardly be
acteristic of the person and is fairly constant expected to cope with the academic demands of
over time. In other words, a child who is less a normal classroom for eight-year-olds.
competent than expected at age five should also The concept of mental age was subse-
be lagging at age ten. quently expanded by the German psychologist
To develop a measure of mental skills, Binet William Stern to provide a relative score—a
asked experienced teachers what sorts of prob- common yardstick of intellectual attainment—
lems children could solve at ages three, four, for people of different chronological ages.
five, and so on, up through the school years. He Stern’s intelligence quotient (IQ) was the
then used their answers to develop a standard- ratio of mental age to chronological age, mul-
ized interview in which an adult examiner posed tiplied by 100: IQ = (mental age/chronological
a series of questions to a child to determine age) × 100. Thus, a child who was performing
whether the child was performing at the cor- at exactly his or her age level would have an IQ
rect mental level for his or her age (Table 10.1). of 100. In our previous example, the child with
The result of the testing was a score called the a mental age of ten and a chronological age of
mental age. For instance, if an eight-year-old eight would have an IQ of (10/8) × 100 = 125.
child could solve problems at the level of the A 16-year-old with a mental age of 20 would
average ten-year-old, the child would be said also have an IQ of 125, so the two would be
to have a mental age of ten. For the French comparable in intelligence even though their
school system, the practical implication was ages differed.
TABLE 10.1 S
ample Problems from the Stanford-Binet Intelligence Test That Should
Be Answered Correctly at Particular Ages
Age 3—Child should be able to • Point to objects that serve various functions, such as “goes on
your feet.”
• Name pictures of objects such as chair and flag.
• Repeat a list of two words or digits—e.g., car, dog.
Age 4—Child should be able to • Discriminate visual forms such as squares, circles, and triangles.
• Define words such as ball and bat.
• Repeat 10-word sentences.
• Count up to four objects.
• Solve problems such as “In daytime it is light; at night it is . . .”
Age 6—Child should be able to • State the differences between similar items such as bird and dog.
• Count up to nine blocks.
• Solve analogies such as “An inch is short; a mile is . . .”
Age 9—Child should be able to • Solve verbal problems such as “Tell me a number that rhymes
with tree.”
• Solve simple arithmetic problems such as “If I buy 4 cents’ worth
of candy and give the storekeeper 10 cents, how much money will
I get back?”
• Repeat four digits in reverse order.
Age 12—Child should be able to • Define words such as muzzle.
• Repeat five digits in reverse order.
• Solve verbal absurdities such as “Bill’s feet are so big he has to
pull his trousers over his head. What is foolish about that?”
Source: Terman & Merrill, 1972. Copyright © 1973 by The Riverside Publishing Company, “Sample Problems from the
Stanford-Binet Intelligence Test That Should Be Answered Correctly at Particular Ages,” from the Stanford-Binet Intelligence
Scales, Form L-M, reproduced with permission of the publisher. All rights reserved.
360 CHAPTER TEN
Today’s tests no longer use the concept of at Stanford, Arthur Otis, had been working on
3. Why do
mental age. Although the concept works pretty a group-administered test of intellectual ability.
today’s
intelligence tests well for children, many of the basic skills mea- This test became the prototype for the Army
no longer use sured by intelligence tests are acquired by Alpha, a verbally oriented test that was used to
the concept of about age 16 through normal life experiences screen large numbers of U.S. Army recruits for
mental age? and schooling, so that Stern’s quotient is less intellectual fitness. Because some recruits were
How is IQ now useful for adults. Moreover, some intellec- unable to read, a non-verbal instrument using
defined?
tual skills show an actual decline at advanced mazes, picture-completion problems, and digit-
ages. If we applied Stern’s definition of IQ to a symbol tasks was also developed and given the
20-year-old who performed at the typical level name Army Beta. Before the war’s end, more
of an 80-year-old, we would have to say that than 1.7 million men had been screened for intel-
the 20-year-old’s IQ was 400! To deal with these ligence using these tests.
problems, today’s intelligence tests provide an Inspired by the success of the Army Alpha
“IQ” score that is not a quotient at all. Instead, and Beta for measuring the intelligence of large
it is based on a person’s performance relative to numbers of people in a group setting, educa-
the scores of other people the same age, with a tors clamoured for similar instruments to test
score of 100 corresponding to the average per- groups of children. New group tests of intelli-
formance of that age group. gence, such as the Lorge-Thorndike Intelligence
Test and the Otis-Lennon School Ability Test,
Binet’s Legacy: An Intelligence- soon appeared and became an important part
Testing Industry Emerges of educational reform and policy. Many school
districts use these or similar tests routinely,
Lewis Terman (Figure 10.4), a professor at
and you are likely to have taken one or more of
Stanford University, was intrigued by Binet’s
them during your earlier school years.
work. He revised Binet’s test for use in the United
Two decades after Terman introduced the
States, translating it into English and rewriting
American version of Binet’s test, psychologist
4. What was some of its items to improve their relevance to
David Wechsler developed a major competitor
Wechsler’s American culture. Terman’s revised test became
concept of to the Stanford-Binet. Wechsler believed that the
known as the Stanford-Binet. By the mid-1920s,
intelligence? Stanford-Binet relied too much on verbal skills.
it had become widely accepted in North America
How do the He thought that intelligence should be mea-
Wechsler scales as the gold standard for measuring mental apti-
sured as a group of distinct but related verbal
reflect this tude. The Stanford-Binet contained mostly ver-
and non-verbal abilities. He therefore developed
concept? bal items, and it yielded a single IQ score.
intelligence tests for adults and for children
At about the time that the Stanford-Binet
that measured both verbal and non-verbal
test was introduced in 1916, the United States
intellectual skills. In 1939, the Wechsler Adult
entered World War I. One of Terman’s students
Intelligence Scale (WAIS) appeared, followed
by the Wechsler Intelligence Scale for Children
(WISC) in 1955, and the Wechsler Preschool and
Primary Scale of Intelligence (WPPSI) in 1967.
The Wechsler scales have undergone several
revisions. Today, the Wechsler tests (WAIS-IV
and WISC-V) are the most popular individually
administered intelligence tests in North America
(Newmark, 2005). Following Wechsler’s lead, the
Stanford-Binet has also been revised to measure
a wider range of mental abilities. Later in the
chapter, we’ll take a closer look at the Wechsler
© Stanford News Service
tests, as well as other measures that assess vari-
FIGURE 10.4 Lewis Terman imported the intelli- ous classes of mental skills.
gence test developed by Binet to the United States and
Intelligence has long been a major focus of
revised it as the Stanford- Binet Scale. The Stanford-
Binet became the standard for future individually psychological research, much of which has been
administered intelligence tests and is still used today. inspired by questions that, even after a century
Intelligence 361
In Review
• Intelligence is the ability to acquire knowledge, • Galton’s studies of hereditary genius and Binet’s
to think and reason effectively, and to deal adap- methods for measuring differences in children’s
tively with the environment. Because cultural mental skills were important historical mile-
environments differ in the skills most important stones in the study of intelligence.
for adaptation, cultural conceptions of intelli-
gence may differ markedly.
of research, continue to evoke disagreement and To answer questions like these, researchers
controversy (Bartholomew, 2004; Naglieri, 2015). administer diverse measures of mental abilities
Should we regard intelligence as a single aptitude and then correlate them with one another. They
or as many specific abilities? Is intelligence an reason that if certain tests are correlated highly
innate mental capacity, or is it a product of our with one another—if they “cluster” mathemati-
upbringing? What kinds of brain processes under- cally—then performance on these tests prob-
lie mental skills? Are there actually multiple intel- ably reflects the same underlying mental skill.
ligences, including some that may have little to do Further, if the tests within a cluster correlate
with mental skills? These and other questions have highly with one another but much less with tests
inspired a fascinating odyssey of scientific discov- in other clusters, then these various test clusters
ery. We begin with the most basic question of all: probably reflect different mental abilities. Thus,
Just what is this attribute we call intelligence? researchers hope to determine the number of
test clusters and to use this information to infer
THE NATURE OF the nature of the underlying abilities.
INTELLIGENCE When large numbers of tests are correlated
with one another, many correlation coeffi-
Psychologists have used two major approaches cients result, and it is difficult to determine by
in the study of intelligence (Sternberg et al., visual examination the actual patterning of the
2003). The psychometric approach attempts to test scores. Fortunately, a statistical technique
map the structure of intellect and to discover called factor analysis reduces a large number
the kinds of mental competencies that under- of measures to a smaller number of clusters, or
lie test performance. The cognitive processes factors, with each cluster containing variables
approach studies the specific thought processes that correlate highly with one another but less
that underlie those mental competencies. highly with variables in other clusters. A factor
allows us to infer the underlying characteristic
The Psychometric Approach: that presumably accounts for the links among
The Structure of Intellect the variables in the cluster.
Psychometrics is the statistical study of psy- To illustrate with a highly simplified example
5. How is factor
chological tests. The psychometric approach the kind of clustering of tests that we are inter-
analysis used
to intelligence tries to identify and measure the ested in, consider the small correlation matrix in the study of
abilities that underlie individual differences in in Table 10.2, based on only six different men- intelligence?
performance. In essence, it tries to provide a tal ability tests. (There might be as many as 10
measurement-based map of the mind. to 15 tests in an actual study.) Examination of
Table 10.2 reveals two clusters of tests. Tests 1, 2,
Factor Analysis and 3 correlate highly with one another. Tests 4,
Psychometric researchers have long sought to 5, and 6 also show high positive correlations
identify the mental abilities of the human mind. with one another. But tests 1, 2, and 3 do not
How many are there? Are there dozens, or are correlate highly with tests 4, 5, and 6. This indi-
there perhaps only one or a few basic abilities cates that the two sets of tests are measuring
that underlie performance across diverse tasks? different abilities. A factor analysis would tell us
What is the nature of these abilities? that there are two different factors.
362 CHAPTER TEN
TABLE 10.2 Correlations among Six Cognitive Ability Tests

Test 1 2 3 4 5 6
1 1.00 0.84 0.79 0.46 0.39 0.43
2 1.00 0.87 0.51 0.48 0.54
3 1.00 0.47 0.50 0.48
4 1.00 0.88 0.91
5 1.00 0.82
6 1.00
But what are these two sets of tests mea- subjects, such as English and mathematics, were
suring? The factor analysis cannot answer this almost always positively correlated but not per-
question; it can only identify the clusters for us. fectly. Spearman found the same to be true for
It’s now up to us to examine the nature of the different types of Stanford-Binet intelligence test
tests within each cluster and decide what the items, such as vocabulary questions, arithmetic
underlying factors might be. Suppose that test reasoning problems, and the ability to solve puz-
1 is a measure of vocabulary, test 2 measures zles. Were he to look at the correlation matrix in
reading comprehension, and test 3 requires Table 10.2, he would be impressed by the fact
respondents to complete sentences with missing that the verbal-ability cluster and mathematical-
words. Because all three tasks involve the use reasoning cluster are correlated with each other
of words, we might decide to call the underly- at about the 0.40 to 0.50 level. He would regard
ing factor “verbal ability.” Inspection of tests 4, these correlations as evidence that verbal and
5, and 6 might reveal that all of them involve mathematical abilities, while clearly different,
the use of numbers or mathematical word prob- also reflect a more basic or general mental
lems. We might therefore decide to name this capacity that contributes to them.
factor “mathematical reasoning.” What matters Spearman concluded that intellectual per-
6. What kinds
is that we have now reduced six variables to formance is determined partly by a g factor,
of evidence
supported the two variables, based on the correlations among or general intelligence, and partly by whatever
existence of them, and we have arrived at some idea of what special abilities might be required to perform
Spearman’s the underlying abilities might be. that particular task. Spearman contended that
g factor? We should note, however, that the two clus- because the general factor—the g factor—cuts
ters of tests we’ve identified are not totally across virtually all tasks, it constitutes the core
unrelated to each other. The verbal and math- of intelligence. Thus, Spearman would argue
ematical scores are also correlated with each that your performance in a mathematics course
other, though at a much lower level than within would depend mainly on your general intelli-
the clusters. This fact suggests that although the gence but also on your specific ability to learn
verbal and mathematical factors are clearly dis- mathematics.
tinct from each other, they also share something Today, many theorists continue to believe
in common, perhaps some more general mental that the g factor is the core of what we call
ability that cuts across both verbal and math- intelligence. Moreover, g matters a great deal
ematical abilities. This pattern of results antici- as a predictor of both academic and job per-
pates one of the major controversies in the field formance. Nathan Kuncel and his colleagues
of intelligence: Is intelligence a general mental (2004) performed a meta-analysis of 127 studies
capacity, or does it consist of separate and spe- involving 20 352 participants in numerous edu-
cific mental abilities? cational and work settings. They concluded that
the same general mental ability is significantly
The g Factor: Intelligence as General related to success in both areas of life. Taking
Mental Capacity this argument a step further, Frank Schmidt and
The psychometric argument for intelligence as a John Hunter (2004) concluded that measures
general ability was first advanced by the British of the g factor predict job success even better
psychologist Charles Spearman (1923). He than do measures of specific abilities tailored
observed that school grades in different to individual jobs. Summarizing the research
Intelligence 363
evidence, David Lubinski, a prominent intelli- cognitive factors. One prominent theorist main-
gence researcher, concluded, “g is clearly the tained that there are more than 100 distinct and
most important dimension uncovered in the measurable mental abilities (Guilford, 1967).
study of cognitive abilities to date” (2004, p. 100). Other theorists suggest fewer abilities but main-
General intelligence also predicts memory gain tain that intelligence is more complex than a
through consolidation during sleep (Fenn & single g factor.
Hambrick, 2015). Finally, Sternberg and For practical reasons, educators tend to find
Kaufman (2012) note that the vast majority of the specific-abilities notion of intelligence more
research on intelligence has focused on estab- attractive and useful than the general men-
lishing the importance of g and its correlates to tal ability model (Mayer, 2000). They are more
such an extent that future work will be directed interested in identifying the specific mental
elsewhere. skills involved in learning subjects such as read-
ing, mathematics, and science. They are also
Intelligence as Specific Mental Abilities interested in helping children increase the spe-
Spearman’s conclusion about the centrality of the cific mental abilities that are needed for success 7. What led
g factor was soon challenged by L.L. Thurstone in various subjects. For such purposes, general Thurstone to
of the University of Chicago. While Spearman mental ability measures such as an overall IQ view intelligence
had been impressed by the fact that scores on as specific
are less useful than are measures of specific
mental abilities?
different mental tasks are correlated, Thurstone cognitive abilities that can point to a student’s
was impressed by the fact that the correlations areas of strength and weakness. Additionally,
are far from perfect. Thurstone therefore con- it may appear more feasible to enhance specific
cluded that human mental performance depends mental skills than to raise general intelligence.
not on a general factor but rather on seven dis-
tinct abilities, which he called primary mental Crystallized and Fluid Intelligence
abilities (Table 10.3). Thus, Thurstone would Raymond Cattell (1971) and John Horn
8. Differentiate
focus on the two clusters of test scores shown in (1985) proposed a new model of intelligence between
Table 10.2 and attach special significance to the (Figure 10.5). They broke down Spearman’s crystallized and
high correlations within each cluster. He would general intelligence into two distinct but related fluid intelligence,
expect that performance on a given verbal or subtypes of g (with a correlation of about 0.50). and indicate
mathematical task would be influenced more Crystallized intelligence ( gc) is the ability to their relation to
aging and types
by the specific skills represented in the relevant apply previously acquired knowledge to current
of memory.
cluster than by any g factor.
Following Thurstone’s lead, other investiga- General
tors claimed to have found many more specific intelligence
TABLE 10.3 T
hurstone’s Primary Mental
Abilities
Ability Name Description Crystallized Fluid intelligence—
intelligence— solving new
S—Space Reasoning about visual use of existing problems
scenes knowledge
V—Verbal Understanding verbal
comprehension statements
W—Word fluency Producing verbal
statements Most language Application of
N—Number facility Dealing with numbers functions culturally acquired
problem-solving
P—Perceptual speed Recognizing visual patterns methods
M—Rote memory Memorizing
R—Reasoning Dealing with novel FIGURE 10.5 Crystallized and fluid intelligence.
problems Raymond Cattell and John Horn made an important
distinction between crystallized and fluid intelligence.
Source: L.L. Thurstone, 1938, Primary Mental Abilities. Copyright Crystallized intelligence is based more strongly on
© 1938 by The University of Chicago Press. Reprinted with previous learning and experience, whereas fluid intel-
permission. ligence is a more creative type of intelligence.
364 CHAPTER TEN
problems. Vocabulary and information tests begins to decline as people enter late adulthood
are good measures of crystallized intelligence. (Daniels et al., 2006; Schaie, 1998). The fact that
Crystallized intelligence, which is the basis for aging affects the two forms of intelligence dif-
expertise, depends on the ability to retrieve ferently is additional evidence that they repre-
previously learned information and problem- sent different classes of mental abilities (Horn &
solving schemas from long-term memory (Horn Noll, 1997; Weinert & Hany, 2003). Furthermore,
& Masunaga, 2000; Hunt, 1997). It is dependent different brain areas are active during tasks
on previous learning and practice. associated with fluid and crystallized intelli-
Cattell and Horn’s second general factor is gence (Colom et al., 2009). Haasz at al. (2013)
fluid intelligence (gf), defined as the ability have shown that fluid intelligence is related to
to deal with novel problem-solving situations increased connectivity in the brain’s white mat-
for which personal experience does not pro- ter, while crystallized intelligence seems to be
vide a solution. It involves inductive reason- more associated with frontal and parietal lobe
ing and creative problem-solving skills such as grey matter.
those discussed in the previous chapter. Fluid
intelligence is dependent primarily on the effi- Carroll’s Three-Stratum Model:
cient functioning of the central nervous system A Modern Synthesis
rather than on prior experience and cultural In their attempts to specify the nature of intel-
9. Describe
context. People high in fluid intelligence can lect, psychometric researchers have been
Carroll’s
three-stratum perceive relations among stimulus patterns and administering measures of mental abilities
psychometric draw inferences from relationships. The Tower- for more than a century. The many tasks they
model and how it of-Hanoi and nine-dot problems you worked on have used have probably left no cognitive stone
originated. How in Chapter 9 are fluid-intelligence tasks. unturned. In an attempt to synthesize the results
does it relate to of prior research, John B. Carroll (1993) used
the previously Fluid intelligence requires the abilities to
discussed reason abstractly, think logically, and manage factor analysis to reanalyze more than 460
models? information in working (short-term) memory different sets of data obtained by research-
so that new problems can be solved on the ers around the world between 1935 and 1980.
blackboard of the mind (Hunt, 1997; Jaeggi Carroll’s analysis resulted in an integrative
et al., 2008). Thus, long-term memory con- model of intelligence that contains elements
tributes strongly to crystallized intelligence, of Spearman’s, Thurstone’s, and Cattell-Horn’s
whereas fluid intelligence is particularly depen- models. The three-stratum theory of cogni-
dent on efficient working memory. tive abilities establishes three levels of mental
The gc-gf model is based in part on what has skills—general, broad, and narrow—arranged
been learned about intellectual development in a hierarchical model. As shown in Figure 10.6,
in adulthood (Berg, 2000). Cattell and Horn at the top, or third stratum, of the model is a g
concluded that over our lifespan, we prog- factor thought to underlie most mental activity.
ress from using fluid intelligence to depend- Below g at the second stratum are eight broad
ing more on crystallized intelligence. Early in intellectual factors arranged from left to right in
life, we encounter many problems for the first terms of the extent to which they are influenced
time, so we need fluid intelligence to figure out by (or correlated with) g. Fluid intelligence is
solutions. As experience makes us more knowl- most strongly related to (or “saturated with”)
edgeable, we have less need to approach each g, and crystallized intelligence is next, indicat-
situation as a new problem. Instead, we simply ing the importance of the Cattell-Horn factors.
call up appropriate information and schemas The other broad abilities at the second stra-
from long-term memory, thereby utilizing our tum involve basic cognitive functions such as
crystallized intelligence. This is the essence of memory and learning, perceptual abilities, and
wisdom (Kunzman & Baltes, 2003). speed of mental functioning, some of which
Because long-term memory remains strong resemble Thurstone’s primary mental abili-
even as we age, performance on tests of crystal- ties. Finally, at the first stratum of the model
lized intelligence improves during adulthood and are nearly 70 highly specific cognitive abilities
remains stable well into late adulthood. In con- that feed into the broader second-stratum fac-
trast, performance on tests of fluid intelligence tors. On average, these specific ability measures
Intelligence 365
General (Stratum III)

General Intelligence
(g factor)
Broad (Stratum II) Fluid Crystallized General Broad Broad Broad Broad Processing
Intelligence Intelligence Memory & Visual Auditory Retrieval Cognitive Speed
Learning Perception Perception Ability Speediness (Reaction
Time/
Decision
Speed)
Narrow (Stratum I) Specific cognitive, perceptual, and speed tasks used in studies of cognitive ability
FIGURE 10.6 A modern model of intellect. John B. Carroll’s three-stratum model of cognitive skills is based on a reanalysis of more
than 400 data sets. The model builds upward from specific skills to a g factor at its apex. The lengths of the arrows from Stratum III to
Stratum II represent the contribution of the g factor to each Stratum II ability.
Source: Adapted from Carroll, J.B., “A Modern Model of Intellect,” from Human Cognitive Abilities: A Survey of Factor-Analytic Studies. (Appendix B: Hierarchical
Factor Matrix Files). Copyright © Cambridge University Press, 1993. Reprinted with permission.
tend to correlate around 0.30 with one another, His triarchic theory of intelligence addresses
reflecting the common g factor at the top of the both the psychological processes involved in
model. Carroll believes that the three-stratum intelligent behaviour and the diverse forms
model encompasses virtually all known cogni- that intelligence can take. Sternberg’s theory
tive abilities and provides the most complete divides the cognitive processes that underlie
and detailed map of the human intellect derived intelligent behaviour into three specific compo-
from the psychometric approach to intelligence. nents (Figure 10.7).
Metacomponents are the higher-order
Cognitive Process Approaches: processes used to plan and regulate task per-
The Nature of Intelligent Thinking formance. They include problem-solving skills
Psychometric theories of intelligence are statis- such as identifying problems, formulating
10. Differentiate
tically sophisticated ways of providing a map hypotheses and strategies, testing them logi-
between
of the mind and describing how people differ cally, and evaluating performance feedback. psychometric
from one another (Birney & Sternberg, 2006). Sternberg believes that metacomponents are the and cognitive
What psychometric theories don’t explain fundamental sources of individual differences process
is why people vary in these mental skills. in fluid intelligence. He finds that intelligent approaches to
people spend more time framing problems and intelligence.
Cognitive process theories explore the spe-
cific information-processing and cognitive pro- developing strategies than do less intelligent
cesses that underlie intellectual ability. Recall people, who have a tendency to plunge right in
that this was the logic behind Galton’s early without sufficient forethought.
attempts to relate thinking ability to speed of Performance components are the actual
reaction and sensory acuity. Robert Sternberg mental processes used to perform the task. They
(1988, 2004, 2007) is a leading proponent of the include perceptual processing, retrieving appro-
cognitive processes approach to intelligence. priate memories and schemas from long-term
366 CHAPTER TEN
Types of Intellectual Competence
Analytical Practical Creative

intelligence intelligence intelligence
Performance Knowledge-
Metacomponents components acquisition
components
Plan and regulate Execute strategies
task behaviour specified by Encode and store
metacomponents information
Underlying Cognitive Processes
FIGURE 10.7 Sternberg’s triarchic theory includes three different types of intelligence and three classes of
cognitive processes that underlie each type of intelligence.
memory, and generating responses. Finally, for example, the relation between academic
knowledge-acquisition components allow us and practical skills. In one study, adolescents
to learn from our experiences, store informa- in Kenya were given one set of analytical tests
tion in memory, and combine new insights with measuring traditional academic knowledge and
previously acquired information. These abilities another set measuring their knowledge of nat-
underlie individual differences in crystallized ural herbal medicines used to treat illnesses, a
intelligence. Thus, Sternberg’s theory addresses kind of practical knowledge viewed by villagers
the processes that underlie the distinction made as important to their survival. The results indi-
by Cattell and Horn between fluid and crystal- cated that the practical intelligence measure of
lized intelligences. herbal knowledge was unrelated to (and some-
Sternberg believes that there is more than times negatively correlated with) the academic
one kind of intelligence. He suggests that envi- measures (Sternberg et al., 2001). Sternberg
ronmental demands may call for three different also found that Brazilian street children were
classes of adaptive problem solving and that very proficient at the math required to carry
people differ in their intellectual strengths in on their street businesses, despite the fact that
these areas: many of them had failed mathematics in school
(Sternberg, 2004).
1. Analytical intelligence involves the kinds of
11. What three Sternberg believes that educational pro-
academically oriented problem-solving skills
classes of grams should teach all three classes of skills,
measured by traditional intelligence tests.
psychological not just analytical-academic skills. In studies
processes 2. Practical intelligence refers to the skills
with elementary school children, he and his col-
and forms of needed to cope with everyday demands
intelligence leagues have shown that a curriculum that also
and to manage oneself and other people
are found in effectively. teaches practical and creative skills results in
Sternberg’s greater mastery of course material than does
3. Creative intelligence comprises the mental
triarchic theory? a traditional analytic, memory-based approach
skills needed to deal adaptively with novel
problems. to learning course content (Grigorenko et al.,
2002). As Sternberg’s work illustrates, cognitive
Sternberg has shown that these forms of intel- science is leading us to a focus on understand-
ligence, while having a modest underlying g facing and enhancing the mental processes that
tor, are also distinct from one another. Consider, underlie intelligent behaviour.
Intelligence 367
Broader Conceptions of Gardner’s first three intelligences are mea-

sured by existing intelligence tests, but the oth-
Intelligence: Beyond Mental
ers are not. Indeed, some of Gardner’s critics
Competencies insist that these other abilities are not really
Traditionally, intelligence has been viewed as part of the traditional concept of intelligence at
mental competence. Some psychologists think all and that some of them are better regarded
this is too limited a definition to capture the as talents. However, Gardner replies that the
range of human adaptations. They believe that form of intelligence that is most highly valued
intelligence may be more broadly conceived as within a given culture depends on the adaptive
relatively independent intelligences that relate requirements of that culture. In Gardner’s view,
to different adaptive demands. the abilities exhibited by Albert Einstein, Sidney
Crosby, and a street-smart gang leader exem-
Gardner’s Multiple Intelligences plify different forms of intelligence that are
Harvard psychologist Howard Gardner (2003) highly adaptive within their respective environ-
12. What kinds
is one of the strongest proponents of this view. ments (Figure 10.8). Gardner further suggests of abilities
Inspired by his observations of how specific that these different classes of abilities require are included
human abilities are affected by brain damage, the functioning of separate but interacting mod- in Gardner’s
Gardner advanced a theory of multiple intelli- ules in the brain. Gardner’s approach, though multiple
gences. The number of intelligences has varied provocative, remains controversial because it intelligences?
as Gardner’s work has progressed; he currently goes far beyond traditional conceptions of intel-
defines eight distinct varieties of adaptive abili- ligence as mental skills.
ties, and a possible ninth variety (Davis et al.,
2011; Gardner, 2000): Emotional Intelligence
Another form of adaptive ability lies within the
1. Linguistic intelligence: the ability to use lan- 13. Describe the
emotional realm, and some theorists believe that
guage well, as writers do four branches
emotional competence is a form of intelligence. of emotional
2. Logical-mathematical intelligence: the abil-
According to John Mayer and Peter Salovey, intelligence and
ity to reason mathematically and logically
emotional intelligence involves the abilities how they are
3. Visuospatial intelligence: the ability to solve to read others’ emotions accurately, to respond measured.
spatial problems or to succeed in a field such
to them appropriately, to motivate oneself, to
as architecture
be aware of one’s own emotions, and to regu-
4. Musical intelligence: the ability to perceive late and control one’s own emotional responses
pitch and rhythm and to understand and pro-
(Mayer et al., 2004).
duce music
According to Mayer and Salovey, emotional
5. Bodily-kinesthetic intelligence: the ability to intelligence includes four components, or
control body movements and skilfully manip-
branches, as shown in Figure 10.9. The Mayer-
ulate objects, as demonstrated by a highly
Salovey-Caruso Emotional Intelligence Test
skilled dancer, athlete, or surgeon
(MSCEIT) includes specific tasks to measure
6. Interpersonal intelligence: the ability to
each branch. Perceiving emotions is measured
understand and relate well to others
by people’s accuracy in judging emotional
7. Intrapersonal intelligence: the ability to expressions in facial photographs, as well as
understand oneself
the emotional tones conveyed by different
8. Naturalistic intelligence: the ability to landscapes and designs. Using emotions to
detect and understand phenomena in the facilitate thought is measured by asking peo-
natural world, as a zoologist or meteorolo-
ple to identify the emotions that would best
gist might
enhance a particular type of thinking, such as
In recent writings, Gardner (2000) has also how to deal with a distressed co-worker or plan
speculated about a ninth possible intelligence, a birthday party. To measure understanding
which he calls existential intelligence, a phil- emotions, people are asked to specify the con-
osophically oriented ability to ponder ques- ditions under which their emotions change in
tions about the meaning of one’s existence, life, intensity or type; another task measures peo-
and death. ple’s understanding of which basic emotions
368 CHAPTER TEN
(left) © ZUMA Press, Inc./Alamy Stock Photo; (middle) Ottawa Citizen/The Canadian Press; (right) Carlos Osorio/Toronto Star via Getty Images
FIGURE 10.8 According to Howard Gardner, these people’s abilities exemplify forms of intelligence that are not measured by
traditional intelligence tests. Geddy Lee of the Canadian rock band Rush (a) possesses high musical intelligence, whereas Sidney
Crosby (b) and Rick Mercer (c) exhibit high bodily-kinesthetic and interpersonal intelligence, respectively.
blend together to create subtle emotions, such The scoring method for the MSCEIT tasks
as envy or jealousy. Finally, managing emo- yields high reliability among expert scorers; it
tions is measured by asking respondents to produces scores for each branch, as well as a
indicate how they can change their own or oth- total emotional intelligence score. Mayer and
ers’ emotions to facilitate success or increase Salovey view these tasks as ability measures in
interpersonal harmony. the same sense that a Wechsler scale measures
Branch 2
Branch 1
Using emotions to
Perceiving emotions facilitate thought
EI
Branch 3 Branch 4
Understanding emotions Managing emotions
FIGURE 10.9 The structure of emotional intelligence (EI). Four specific branches of emotion-detection and control
abilities are assumed to underlie emotional intelligence.
Source: Based on Mayer, J.D., Salovey, P., & Caruso, D.R. (2004). Emotional intelligence: Theory, findings, and implications.
Psychological Inquiry, 15, 197–215.
Intelligence 369
mental abilities. As in the case of mental intel- intelligence may enjoy more success in life than
ligence, it seems important to measure what do others who surpass them in mental intelli-
people can actually do rather than simply ask- gence (Salovey & Pizzaro, 2003). They also
ing them how competent they are. Other mea- tend to use more effective coping strategies
sures of emotional intelligence, which ask (Saklofske et al., 2007) and report lower lev-
people how competent they are in emotional els of depression and greater life satisfaction
areas, tend not to correlate highly with the (Petrides et al., 2007).
MSCEIT or predict competent behaviours as As is the case with Gardner’s multiple intel-
well (Mayer et al., 2004). ligences, emotional intelligence has its crit-
Proponents of emotional intelligence point ics. Landy (2005) argues that many claims
to the important adaptive advantages of emo- of a relation between emotional intelligence
tional skills in meeting the challenges of daily and success in the workplace have not been
life, and they believe that the ability to read, scientifically scrutinized. A recent study at
respond to, and manage emotions has evolu- the University of Ottawa (Humphrey-Murto
tionary roots. Emotionally intelligent people, et al., 2014) indicated that emotional intelli-
they suggest, form stronger emotional bonds gence as measured by the MSCEIT was not
with others; enjoy greater success in careers, predictive of success in medial school, even
marriage, and child-rearing; modulate their though the MSCEIT is being considered as a
own emotions so as to avoid strong depression, screening test for medical school admission.
anger, or anxiety; and work more effectively Some psychologists believe that the con-
toward long-term goals by being able to concept of intelligence is being stretched too far
trol impulses for immediate gratification. In the from its original focus on mental ability (e.g.,
end, some people who are high in emotional Matthews et al., 2004). They would prefer a
In Review
• The psychometric approach to intelligence that over our lifespan, we show a progressive
attempts to map the structure of intellect and shift from using fluid intelligence to using crys-
establish how many different classes of men- tallized intelligence as we attain wisdom.
tal ability underlie test performance. A newer • Carroll’s three-stratum model is based on reanal-
approach, the cognitive processes approach, yses of hundreds of data sets. Mental abilities
focuses on the specific thought processes that are represented at three levels, with general intel-
underlie mental competencies. ligence (g) at the apex and highly specific cogni-
• Factor analysis can be applied to correlations tive and perceptual skills at its base. Carroll’s
among test scores to identify clusters of mea- model may be the most accurate psychometric
sures that correlate highly with one another and representation of human cognitive abilities.
therefore are assumed to have a common under- • Cognitive process theories of intelligence focus
lying factor, such as verbal ability or mathemati- on the elementary information-processing abili-
cal reasoning. ties that contribute to intelligence. Sternberg’s
• Spearman believed that intelligence is deter- triarchic theory of intelligence includes a com-
mined both by specific cognitive abilities and by ponents subtheory that addresses the specific
a general intelligence (g) factor that constitutes cognitive processes that underlie intelligent
the core of intelligence. Thurstone disagreed, behaviour.
viewing intelligence as a set of specific abili- • Sternberg and Gardner maintain that there are
ties. Thurstone’s position is best supported by distinct forms of intelligence beyond the tradi-
observed distinctions between verbal and spatial tional concept. Sternberg differentiates between
abilities. analytical, practical, and creative intelligence,
• Cattell and Horn differentiated between crystal- and Gardner proposes nine different kinds of
lized intelligence, the ability to apply previously intelligence. The theory of emotional intelligence
learned knowledge to current problems, and fluid refers to people’s ability to read and respond
intelligence, the ability to deal with novel prob- appropriately to others’ emotions, to motivate
lem-solving situations for which personal experi- themselves, and to be aware of and in control of
ence does not provide a solution. They argued their emotions.
370 CHAPTER TEN
different term, such as emotional competence, Recall that Wechsler believed that intel-
14. How is
to distinguish this concept from the traditional ligence tests should measure a wide array of
Wechsler’s view
of intelligence mental-skills concept of intelligence. But emo- different mental abilities. His tests reflect that
reflected in the tional-intelligence proponents respond that if conviction. The WAIS-IV consists of a series of
Wechsler tests? we regard intelligence as adaptive abilities, subtests that fall into four “index scales”—Verbal
What kinds of we ought not limit ourselves to the purely Comprehension, Perceptual Reasoning, Working
scores do they
cognitive realms of human ability. The debate Memory, and Processing Speed. A psychologist
provide?
concerning multiple intelligence continues to can therefore plot a profile based on the scores
rage and promises to do so into the future. on each of the subtests to assess a person’s pat-
So far we have explored the nature of intel- tern of intellectual strengths and weaknesses.
ligence. Let’s now examine more closely how The test yields five summary scores: one for each
individual differences in intelligence are of the index scales and a Full-Scale composite
measured. IQ based on all of the scales (Figure 10.10). For
some purposes, it is useful to examine differences
THE MEASUREMENT between the Verbal IQ and the Performance IQ.
OF INTELLIGENCE For example, individuals from an impoverished
environment with little formal schooling might
Today, the Wechsler tests (WAIS-IV and WISC-IV) score higher on the performance subtests than
are the most popular individually administered on the verbal subtests, suggesting that their over-
intelligence tests in North America (Kaplan & all IQ might be an underestimate of their intel-
Saccuzo, 2009). They provide a good illustra- lectual potential. Sometimes, too, various types
tion of how intelligence is assessed and show of brain damage are reflected in large discrepan-
excellent psychometric properties (e.g., Benson cies between certain subtest scores (Goldstein,
et al., 2013). 2000; Strauss et al., 2006).
Verbal Comprehension Index Scale Perceptual Reasoning Index Scale
• Vocabulary: The examinee is asked to define • Block Design: The examinee must form a design
words or to name an object that is presented using red and white blocks to match a sample
visually. (timed test).
• Information: The examinee is asked questions • Matrix Reasoning: The examinee views an
that address a wide range of general- incomplete matrix or series and chooses the
knowledge topics. response option that completes it.
• Similarities: The examinee is asked how two • Visual Puzzles: The examinee constructs a
things are alike. puzzle to match a sample (timed test).
Full-Scale IQ
Working Memory Index Scale Processing Speed Index Scale
• Digit Span: The examiner reads sequences • Symbol Search: The examinee scans a search
of numbers of increasing length and the group and indicates whether one of the symbols
examinee repeats them in order or in reverse matches a target symbol (timed test).
order. • Coding: Using a key, the examinee copies
• Arithmetic: The examinee must mentally solve symbols that are matched with numbers (timed
a series of word problems (timed test). test).
FIGURE 10.10 Scales and subscales of the Wechsler Intelligence Scale for Adults IV (WAIS-IV).
Source: Based on Coalson, D.L., & Raiford, S.E. (2008). WAIS-IV: Technical and interpretative manual. San Antonio, TX: Pearson.
Intelligence 371
Increasing the Informational Yield of words, such as “animal and vampire” and
“baseball and stick” and then produce a word
from Intelligence Tests
that relates to both, such as bat. The fluid-
Revisions of both the Stanford-Binet and intelligence subtests require respondents to
the Wechsler scales have been responsive to break mystery codes, solve logic problems, and
advances in the understanding of the mental associate words with complex drawings and
processes that underlie intelligence. The origi- then “read” sentences composed only of the
nal Stanford-Binet yielded a single IQ score drawings. The Kaufman and Woodcock-Johnson
based mainly on verbal items, but today’s test tests have become quite popular in educational,
samples a wider range of abilities and pro- job-screening, and clinical settings.
vides, in addition to a composite IQ score, sep- Sternberg’s triarchic model of intelligence has
arate scores for Verbal Reasoning, Abstract/ inspired the development of a new test as well.
Visual Reasoning, Quantitative Reasoning, The Sternberg Triarchic Ability Test (STAT) mea-
and Short-Term Memory. The WISC-IV, used sures the three forms of intelligence identified in
to assess children between ages 6 and 11, pro- his model—analytic, practical, and creative. This
vides, in addition to its Full-Scale IQ, separate test can be useful in identifying students’ levels
scores for Verbal Comprehension, Perceptual of each of the three types of intelligence so that
Organization, Freedom from Distractibility, and school curricula can be individualized to capital-
Processing Speed. These scores make the tests ize on their strengths and thereby optimize learn-
more useful for understanding test takers’ intel- ing and school performance.
lectual strengths and weaknesses and possibly
planning educational interventions for them.
Measurement of specific abilities is also sup- Should We Test for Aptitude
ported by the finding that as children mature, or Achievement?
their general intelligence remains stable, but Using written tests for selection purposes high-
specific abilities become increasingly more dif- lights an issue that Binet faced and that contin-
ferentiated (Kane & Brand, 2006). Many other ues to plague test developers today: Should we
tests of specific cognitive skills are currently test a person’s abstract “aptitude for learning,”
in use, providing many tools for assessing both or should we test what a person already knows?
children and adults (Bartholomew, 2004; Groth- Consider an example. In selecting applicants
Marnat, 1999). for post-secondary education, we could give
students either an achievement test designed
Theory-Based Intelligence Tests to find out how much they have learned so far
Advances in the theory of intelligence have in their lives, or we could present them with
15. How have
stimulated the development of new instruments an aptitude test, containing novel puzzle-like theories of
to test the specific abilities dictated by the theo- problems that presumably go beyond prior learn- intelligence
ries. For example, the Cattell-Horn distinction ing and are thought to measure the applicant’s influenced
between crystallized and fluid intelligence has potential for future learning and performance. recently
had a strong impact on the field of intelligence The argument for achievement testing is that developed tests?
testing. Several recently developed tests, such as it is usually a good predictor of future perfor-
16. Describe
the Kaufman Adolescent and Adult Intelligence mance in a similar situation. If a student learned the controversy
Test and the Woodcock-Johnson Psycho- a lot of academic material in high school (and involving
Educational Battery, are specifically designed therefore scored well on the test), he or she is aptitude versus
to measure fluid and crystallized abilities sepa- likely to also learn a lot in college or univer- achievement
rately (Kaufman & Kaufman, 1997; Woodcock, sity. The argument against achievement test- tests in
relation to the
1997). The Kaufman test has three crystallized- ing is that it assumes that everyone has had the measurement of
ability subscales and three fluid-ability scales, same opportunity to learn the material being intelligence.
and test results yield separate gc and gf IQs, as tested. In post-secondary selection, for exam-
well as a composite, or full-scale, IQ. The crys- ple, a given applicant’s test score could depend
tallized-intelligence scales require respondents on whether that person went to a good school
to define words, listen to and answer questions rather than on his or her ability to learn in col-
about a detailed news story, and study two sets lege or university.
372 CHAPTER TEN
The argument for aptitude testing is that it on a sample of relevant behaviour in a scien-
is fairer because it supposedly depends less on tifically designed and controlled situation. In
prior knowledge than on a person’s ability to the case of intelligence testing, intelligence is
react to the problems presented on the test. The the construct and scores obtained on the test
argument against aptitude testing is that it is dif- are its operational definition. To design a test,
ficult to construct a test that is independent of we need to decide which specific behaviours
prior learning. Further, such a test may require serve as indicators of intellectual abilities. Then
an ability to deal with puzzles that is not relevant we need to devise test items that allow us to
to success in situations other than the test itself. assess individual differences in those behav-
In fact, most intelligence tests measure a iours. We will, of course, need evidence that our
combination of aptitude and achievement, sample of items (a sample, because we can’t ask
reflecting both native ability and previous every conceivable question) actually measures
learning (Lubinski, 2004). This combination the abilities we are assessing. As in designing an
approach has raised major scientific and social experiment (see Chapter 2), we want to collect
issues concerning the meaning of test scores, a sample of relevant behaviour under standard-
the extent to which improvement can be fos- ized conditions, attempting to control for other
tered by educational experiences, and the use- factors that could influence responses to the
fulness of the measures for describing mental items. To understand how psychologists meet
competence and predicting performance in non- these requirements, we must examine three key
test situations. measurement concepts: reliability, validity,
Tests of mental skills have become a staple and standardization. We should note that these
of Western societies. They are used to make standards apply to all psychological tests, not
important educational, occupational, and clini- just intelligence measures.
cal decisions, as well as to set social policy.
These measures also have become important Reliability
scientific tools for cognitive psychologists who Reliability refers to consistency of measure-
17. Define the
study the development, stability, operation, and ment. As shown in Table 10.4, reliability can
three types of
test reliability. modification of cognitive functions. We will now take several forms when applied to psychologi-
consider the scientific standards required for cal tests. It can refer to consistency of measure-
psychological tests. ment over time, consistency of measurement by
the items within the test itself, or consistency in
scores assigned by different examiners.
Psychometric Standards One of the most important forms of reliabil-
for Intelligence Tests ity is consistency over time. If you step on your
A psychological test is a method for mea- bathroom scale five times in a row, you should
suring individual differences related to some expect it to register the same weight each time
psychological concept, or construct, based unless you have a very unusual metabolism.
TABLE 10.4 Types of Reliability and Validity in Psychological Testing

Types of Reliability Meaning and Critical Questions
Test-retest reliability Are scores on the measure stable over time?
Internal consistency Do all the items on the measure seem to be measuring the same thing, as
indicated by high correlations among them?
Interjudge reliability Do different raters or scorers agree on their scoring or observations?
Types of Validity
Construct validity To what extent is the test actually measuring the construct of interest (e.g.,
intelligence)?
Content validity Do the questions or test items relate to all aspects of the construct being
measured?
Criterion-related validity Do scores on the test predict some present or future behaviour or validity
outcome assumed to be affected by the construct being measured?
Intelligence 373
Likewise, if we assume that intelligence is a rel- Validity

atively stable trait (and virtually all psycholo- As a general concept, validity refers to how
gists do), then scores on our measure should be 18. What
well a test actually measures what it is designed
stable, or consistent, over time. Where psycho- is validity?
to measure. As in the case of reliability, there Describe three
logical tests are concerned, this type of measure- are several types of validity (Table 10.4). kinds of test
ment stability over time is defined as test-retest As noted earlier, intelligence is a concept, or validity.
reliability, which is assessed by administering mental construct. Construct validity exists
the measure to the same group of participants when a test successfully measures the psycho-
on two (or more) separate occasions and corre- logical construct it is designed to measure, as
lating the two (or more) sets of scores. indicated by relations between test scores and
After about age seven, scores on intelli- other behaviours that it should be related to. If
gence tests show considerable stability, even an intelligence test had perfect construct valid-
over many years (Gregory, 1998). Over a short ity, individual differences in IQs would be due to
interval (two to 12 weeks), the test-retest cor- differences in intelligence and nothing else. In
relation of adult IQs on the WAIS-IV is 0.95, reality, this ideal is never attained, for other fac-
or nearly perfect (Coalson & Raiford, 2008). tors, such as motivation and educational back-
Correlations between IQs at age nine and age 40 ground, also influence test scores.
are in the 0.70 to 0.80 range (Plomin & Spinath, Two other kinds of validity contribute to
2004), indicating a high degree of stability. In construct validity. Content validity refers
a Scottish national sample, scores on a test of to whether the items on a test measure all the
general intelligence administered at age 11 cor- knowledge or skills that are assumed to under-
related 0.66 with scores on the same test at age lie the construct of interest. For example, if we
80 (Deary et al., 2004). Thus, relative to his or want the Arithmetic subtest of the WAIS-IV to
her age group, a person who achieves an above- measure general mathematical reasoning skills,
average IQ at age nine or age 11 is very likely we would not want to use only addition prob-
to also be above the average for 40- or 80-year- lems; we would want the items to sample other
olds when he or she reaches those ages. Even relevant mathematical abilities as well, such as
while children’s cognitive skills are developing subtraction, division, and fractions.
rapidly during middle childhood, IQs are quite If an intelligence test is measuring what it
stable, with test-retest coefficients around 0.90 is assumed to measure, then the IQ it yields should
(Canivez & Watkins, 1998). allow us to predict other behaviours that are
Another form of reliability, internal con- assumed to be influenced by intelligence, such as
sistency, has to do with consistency of mea- school grades or job performance. These out-
surement within the test itself. For example, if come measures are called criterion measures,
a Wechsler subtest is internally consistent, all and criterion-related validity refers to the
its items are measuring the same skill, as evi- ability of test scores to correlate with meaning-
denced by high correlations among the items. ful criterion measures. A critical issue for intel-
In accord with this requirement, the individ- ligence tests is the extent to which they predict
ual items within the Wechsler subtests corre- the kinds of outcomes we would expect intel-
late substantially with one another (Gregory, ligence to influence, such as school and job per-
1998). Using a Canadian sample, Hale et al. formance. Let us examine this aspect of validity.
(2014) report reliable clusters of items on the
WISC-IV. Intelligence and academic performance.
Intelligence tests were originally developed to 19. How well do
Finally, interjudge reliability refers to con- IQ scores predict
predict academic and other forms of achieve-
sistency of measurement when different people academic, job,
ment. How valid are they for this purpose?
observe the same event or score the same test. and other life
Actually, they do fairly well and far better than outcomes?
Ideally, two psychologists who independently personality factors do (Kaia et al., 2007). Cor-
score the same test will assign exactly the same relations of IQ with school grades are in the 0.60
scores. To attain high interjudge reliability, the range for high school students and in the 0.30 to
scoring instructions must be so explicit that 0.50 range for university students (Kuncel et al.,
trained professionals will use the scoring sys- 2004). In general, then, people who score well on
tem in the same way. the tests tend to do well academically. Likewise,
374 CHAPTER TEN
university entrance examinations used in the Intelligence predicts other life outcomes
United States (such as the SAT) do predict uni- as well. People high in intelligence show bet-
versity grades, with correlations slightly below ter recovery from brain injuries (Stern, 2006).
0.50 (Willingham et al., 1990). This correlation, Moreover, intelligence literally predicts life and
which is about the same magnitude as the cor- death. In 1932, every child in Scotland who had
relation between people’s height and weight, is
been born in 1921 was administered an intel-
high enough to justify using the tests for screen-
ligence test. These children and another simi-
ing purposes but low enough to necessitate the
lar-age cohort of children tested in 1947 were
use of other predictors (such as high school
grades) in combination with SAT scores. followed as their lives unfolded (Deary et al.,
Another measure of general intelligence 2004). Higher childhood intelligence was associ-
used in selecting graduate students, the Miller ated with significantly greater survival to age
Analogies Test, successfully predicts a vari- 76 in both men and women, but the results were
ety of performance criteria, including grades, particularly striking for women (Figure 10.11).
faculty ratings, comprehensive examination Another sample of Scots born in the 1950s
scores, and number of years required to attain shows a similar pattern (Leon et al., 2009).
the advanced degree, with validity coeffi- How shall we account for these results? Is it
cients ranging from 0.35 to 0.58 (Kuncel et al., possible that cognitive ability is a reflection of
2004). There is little doubt that measures of general fitness to survive (Der et al., 2009)? The
intelligence successfully predict academic researchers suggest the possibility that lower
performance. childhood intelligence may in some cases be
influenced by prenatal or postnatal events that
Job performance, income, and longevity.
Intelligence test scores also predict military
and job performance. General mental ability
predicts both occupational level and perfor- 100
mance within one’s chosen occupation (Schmidt &
Hunter, 2004). Intelligent individuals are far 90
more likely to attain prestigious occupations.
One study followed siblings raised together, 80
thereby controlling for home background.
When the siblings were in their late 20s, men- 70
tal ability measures collected during young
Percentage alive
adulthood were related to their annual adult 60

incomes. Siblings with IQs of 120 or more were,
on average, earning $18 000 more than siblings 50
of average intelligence (Murray, 1998). Intel-
ligence correlates 0.50 to 0.70 with the level 40
IQ:
of socioeconomic status that people attain in Highest 25 percent
adulthood (Lubinski, 2004). 30 Lowest 25 percent
People with higher intelligence perform bet-
ter on their jobs, and the more complex the 20
job, the more strongly intelligence is related
to performance (Hunter & Hunter, 1984). The 10
relation is particularly striking during the job-
training period, when the superior learning 0
ability of highly intelligent people helps them 11 50 76
shine (Schmidt & Hunter, 2004). Furthermore, Age
intelligence predicts job performance better FIGURE 10.11 Does intelligence predict lifespan?
than does job experience, specific abilities, or This graph shows the relation between IQ assessed at
personality traits (Schmidt & Hunter, 2004). On age 11 and survival at ages 50 and 76 in women fol-
a broader level, national IQ predicts technologi- lowed in the Scottish Mental Survey.
source: Data from Whalley, L.J., & Deary, I.J. (2001).
cal achievement and national economic success Longitudinal cohort study of childhood IQ and survival up to
(Gelade, 2008). age 76. British Medical Journal, 322, 819–822.
Intelligence 375
also impair later health. Or perhaps good brain tests, the centre of the distribution for each
development is related to optimal development of age group from childhood to late adulthood is
other bodily organs as well. But it is also possible assigned an IQ score of 100. Because the normal
that intelligent people are more likely to engage distribution has known statistical properties, we
in healthy behaviours and to avoid unhealthy can specify what percentage of the population
ones, or that higher intelligence allows people to will score higher than a given score. Thus, as
live and work in safer physical environments or Figure 10.12 shows, an IQ score of 100 cuts the
to enjoy better nutrition, thereby helping them distribution in half, with an equal percentage
live longer and healthier lives. of the population scoring above and below this
midpoint. The farther we move from this aver-
Standardization
age score of 100 in either direction, the fewer
The third measurement requirement, standard-
people attain the higher or lower scores. The
ization, has two meanings: (1) the development 20. What are the
figure also shows the percentage of people who
of norms and (2) rigorously controlled testing two meanings of
score above certain IQ levels. On modern intelli-
procedures. The first meaning of standardiza- standardization?
gence tests, this method of assigning an IQ score
tion is especially important in providing a mean-
has replaced the original formula of mental age
ingful IQ score. It involves the collection of
divided by chronological age. Interestingly,
norms, test scores derived from a large sample
your calculated IQ can change depending on
that represents particular age segments of the
how you standardize the data. Both Harrison
population. These normative scores provide a
et al. (2015) and Miller et al. (2015) have shown
basis for interpreting a given individual’s score,
that Canadians’ calculated IQ changes depend-
just as the distribution of scores in a course
ing whether one uses the American norms or the
exam allows you to determine how well you did
Canadian norms (it is lower with the Canadian
relative to your classmates. Normative data also
norms). This may reflect smaller sample sizes
allow us to recalibrate the distribution of test
and has important implications for educational
scores so that an IQ of 100 will remain the “aver-
classifications.
age” score even if the general population’s test
performance changes over time. The Flynn effect: Are we getting smarter? The
21. What is
When norms are collected for mental skills relative nature of the IQ allows its meaning the Flynn
(and for many other human characteristics), the to be preserved even if performance changes effect? What
scores usually form a normal distribution, a within the population. A notable discovery explanations
bell-shaped curve with most scores clustering by New Zealand researcher James Flynn have been
around the centre of the curve. On intelligence (1987, 1998) suggests that much of the world’s suggested?
Average
Percentage of cases
47%
Low High
average average
15% 18%
Borderline Superior
Mentally 6% 11% Very
retarded superior
3% 1%
50 60 70 80 90 100 110 120 130 140 150

IQ score (Stanford-Binet, WAIS, and WISC)
FIGURE 10.12 The bell curve of intelligence. When administered to large groups of people, intelligence tests
yield a normal, or bell-shaped, distribution of IQ scores that has known statistical properties. The mean of the dis-
tribution is set at 100. It is possible to specify for any given score which percentage of the standardization group
achieved higher or lower scores. Common descriptive labels are shown relative to the bell-shaped distribution. The
range of scores from 90 to 110 is labelled average and includes nearly half of the population.
376 CHAPTER TEN
population is scoring progressively higher on

intelligence tests. This “rising-curve” phenom-
enon (also called the Flynn effect) has resulted
in IQ increases of 28 points in the United States
since 1910 and a similar increase in Britain since
1942. On average, IQs in the West have increased
about 3 points per decade, meaning that today’s
average IQ would be about 115 if the tests were
scored according to the norms used in 1955.
The increase seems to be occurring to the same
degree for both men and women and for differ-
ent ethnic groups (Truscott & Frank, 2001). © Stefanie Felix/The Image Works
The reasons underlying the Flynn effect
FIGURE 10.13 When administering intelligence
are not clear, but several possibilities have tests, psychologists use consistently applied instruc-
been suggested (Flynn, 1998; Neisser et al., tions and procedures to create a standardized testing
1998). One possibility is that better nutrition environment.
has helped fuel the IQ increase. Height has
also increased dramatically over the past cen- an interaction in which the examiner gives the
tury, and it, like increased brain functioning, respondent guided feedback on how to improve
may be due to nutritional gains (Lynn, 2009). performance and observes how the person uti-
Other explanations focus on the environment. lizes the information. This part of the session
Richer and more complex learning environ- provides a window to the individual’s ability
ments that require more complex coping may to profit from instruction and improve perfor-
have increased mental abilities. Likewise, tech- mance, and may disclose cognitive capacities
nological advances may have helped shape the not revealed by static testing.
kinds of analytical and abstract reasoning skills Let’s look in on a dynamic testing session
that boost performance on intelligence tests. with a five-year-old child who is being tested
22. Explain the
Whatever the reasons, however, the rising-curve for educational purposes. Daniel is impulsive in
nature and value
of dynamic phenomenon means that the intelligence score the classroom, and the teacher wants to know
testing. distribution has to be recalibrated upward peri- how best to instruct him. The child has been
odically if the average IQ is to remain at 100, the asked to draw a picture of a person (a task
traditional midpoint of the intelligence range. common to several intelligence tests) and has
hurriedly scribbled a poorly formed figure that
Testing conditions: Static and dynamic testing. merits a low score. The examiner wants to see
Test instructions and procedures are designed how much Daniel can improve with feedback:
to create a well-controlled, or standardized,
Wow, Daniel. I can really tell that that’s a
environment for administering the intelligence
boy. I see a head, two arms, and two legs.
test so that other uncontrolled factors will not
He even looks like he could be running,
influence scores. Tests like the Stanford-Binet
because his legs are kind of bent. Now we’re
and Wechsler scales have very detailed instruc-
going to work together to see if we can get
tions that must be closely adhered to, even to
this picture to look more like a boy. I think
the point of reading the instructions and items
we need to think real hard about some more
to the person being tested (Figure 10.13). The
parts that people have and just where they
goal is to make sure that all testees are respond-
need to go. I also noticed that you did this
ing to as similar a stimulus situation as possible
really fast, and that made this look kind of
so that their scores will be solely a reflection of
wobbly. So I’m going to help you slow down
their ability. This traditional approach to testing
a bit so you can make this boy stand really
is called static testing.
straight. (Lidz, 1997, p. 283)
Some theorists suggest that the static
approach to testing may reveal an incomplete By testing the limits of Daniel’s competencies
picture of a person’s abilities by measuring only and his ability to profit from various kinds of
the products of previous learning. In dynamic feedback, the dynamic tester may gain a fuller
testing, the standard testing is followed up with picture of his mental skills and may be able to
Intelligence 377
make better educational recommendations. assessment. One is to choose reasoning prob-

Dynamic testing can be particularly useful when lems that are not tied to the knowledge base of
people have not had equal learning opportuni- any culture but that reflect the ability to pro-
ties, as occurs in disadvantaged groups. Equally cess and evaluate stimulus patterns. The prob-
important is the fact that dynamic feedback lem shown in Figure 10.14 resembles one on
tends to improve test scores, and these new the Raven Progressive Matrices, a test that is
scores often relate more highly to educational frequently used to measure fluid intelligence
outcomes than do the original test scores (Lidz, (Raven, 1962). On this non-verbal task, you
1997). Dynamic testing can be particularly useful must detect relationships and then decipher the
and revealing when testing people from cultures rules underlying the pattern of drawings in the
that are not accustomed to taking Western-style rows and columns of the upper figure. Finally,
tests (Sternberg, 2004), as well as children with you must use this information to select the fig-
learning disabilities (Tzuriel, 2000). ure that is the missing entry from the eight alter-
natives below. The Raven test has been used in
many cultures and measures a general mental
Assessing Intelligence
capacity that is also measured by traditional
in Non-Western Cultures intelligence tests in our culture (Jensen, 1998).
Special challenges await the psychologist who Scores on the Raven correlate positively with
23. How is
wants to assess intelligence in non-Western measures of IQ derived from traditional tests, intelligence
cultures. Traditional intelligence tests such as yet they seem to be more “culture fair.” assessed in
the WAIS and the Stanford-Binet draw heav- A second and more challenging approach is non-Western
ily on the cognitive skills and learning that are to create measures that are tailored to the kinds cultures?
needed to succeed in Western educational and of knowledge and skills that are valued in the
occupational settings. They tend to have strong particular culture. Such tests may measure how
verbal content and to rely on the products of smart an individual is in terms of the practical
Western schooling. Taken into a cultural con- skills and adaptive behaviours within that cul-
text where smart is defined in different ways ture. Scores may be unrelated or even nega
and requires other kinds of adaptive behaviour, tively correlated with other measures of
such tests cannot hope to measure intelligence intelligence, yet they may predict successful
in a valid fashion (e.g., Suzuki et al., 2014). For functioning within that culture (Sternberg,
example, the WAIS does not measure the ability 2004). If intelligence is defined as the ability to
to create herbal medicines, construct shelters, engage in culture-specific adaptive behaviour,
or navigate in the open sea. Robert Sternberg then who is to say that the culture-specific mea-
(2003, 2004) has advanced a theory of success- sure is not a valid measure of intelligence in
ful intelligence in which intelligence is what- that context?
ever is required to meet the adaptive demands
of a given culture. Sternberg believes that fun- Galton resurrected: Intelligence and neural
damental mental skills (the metacomponents efficiency. The scientific study of intelli
described earlier) are required for successful gence began in part with Sir Francis Galton’s
behaviour in any culture. These include the abil- attempts to develop measures of nervous 24. What
ity to mentally represent problems in a way that system efficiency that might underlie mental evidence exists
facilitates their solution, to develop potential skills. As noted earlier, these attempts fell into that brain size
solutions and choose successfully from among disfavour because scores on his measures were and neural
efficiency
them, to utilize mental resources wisely, and to unrelated to one another and to external crite-
underlie high
evaluate the effects of one’s action plans. What ria of success. As tools for directly measuring intelligence?
differs is the kinds of problems to which these brain functions become more sophisticated,
basic intellectual skills are applied (Sternberg & however, Galton’s legacy lives on in current 25. What
Grigorenko, 2006). People from different cul- attempts to relate neural measures to IQ (e.g., evidence is there
tures may think about the same problem in very Posthuma et al., 2001, 2002). that intelligence
might involve
different ways (Nisbett, 2003). Two types of evidence suggest that this
neural
Two main approaches have been taken to line of research may bear fruit. The first efficiency?
meet the challenges of cross-cultural intelligence comes from electrophysiological studies of
378 CHAPTER TEN
1 2 3 4
5 6 7 8
FIGURE 10.14 Culture-fair measurement? This problem is similar to those on the Raven Progressive Matrices
test. This non-verbal measure tests fluid-intelligence ability, requiring subjects to perceive relationships and deci-
pher the rules underlying the pattern of drawings in the rows and columns of the upper figure and then to select the
figure that is the missing entry from the eight alternatives below. (The answer appears at the end of the chapter.)
Source: Adapted from P.A. Carpenter, M.A. Just & P. Shell, 1990, “What One Intelligence Test Measures,” Psychological Review,
97, 404-431, Fig 2. Copyright © 1990 by the American Psychological Association. Reprinted by permission.
brain responses to visual and auditory stimuli. to predict external achievement criteria, as tra-
Modest relations have been shown between ditional intelligence tests do.
traditionally measured IQ and both the nature Some neuroscientists believe that individual
and speed of the brain’s electrical response to differences in brain plasticity—the ability of
stimuli. These electrical responses may reflect the brain to change by forming new connections
the speed and efficiency of information pro- among neurons in response to environmental
cessing in the brain (Barrett & Eysenck, 1992; input—may be the key neural factor underlying
Caryl, 1994). differences in intelligence (Luders et al., 2009;
The second line of evidence comes from Rushton & Davison, 2009). The ability to quickly
studies of brain metabolism. PET scans of peo- establish new neural networks would increase
ple’s brains taken while they engage in problem- processing speed and efficiency, and people
solving tasks have shown lower levels of glucose with brains capable of greater plasticity would
consumption in people of high intelligence, sug- therefore develop better intellectual skills. This
gesting that their brains are working more effi- suggestion receives support from evidence that
ciently and expending less energy (Haier et al., there may be a critical period for the growth of
1993). Intelligence also involves speed of pro- new neural circuits that ends at about age 16,
cessing, which relates to the efficiency of neural the same age period by which crystallized intelli-
connections (Hunt, 2007). Whether these find- gence seems to achieve stability (Garlick, 2002).
ings herald a new way of measuring intelligence Some authors have even suggested that size of
is an unanswered question. The proof of this one’s brain may be critical. We examine this idea
pudding will be in the ability of such measures in the Focus on Neuroscience feature.
Intelligence 379
Focus on
Neuroscience
BRAIN SIZE AND INTELLIGENCE correlation has been shown to be in the 0.35 to 0.45 range,
and even as high as 0.60 when the most precise measures
The brain is clearly the locus of intellectual activities. For a of general intelligence (g factor) are used (Haier et al.,
brain to operate more efficiently, it makes sense that hav- 2009; McDaniel, 2005).
ing more neurons, or more connections among them, might These findings are intriguing, but before you conclude
be advantageous, especially if they were in the areas most that the larger your brain is, the more intelligent you’re
involved in processing information. This notion has spurred likely to be, consider these points:
attempts to relate brain size with intelligence. As noted in
Chapter 3, evolutionary evidence indicates a progressive • Neanderthals, ancient humans hardly known for their
increase in brain size as humanoid species evolved over the intellectual brilliance, had slightly larger brains than we
ages. Particularly evident is growth in the parts of the brain do (Kolb & Whishaw, 2005).
involved in higher mental functions, especially the cerebral • Women and men have virtually identical mean IQs, but
cortex and frontal lobes (Kolb & Whishaw, 2005). Not sur- women’s brains are smaller on average (Ankney, 1992).
prisingly, therefore, scientists have revisited Sir Francis Gal-
• Other research, beginning with Galton’s, indicates that
ton’s original hypothesis that individual differences in brain
brain size is minimally related to intelligence, and the
size might be related to intellectual competency.
meaning of even this weak correlation is not clear. Does
One intriguing way of testing this hypothesis is to study
larger brain mass cause intelligence, do lots of “intelli-
the brains of dead geniuses to see whether they differ from
gent” interactions with the environment facilitate brain
the brains of less-brilliant people and, if so, how. After Albert
growth, or do other factor(s) cause both brain mass and
Einstein’s death in 1955, a Missouri physician removed and
intelligence?
preserved his brain. The brain has undergone several analy-
ses by neuroscientists over the years. The examinations The size of certain brain areas may indeed result in more
have shown that Einstein’s brain was not larger than aver- efficiency on certain types of tasks. Colom et al. (2008)
age overall; in fact, it was actually smaller than average in report that the thickness of the prefrontal, frontal, and pari-
some regions. But it was indeed bigger in some ways. His etal lobes was correlated with measures of both fluid and
parietal lobes were densely packed with both neurons and crystallized intelligence. Gregory et al. (2016) have dem-
glial cells, which produce nutrients for neurons and support onstrated that the degree of folding or gyrification in the
them. As a result, his parietal lobes were about 15 percent prefrontal cortex is related to general cognitive ability. Haier
wider than normal. So densely was this brain area packed et al. (2005) have shown that different amounts of white
that some major fissures were no longer visible. Signifi- and grey matter are devoted to intelligence in men and
cantly, this area of the brain is involved in mathematical women. In general, men have about 6.5 times as much grey
thinking and visuospatial functions—precisely the kinds of matter (related to general intelligence) as women do, but
abilities that seemed to underlie Einstein’s creative genius women have almost ten times the amount of white matter.
(Witelson et al., 1999). Thus, it would appear that males have greater information-
Prior to 1990, the research involving brain size and intel- processing capacity, but women have superior connectivity.
ligence with living individuals required a rather crude mea- This variation could well explain reported sex differences in
sure of brain size—the size of the skull. This is a rather cognitive abilities (see this chapter’s Research Foundations
crude measure to be sure (Luders et al., 2009). Nonethe- feature). In addition, the areas related to general intelligence
less, the correlations using this measurement were about tended to be more centralized (e.g., in the frontal lobe)
0.20, suggesting a very modest relationship between in women than in men. These anatomical differences
brain size and intelligence (Rushton & Davison, 2009). In would appear to occur early in biological development
more recent research using MRI imaging techniques, the (Schmithorst & Holland, 2007).
HEREDITY, ENVIRONMENT, brain development. Likewise, genetic factors 26. What

can influence the effects produced by the envi-
AND INTELLIGENCE ronment. For example, genetic factors influ-
evidence supports
a genetic
Genes and environment both influence intel- ence which environments people select for contribution to
ligence, but they rarely operate independently themselves, how they respond to the environ- intelligence, and
how much IQ
of one another. The environment can influence ment, and how the environment responds to
group variation is
how genes express themselves, as when prena- the person (Plomin & Spinath, 2004; Scarr & accounted for?
tal factors or malnutrition retard gene-directed McCartney, 1983).
380 CHAPTER TEN
In Review
• Most modern intelligence tests, such as the • The Flynn effect refers to the notable rise in
Wechsler scales, measure an array of different intelligence test scores over the past century,
mental abilities. In addition to a global, or full- possibly due to better living conditions, more
scale, IQ, they provide scores for each subtest schooling, or more complex environments.
and summary scores for broader abilities, such • In dynamic testing, standard test administration
as verbal and performance IQs. Some recent is followed by feedback and suggestions from
tests are derived directly from theories of intel- the examiner and a retaking of the test, thus
ligence. The Kaufman scale provides separate allowing an assessment of how well the person
scores for crystallized and fluid intelligence, and profits from feedback and how intellectual skills
Sternberg’s STAT measures analytical, practical, might be coached in the future. Dynamic test-
and creative intelligence. ing provides information that static testing does
• Achievement tests measure what has already not, and retest scores sometimes relate more
been learned, whereas aptitude tests are strongly to criterion measures.
assumed to measure potential for future learning • Intelligence testing in non-Western cultures is
and performance. Most intelligence tests mea- a challenge. One approach is to use tests that
sure combinations of achievement and aptitude, are not tied to any culture’s knowledge base.
for it is difficult to separate past learning and Another approach is to devise tests of the abili-
future learning potential. ties that are important to adaptation in that cul-
• Three important standards for psychological ture. These culture-specific abilities may bear
tests are reliability (consistency of measurement little relation to the mental skills assessed by
over time, within tests, and across scorers), valid- Western intelligence tests.
ity (successful measurement of the construct • Recent physiological evidence suggests that the
and acceptable relations with relevant criterion brains of intelligent people may function more
measures), and standardization (development of efficiently. Brain size is not significantly related
norms and standard testing conditions). to intelligence, but the neural networks laid
• IQ scores successfully predict a range of aca- down in the process of brain development may
demic, occupational, and life outcomes, includ- be extremely important. One current theory is
ing how long people live. Such findings indicate that differences in brain plasticity may underlie
that intelligence tests are measuring important intelligence.
adaptational skills.
As we saw in Chapter 4, intelligence clearly that new genes come on line to affect intel-
has a strong genetic component, with herita- ligence as more-advanced cognitive processes
bility coefficients ranging between 0.50 and emerge during development. Another is that
0.70 being reported consistently in both twin genetic influences snowball during develop-
and adoption studies (Plomin et al., 2007). ment as people create and select environ-
This indicates that more than half, and per- ments that are compatible with their genetic
haps more than two-thirds, of the within- characteristics.
group variation in IQ is attributable to genetic Although genes are important foundations
factors. Overall, the pattern is quite clear: of the g factor (Bouchard, 2014; Plomin et al.,
The more genes people have in common, the 2007), there clearly is not a single “intelligence
more similar they tend to be in IQ. In identical gene.” The diverse abilities measured by intel-
twins, the IQ correlation remains at about 0.80 ligence tests are undoubtedly influenced by
from age four through adulthood. In adult- large numbers of interacting genes, and dif-
hood, correlations for fraternal twins drop to ferent combinations seem to underlie specific
around 0.40. Doubling this difference in cor- abilities (Lykken, 2006; Plomin & Spinath,
relations yields a heritability coefficient of 2004). The newly acquired ability to measure
0.80 in adulthood, indicating that genetic fac- the genome directly has led to a search for spe-
tors become even more important as we age cific genes and gene combinations that underlie
(Plomin & Spinath, 2004). One reason may be intelligence. This search brings us ever closer to
Intelligence 381
an understanding of the neurological basis for general intelligence correlate around 0.40 with
human cognition, and a handful of candidate the socioeconomic status of the family in which
genes associated with intelligence have already a child is reared (Lubinski, 2004).
been identified (Deary et al., 2006; Posthuma & Recall also the Flynn effect, the notable IQ
de Geus, 2006). increases that have occurred in Western coun-
Genes are not the whole story, however tries during the last century. It’s highly unlikely
27. How much
(Daw et al., 2015). As we noted in Chapter 4 that genetic changes can explain such gains.
do family
(Table 4.2), IQ correlations for identical twins More likely, they are due to better and lon- and school
raised together are slightly higher than those ger schooling during the past century, more- environments
for identical twins raised apart. The same is true complex and stimulating environments provided contribute to
for other types of siblings raised together and by better-educated parents, and by technological intelligence?
raised apart. This rules out an entirely genetic advances (even TV and video games), as well as
explanation. Although one’s genotype is an better nutrition (Greenfield, 1998). Although the
important factor in determining intelligence environment we live in may be more complex,
test scores, environment seems to account fast-paced, and stressful than it was a century
for 30 to 50 percent of the IQ variation among ago, it is also more conducive to learning the
people. Both shared and unshared environmental skills that are assessed on measures of
mental factors are involved (Schermer et al., intelligence.
2015). Behaviour-genetic studies indicate that As we might expect, educational experiences
between a quarter and a third of the population can have a significant positive impact on intelli-
variability in intelligence can be attributed to gence. Many studies have shown that school atten-
shared environmental factors, particularly the dance can raise IQ and lack of attendance can
family environment (Figure 10.15). The impor- lower scores (Ceci & Williams, 1997). It appears
tance of the home environment is also shown that the opportunity to practise mental skills such
in studies of children who are removed from as those assessed on cognitive tests is important in
deprived environments and placed in middle- solidifying mental skills. Research on intelligence
or upper-class adoptive homes. Typically, such has had a strong impact on educational curricula,
children show a gradual increase in IQ on the and much has been learned about what, when, and
order of 10 to 12 points (Scarr & Weinberg, 1977; how to teach. School-related gains in intelligence
Schiff & Lewontin, 1986). Conversely, when are most likely to be observed under the following
deprived children remain in their impoverished conditions (Mayer, 2000):
environments, they either show no improve- • Rather than “teaching to” general mental abil-
ment in IQ, or they actually deteriorate intel- ity, help students learn the specific cognitive
lectually over time (Serpell, 2000). Scores on skills and problem-solving approaches that
(left): © Jim Cummins/Corbis; (right): © Tomasz Tomaszewski/National Geographic/Getty Images
FIGURE 10.15 Shared family environment has a significant influence on intelligence, accounting for between
a quarter and a third of IQ variation in children.
382 CHAPTER TEN
underlie success in particular subjects. This Many children begin their lives in conditions
28. What effects
is an outgrowth of education’s increasing de- that are not conducive to developing intellectual
have been
emphasis on the g factor and renewed empha- skills. An important outgrowth of intelligence
shown in early-
intervention sis on the development of specific mental skills. research is the attempt to intervene early in the
programs for • Replace the traditional emphasis on repeti- lives of such children. The Applications feature
disadvantaged tion and rote learning of facts with instruc- examines several of these programs and what
children? they’ve accomplished.
tion in how to learn, critically think about,
and apply course content. In this approach,
teachers function as “mental coaches.” GROUP DIFFERENCES IN
• Rather than waiting until low-level skills INTELLIGENCE
have been mastered before teaching learning
tools such as memory-enhancement strate- Some of the most controversial issues in the
gies, apply this “learning to learn” approach study of intelligence revolve around group dif-
from the very beginning so that the skills ferences. Ethnic and social-class differences
are applied to even the most-basic course exist, as do differences between men and women.
content. The meaning of these differences—and their
Applications
EARLY-CHILDHOOD INTERVENTIONS: A
MEANS OF BOOSTING INTELLIGENCE?
The belief that early-childhood education can influence
the life success of poor children can be found in the
18th-century writings of the French social philosopher
Jean-Jacques Rousseau. In the United States today, that
belief translates into the annual expenditure of more
than $10 billion on early-intervention programs designed
to reverse the downward course of cognitive and social
development, school dropout rate, and joblessness that
is so often seen in children from low-income families
(Ramey et al., 1998).
In the 1960s, researchers and educators in the United
States began to design early-childhood intervention pro-
grams, such as Head Start, in an attempt to compensate
for the limited learning environments of disadvantaged chil- © Banana Stock/AGE Fotostock
dren. Head Start began as a summer program and gradu-
ally increased in scope. But even when it was extended to FIGURE 10.16 The Abecedarian Program provided
a full school year, Head Start was only a half-day program intensive preschool learning experiences for low-income,
high-risk children. Here a trainer in an early-intervention
that did not begin until age four. The results were disappoint-
program teaches number concepts to preschool children.
ing. Within two years, Head Start children were performing
in school no better than children who had not attended Head
Start (McKey et al., 1985). randomly assigned to an experimental preschool program
What had gone wrong? Was the Head Start program too or to a control group whose families received normal social
little, too late? How much might a more intensive program services. The preschool group was given an intensive early-
begun earlier in life help disadvantaged children? These childhood educational program beginning when they were
questions inspired several notable intervention programs, six months old and continuing until they began kindergarten
namely, the Abecedarian Program and the High/Scope at five years of age. Within an educational child-care set-
Perry Preschool Program. ting, highly trained preschool personnel exposed the chil-
Participants in the Abecedarian Program were healthy dren to many stimulating learning experiences designed to
infants born to impoverished families in a southern U.S. foster the growth of cognitive skills (Figure 10.16). At age
community. Many were African-American. The children were five, the preschool program ended, but half of the preschool
continued
Intelligence 383
children and half of the control children were enrolled in a 80

80
special home-and-school educational program during the
first three years of school. This experimental design allowed
70
the researchers to test the effects of early versus later 66 Program
intervention. No program
The long-term effects of the program have now been 60 59
evaluated. By the time the children had been in the program
Percentage at age 27
for one year, they tested 18 IQ points higher than the con- 50
trol group. By age 15, the IQ advantage of the children in 45
the preschool condition had decreased to about five points, 40
but they also had higher scores on standardized tests of 35 36
reading and mathematics than did the control-group chil-
30 29
dren. Only about half as many had been held back a grade
or placed in special education.
A particularly notable IQ effect was found for children 20
in the preschool condition whose mothers were mentally 13
retarded, having IQs below 70. In this sample, every one of 10 7 7
the children who had the early intervention attained an IQ at
least 20 points higher than their mother’s, with an average 0
difference of 32 IQ points. No such effect was found in the 5+ Arrests Ever on Graduate $2000+/ Own home
control group (Landesman & Ramey, 1989). A difference of welfare on time month
income
this magnitude is truly remarkable for children of mentally
retarded parents, one reason being that such parents are FIGURE 10.17 Effects of early intervention. This graph
unable to provide much in the way of intellectual stimula- shows the differences by age 27 between disadvantaged chil-
tion for their children. Apparently, the preschool program dren who received the High/Scope Perry Preschool Program
provided the environmental stimulation needed for normal and matched control children.
intellectual development to occur. Source: Schweinhart, Lawrence J., and David P. Weikart. Figure 5.1,
What of the control-group children who did not attend “Major Findings at Age Twenty-Seven.” In Social Programs That Work.
© 1998 Russell Sage Foundation, 112 East 64th Street, New York, NY
the preschool program but were exposed to the special 10021. Reprinted with permission.
program from five to eight years of age? This delayed
training had little effect on any of the outcome measures.
Also, the later training had almost no added effects on assistance, exhibited better academic performance and
the children who had been in the preschool program. It progress, and had higher incomes and home ownership.
thus appears that early intervention has a much stronger A cost-benefit analysis showed that the early-intervention
effect than does later training. By the time disadvantaged program provided taxpayers with a return of $7.16 for
children are in school, it may be too late to influence their every dollar invested in the program (Schweinhar t &
future cognitive development to any great degree (Ramey & Weikart, 1998).
Ramey, 1998). Does early intervention work? The Abecedarian and
The Abecedarian Program showed positive intervention High/Scope Perry programs suggest that it can provide
effects that were still apparent in adolescence. What effect social, intellectual, educational, and psychological divi-
does early intervention have on later adult functioning? dends if the program is intensive enough and administered
Here, we turn to another program, the High/Scope Perry Pre- very early in life (Masten & Coatsworth, 1998; Reppucci
school Program, carried out with African-American children et al., 1999). A more recent early-intevention program con-
who lived in an impoverished area of Ypsilanti, Michigan. ducted with low-birth-weight children, also considered at
The participants were considered at high risk for educa- risk for later cognitive impairment and academic failure,
tional and social problems. They were two or three years showed significant IQ gains of seven to ten points, but
old when they were matched on IQ and family variables and only for those children who had attended the program for
randomly assigned to either an intensive preschool program at least 400 days between the ages of two and three (Hill
or a control group that did not receive the program. The et al., 2003). We should also note that the positive effects
intervention continued for three years. of early-intervention programs seem to occur only for
The two groups of children have been followed up into disadvantaged children, for whom quality programs offer
adulthood and the results are encouraging. Figure 10.17 learning opportunities and support that the children would
compares what happened to the two groups in the not experience at home. Such programs do little for middle-
22 years after the program ended. The early-education and upper-class children who already have those resources
group had lower crime rates, required less welfare in their homes (Hetherington, 1998).
384 CHAPTER TEN
political, social, and educational implications— rankings (e.g., Lynn & Cheng, 2013; Rushton,
has often sparked bitter debate and, at times, 2012), but because the questions under scrutiny
discriminatory policies. It has also inspired ste- are complex and the evidence does not warrant
reotypes about certain groups and influenced any simple conclusions, the debate is unlikely to
the self-image of group members. be resolved any time soon.
Where ethnic groups are concerned, everyone
Ethnic Group Differences agrees on certain facts. Today, there are con-
Some of the most contentious debates in psy- sistent differences in the average intelligence
chology have concerned the existence and test scores of members of different racial and
meaning of ethnic and racial group differ- national groups. National comparisons indicate
ences in intelligence. Discussions of intellec- that Japanese children have the highest mean IQ
tual differences between ethnic groups and in the world (Hunt, 1995). Their mean score of 111
between men and women touch on deeply held places 77 percent of Japanese children above the
notions of social equality. Consider the case mean scores of North American and European
of J. Philippe Rushton at Western University. children. Within the United States, significant eth-
Rushton (1995) suggested that on over 60 mea- nic differences also exist. Asian Americans test
sures, ranging from intelligence, to brain size, slightly below White American norms on verbal
to a host of physical and social variables, skills but somewhat higher on tests related to
there was a consistent pattern: Individuals of spatial and mathematical reasoning. Hispanic
East Asian descent scored the “highest,” those people who have become U.S.-acculturated score
of African descent scored the “lowest,” and at about the same level as White Americans.
Caucasians fell in the middle. There was an African Americans score, on average, about 12 to
immediate flurry of political activity following 15 IQ points below the White American average
Rushton’s announcement of these findings at a (Jencks & Phillips, 1998).
conference. Rushton was investigated by both This, of course, does not mean that all
the Ontario Provincial Police and the Ontario White Americans and Hispanic Americans test
Human Rights Commission. The premier of lower than Asian Americans or that all African
Ontario called for his dismissal, and the univer- Americans test lower than the other ethnic
sity was forced to cancel all classes taught by groups. There is great overlap among group IQ
Rushton for safety considerations. Over the past distributions, and in all groups, some individu-
two decades, there have been many supporters als score at the highest levels. Nonetheless, the
of Rushton’s right to publish articles on these average group differences are large enough to
matters, while many others have argued that the have practical consequences, such as ethnic dif-
work encourages hatred and, consequently, vio- ferences in academic achievement. However,
lates the Ontario Human Rights Code. Similar a recent report by Nisbett et al. (2012) sug-
observations have been reported in the United gests that the gap is narrowing, but it still
States. For example, in 1969, in the midst of the exists—although other authors (e.g., Woodley &
civil rights struggle, an article in the Harvard Meisenberg, 2012) suggest that these conclu-
Educational Review by Arthur Jensen sparked sions are not justified. The unanswered question
debate and, in many quarters, outrage. Jensen is as follows: Where do these differences come
concluded that because the heritability of intel- from? Much work is currently underway to sep-
ligence is substantial, genetic differences are arate science from myth (Fish, 2002).
“strongly implicated” in ethnic group differ-
ences in intelligence. A quarter century later, Are the Tests Biased?
in a New York Times bestseller titled The Bell Keep in mind that these group differences apply
Curve, Richard Herrnstein and Charles Murray to test scores, which are the standard opera-
(1994) painted a pessimistic picture of the future tional definition of the construct we call intelli-
for ethnic groups that lag behind in genetically gence. Some have expressed concerns that these
influenced mental competencies. Like Jensen’s tests underestimate the mental competence
article, The Bell Curve evoked considerable of minority group members because the tests
controversy. There are numerous articles that are based on Euro-American White culture and
support the Asian, Caucasian, and African therefore are culturally biased.
Intelligence 385
True mental Obtained IQ Predicted criterion

ability score measure
Outcome bias Predictive bias
FIGURE 10.18 Test bias can take two forms. Outcome bias would occur if the nature of the test items signifi-
cantly underestimated true mental ability because of factors such as cultural relevance. Predictive bias would occur
if test scores predicted criterion measures accurately for one group, but not for another.
Test bias can actually take two forms (Fig than African-American children are raised
ure 10.18). Outcome bias refers to the extent and schooled in enriched environments that
that a test underestimates a person’s true intel- optimize the development of cognitive skills.
lectual ability. Predictive bias occurs if the However, social changes over the past 25 years
test successfully predicts criterion measures, have provided African Americans with greater
such as school or job performance, for some access to educational and vocational oppor-
groups but not for others (Serpell, 2000). tunities and have coincided with an increase
Defenders of intelligence tests dismiss both in African-American IQs that has reduced the
types of bias. They point out that ethnic group IQ difference between African Americans and
differences appear throughout intelligence White Americans by about a third (Barnett &
tests, not just on those items that would, at face Camilli, 2002). These shrinking ethnic differ-
value, appear to be culturally biased (Jensen, ences also extend to reading and mathemat-
1980, 1998). They also point out that intelligence ics achievement tests in Grades 1 through 12,
test scores predict the performance of minority as well as to standardized university entrance
group members as accurately as they predict exams in the United States (Block, 2002).
White people’s performance (Barrett & Depinet, People who are impressed by this decreas-
1991; Kuncel et al., 2004). For example, even ing test gap tend to attribute ethnic differ-
though African Americans as a group score ences to environmental differences that could
lower than White Americans, the tests predict be changed, ranging from nutritional factors
academic and occupational performance with to educational opportunities (Grigorenko,
equal accuracy for both racial groups, indicat- 2003; Nisbett, 1998). Meredith Phillips and
ing that they are measuring relevant mental colleagues (1998) analyzed a wide range of
skills (Hunt, 1995). Test critics remain uncon- family-environment factors in relation to intel-
vinced, asserting that current measures can be lectual differences between five- and six-year-
outcome-biased in underestimating the mental old African-American and White children. They
skills of ethnic minorities. concluded that family-environment factors
alone could account for about two-thirds of the
What Factors Underlie the Differences? test score gap. Figure 10.19 provides an agricul-
The next dispute about racial differences is a tural analogy of how environmental factors (in
rather different one. The nature–nurture dis- this case, rich or poor soil) can produce group 29. What
cussion tentatively accepts the differences in differences even for a genetically influenced explanations
measures of mental abilities as being real and variable. have been
then asks why they exist. Consider the differ- The key role played by the social envi- offered for
differences in IQ
ences between White Americans and African ronment also may be illustrated by a histori-
between ethnic
Americans. On the nurture side, there is no cal example involving a different minority groups?
question that a higher proportion of White group. Early in the 20th century, the average
386 CHAPTER TEN
Barren soil
Within-group differences
(cause: genetic variations
in the seeds)
Between-group
differences
(cause: the soils in which
the plants were grown)
Fertile soil
Within-group differences
(cause: genetic variations
in the seeds)
FIGURE 10.19 Heredity and environment. The interaction of heredity and environment is shown in this agri-
cultural analogy. Seeds planted in fertile soil will be, on average, larger than those planted in barren soil. This
between-groups variability is attributable to environment. Within each field, however, plants will also differ in size
as a result of genetic factors. Applied to intelligence, this analogy indicates how between-group differences could
result from environmental factors despite the fact that intelligence has a strong genetic component.
Italian-American child had an IQ of 87, about Sex Differences in Cognitive

the same as the average score of African
Abilities
Americans today. Henry Goddard (1917), a
leading hereditarian researcher of the time, Men and women differ in physical attributes and
30. What sex concluded that 79 percent of Italian-American reproductive function. They also differ in their
differences exist performance on certain types of intellectual
in cognitive immigrants were “feebleminded,” posed a
danger to the U.S. gene pool, and should tasks. The gender differences lie not in levels of
skills? What
biological and not be allowed to immigrate to the United general intelligence but rather in the patterns of
environmental States. Today, the average Italian-American cognitive skills that men and women exhibit (e.g.,
factors might be student obtains an above-average IQ (Ceci, Pezzuti & Orsini, 2016). Men, on average, tend to
involved? outperform women slightly on certain spatial
1996). Obviously, genetic changes in Italian
Americans could not produce a gain of this size tasks, such as the ones shown in Figure 10.20. Men
over such a short time. Cultural assimilation are more accurate in target-directed skills, such
and educational and economic opportunity as throwing and catching objects, and they tend
seem much more reasonable explanations for to perform slightly better on tests of mathemati-
this pronounced increase in test scores. cal reasoning (Gallagher et al., 2000). Women,
Another factor worth noting is a tendency, on average, perform better on tests of percep-
even among some scientists, to overemphasize tual speed, verbal fluency, and mathematical cal-
genetic differences between groups. Indeed, culation and on precise manual tasks requiring
where measured directly, genetic differences, fine-motor coordination (Collins & Kimura, 1997;
like test scores, tend to be greater within Lippa, 2005). Although typically small, these abil-
any given racial group than they are between ity differences have been reported quite consis-
racial groups (Block, 2002). For example, tently by researchers (Halpern, 2004; Hampson &
both African Americans and White Americans Kimura, 1992; Hines, 2005). Keep in mind, how-
exhibit greater genetic variation among them- ever, that men and women also vary consider-
selves than that which exists between the aver- ably among themselves in all these skills, and the
age African American and the average White performance distributions of males and females
American. overlap considerably.
Intelligence 387
Problem-solving tasks Problem-solving tasks

favouring women favouring men
Women tend to perform better than men Men tend to perform better than
on tests of perceptual speed, in which women on certain spatial tasks. They
people must rapidly identify matching do well on tests that involve mentally
items—for example, pairing the house rotating an object or manipulating it in
on the far left with its twin. some fashion, such as choosing which
of the three objects at right is the same
as the one on the left.
On some tests of ideational fluency, for

example, those in which people must list
objects that are the same colour, and on
tests of verbal fluency, for example, Men also are more accurate than
those in which participants must list women in target-directed motor skills,
words that begin with the same letter, such as guiding or intercepting
women also outperform men. projectiles.
Limp, Livery, Love, Laser,

Liquid, Low, Like, Lag,
L Live, Lug, Light, Lift, Liver,
Lime, Leg, Load, Lap,
Lucid . . .
FIGURE 10.20 Male–female cognitive differences. Some of the most consistent gender differences in cognitive
abilities reported in the scientific literature occur on tasks like these.
Adapted from Kimura, D. (1992). Sex differences in the brain. Scientific American, 267, 119–195.
Psychologists have proposed explanations Burgaleta et al. (2012) report that sex differ-
for these gender differences, citing both bio- ences in mental rotation tasks are related to
logical and environmental factors. The envi- the amount of grey matter (favouring males),
ronmental explanations typically focus on while differences in verbal skills are related
the socialization experiences that males and to the amount of white matter (favouring
females have as they grow up, especially the females). Increasingly, biological explana-
kinds of sex-typed activities that boys and girls tions have focused on the effects of hormones
are steered into (Crawford & Chaffin, 1997). on the developing brain (Halpern & Tan, 2001;
Prior to the early 1980s, for example, boys Hines, 2005). These influences begin during a
were far more likely than girls to play sports critical period shortly after conception, when
that involve throwing and catching balls, which the sex hormones establish sexual differen-
might help to account for their general superior- tiation. The hormonal effects go far beyond
ity in this ability. Evolutionary theorists have reproductive characteristics, however. They
also weighed in on the differences, suggesting also alter brain organization and appear to
that sex-role specialization developed in ances- extend to a variety of behavioural differences
tral environments. Men’s roles, such as navigat- between men and women, including aggres-
ing and hunting, favoured the development of sion and problem-solving approaches (Hines,
the visuospatial abilities that show up in sex- 2005; Lippa, 2005).
difference research. Women’s roles, such Do hormonal factors also influence cognitive
as child-rearing and tool-making activities, performance later in life? Several studies have
favoured the development of verbal and manual- shown that fluctuations in women’s hormonal
precision abilities (Joseph, 2000). levels during the menstrual cycle are related to
From a biological perspective, these dif- fluctuations in task performance. This research
ferences may reflect structural differences in is discussed in the Research Foundations
the brains of men and women. For example, feature.
388 CHAPTER TEN
Research
Foundations
EFFECTS OF HORMONAL FLUCTUATIONS finger tapping (tapping a telegraph key with the index fin-
ON PERCEPTUAL AND MOTOR SKILLS ger), pegboard assembly (inserting pegs into a board to
assemble various targets), and a test of manual sequencing
Introduction in which participants first learn a series of movements and
Gonadal steroids have been shown to influence sex-linked are then tested under speeded conditions. The women also
behaviour in a variety of nonhuman species (e.g., Hines & completed a mood inventory prior to each session.
Gorski, 1985). Much of this work has focused on repro-
duction, but other behaviours (such as bird song) may be Results
influenced as well. Could some of the sex differences in The women were significantly less accurate on the Rod-and-
cognitive abilities among humans also be influenced by hor- Frame task during the midluteal phase than during men-
monal fluctuation? This intriguing question is addressed in struation (see Figure 10.21). The rod was set more degrees
the following study by Hampson and Kimura (1988). off true vertical when levels of estrogen and progesterone
were high. In contrast, performance on the manual coor-
Method dination tasks was better during the midluteal phase than
Thirty-four women with regular, spontaneous menstrual during menstruation. Participants assembled more peg
cycles were recruited for the study. The average age of components, required less time on the speeded manual
the participants was 24.65 years and most (32) were right- coordination task, and achieved higher accuracy during the
handed. All participants were tested twice, approximately midluteal phase. The mood inventory revealed no signifi-
six weeks apart. For each woman, one testing session was cant differences in affect for the two sessions. Thus, mood
scheduled during menstruation (day 3, 4, or 5). At this time, cannot account for any of the observed differences.
levels of estrogen and progesterone are low. The second In a separate study, results were obtained for a group of
testing session took place when levels of estrogen and pro- women who were on oral contraceptives. Their performance
gesterone were much higher—seven days before the onset
of menstruation (the midluteal phase). Order of testing was
counterbalanced across all participants. 7
At each of the sessions, the women completed a bat-
tery of cognitive and motor tests. These tests included the 6
portable Rod-and-Frame test (Oltman, 1968; Witkin et al.,
1962) and three tests of manual coordination. The Rod-
and-Frame test requires the participant to align a rod to the 5
Absolute error (degrees)
true vertical position when it is presented against a tilted

background. Typically, men are more accurate at this test
4
than women are. The manual coordination tests included
Design
2
Question: Do levels of estrogen and progesterone
affect cognitive and motor abilities in women?
1
Type of Study: Experimental (within-subjects)
Independent 0
Variable Midluteal Menstrual
Dependent group group
Time of testing, two
times Variable (N = 17) (N = 17)
• seven days before Performance on a
onset of variety of cognitive FIGURE 10.21 Rod-and-Frame performance.
menstruation and motor tasks Source: Hampson, E., & Kimura, D. (1988). Reciprocal effects of
• middle of the hormonal fluctuations on human motor and perceptual-spatial skills.
menstrual cycle Behavioral Neuroscience, 102(3), pp. 456-459. Reprinted with
permission by American Psychological Association.
continued
Intelligence 389
on speeded tasks was even better than that of the midluteal (Hall & Kimura, 2005). On a throw-to-target task, hetero-
group. This result could be expected given the elevated lev- sexual men outperformed heterosexual women, but gay
els of estrogen and progestin from the oral contraceptives. men were less accurate than heterosexual men, and les-
bian women were more accurate than heterosexual women.
Discussion These results held when sports history and hand strength
The women in this study performed differently at different were controlled. Whether these observed differences in
phases of their menstrual cycles. When levels of estrogen motor skills based on sexual orientation reflect biological
and progesterone were high (midluteal phase), the women underpinnings remains a subject for further research.
performed the tasks faster and with greater accuracy. How- Finally, it should be noted that a more recent study mea-
ever, when these hormonal levels were lower (during men- sured a wide range of sex hormones in men and women
struation), performance declined. It is interesting to note before they performed a variety of cognitive tasks. Men
that the size of the performance difference due to these and women showed the typically reported differences in
hormonal fluctuations is about 70 percent of the reported cognitive skills, but no relations were found between any of
difference between men and women on these tasks. the measured hormones and cognitive performance (Halari
Kimura has also demonstrated that there are reliable et al., 2005). Thus, the role of sex hormones in adulthood
differences in these skills based on sexual orientation remains unclear.
Source: Hampson, E., & Kimura, D. (1988). Reciprocal effects of hormonal fluctuations on human motor and perceptual-spatial skills. Behavioral
Neuroscience, 102(3), 456–459.
EXTREMES OF seems to be a special variety of giftedness.

31. What
Joseph Renzulli (2002) has studied this rare
INTELLIGENCE group, and he believes that their success is a
factors allow
gifted people
Because of the many genetic and environmental product of three interacting factors. The first to become
influences on intelligence, there are individuals is highly developed mental abilities—not only eminent?
at both ends of the intelligence distribution who general intelligence but also specific mental
have unusual mental abilities. At the upper end abilities related to one’s chosen field. Thus,
are the “intellectually gifted”; at the low end are Einstein was blessed with unusual mathemati-
those labelled intellectually disabled or cogni- cal and spatial abilities (but not exceptional
tively disabled. verbal skills). The second factor is the ability to
engage in creative problem solving—that is, to
come up with novel and unconventional ideas,
The Intellectually Gifted to judge their potential value, and to apply
At the top end of the intelligence bell curve are them to challenging problems (Sternberg &
the intellectually gifted, whose IQs of 130 or Davidson, 2005). The third factor is motivation
higher place them in the top 10 percent of the and dedication. Eminence involves a great deal
population. Their high IQs do not mean that of elbow grease and a determination to attain
they are good at everything, however. As we the highest levels of performance. Studies of
might expect from the theories of multiple intel- eminent scientists, artists, musicians, writ-
ligences, many are enormously talented in one ers, and athletes reveal that they tend to work
area of mental competence but quite average in much harder and dedicate themselves more
other domains. Even with IQs over 150, large dis- strongly to excellence than do their less emi-
crepancies are often found between verbal and nent counterparts (Simonton, 2001). Given
spatial-mathematical skills (Achter et al., 1996). that the person has the requisite level of intel-
Thus, a mathematical prodigy who figures out ligence, these nonintellectual factors become
rules of algebra on his own at age three may especially important. Many eminent figures,
have relatively unexceptional verbal skills. But including Sigmund Freud and Charles Darwin,
what accounts for prodigious talent? We examine showed no signs of being exceptionally gifted
one possibility in this chapter’s Frontiers feature. as children, but their motivation and dedica-
Only a small percentage of gifted children tion helped them achieve greatness in their
attain true eminence in later life. Eminence professions.
390 CHAPTER TEN
Frontiers
MUSICAL TRAINING AND AUDITORY musical training results in changes to brain structure that
PROCESSING enhance the processing of musical information throughout
one’s life.
What distinguishes the thought processes of the gifted? But does enhanced musical processing transfer to any
Some theorists believe that gifted children think in the other tasks? Kraus and Chandrasekaran (2010) report that
same way as average children but simply do it much musical training results in superior processing of pitch, tim-
more efficiently (Jackson & Butterfield, 1986). Others dis- ing cues, auditory information in general, and even speech.
agree. When they see a child capable of memorizing an In a wide variety of studies, the physical encoding of sound
entire musical score after hearing it once, they conclude (cortical and subcortical) was positively correlated with an
that this ability is based on a different quality of thinking individual’s amount of musical training.
that involves great intuition and a passion for the specific Kraus and Chandrasekaran (2010) are careful to point
domain in which the child excels (Winner, 2000). However, out that there has been much debate over whether musical
a growing body of evidence suggests that musical training experience can influence general cognitive abilities (recall
may promote enhanced auditory skills and help in the devel- our discussion of the Mozart effect in Chapter 2). But these
opment of cognitive processing. results are intriguing. Musicians can more easily incorpo-
Musical training can result in actual changes to the rate sound patterns when learning a new language (Wong &
auditory system (Hannon & Trainor, 2007). For example, Perrachaone, 2007), and children with musical training have
individuals who have learned to play the piano show more better language and reading skills than those without train-
reactivity in the auditory cortex to piano notes, as coming (Overy, 2003; Tallal & Gaab, 2006). Musical training
pared with those without musical training (Pantev et al., requires attentional skills, good memory strategies, and
1998). In a recent review, Kraus and Chandrasekaran implicit learning—all skills that are related to language and
(2010) argue that these changes reflect neural plasticity intelligence. It is not such a big leap to suggest that musi-
and result in part from experience—the amount of neural cal training may indeed improve one’s cognitive function-
activity was correlated with the age at which an individual ing, and in essence, enhance intelligence. In fact, a recent
learned to play the piano. Moreover, observed changes study suggests that musical training results in higher
in function and structure can be shown to be caused by executive functioning in both children and adults, enabling
musical training. Longitudinal studies of children randomly them to process information faster (Zuk et al., 2014). In
assigned to either a music training program or an art train- any event, musical training results in a host of benefits,
ing program reveal structural changes favouring musical and Kraus and Chandrasekaran (2010) suggest we rethink
training in the primary auditory cortex as well as the motor the role of music in the education system, particularly in
cortex (Hyde et al., 2009). Kraus and Chandrasekaran the early years.
(2010) argue that these studies indicate strongly that
Like children at the low end of the compe- regular classrooms and even drop out of school if
tence continuum, intellectually gifted children they are not sufficiently challenged (Phillipson &
often need special educational opportunities (e.g., McCann, 2007). Yet many school systems have
Callahan et al., 2015). They may become bored in de-emphasized programs for the gifted in the
same spirit of egalitarianism that places cogni-
tively challenged children in regular classrooms.
Thinking critically Increasingly, parents of gifted children are enroll-
ing their children in special camps and extracurric-
ARE GIFTED CHILDREN MALADJUSTED? ular programs to provide the needed intellectual
The image of the introverted, socially awkward, stimulation and exposure to peer groups with
and unhappy “nerd” is familiar to all of us. Gifted common interests and abilities (Winner, 2000).
children are often depicted in the media as unath-
letic, interested in intellectual activities that do not
excite most students, and socially inept. Is there The Intellectually Disabled
truth in this stereotype? What would you expect
research on gifted children to show? Approximately 3 to 5 percent of the North
Think about it, and then see the Answers section at American population, or about 10 million peo-
the end of the book. ple, are classified as having intellectual disabil-
ity disorder. In the DSM-IV-TR, the American
Intelligence 391
TABLE 10.5 Adaptive Capabilities of Cognitively Challenged People over the Lifespan (DSM-IV-TR)
Percentage of
Intellectually
Category Disabled Population Birth through Age 5 Age 6 through Age 20 Age 21 and Older
Mild: 85 Often not noticed as Can acquire practical skills Can usually achieve adequate
50–70 IQ delayed by casual and master reading and social, vocational, and self-
observer but is slower arithmetic to a third- to maintenance skills. May need
to walk, feed him- or sixth-grade level with special occasional guidance and
herself, and talk than education. Can be guided support when under unusual
most children. toward social conformity. social or economic stress.
Moderate: 10 Noticeable delays in motor Can learn simple Can perform simple tasks under
35–50 IQ development, especially communication, elementary sheltered conditions, participate
in speech. Responds to health and safety habits, and in simple recreation, and travel
training in various self-help simple manual skills. Does alone in familiar places. Usually
activities. not progress in functional incapable of self-maintenance.
reading or arithmetic.
Severe: 4 Marked delay in motor Usually walks, barring Can conform to daily routines
20–35 IQ development. Little or no specific disability. Has some and repetitive activities.
communication skill. May understanding of speech Needs continuing direction
respond to training in and some response. Can and supervision in protective
elementary self-help, such profit from systematic habit environment.
as self-feeding. training.
Profound: 1 Gross disability. Minimal Obvious delays in all areas May walk, need nursing care,
below 20 IQ capacity for functioning of development. Shows basic have primitive speech. Usually
in sensorimotor areas. emotional responses. May benefits from regular physical
Needs nursing care. respond to skills training in activity. Incapable of self-
use of legs, hands, and jaws. maintenance.
Needs close supervision.
Source: Reprinted with permission from the Diagnostic and Statistical Manual of Mental Disorders, Text Revision. Copyright © 2000, American
Psychiatric Association.
Psychiatric Association devised a four-level sys- Intellectual disability has a variety of causes:
tem that classifies intellectual disability as mild, some genetic, some due to other biological fac-
moderate, severe, or profound on the basis of tors, and some due to environmental causes.
IQ scores. Table 10.5 describes these classifi- Genetic abnormalities account for about
cations. As you can see, the vast majority are 28 percent of all intellectual disability disorder
mildly disabled, obtaining IQs between about cases (Winnepenninckx et al., 2003). More than
50 and 70. Most members of this largest group, 500 different genetic causes of intellectual dis-
given appropriate social and educational sup- ability have been identified (Brown & Percy,
port, are capable of functioning adequately in 2007; Bulayeva et al., 2015). For example, Down
mainstream society, holding jobs, and raising syndrome (formerly called mongolism), which
families. Progressively greater environmental is characterized by mild to severe mental dis-
support is needed as we move toward the pro- ability, is caused by an abnormal division of the
foundly disabled range, where institutional care twenty-first chromosome pair.
is usually required. The DSM-5 has shifted away Heritability plays a different role in mild
32. How do
from basing these distinctions totally on IQ disability than it does in profound disability causal factors
scores and requires a test of adaptive function- (Plomin & Spinath, 2004). Cases of profound differ for mild
ing in addition to IQ. intellectual disability are more likely to be and profound
Mildly disabled children can attend school, but caused by genetic accidents instead of an inher- intellectual
they have difficulties in reading, writing, memory, ited genotype (Zechner et al., 2001). Therefore, disability?
and mathematical computation. Many of these profound intellectual disability does not run in
difficulties result from poorly developed problem- families. In one study of 17 000 children, about
solving strategies. They often have deficiencies half of 1 percent were profoundly disabled.
in the executive functions discussed in Chapter 3: None of these children’s siblings had an IQ
reasoning, planning, and evaluating feedback below 85, and their mean IQ was 103. In con-
from their efforts (Molfese & Molfese, 2002). trast, the siblings of the 1.2 percent who were
392 CHAPTER TEN
mildly disabled had mean IQs of 85, and a third

of the siblings had IQs below 75 (Nichols, 1984).
Intellectual disability can also be caused by
accidents at birth, such as severe oxygen depri-
vation (anoxia); and by diseases experienced by
the mother during pregnancy, such as rubella
or syphilis. Likewise, drugs and alcohol taken
by the mother—especially in the first weeks
of pregnancy when a woman is often unaware
she is pregnant—can cause neural damage and
intellectual disability. Despite this range of
potential causes, in a significant majority (75
to 80 percent) of intellectually disabled people,
© Richard Hutchings/PhotoEdit
no clear biological cause can be found. Experts
theorize that these cases may be due to unde- FIGURE 10.22 To an increasing extent, children of low
intelligence have been included in normal classrooms
tectable brain damage, extreme environmental
rather than being confined to special education programs.
deprivation, or a combination of the two.
In the United States, federal law requires that which allows many cognitively challenged chil-
cognitively disabled children, who were formerly dren to attend school in regular classrooms and
segregated into special education classes, be given experience a more normal peer environment
individualized instruction in the “least restric- (Figure 10.22). Although not embodied in Canadian
tive environment.” This has resulted in the prac- federal law, similar practices are followed by
tice of mainstreaming, or inclusion programs, all the provinces. Each provincial education act
In Review
• Intelligence is determined by interacting heredi- both genetic and environmental determinants.
tary and environmental factors. Genes account Whether intelligence tests exhibit outcome bias
for between 50 and 70 percent of population vari- in underestimating the mental abilities of minori-
ation in IQ. Shared family environment accounts ties is a point of contention, but the tests do not
for perhaps one-fourth to one-third of the vari- appear to have predictive bias.
ance during childhood, but its effects seem to • Although the differences are not large, men tend
dissipate as people age. Educational experiences as a group to score higher than women on cer-
also influence mental skills. Heredity establishes tain spatial and mathematical reasoning tasks.
a reaction range with upper and lower limits for Women perform slightly better than men on
intellectual potential. Environment affects the tests of perceptual speed, verbal fluency, math-
point within that range that will be reached. ematical calculation, and fine-motor coordina-
• Intervention programs for disadvantaged children tion. Both environmental and biological bases of
have positive effects on later achievement and sex differences have been suggested.
life outcomes if they begin early in life and are • Even people with IQs in the 150s often show dis-
applied intensively. They have little effect when crepancies in specific skills. Those who achieve
applied after school begins or with middle- or eminence tend to have, in addition to high IQs,
upper-class children. high levels of interest and motivation in their
• Heritability estimates of intelligence can vary, chosen activities.
depending on sample characteristics. In impov- • Cognitive disability can be caused by a number
erished families, shared environment was more of factors. Biological causes are identified in
important than genes, whereas the opposite was only about 28 percent of cases. Cognitive dis-
found in affluent families. Twin studies also show ability can range from mild to profound. The vast
that heritability effects on intelligence increase majority of disabled individuals are able to func-
in adulthood. tion in the mainstream of society, given appro-
• Cultural and ethnic differences in intelligence priate support. Genetic factors seem relatively
exist (though they may be narrowing), but the rel- unimportant in profound intellectual disability,
ative contributions of genetic and environmental but they seem to play an important role in mild
factors are still in question. Evidence exists for disability, which is more likely to run in families.
Intelligence 393
outlines a policy of inclusion—exceptional stu- an increasing degree, the study of intelligence

dents (whether disadvantaged or gifted) must be is focusing on these real-life adaptations and
integrated into the regular classroom. on ways to help people develop and apply their
In today’s world, intellectual skills have intellectual abilities.
become increasingly important for successful
adaptation. General intelligence, or the g factor, A Concluding Thought
captures the kinds of general mental flexibility In the preceding chapters, we have seen how
needed to cope with novelty, read the environ- humans learn, how they remember what they’ve
ment, draw conclusions, and choose how and learned, and how they think and solve problems.
when to act (Lubinski, 2004). In addition to the Language, thinking, and intelligent behaviour
importance of general mental ability, more spe- are intimately related to one another and to the
cific skills, such as those at the first and sec- processes of learning and memory. As we have
ond levels of Carroll’s three-stratum model, may also seen, intelligent behaviour has many causal
be needed to cope successfully with more nar- factors. Some of these factors are summarized
rowly defined situations and task demands. To in Figure 10.23.
Intellectual Functioning
Levels of Analysis
In the preceding chapters, we have seen how humans learn, how
ENVIRONMENTAL
they remember what they’ve learned, and how they think and
solve problems. Language, thinking, and intelligent behaviour • Shared and unshared learning
environments that interact with biological
are intimately related to one another and to the processes reaction range influence intellectual
of learning and memory. As we have also seen, intelligent development.
behaviour has many causal factors. We now summarize • Cultural factors influence which behavioural
the biological, psychological, and capabilities are prized, adaptive, and defined as
environmental factors we have intelligent.
discussed in this chapter. • Sex roles influence the development of stereotypes
BIOLOGICAL concerning sex differences in specific abilities.
• Genetic factors account for • Administration of intelligence measures may place
significant group variation in culturally different people at a disadvantage.
intelligence. They help to establish a
biological reaction range that sets limits
on the impact of environmental factors.
• Brain size and neural efficiency are underlying
factors for intellectual performance.
• Sex hormones play a role in certain types of
mental abilities and appear to contribute to the
modest sex differences erences that exist in certain PSYCHOLOGICAL
cognitive abilities.
• There exists a general intelligence factor
(g factor) that underlies other, more specific
abilities.
• Specific cognitive and perceptual skills influence
more specific task performance.
• Other cognitive skills underlie personal and emotional
intelligence, as well as specific competencies described
in Gardner’s multiple intelligences and Sternberg’s
triarchic theory.
• Motivational factors clearly influence intellectual
outcomes.
Considering Sternberg’s triarchic theory, can you

formulate a hypothesis about how biological or
environmental factors might be related to his definitions
of analytical, practical, and creative intelligence?
FIGURE 10.23
394 CHAPTER TEN
Gaining Direction
What are the The opening story describes the case of Kim still test below normal in intelligence. Alterna-
issues? Peek, the individual on whom Dustin Hoffman’s tively, the way we measure intelligence might
character in the film Rain Man was based. be flawed—it failed to account for Peek’s abili-
Peek had savant syndrome. He could perform ties. But perhaps intelligence is more than a
a number of extraordinary mental feats (such single entity. Perhaps there are many ways to
as counting), but his measured IQ was below demonstrate intelligent behaviour. We also may
normal. How could this be? If intelligence is a want to address the issue of autism because
single entity, then Peek should not have been there is a relationship between autism and
able to perform lightning-fast calculations and savant syndrome.
What do What is intelligence? Is the measurement of intelligence biased in

we need to Are there competing theories of intelligent any fashion?
know? behaviour? What can savants do?
How do we measure intelligence? What causes savant syndrome?
Where can You should have a look at the various theories of on autism and savant syndrome would be very
we find the intelligence, paying particular attention to how useful. Two excellent Internet resources are the
information to intelligence is defined and how it is measured. Society for Treatment of Autism (www.autism
How can you account for Peek’s abilities? Do .ca) and Dr. Darold Treffert’s site on savant
answer these
you need to consider the issue of multiple intel- syndrome (www.wisconsinmedicalsociety.org
questions? ligences? Is it possible that some kind of mea- /professional/savant-syndrome).
surement error could be involved? Information
Answers
The correct choice in Figure 10.14 is geometric form number 5. Can you specify why?
CHAPTER

CHAPTER PERSPECTIVES ON MOTIVATION Cultural and Environmental Influences
OUTLINE Instinct Theory and Evolutionary Psychology Sexual Orientation
Homeostasis and Drive Theory ACHIEVEMENT MOTIVATION
Incentive and Expectancy Theories
The Thrill of Victory, the Agony of Defeat
Psychodynamic and Humanistic Theories
Achievment Goal Theory
HUNGER AND WEIGHT REGULATION Achievement Needs and Situational Factors
The Physiology of Hunger Family and Cultural Influences
Focus on Neuroscience: Brain Activation MOTIVATIONAL CONFLICT

and Food Cues
Psychological Aspects of Hunger THE NATURE AND FUNCTIONS OF EMOTION
Environmental and Cultural Factors The Adaptive Value of Emotion
Obesity The Nature of Emotion
Applications: The Battle to Control Eating Frontiers: A New Emotion?
and Weight
THEORIES OF EMOTION
SEXUAL MOTIVATION
The James-Lange Somatic Theory
Sexual Behaviour: Patterns and Changes The Cannon-Bard Theory
The Physiology of Sex Cognitive-Affective Theories
The Psychology of Sex
Research Foundations: Cognition-Arousal Relations
One can never consent to creep when one feels an impulse to soar.
—Helen Keller
Dr. Larry Farwell,

a former member What are the issues
of the Har vard here?
Medical School, has
developed a new technique What do we need
for determining guilt or inno- to know?
cence. “Brain fingerprint-
ing” involves the monitoring Where can we find
of brainwaves to determine the information
whether or not a suspect has to answer these
details of a crime or other questions?
information stored in the
brain. Suspects are shown
words or images that would
© Adrian Weston/Alamy Stock Photo
be accessible only to someone
who was actually at the scene of the crime. By monitoring brainwaves, the investigator can deter-
mine whether or not the suspect recognizes these images.
Dr. Farwell’s testimony was instrumental in exonerating Terry Harrington, a convicted murderer
who was serving a life sentence in Iowa. Brain fingerprinting revealed that the information in Har-
rington’s brain did not match the details of the crime but, in fact, were consistent with his alibi.
Unlike polygraph examinations, brain fingerprinting has been ruled admissible in U.S. courts.
T
he term motivation often triggers images discussed in Chapter 4, behaviour geneticists
of people who persevere to attain their now use twin and adoption studies to examine
dreams and stretch the boundaries of hereditary contributions to human motivation
human achievement. But to psychologists, moti- more productively.
vational issues are broader. What motivates Modern evolutionary psychologists pro-
1. According eating, sexual behaviour, thrill seeking, and pose that many “psychological” motives have
to evolutionary
affiliation? Motivation is a process that influ- evolutionary underpinnings that are expressed
psychologists,
how does ences the direction, persistence, and vigour of through the actions of genes (Buss, 2007;
the concept goal-directed behaviour. The word motivation Palmer & Palmer, 2002). From this perspective,
of adaptive derives from the Latin term meaning “to move,” the adaptive significance of behaviour is a
significance help and psychologists who study motivation iden- key to understanding motivation. For example,
us understand tify factors that move us toward our goals, why are we such social creatures? Presumably,
human whether they are obtaining food, a mate, suc- affiliation produced survival advantages—such
motivation? cess, or even peace and quiet. as shared resources and protection against
predators—that afforded our ancestors a greater
PERSPECTIVES opportunity to pass on their genes to successive
generations. Over the ages the genes of “affili-
ON MOTIVATION ative people” made up an increasing part of the
Psychology’s diverse theoretical perspectives human gene pool, and we became biologically
view motivation through different lenses. Let’s predisposed to be social rather than reclusive.
examine some of their basic motivational
concepts. Homeostasis and Drive Theory
Your body’s biological systems are delicately
balanced to ensure survival. For example, when
Instinct Theory and Evolutionary you are hot, your body automatically tries to
Psychology cool itself by perspiring. When you are cold,
Darwin’s theory of evolution inspired early psy- your body generates warmth by shivering. In
chological views that instincts motivate much 1932, Walter Cannon proposed the concept of
of our behaviour. An instinct is an inherited homeostasis, a state of internal physiological
predisposition to behave in a specific and pre- equilibrium that the body strives to maintain.
dictable way when exposed to a particular stim- Maintaining homeostasis requires a sensory
ulus. Instincts have a genetic basis, are found mechanism for detecting changes in the internal
universally among all members of the species, environment, a response system that can restore
do not depend on learning, and have survival equilibrium, and a control centre that receives
value for the organism. William James (1890) information from the sensors and activates the
proposed about three dozen human instincts, response system (Figure 11.1). The control cen-
and by the 1920s, researchers had proposed tre functions somewhat like the thermostat in
thousands (Atkinson, 1964). a furnace or an air-conditioning unit. Once the
Human instinct theories faded because there thermostat is set at a fixed temperature, or set
was little evidence to support them and they point, the sensors detect significant tempera-
often relied on circular reasoning. Why are peo- ture changes in either direction. The control unit
ple greedy? Because greed is an instinct. How responds by turning on the furnace or the air
do we know that greed is an instinct? Because conditioner until the sensor indicates that the
people are greedy. This explains nothing. As set point temperature has been restored, and
Incentive theories focus attention on external

stimuli that motivate behaviour, though histori-
Control cally the concepts of incentives and drives were
centre often linked. Clark Hull (1943, 1951) argued that
all reinforcement involves some kind of bio-
logical drive reduction (e.g., food is an incentive
Response
because it reduces the drive of hunger), but this
Sensors view is no longer held. Modern incentive theory
system
emphasizes the “pull” of external stimuli and
how stimuli with high incentive value can moti-
vate behaviour, even in the absence of biological
Internal
state need. We have all had the experience of finishing
a meal, and hence having no biological need for
more food, but quite happily eating dessert when
someone places our favourite cake or pie on the
table. In this situation, behaviour is motivated not
FIGURE 11.1 Your body’s internal environment is by biological need but by the incentive value of
regulated by homeostatic mechanisms. Sensors detect the external stimulus (the dessert). Incentive the-
bodily changes and send this information to a control ories of motivation have been powerfully applied
centre, which in turn regulates a response system that to the study of drug abuse (LeBlanc, Maidment, &
restores bodily equilibrium. Ostlund, 2014; Stewart, 2000). An incentive theory
of drug use argues that seeking and administer-
then turns it off. Homeostatic regulation also ing a drug is motivated by the positive incentive
can involve learned behaviours. When we’re value of the drug’s effect. Heroin users, for exam-
hot, we not only perspire, but also may seek a ple, will find and inject heroin because the drug
shady place or deliciously cool drink. makes them feel good, not because of a biological
According to Clark Hull’s (1943, 1951) influ- heroin drive or a desire to escape withdrawal.
ential drive theory of motivation, physiologi- Why is it, however, that people often respond 2. How are
differently to the same incentive? In part to homeostatic and
cal disruptions to homeostasis produce drives,
address such questions, expectancy theories of drive concepts
states of internal tension that motivate an of motivation
organism to behave in ways that reduce this ten- motivation include the value of incentives, but
take a cognitive perspective. Incentive theories related?
sion. Drives such as hunger and thirst arise from
tissue deficits (e.g., lack of food and water) had more in common with classical condition-
and provide a source of energy that pushes an ing (e.g., Stewart, 2000) than with cognition, but
organism into action. Hull, a prominent learn- expectancy theory has broken from this tradi-
ing theorist, proposed that reducing drives is the tion and given a larger role to cognition (Erez &
ultimate goal of motivated behaviour. Isen, 2002). Consider James, Lenora, and Harri-
Homeostatic models currently are applied to son, students in a calculus class all with similar
many aspects of motivation, such as the regula- math aptitude. Yet James studies hard in hopes
tion of hunger, thirst, body temperature, weight, of getting an A, whereas Lenora and Harrison
and sleep (Meunier, Malzahn, & Boersma, 2014). put in just enough effort to pass with a C. How
Drive theory is, however, less influential than in can we explain the differences in the behaviour
the past. For one thing, people often behave in of these three students?
ways that seem to increase rather than reduce According to the cognitive perspective, the
answer lies in their thoughts about this situa- 3. According to
states of arousal, as when people skip meals expectancy ×
to diet or flock to tension-generating horror tion. One important cognitive approach, called
value theory,
movies. expectancy × value theory (or simply expec- why might
tancy theory), proposes that goal-directed people respond
behaviour is jointly determined by two factors:
Incentive and Expectancy the strength of the person’s expectation that par-
differently to the
same incentive?
Theories ticular behaviours will lead to a goal, and the
Whereas drives are viewed as internal factors value the individual places on that goal—often
that “push” organisms into action, incentives called incentive value (Brehm & Self, 1989).
represent environmental stimuli that “pull” an These two factors are multiplied, producing the
organism toward a goal. To a student, a good following equation: Motivation = expectancy ×
grade can be an incentive for studying. incentive value. James works hard because he
398 CHAPTER ELEVEN
believes that the more you study, the greater the Although research offers little support for
probability of getting an A, and he values an A Freud’s “dual-instinct” model, his work stim-
highly. Lenora also believes that studying hard ulated other psychodynamic theories that
will lead to an A, but getting an A in calculus highlighted different needs, such as needs for
holds little value for her. In contrast, Harrison self-esteem and relatedness to other people
values an A, but does not believe that work- (Adler, 1927; Kohut, 1977). Today’s diverse psy-
ing hard will produce a high grade because the chodynamic theories continue to emphasize
course is too hard. that, along with conscious mental processes,
Many cognitive theorists distinguish between unconscious motives and tensions guide how
extrinsic motivation, performing an activity we act and feel (Westen, 1998).
to obtain an external reward or avoid punish- Humanist Abraham Maslow believed that
4. Explain ment, and intrinsic motivation, performing psychology’s other perspectives ignored a
Maslow’s
an activity for its own sake—because you find key motive: our striving for personal growth.
concept of a
need hierarchy. it enjoyable or stimulating. Students who read Maslow (1954) distinguished between defi-
Do you agree their textbooks only because they want to get ciency needs, which are concerned with physi-
with this model? good grades are showing extrinsic motivation. cal and social survival, and growth needs,
Students who read their textbooks because they which are uniquely human and motivate us to
find them interesting and want to learn more develop our potential. He proposed the concept
are showing intrinsic motivation. of a need hierarchy, a progression of needs
Can external incentives ever decrease moti- containing deficiency needs at the bottom and
vation? According to the overjustification growth needs at the top (Figure 11.2). Once
hypothesis, giving people extrinsic rewards to our basic physiological needs are satisfied,
perform activities that they intrinsically enjoy we focus on our needs for safety and security.
may “overjustify” that behaviour and reduce After these needs are met, we turn our atten-
intrinsic motivation (Bright & Penrod, 2009). tion to needs at the next highest level, and so
In essence, if we begin to perceive that we are on. Self-actualization represents the need
performing for the extrinsic rewards rather than to fulfill our potential, and it is the ultimate
for enjoyment, the rewards will turn “play” into human motive. To echo an army recruiting slo-
“work.” It is surprisingly common for people to gan, self-actualization is striving to “be all that
report that an activity is no longer as enjoyable you can be.”
once they begin to be paid for it. A student who, Critics question the validity of Maslow’s
for example, makes jewellery as a hobby (i.e., need hierarchy and argue that the concept of
she simply enjoys the activity) and then begins “self-actualization” is vague (Heylighen, 1992).
to sell the jewellery will commonly report a How does the hierarchy explain why prison-
marked decrease in the intrinsic pleasure of the ers of war endure torture rather than betray
activity. their comrades or why millions of women live
in constant hunger to be thin? Still, the model
draws valuable attention to the human desire
Psychodynamic and Humanistic for growth, incorporates a wide range of psy-
Theories chological and biological motives, and has
The psychodynamic and humanistic perspec- influenced thinking in such diverse fields as
tives view motivation within a broader context philosophy, education, and business (Muchin-
of personality development and functioning, sky, 2000).
but take radically different approaches. Freud’s
(1923) psychoanalytic theory highlighted the
motivational underworld. To Freud, much of
our behaviour results from a never-ending Thinking critically
battle between unconscious impulses strug-
gling for release and psychological defences IS MASLOW’S NEED HIERARCHY VALID?
used to keep them under control. Energy from Does the concept of a need hierarchy, shown in
these unconscious motives—especially from Figure 11.2, make sense to you? How do you
instinctive sexual and aggressive drives—is feel about the ordering of needs in Maslow’s
hierarchy?
often disguised and expressed through socially
acceptable behaviours. Thus, hidden aggres- Think about it, and then see the Answers section
sive impulses may fuel one’s career as a trial at the end of the book.
lawyer, businessperson, or athlete.
Re
gre
ssi
on
Self-
if l
Growth actualization
ow
needs
Pro
er
gre
Aesthetic needs
ne
beauty • symmetry
ssi
ed
on
sa
if l
re
Cognitive needs
ow
no
knowledge • understanding
tm
er
ne
et
Esteem needs
ed
approval • recognition
sa
re
Belongingness and love needs
sa
affiliation • acceptance • affection
tis
Deficiency
fie
needs
d
Safety needs
security • psychological safety
Physiological needs
food • drink
FIGURE 11.2 Maslow proposed that needs are arranged in a hierarchy. After meeting our more basic needs, we
experience need progression and focus on needs at the next level. If a need at a lower level is no longer satisfied,
we experience need regression and focus once again on meeting that lower-level need. Critics wonder whether
people might focus on belonging, love, esteem, and higher-level needs even when their physiological and safety
needs are not met. What do you think?
A more recent humanistic theory of motiva- to develop their own plans (increased auton-
tion has been advanced by Edward Deci and omy) experience an increased emotional bond 5. What are the
Richard Ryan (1985, 2009). Self-determination with their employer and company (Tremblay three needs
identified in self-
theory focuses on three fundamental psychologi- et al., 2009). Self-determination theory has
determination
cal needs: competence, autonomy, and related- been applied to other areas, such as the work theory?
ness. People are most fulfilled in their lives when by Ronald Ferguson, of Concordia University
they are able to satisfy these fundamental needs. in Montreal, and his analysis of social media’s
On the other hand, when these needs are not met, effectiveness in engaging others in charitable
there can be consequences for both psychologi- causes (Freguson et al., 2015).
cal and physical well-being (Deci & Ryan, 2009). The importance of self-determination the-
Competence motivation reflects a human ory’s three basic needs has been strongly sup-
need to master new challenges and perfect ported by research. They appear to have
skills. This need motivates much exploratory independent and additive effects on positive
and growth-inducing human behaviour. The outcomes such as psychological well-being,
need for autonomy (or self-determination) happiness, worker performance and satisfac-
is satisfied when people experience their tion, positive social relationships, and a sense of
actions as a result of free choice without out- meaningfulness in life (Deci & Ryan, 2009; Shel-
side interference. Relatedness refers to our don et al., 2003). The most positive psychologi-
desire to form meaningful bonds with oth- cal outcome of all results from a balance among
ers. At first glance, relatedness may seem the three needs (Milyavskaya et al., 2009).
opposed to autonomy, but the two actually In sum, each of these theoretical approaches
complement each other. When true related- raises provocative questions about human moti-
ness is achieved, people often feel freer to be vation and has strong proponents and critics,
themselves. Adolescents who feel that their just as some perspectives no doubt resonate
autonomy is acknowledged and supported by more than others with your own views about
their parents feel a strong sense of related- motivation. Taken together, they underscore
ness to their parents (Ryan & Lynch, 1989). the complexity of behaviour and the value of
Similarly, workers who are given freedom studying it from multiple levels of analysis.
400 CHAPTER ELEVEN
In Review
• Motivation is a process that influences the direc- • Incentive theories emphasize the role of environ-
tion, vigour, and persistence of behaviour. Evolu- mental factors that “pull” people toward a goal. The
tionary psychologists propose that in our ancestral cognitive expectancy × value theory explains why
past, motivational tendencies that had adaptive the same incentive may motivate some people but
significance were more likely to be passed from not others.
one generation to the next, eventually evolving into • Psychodynamic theories emphasize that uncon-
genetically based predispositions to act in certain scious motives and mental processes guide much of
ways. our behaviour. Humanist Abraham Maslow proposed
• Homeostatic models view motivation as an attempt that needs exist in a hierarchy, from basic biological
to maintain equilibrium in bodily systems. Drive needs to the ultimate need for self-actualization.
theories propose that tissue deficits create drives, • Self-determination theory focuses on three psy-
such as hunger, that motivate or “push” an organ- chological needs: competence, autonomy, and
ism from within to reduce the deficit and restore relatedness.
homeostasis.
We begin that analysis with one of our most Before we describe some of these signals,
basic motives: hunger. consider three points. First, many of us believe
that hunger occurs when we begin to “run low
on energy,” and that we feel “full” when imme-
HUNGER AND WEIGHT diate energy supplies are restored (Assanand
REGULATION et al., 1998). Your body does monitor its imme-
diate energy supplies, but this information
If you could give up all food forever and sat-
interacts with other signals to regulate food
isfy your hunger and nutritional needs with
intake. Thus, hunger is not necessarily linked
a daily pill, would you? Eating is a necessity,
to immediate energy needs (Pinel, 1997; Woods
but for many people it also is one of life’s deli-
et al., 1998). Second, homeostatic mechanisms
cious pleasures. Thus, while biology provides
are designed to prevent you from “running
a “push” to eat, the anticipated and actual good
low” on energy in the first place. In evolution-
taste of food offers a powerful “pull” (Bolles,
ary terms, an organism that does not eat until
1980). Indeed, numerous biological, psycho-
its energy supply is low (in any absolute sense)
logical, and environmental factors regulate our
would be at a serious survival disadvantage.
food intake.
Finally, researchers believed that there is a
set point—an internal physiological standard—
The Physiology of Hunger around which body weight (or more accurately,
our fat mass) is regulated (Powley & Kessey,
Eating and digestion supply the body with the
1970). This view holds that if we overeat or eat
fuel it needs to function and survive. Metabolism
too little, homeostatic mechanisms will return
is the body’s rate of energy (or caloric) utiliza-
us close to our original weight, our set point.
tion, and about two-thirds of the energy we nor-
Although this idea is well ingrained in popular cul-
mally use goes to support basal metabolism, the
ture, some researchers, such as John Pinel at the
resting, continuous metabolic work of body cells.
University of British Columbia, believe it is flawed
Several mechanisms attempt to keep the body
(Pinel, 1997; Pinel, Assanand, & Lehman, 2000).
in energy homeostasis by regulating food intake
They propose that, as we gain or lose weight,
(Woods & Seeley, 2002). There are “short-term”
homeostatic mechanisms kick in and make it
signals that start meals by producing hunger and
harder to keep gaining or losing weight, but do
stop food intake by producing satiety (the state in
not necessarily return us to our original weight.
which we no longer feel hungry as a result of eat-
6. Describe Over time, we may “settle in” at a new weight.
ing). Your body also monitors “long-term” signals
some based on how much body fat you have. These sig-
physiological nals adjust appetite and metabolism to compen- Signals That Start and Terminate a Meal
signals that sate for times when you overeat or eat too little in Is hunger produced by those familiar muscular
initiate hunger.
the short term. contractions (“hunger pangs”) of an empty
Stomach
contractions
Time
Pangs
Respiration
Balloon
Signal key
FIGURE 11.3 A.L. Washburn swallowed a balloon and inflated it in his stomach. A machine recorded stomach
contractions by amplifying changes in the pressure on the balloon, and Washburn pressed a telegraph key every
time he felt a hunger pang. Hunger pangs occurred when the stomach contracted.
Source: Based on Cannon, W.B., & Washburn, A.L. (1912). An explanation of hunger. American Journal of Physiology, 29, 441–454.
stomach? In an early experiment, A.L. Washburn the liver responds by converting stored nutri-
showcased a unique scientific talent: He swal- ents back into glucose. This action produces
lowed a balloon. When it reached his stomach, a drop-rise glucose pattern; a pattern that can
the balloon was inflated and hooked up to an powerfully generate feelings of hunger.
amplifying device to record his stomach con- As we eat, several bodily signals combine and
tractions. Washburn then pressed a key every ultimately cause us to end our meal. Stomach 7. What
physiological
time he felt hungry (Figure 11.3). The findings and intestinal distention are “satiety signals”
signals cause us
revealed that Washburn’s stomach contractions (Stricker & Verbalis, 1987). The walls of these to stop eating?
did indeed correspond to subjective feelings of organs stretch as food fills them up, sending
hunger (Cannon & Washburn, 1912). But did nerve signals to the brain. This does not mean
they cause the “experience” of hunger? that the stomach literally has to be “full” for us
Surprisingly, other research indicates that to feel satiated. Nutritionally rich food seems
“hunger pangs” do not depend on an empty to produce satiety more quickly than an equal
stomach, or any stomach at all! Animals display volume of less nutritious food, suggesting that
hunger and satiety even if all nerves from their some satiety signals respond to food content.
stomach to their brain are cut, and people who Patients who have had their stomachs removed
have had their stomach surgically removed for continue to experience satiety not only because of
medical reasons continue to feel hungry and intestinal distention, but also because of chemical
“full” (Brown & Wallace, 1980). Thus, other sig- signals (Collier & Johnson, 2004). The intestines
nals must help to trigger hunger. respond to food by releasing several hormones—
When you eat, digestive enzymes break food called peptides—that help to terminate a meal.
down into various nutrients. One key nutrient is For example, CCK (cholecystokinin) is released
glucose, a simple sugar that is the body’s (and into your bloodstream by the small intestine as
especially the brain’s) major source of immedi- food arrives from the stomach. It travels to the
ately usable fuel. After a meal, some glucose is brain and stimulates receptors in several regions
transported into cells to provide energy, but a that decrease eating. Hungry animals injected
large portion is transferred to your liver and fat with CCK will stop feeding or reduce the size of
cells, where it is converted into other nutrients their meals, and humans who receive small doses
and stored for later use. Sensors in the hypothal- of peptides report feeling full after eating less
amus and liver monitor blood glucose concen- food (Gibbs et al., 1973; Konkle et al., 2000). See
trations. When blood glucose levels decrease, Table 11.1.
402 CHAPTER ELEVEN
TABLE 11.1 Some of the Signals That Control Eating by Increasing or Decreasing Hunger
Signal Source Effect
Glucose blood glucose levels monitored by drop-rise pattern increases
hypothalamus, liver hunger
CCK released into bloodstream by decreases hunger
intestines
Leptin secreted into bloodstream by fat decreases hunger
cells
Neuropeptide Y secreted by neurons within the PVN increases hunger
of the hypothalamus
Ghrelin secreted into bloodstream by increases hunger
stomach, small intestine
Whereas CCK decreases feelings of hunger, sooner. As we lose fat and secrete less leptin, it
another peptide hormone increases feelings of takes more food and a greater accumulation of
hunger and eating. Ghrelin is released into the satiety signals to make us feel full. In essence,
bloodstream by the stomach and small intes- high leptin levels may tell the brain “There is
tine and is now thought to be one of the most plenty of fat tissue, so it’s time to eat less.”
important signals for hunger among humans Evidence for leptin’s important role grew out
(Schüssler et al., 2012). People given an injection of research with genetically obese mice (Cole-
of ghrelin report feeling hungry and, given the man, 1978; Zhang et al., 1994; Figure 11.4). A
opportunity to eat, will consume more food than gene called the ob gene (ob = obesity) normally
participants given injections of saline (Schmid directs fat cells to produce leptin, but mice with
et al., 2005). Ghrelin has also been reported an ob gene mutation lack leptin. As they gain
to increase thoughts about food and mental weight, their brains do not receive this “curb
images of food, especially the mental image of a your appetite” signal, and the mice overeat and
favourite meal (Schmid et al., 2005). Your ghre- become obese. Daily leptin injections reduce
lin levels are highest just before meal-time, they their appetites and increase their energy expen-
decline rapidly after eating, and then they begin diture, and the mice become thinner. Another
to rise again as the next meal approaches. Ghre- strain of obese mice produces ample leptin, but
lin release can also be triggered by food-related because of a mutation in a different gene (the
cues, such as pictures of food (Schüssler et al., db gene), their brain receptors are insensitive
2012). to leptin (Chen et al., 1996; Halaas et al., 1995).
The “curb your appetite” signal is there, but
Signals That Regulate General they can’t detect it, and become obese. Injecting
Appetite and Weight
Fat cells are not passive storage sites for fat.
Rather, they actively regulate food intake and
weight by secreting leptin, a hormone that
decreases appetite (Halaas et al., 1995). As we
gain fat, more leptin is secreted into the blood
and reaches the brain, where receptor sites on
certain neurons detect it. These leptin signals
influence neural pathways to decrease appetite
and increase energy expenditure (Woods et al.,
1998, 2000). See Table 11.1.
Leptin is a “background” signal. It does not
8. Explain how make us feel “full” like CCK and other satiety
leptin regulates
signals that respond directly to food intake dur-
appetite. How
did scientists ing a meal. Instead, leptin may regulate appetite AP Photo/The Rockefeller University
learn about by increasing the potency of these other signals

FIGURE 11.4 The mouse on the left has an ob gene
leptin’s role? (Woods & Seeley, 2002). Thus, as we gain fat and mutation. Its fat cells fail to produce leptin, and it
secrete more leptin, we tend to eat less because becomes obese. Leptin injections help such mice return
these mealtime satiety factors make us feel full to normal weight, as seen in the mouse on the right.
these mice with leptin does not reduce their eat, even to the point of starvation (Anand &
food intake and weight. Brobeck, 1951).
Are these specific ob and db gene muta- In contrast, structures in the lower-middle
tions a major source of human obesity? Prob- area, called the ventromedial hypothalamus
ably not, for both genetic conditions seem (VMH), seemed to be a “hunger off” centre.
to be rare in humans (Clement, 1999). How- Electrically stimulating the VMH caused even a
ever, when they do occur, these conditions hungry rat to stop eating, and lesioning the VMH
are associated with extreme obesity, suggest- produced gluttons who ate frequently and dou-
ing the importance of normal leptin function- bled or tripled their body weight (Hetherington &
ing in human weight regulation. Might leptin Ranson, 1942). Medical case studies of people
injections be the “magic bullet” that would with damage to these hypothalamic areas
help most obese people lose weight? Unfor- also found that normal weight regulation was
tunately, there is reason for doubt, because disrupted (Gazzaniga et al., 1979).
obese people already have ample leptin in their As scientists explored further, they learned
blood because of their fat mass (Jequier & that, although the LH and VMH played a role 9. What evidence
suggested
Tappy, 1999; Ravussin & Gautier, 1999). For cur- in hunger regulation, they were not really “hun-
that the LH
rently unknown reasons, their brains appear to ger on” and “hunger off” centres (Pinel, 1997; and VMH were
be insensitive to that information. Schwartz, 1984). For example, rats with LH hunger “on” and
damage stop eating and lose weight in part “off” centres?
Brain Mechanisms because they develop trouble swallowing and What evidence
Many parts of the brain—ranging from the prim- digesting, and they become generally unre- suggests
itive brain stem to the lofty cerebral cortex— sponsive to external stimuli, not just to food. otherwise?
play a role in regulating hunger and eating Moreover, axons from many brain areas funnel
(Logue, 1991; and see this chapter’s Focus on into the hypothalamus and then fan out again
Neuroscience feature). But is there a “master upon leaving it. Cutting these nerve tracts any-
control centre”? Early experiments pointed to where along their path—not just within the
two regions in the hypothalamus (Stellar, 1954). hypothalamus—duplicates some of the effects
Areas near the side, called the lateral hypothal- of the LH and VMH lesions (Schwartz, 1984).
amus (LH), seemed to be a “hunger on” centre Researchers are examining how various
(Figure 11.5). Electrically stimulating a rat’s LH neural circuits within the hypothalamus regu-
causes it to start eating, and lesioning (damag- late food intake. Many pathways involve the
ing or destroying) the LH causes it to refuse to paraventricular nucleus (PVN), a cluster
of neurons packed with receptor sites for
various transmitters that stimulate or reduce
appetite (Figure 11.5). The PVN appears to
integrate several different short-term and
long-term signals that influence metabolic
and digestive processes (Berthoud, 2002).
One transmitter, neuropeptide Y, is a power-
ful appetite stimulant (Leibowitz, 1992). Rats
in one experiment quickly became obese
when they received three daily injections of
neuropeptide Y into their PVN for ten days.
Their food intake doubled, their fat mass tri-
pled, and their total body weight increased
Paraventricular sixfold (Stanley et al., 1986).
nucleus A fascinating finding about leptin and the
Pituitary
PVN in rats may help to explain why we become
Ventromedial so hungry when trying to lose weight. When
hypothalamus Lateral hypothalamus leptin reaches the hypothalamus, it seems to
inhibit the activity of neurons that release neu-
FIGURE 11.5 Various structures within the hypothal-
ropeptide Y into the PVN, and therefore appe-
amus play a role in regulating hunger, thirst, sexual
arousal, and body temperature. The lateral hypothal- tite is reduced. But when rats lose fat, less leptin
amus (LH), ventromedial hypothalamus (VMH), and is secreted and therefore neuropeptide Y neu-
paraventricular nucleus (PVN) are involved in hunger rons become more active, increasing appetite
regulation. (Woods & Seeley, 2002). See Table 11.1.
404 CHAPTER ELEVEN
Focus on
Neuroscience
BRAIN ACTIVATION AND FOOD CUES

Whether it is through media displays or a grocery store,
we are constantly presented with a wide range of food
choices. We are an affluent society and for many of us
there is easy access to high-fat and high-sugar foods, as
well as to healthy alternatives such as fruits and vege-
tables. However, much of our eating is motivated not by
survival needs, but by the pleasure we obtain from highly
palatable foods (Berthoud, 2006). As the proportion of
the population that is overweight or obese continues to
increase, understanding food choices is taking on even
greater importance.
Brain imaging techniques, such as fMRI, have been
used to investigate which brain areas are involved in our
reactions to food and that are important for food choice
(see Figure 11.6). Brain areas that have been found to
be activated by pictures of high-calorie foods (e.g., choc-
olate cake, doughnuts, cheeseburgers, and French fries)
include midbrain brain areas often associated with moti-
vation and reward such as the nucleus accumbens and
the ventral tegmental area (VTA), as well as the cingulate
cortex and insula (Murdaugh, Cox, Cook, & Weller, 2012).
Interestingly, it has been found that the extent of brain
activation evoked by pictures of high-calorie foods sig-
nificantly predicts the success of a 12-week weight-loss
program. Murdaugh and colleagues (2012) found a posi-
tive correlation between weight change and the level of
activation recorded within the nucleus accumbens, VTA,
anterior cingulate cortex, and insula in response to pic-
tures of highly palatable foods. There was also a greater
response to the highly preferred foods in areas associ-
ated with visual processing within the occipital lobe, and
in areas involved in attention within the frontal cortex and
parietal cortex, suggesting greater attention to food. That © McGraw-Hill Education
is, the higher the weight at the end of the 12-week weight
FIGURE 11.6 When we are presented with a preferred food,
loss program and at a nine-month follow-up, the greater the
or even just a picture of the food, brain areas within the mid-
activation in brain regions associated with motivation and brain associated with motivation are powerfully activated. If you
with attention in response to pictures of high-calorie foods are trying to control your weight, areas within the prefrontal cor-
at the start of the program. In other words, those partici- tex linked to self-control are activated at the same time.
pants who showed the smallest brain response to pictures
of food lost the most weight, whereas those who showed pictures (office supplies) (Smeets, Kroese, Evers, & Ridder,
the greatest brain activation in motivation- and attention- 2013). As expected, food pictures increased activity in mid-
linked brain areas lost the least weight. brain areas associated with motivation and reward, espe-
Among weight-conscious people (i.e., those that are try- cially in the nucleus accumbens. Those participants who
ing to lose weight or maintain a low weight), self-regulation were the most concerned about weight control also showed
is important. You would expect that if someone is delib- increased activity in the visual cortex, suggesting greater
erately trying to control his or her weight, brain activation visual attention to pictures of food. Interestingly, those par-
elicited by food cues would reflect this. In a study using ticipants who were the most concerned about weight control
healthy, normal-weight (BMI 18–25) young adult women, also showed enhanced activity in areas of the prefrontal cor-
brain activation was measured while the participants viewed tex associated with self-regulation and the ability to inhibit
pictures of fattening foods (e.g., chocolate cake) or neutral responses.
continued
So far, we have discovered that brain areas generally show stronger activation in the nucleus accumbens, VTA,
linked to motivation (nucleus accumbens, VTA, insula) are and amygdala in response to pictures of highly palatable
activated by food cues, and the extent of that activation can foods and in response to pleasant tastes (Ker et al., 2014),
predict the success of a weight-loss program. If you are try- and show a stronger activation in the nucleus accumbens
ing to control your weight, pictures of highly palatable foods when choosing a high-calorie food compared to low-calorie
will also activate areas within the prefrontal cortex associ- food (van er Laan et al., 2015). That is, those who score
ated with self-control and the ability to inhibit behaviour. high in impulsivity are more sensitive to reward based on
What about food choice? We are frequently presented behavioural measures; they also show increased activation
with a wide range of food choices in the cafeteria, in vending in the nucleus accumbens when presented with pleasant
machines, on restaurant menus, and in our own refrigera- tastes, pictures of highly palatable foods, or when allowed
tors and cupboards. In a recent study (Charbonnier, van der to choose a high-calorie food.
Laan, Viergever, & Smeets, 2015), healthy normal-weight It is interesting to note that none of the brain areas iden-
participants viewed pictures of either high-calorie foods tified in these studies are specific to food. The evidence is
(e.g., doughnuts, potato chips, chocolates), low-calorie that the brain areas activated by pictures of food are also
foods (e.g., watermelon slices, carrot sticks, bananas), important in the response to other motivationally relevant
or office supplies (e.g., pencils, push tacks, a calculator). stimuli. Pictures of highly palatable foods can also activate
While brain activation was being measured using fMRI, par- brain areas linked to self-regulation, visual attention, and
ticipants were asked to choose between two equally liked stimulus evaluation. The picture of brain activity emerging
foods, one high in calories and one low in calories. When from recent fMRI studies of our responses to food cues is
two non-food items were shown, participants were asked consistent with earlier discussions of the modular mind.
simply to choose one of the products. Participants were That is, the brain areas identified in this research seem to
more likely to choose the low-calorie food items; 57 percent be specialized by task (e.g., attention, motivation, response
of choices were for the low-calorie option. The brain areas inhibition), not by the nature of the stimulus presented.
activated by both low- and high-calorie foods were similar In summary, midbrain limbic structures, especially the
to those that have been reported previously, the midbrain nucleus accumbens, play a special role in the motivational
areas associated with motivation and reward. When making value of food (Castro, Cole, & Berridge, 2015). The brain
food choices, brain areas that have previously been associ- areas most commonly linked to motivation and reward,
ated with decision making and with attention were active— the nucleus accumbens, VTA and insula, are powerfully
areas such as the insula, cingulate cortex and areas within activated by food cues, especially if it is a preferred or
the temporal cortex. That is, the evidence would suggest highly palatable food. The extent of that activation is cor-
that brain areas linked to decision making in other situa- related with success in weight control, and is also influ-
tions are also active when we make food choices. enced by personality factors such as impulsivity. At the
An interesting recent study (van der Laan, Barendse, same time that the motivation-associated brain areas
Viergever, & Smeetsm, 2015) investigated food choice and are active, other brain areas may also become active.
impulsivity. Impulsivity includes lower behavioural inhibi- For example, those who are concerned about their weight
tion, increased sensitivity to reward, and favouring imme- show activation in brain areas linked to self-control and
diate rewards over long-term consequences. There is a response inhibition.
positive correlation between impulsivity and BMI; those who As we learn more about our response to food, not only
score the highest in impulsivity tend to also have a higher does it increase our understanding of the brain and how our
BMI, and impulsivity is associated with a higher preference brain processes food-related cues, but it may also help lead
for high-sugar and high-fat foods and increased snacking to more successful interventions for those whose weight
(van der Laan et al., 2015). Individuals high on impulsivity falls outside of the healthy range.
Psychological Aspects of Hunger

From a behavioural perspective, eating is posi- Attitudes, habits, and psychological needs
tively reinforced by the good taste of food and also regulate food intake. Have you ever felt
negatively reinforced by hunger reduction. Cog- “stuffed” after gobbling up part of a meal, yet
nitively, we develop an expectation that eating finished it and even had dessert? Beliefs such as
will be pleasurable, which becomes an impor- “don’t leave food on your plate” and conditioned
tant motivator to seek and consume food. Even habits (“autopilot” snacking while watching TV)
the mere thought of food can trigger hunger, as may lead us to eat even when we do not feel hun-
you may find by closing your eyes and concen- gry. Conversely, countless dieters intentionally
trating on the aroma, sight, and taste of your restrict their food intake even though they are
favourite dish. hungry.
406 CHAPTER ELEVEN
(left): © The Granger Collection; (middle): © Museo del Prado, Madrid/Peter Willi/SuperStock; (right): © The McGraw-Hill Companies, Inc./Lars A. Niki photographer.
FIGURE 11.7 Throughout much of Western history, a full-bodied woman’s figure was esteemed. This is illustrated by (a) Peter Paul
Rubens’s 17th-century painting The Three Graces, and by (b) actress Lillian Russell, who represented the American ideal of feminine
beauty a century ago. In recent decades, the norm of “thin = attractive” has evolved, as illustrated (c) by this contemporary fashion
model.
Especially for women, such food restriction satisfied with their figures, whereas women’s per-
10. Describe often stems from social pressures to conform to ceptions place pressure on them to lose weight”
some factors
cultural standards of beauty (Figure 11.7). Studies (1985, p. 102). Researchers continue to find
that contribute
to the pressure of Playboy magazine centrefolds, beauty pageant results similar to Fallon and Rozin’s (Carlson &
women feel to be contestants, and fashion models indicate a clear McAndrew, 2004; Demarest & Allen, 2000).
thin. trend toward a thinner, leaner, and increasingly People who perceive themselves as heavy
unrealistic “ideal” female body shape between the tend to have lower self-esteem, and this rela-
1950s and 2000s (Owen & Laurel-Seller, 2000). The tion is stronger among women than men (Pila
culturally defined “ideal” female body has changed et al., 2015). According to Barbara Fredrick-
again in recent years, adding an ultra-fit physique in son and Tomi Ann Roberts’s (1997) objec-
addition to extreme thinness (Homan et al., 2012). tification theory, Western culture teaches
Correspondingly, relative to men, over the past women to view their bodies as objects, much
50 years, women have become increasingly disas external observers would. This perspective
satisfied with their body image (Feingold & increases body shame and anxiety, which in
Mazzella, 1998). turn leads to eating restriction and even eat-
A classic study by April Fallon and Paul Rozin ing disorders (Fredrickson et al., 1998). Lab-
(1985) suggests an additional reason why this is oratory experiments suggest that women do
so. University women overestimated how thin they indeed restrict eating to restore self-esteem
needed to be to meet men’s preferences, whereas (Mori et al., 1987). Work by Eva Pila and her
men overestimated how bulky they should be to colleagues at the University of Toronto has
match women’s preferences (Figure 11.8). Women shown body weight-related shame, higher
also perceived their body shape as heavier than among females, is important in decreasing
ideal, whereas men viewed their body shape self-esteem (Pila et al., 2015).
as close to ideal. As Fallon and Rozin noted, The norms that “thin = attractive” and “you
“Overall, men’s perceptions serve to keep them can never be too thin” are strongly ingrained by
2 2.5 3 3.5 4 4.5 5
What women Women’s self-image

rated as ideal What women What men
thought men actually
preferred preferred
2 2.5 3 3.5 4 4.5 5
What women What men rated

actually preferred What men thought Men’s
as ideal
women preferred self-image
FIGURE 11.8 University women overestimated how thin they needed to be to conform to men’s preferences
and viewed their own body shape as heavier than ideal. In contrast, men overestimated how bulky they should be
to conform to women’s preferences but viewed their body shape as close to ideal.
Source: Data from Fallon, A.E., & Rozin, P. (1985). Sex differences in perceptions of desirable body shape. Journal of Abnormal
adolescence and have a powerful impact even in environmental stimuli, such as portion size,
early in adolescence. As early as the Grade 8, the number of people present during a meal, the
many girls have adopted the belief that they amount that others eat, and the variety of foods
have to be thin to be popular with boys (Halpern available (Levitsky, 2005). We will consider a
et al., 1999), and girls as young as ten years old few of the most important environmental vari-
diet to look thinner (McVey et al., 2004). Such ables that influence how much we eat.
social pressures and beliefs can lead to a high Food availability is the most obvious envi-
level of dissatisfaction with one’s own body. As ronmental regulator of eating. For millions of
few as one in five adolescent and young adult people who live in poverty or famine-ravaged
females report being happy with their weight, regions, food scarcity limits consumption. In
even when body weight is within a normal, contrast, abundant low-cost food (including
healthy range (Halpern et al., 1999; Huon et al., high-fat foods) in many countries contributes to
2002; Kenardy et al., 2001). a high rate of obesity among children and adults
(Wadden et al., 2002).
Food taste, variety, and serving size all
Environmental and Cultural powerfully regulate eating. Good-tasting food 11. Identify
Factors positively reinforces eating and increases food
several
environmental
Although not very sensitive to manipulation of consumption, but during a meal and from meal and cultural
biological variables such as overfeeding, under- to meal, we can become “tired of eating the factors that
feeding, or changes in the caloric density of same thing” and terminate a meal more quickly influence eating.
the diet, people are very sensitive to changes (Rolls et al., 1981). In contrast, food variety
408 CHAPTER ELEVEN
500 because meals take longer (de Castro, 2002).

450 Cultural norms influence when, how, and what
Amount eaten (grams)

400 we eat. In countries such as Spain and Greece,
350 people often begin dinner in the late evening
(say, around 9:00 P.M.), by which time most
300
North Americans have long finished their sup-
250
per. And although we like variety, we usually feel
200
most comfortable selecting from among familiar
150 foods and often have difficulty “getting past” our
100 squeamish thoughts about unfamiliar dishes.
500 625 750 1000
Portion size (grams)
Obesity
FIGURE 11.9 Participants were presented with a The heaviest known man and woman in
macaroni and cheese lunch in one of four por tion
recorded history, both Americans, weighed
sizes, and the amount of food eaten increased with
portion size. This was true for both men and women, 635 kilograms and 545 kilograms at their respec-
and for normal-weight and overweight par ticipants tive peaks in 1978 and 1987 (Guinness Book,
(data shown is for the subject groups combined). 2000). (After hospitalization and dieting, the
Source: Data from Rolls, B.J., Morris, E.L., & Roe, L.S. (2002).
man lost 418 kilograms over 16 months, and the
Portion size of food affects energy intake in normal-weight woman lost 417 kilograms over seven years.)
and over-weight men and women. American Journal of Clinical Health Canada guidelines suggest that a body
Nutrition, 76, 1207–1213. mass index (BMI, the ratio of weight to height—
kg/m2) between 25 and 29.9 is considered over-
weight, and a BMI over 30 is considered obese.
increases consumption, which you know all too
According to recent statistics, more than half
well if you attend buffet meals. The amount of
of adult Canadians (52.5 percent) are either
food served also influences how much we eat.
overweight or obese, with 19.8 percent of men
In one study participants were presented with a
and 16.8 percent of women classified as obese
macaroni and cheese lunch in one of four differ-
(Statistics Canada, 2013). Among Canadian
ent portion sizes (Rolls et al., 2002). Although
children, almost 20 percent are overweight and
participants did not differ in self-reported
8 percent are obese. Statistics Canada reported
hunger or how much food they predicted they
a 500 percent increase in childhood obesity
would eat before the lunch, the larger the por-
between 1980 and 2004. Not only does obe-
tion they were given, the more they ate. Those
sity pose a health risk, but it can also expose
presented with the largest portion size ate, on
the individual to stereotypes and prejudice
average, almost 100 grams more macaroni and
(Teachman et al., 2003).
cheese than those presented with the small-
Obesity is often blamed on a lack of will-
est serving (Figure 11.9). That represents an
power, a weak character, or emotional dis-
additional 676 kJ (162 calories) consumed just
turbances, but research does not consistently
because of a larger serving size.
find such psychological differences between
Through classical conditioning we learn to
obese and non-obese people (Faith et al.,
associate the smell and sight of food with its
2002). Some scientists hypothesize that eat-
taste, and these food cues can trigger hunger.
ing is an attempt to cope with stress (Wallis &
Eating may be the last thing on your mind until
Hetherington, 2004) or that obese people react
your nose detects the sensuous aroma wafting
more strongly than non-obese people to food
from a bakery, a pizzeria, or a popcorn machine.
cues, such as the appearance or taste of food
Dr. Harvey Weingarten (1983), then at McMaster
(Stice et al., 2008). But again, evidence that
University, demonstrated that rats that have
these factors cause obesity is mixed (Greeno &
eaten recently and are not hungry (i.e., they
Wing, 1994).
have food available but ignore it) will eat when
presented with sounds and lights that they have
learned to associate with food. Similarly, does Genes and Environment
the musical jingle of the neighbourhood ice Do you know people who seem to gain weight
cream truck tweak your hunger? easily and other envied souls who eat even more
Many other environmental stimuli affect food food without adding weight? Data from over
intake. We typically eat more when dining with 25 000 pairs of twins and 50 000 other bio-
other people than when eating alone, in part logical and adoptive family members point
to heredity as one source of such differences. Dieting and Weight Loss

Heredity influences our basal metabolic rate Unfortunately, weight gain tends to promote
and tendency to store energy as either fat or additional weight gain, in part by altering body 12. What
lean tissue (Bouchard et al., 1990). Overall, evidence
chemistry and energy expenditure (Logue,
genetic factors appear to account for about suggests a
1991). For example, obese people generally have genetic role in
40 to 70 percent of the variation in body mass higher levels of insulin (a hormone secreted by obesity? How
among women and men (Maes et al., 1997; the pancreas) than people of normal weight, does obesity
Comuzzie & Allison, 1998). Identical twins which increases the conversion of glucose into among the Pima
reared apart are about as similar in body fat. Substantial weight gain also makes it harder Indians illustrate
mass as identical twins reared together, and to exercise vigorously, and dieting slows basal a gene–
adopted children resemble their biological metabolism because the body responds to food environment
parents more closely than their adoptive par- deprivation with decreased energy expenditure. interaction?
ents (Stunkard et al., 1990). Along with a genetic predisposition to obesity,
More than 200 genes have been identified these factors cause many obese people to main- 13. Why is
as possible contributors to human obesity, tain excess weight with fewer calories than people it especially
and in most cases, it is the combined effect of hard for obese
who are gaining the same weight for the first time.
a subset of genes—rather than “single-gene” people to lose
In contrast to earlier reports, however, there is no weight? Are diets
variations—that produces an increased risk consistent evidence that the body’s energy-saving doomed to fail?
(Comuzzie & Allison, 1998). However, although metabolic slowdown becomes more pronounced
heredity affects our susceptibility to obesity, with each weight loss attempt (Brownell & Rodin,
so does the environment. Genes have not 1994, National Task Force, 1994). Thus, whether
changed much in recent decades, but obesity repeated “yo-yo dieting” makes it more difficult
rates in Canada and the United States have to lose weight is debatable.
increased significantly. According to experts Are diets doomed to fail? The common
such as James Hill and John Peters (1998), the adage that “95 percent of people who lose
culprits are weight regain it within a few years” evolved
• an abundance of inexpensive, tasty, high-fat from just one study decades ago. According
foods available almost everywhere; to Albert Strunkard, one of the researchers,
100 obese patients were “just given a diet and
• a cultural emphasis on “getting the best
sent on their way. That was state of the art
value,” which contributes to the “supersizing”
in 1959” (Fritsch, 1999). Certainly, achiev-
of menu items; and
ing weight loss is not easy, and combining
• technological advances that decrease the healthy eating (reduced energy input) with
need for daily physical activity and encour- exercise (increased energy output) has a
age a sedentary lifestyle. greater chance of success than dieting alone.
The Pima Indians of Arizona provide a strik- But in truth, we do not have good estimates
ing example of how genes and environment of weight-loss success rates, partly because
interact to produce obesity. Despite the fact people who succeed (or fail) on their own
that the Pimas are genetically predisposed to without going to clinics or treatment programs
obesity and diabetes, both conditions were rare are rarely heard from (Schachter, 1982). For
among tribe members before the 20th century example, the National Weight Control Registry
(Savage & Bennett, 1992). Their native diet and (2000) has a database of over 2000 success-
way of life prevented their genetic predispo- ful, long-term dieters who, on average, have
sition from expressing itself. But, particularly lost about 27 kilograms and kept it off for
among Pimas born after World War II, obesity about five years. About half of these partici-
rates increased dramatically as they adopted pants did so on their own, without any type
a Westernized diet and sedentary lifestyle of formal program (see the Applications
(Price et al., 1993; Esparza et al., 2000). Today, feature for more information about how to
they have one of the highest rates of obesity control eating and weight).
(and diabetes) in the world. In contrast, Pimas Health concerns motivate some dieters, but
living in northwest Mexico, who still eat a more psychological and social concerns are the pri-
traditional diet and perform more physical mary motivators for many others. Many non-
labour, have an obesity rate much lower than obese adolescent girls and women diet, including
that of their Arizonan counterparts (Ravussin those of average and below-average weight
et al., 1994). (Miller et al., 2000; McVey et al., 2004).
410 CHAPTER ELEVEN
Applications
THE BATTLE TO CONTROL EATING would “ruin our appetite” Unfortunately, it does not work
AND WEIGHT that way. If you eat a small amount of food before the main
meal—that is, eat an appetizer—then you will eat more of
Many people, especially high school and university stu- the following meal. An appetizer is aptly named as it does
dents, are concerned about their weight. Many adolescent indeed increase your appetite. Appetizers work for at least
females with average and even below-average body fat diet two reasons. One is that an appetizer provides more variety
(Kenardy et al., 2001). Our dissatisfaction with our bodies in the meal and food variety increases consumption. The
begins at an alarmingly young age. One study found that second reason is that if the appetizer stimulates insulin
almost 30 percent of 10- to 14-year-old girls were trying secretion, as it should, the increase in blood insulin levels
to lose weight and look thinner (McVey et al., 2004). Our and subsequent drop in blood glucose levels are powerful
body size and shape, or, more accurately, our perception hunger cues. If you are visiting a fine restaurant and want
of our body size and shape forms an important part of our to enjoy every possible mouthful, go ahead and have that
self-image. How we perceive our own body and how closely appetizer. However, if you want to control the amount of
that matches our ideal is an important issue for many (look food that you consume, do not have an appetizer or small
back at Figure 11.8). Can what we have learned about hun- snack close to mealtime; it will only make you feel hungrier
ger help us in our battle to control our girth? Many different and increase the amount of food that you eat.
factors control hunger, and what we know about their influ- Eat when you are hungry. Although we tend to attribute
ences and interactions can indeed be put to use. our eating to hunger, we often eat out of habit. Although we
As discussed previously, having an “empty” stomach are not hungry, we snack while watching TV, watching sports,
does contribute to feelings of hunger and having a “full” talking with friends, and reading. To make matters worse,
stomach is one of the satiety signals. But it is not just the these snacks are often high-fat, high-calorie foods such as
sheer mass of food in the stomach that helps us feel full chips, peanuts, or doughnuts. Do not put that bowl of chips
and slows our eating. Acting through mechanisms that are on the table beside your favourite reading or TV chair.
not yet well understood, what is in the stomach also mat- You can lose weight by consuming a constant number of
ters. Nutritionally rich food makes us feel fuller than an calories and increasing energy expenditure (i.e., exercising)
equal volume of food with little or no nutritive value. Nutri- or you can lose weight by decreasing the number of calo-
tionally rich food is lower in fats and calories than nutrition- ries that you consume without changing your energy expen-
ally empty food, and it will make you feel fuller faster. diture. It is important to know, however, that weight loss
The incentive value of the foods in front of us is also through exercise is not the same as weight loss through
important. Cues that predict the arrival of food, such as dieting. If weight is lost because of an increase in exercise,
the smell of popcorn, the sight of a favourite restaurant, or that weight is subsequently regained much more slowly
the sound of a steak sizzling on a barbecue, can all make than if the weight is lost because of dietary restriction alone
us feel hungry, even when we do not need food. Controlling (Wainwright et al., 1990). Weight loss through diet is due
the response to such food cues is not a matter of willpower. to a loss of both lean body mass and fat, whereas weight
The smell, sight, and even sound of a favourite food can loss through exercise is due to a loss of fat. If weight is lost
stimulate the release of the hormone insulin (Rodin, 1978, through exercise, there is a consequent increase in the ratio
1981), and secretion of insulin is associated with increased of muscle to fat (since only fat is lost), and that generally
hunger (Rodin et al., 1985). Ghrelin levels are associated leads to an increase in basal metabolic rate (VanItallie &
with hunger and increased food consumption, and research Kissileff, 1990). The heightened basal metabolism will help
has shown that even pictures of food can trigger the release to burn calories, even when you are not exercising.
of ghrelin (Schüssler et al., 2012). The mere sight of one’s It is also important to consider stress and stress coping
favourite food increases feelings of hunger and food crav- (we will discuss stress and coping with stress in detail in
ings, and increases heart rate, blood pressure, salivation, Chapter 15). In an interesting study investigating the “fresh-
and gastric activity (Nederkoorn et al., 2000). If you can, man 15”—the expectation that students gain 15 pounds
avoid such cues. We certainly do not want to isolate our- (almost 7 kg) during their first year of university—Boyce
selves in a sterile and boring environment, but knowing that and Kuijer (2015) found that stress played an important
such cues have a powerful physiological impact can help mediating role. First-year university students with a higher
us to control them. Do not ask to see the dessert tray, with BMI at the start of the university year and who also had
its array of attractive, high-incentive delicacies, unless you high levels of stress gained the most weight. Interestingly,
plan to eat one. students with the lowest BMI and who also experienced high
If you eat a small amount of food before a meal, will stress tended to lose weight. Students with effective stress
you eat more or less of the main meal? Many of us have coping experienced little weight change. In order to control
been warned by a parent that a snack too close to mealtime
continued
unhealthy weight changes and to help control weight, it is control of appetite and weight. Some, such as our genetic
important to know effective stress-reduction techniques and endowment, are beyond our control, but others, such as
coping strategies. exposure to food-related cues, types of food eaten, and
We go to great lengths, sometimes tragically unhealthy how we arrange our meals, are within our control, and
ones, to control our weight. The study of hunger has dem- they can have a dramatic effect on how much food we eat,
onstrated that many different factors contribute to the without resorting to the current fad diet.
In Review
• The body monitors several chemicals involved in Our memory, attitudes, habits, and psychologi-
energy utilization. Changing patterns of glucose cal needs affect our food intake.
usage provide one signal that helps to initiate • The availability, taste, variety, and amount of
hunger. The hormone ghrelin powerfully increases food powerfully regulate eating. Through classi-
feelings of hunger. Upon eating, hormones such cal conditioning, neutral stimuli can acquire the
as CCK are released into the bloodstream and capacity to trigger hunger. Cultural norms affect
signal the brain to stop eating. Fat cells release our food preferences and eating habits.
leptin, which acts as a long-term signal that helps
to regulate appetite. The hypothalamus and other • Heredity and the environment affect our sus-
brain regions play a role in hunger regulation. ceptibility to becoming obese. Homeostatic
mechanisms make it difficult to lose substantial
• The expected good taste of food motivates eat- weight.
ing, and the thought of food can trigger hunger.
SEXUAL MOTIVATION In reality, people engage in sex for a host of

noble and not-so-noble reasons: to reproduce,
Why do people have sex? If you are thinking, obtain and give pleasure, express love, foster
“Isn’t it obvious?” let’s take a look. Sex often is intimacy, build one’s ego, fulfill one’s “duty,”
described as a biological “reproductive drive,” conform to peer pressure, get over a broken
yet people usually do not have sex to conceive relationship, and for millions of people world-
children. Moreover, a drive to reproduce does not wide, to earn money (Byer et al., 1999).
explain why people masturbate, have oral sex,
use birth control, and have sex into their 70s and
80s. Pleasure, then, must be the key. Evolution Sexual Behaviour: Patterns
has shaped our physiology so that sex feels good; and Changes
periodically, this leads to childbirth, and our Because most people are reluctant to let
genes are passed on. But consider the following: researchers into their bedrooms, scientists
• In a study asking adolescents why they have typically learn about people’s sexual activi-
sex, both genders cited peer pressure far more ties by conducting surveys. Alfred Kinsey and
often than sexual gratification (Stark, 1989). his colleagues (1948, 1953) at Indiana University
conducted the first large-scale American sex
• In the 1920s, British sex researcher Helena
surveys in the late 1930s. One of the best and
Wright found that most women she surveyed
more recent U.S. surveys, based on a nationally
viewed sex as an unenjoyable marital duty
representative sample of 18- to 59-year-olds,
(Kelly, 2001).
found that about 70 percent of people in this
• Many women find their first sexual inter- age group have sex with a partner at least a few
course disappointing (Sprecher et al., 1995). times per month (Figure 11.10; Laumann et al.,
Some sex researchers call this reaction “Peggy 1994; Michael et al., 1994). Overall, single adults
Lee syndrome,” named for a singer who had a who cohabit (are not married but live with a
hit song titled “Is That All There Is?” (Hyde & sexual partner) are the most sexually active,
DeLamater, 2000). followed by married adults. Single adults who
• About 10 percent of American men and do not cohabit are the least active.
20 percent of women report that sex is not The survey also found that, although men
pleasurable (Laumann et al., 1994). and women have sex with a partner about
412 CHAPTER ELEVEN
Noncohabiting Married Cohabiting
Men Men Men

1%
7% 7% 13% 16% 8%
19% 23%
36% 36%
25% 43%
26% 40%
Women Women Women

3% 1%
5% 7% 12% 14% 8%
15% 32%
32% 35%
24% 47%
42%
23%
A few times A few times 2–3 times a 4 or more

Never
a year a month week times a week
(left): Adapted from Sex in America by Robert T. Michael, John Gagnon, Edward O. Laumann and Gina Kolata. Copyright © 1994 by Robert T. Michael, John H. Gagnon, Edward O.
Laumann and Gina Kolata. Reprinted by permission of Little, Brown & Company (U.S. and U.K.), and Brockman, Inc.; (right): Ingram Publishing.
FIGURE 11.10 Frequency of sex over the past 12 months by gender and marital status among adult men and women.
equally often, men masturbate and fantasize possibly reversing (CDC, 2002). This may be a
about sex more often than women do. About response to an increased cultural emphasis on
25 percent of men and 10 percent of women the depth of relationships (Wade & Cirese, 1992)
masturbate one or more times per week, and and to the crisis concerning AIDS and other sex-
60 percent of men and 40 percent of women ually transmitted diseases (STDs). According to
report masturbating at least once a year. The the World Health Organization, worldwide more
common belief that adults masturbate simply than 1 million sexually transmitted infections
because they do not have a sex partner is false: are acquired every day (World Health Organi-
85 percent of men and 45 percent of women zation, 2015). Sexually transmitted infections
with regular sex partners masturbate at least include infections that may be asymptomatic;
once a year. that is, the infection is present but the individ-
Overall, males tend to have their first sexual ual does not show disease symptoms or shows
intercourse experience one to two years earlier only mild symptoms.
than females (CDC, 2002), but by the end of high
school, similar proportions of males and females The Physiology of Sex
have had sexual intercourse at least once, and a In 1953, William Masters and Virginia Johnson
high proportion of high school–aged youth are began a landmark study in which they examined
sexually active. For example, in 2002 Health the sexual responses of 694 men and women
Canada reported that 23 percent of Grade under laboratory conditions. In total, they
9 males and 19 percent of Grade 9 females had physiologically monitored about 10 000 sexual
engaged in sexual intercourse; by Grade 11, episodes in which volunteers masturbated, had
40 percent of males and 46 percent of intercourse, and performed other sexual activi-
females had engaged in sexual intercourse ties. By putting a camera into a transparent
(Canadian Youth, Sexual Health and HIV/ penis-shaped case, Masters and Johnson were
AIDS Study, Health Canada, 2004). Pre- able to film vaginal reactions during simulated
marital intercourse has become more intercourse.
common in many countries over the past
half-century. Changing social norms, a trend The Sexual Response Cycle
toward sexual activity at a younger age, Masters and Johnson (1966) concluded that
14. Explain the
stages of the and a tendency to delay marriage have all most people go through a four-stage sex-
sexual response contributed to an increase in premarital sex. ual response cycle when sexually aroused
cycle. Some findings suggest, however, that these (Figure 11.11). During the excitement phase,
premarital trends may be levelling off and arousal builds rapidly. Blood flow increases to
Male the resolution phase, males enter a refractory

period during which they are temporarily inca-
pable of another orgasm. Females may have two
Orgasm or more successive orgasms before the onset of
the resolution phase, but Masters and Johnson
Plateau Refractory reported that most women experienced only
period one. Moreover, sexual response varies across
Refractory
people and time, and this four-stage model rep-
Reso
period
Res
Excitement resents only an “average.” People may experi-
olut
lu
ence orgasm on some occasions but not others,
tion
ion
and orgasm is neither the only goal nor neces-
(a) Time sarily the ultimate goal of all sexual activity.
Female Hormonal Influences
As with hunger, the hypothalamus plays a key
role in sexual motivation. It controls the pitu-
Orgasm itary gland, which regulates the secretion of
hormones called gonadotropins into the blood-
Plateau stream. In turn, these hormones affect the rate
Re
s olu at which the gonads (testes in the male and
Resolution
tio
Re
n ovaries in the female) secrete androgens, the

so
Excitement
so-called “masculine” sex hormones such as
luti
B
C
on
B C A testosterone, and estrogens, the so-called “femi-

A
nine” sex hormones such as estradiol. Note that,
(b) Time despite these labels, both men and women pro-
duce androgens and estrogens.
FIGURE 11.11 Masters and Johnson discovered a
Sex hormones have organizational effects
four-stage pattern of sexual response. (a) In males,
there is a refractory period after orgasm during which that direct the development of male and female
no further response is possible. (b) In females, pat- sex characteristics (Breedlove, 1992; Byer et al.,
tern A represents one or more orgasms followed by 2002). In the womb, male and female embryos
resolution, pattern B shows a plateau stage with no form a primitive gonad that has the potential to
orgasm, and pattern C shows an orgasm with no pre- develop into either testes or ovaries. If geneti-
ceding plateau stage. cally male, the embryo forms testes about eight
Source: Based on Masters, W., & Johnson, V. (1966). Human weeks after conception. Then, as the testes
sexual response. London, UK: Churchill. release sex hormones during a key period of pre-
natal development, there typically is sufficient
arteries in and around the genital organs, nip- androgen activity to produce a male pattern of
ples, and women’s breasts, pooling and causing genital, reproductive, brain, and other organ
these body areas to swell (this process is called development. Years later, as part of this pat-
vasocongestion). The penis and clitoris begin to tern, the hypothalamus stimulates an increased
become erect, the vagina becomes lubricated, release of sex hormones from the testes when
and muscle tension increases throughout the the male reaches puberty. In contrast, a geneti-
body. In the plateau phase, respiration, heart cally female embryo does not form testes and,
rate, vasocongestion, and muscle tension con- in the absence of sufficient androgen activity
tinue to build until there is enough muscle ten- during this prenatal period, a female pattern of
sion to trigger orgasm. development ensues. As part of this pattern, at
During the orgasm phase in males, rhythmic puberty the hypothalamus stimulates the release 15. Describe the
contractions of internal organs and muscle tis- of sex hormones from the ovaries on a cyclical organizational
sue surrounding the urethra project semen out basis that regulates the female menstrual cycle. and activational
of the penis. In females, orgasm involves rhyth- Sex hormones also have activational effects effects of sex
hormones.
mic contractions of the outer third of the vagina, that stimulate sexual desire and behaviour. The
How do the
surrounding muscles, and the uterus. In males, activational effects of the sex hormones begin activational
orgasm is ordinarily followed by the resolu- at puberty, when the individual’s gonads begin effects differ in
tion phase, during which physiological arousal to secrete sex hormones. Mature males have a humans versus
decreases rapidly and the genital organs and relatively constant secretion of sex hormones, nonhumans?
tissues return to their normal condition. During and their readiness for sex is largely governed
414 CHAPTER ELEVEN
by the presence of environmental stimuli (e.g., Most men and women also fantasize at least
a receptive female). In contrast, hormone secre- occasionally during sexual intercourse (Leit-
tions in female animals follow an “estrus” cycle, enberg & Henning, 1995), as comedian Rodney
and they are sexually receptive only during Dangerfield acknowledged with his quip, “Last
periods of high estrogen secretion (i.e., when time I tried to make love to my wife nothing was
they are “in heat”). Sex hormones also influence happening, so I said to her, ‘What’s the matter,
human sexual desire, as when the hormonal you can’t think of anybody either?’” However,
surge of puberty results in increased sexual in contrast to what Dangerfield’s joke implies,
motivation for most people. But in humans, nor- sexual fantasy typically is not a response to
mal short-term hormonal fluctuations have rela- dissatisfaction with one’s partner. Rather, peo-
tively little effect on sexual arousability (Morrell ple who are more sexually active also tend to
et al., 1984). Women may experience high sexual fantasize more (Kelly, 2001).
desire at any time during their menstrual cycle.
In men and women, androgens—rather than Desire, Arousal, and Sexual Dysfunction
estrogens—appear to have the primary influ- Psychological factors not only can trigger sex-
ence on sexual desire (Hyde & DeLamater, 2003; ual arousal, but also inhibit it. A person may be
Napi, 2015). However, desire does not go up and anticipating an evening of lovemaking, or be
down like a yo-yo as blood levels of sex hor- engaged in sexual activity, and then become
mones change. Rather, a baseline level of cer- “turned off” by something a partner does. Many
tain hormones, such as testosterone, appears people who are physiologically capable of
necessary to maintain sexual desire. Women becoming sexually aroused simply do not have
who have had their androgen-producing organs the desire. About one in three women and one in
(ovaries, adrenal glands) removed for medical six men report that they lack an interest in sex
reasons experience a gradual loss of sexual (Laumann et al., 1994).
desire that can be reversed by administering Other people desire sex but have difficulty
sex hormones (Buster et al., 2005). Similarly, becoming or staying aroused. Stress, fatigue,
most men who are castrated (have their tes- and anger at one’s partner can lead to temporary
tes removed) experience a gradual decrease arousal problems. Sexual dysfunction refers to
of sexual desire. But, particularly if the man is chronic, impaired sexual functioning that dis-
sexually experienced, sexual responsiveness tresses a person. It may result from injuries,
declines more slowly than sexual desire. In diseases, and drug effects, but some causes are
some cases, men continue to have sexual inter- psychological. About 10 percent of men report
course for years after they have been castrated difficulty maintaining an erection, and about 20
(Hyde & DeLamater, 2000), which is one reason percent of women have difficulty lubricating and
why castrating sex offenders is not a guaran- becoming aroused (Laumann et al., 1994). Perfor-
teed method of preventing future rapes. mance anxiety can cause both types of problems,
and arousal difficulties also may be a psycholog-
The Psychology of Sex ical consequence of sexual assault or childhood
sexual abuse (Rumstein & Hunsley, 2001).
Sexual arousal involves more than physiologi-
16. What cal responses. It typically begins with desire and
psychological
a sexual stimulus that is perceived positively
Cultural and Environmental
factors
(Walen & Roth, 1987). Such stimuli can even be Influences
stimulate and
inhibit sexual imaginary. The psychological meaning of sex depends
functioning? strongly on cultural contexts and learning. For
Sexual Fantasy example, some religions discourage or prohibit
17. How Sexual fantasy is an important component of premarital sex, extramarital sex, and public
do cultural many people’s lives. Among 18- to 59-year-old dress and behaviour that arouses sexual desire
norms and American adults, about half of men and a fifth (Figure 11.12). In turn, most people who view
environmental of women fantasize about sex at least once a themselves as very religious believe it is impor-
stimuli tant to bring their sexual practices into harmony
day (Laumann et al., 1994). Fantasy illustrates
influence sexual
how mental processes can affect physiological with their religious beliefs (Janus & Janus, 1993).
behaviour?
functioning. Indeed, sexual fantasies alone may
trigger genital erection and orgasm in some Cultural Norms
people, and are often used to enhance arousal Anyone who doubts culture’s power to shape
during masturbation (Byrne & Osland, 2000). the expression of human sexuality need only
(left): © BananaStock/JupiterImages; (right): © A. Majeed/AFP/Getty Images
FIGURE 11.12 Habits of dress that many people take for granted in some societies, such as wearing tank tops,
short-sleeve shirts, and tight jeans, are unacceptable in other cultures because they would be considered sexually
provocative.
examine sexual customs around the globe. Con- orgasm among the women of Inis Beag is rare
sider that childhood sexuality is suppressed in and viewed as abnormal (Messenger, 1971).
our culture but is permitted and even encour- Clearly, what is considered proper, moral, and
aged in others. In the Marquesas Islands of desirable varies enormously across cultures.
French Polynesia, families sleep together in one
room and children have ample opportunity to Arousing Environmental Stimuli
observe sexual activity. When a baby boy is The environment affects sexuality not only
distressed, Marquesan parents may masturbate through cultural experiences, but also by pro-
the child. Boys and girls begin to masturbate viding sexually arousing stimuli. A lover’s
at age two or three, and most engage in casual caress can trigger sexual desire in an instant.
homosexual contacts during their youth. When So too can watching a partner undress, which
they reach adolescence, an adult of the opposite ranks second only to vaginal intercourse as the
sex instructs them in sexual techniques and has sexual activity that most men and women find
intercourse with them (Suggs, 1962). appealing (Laumann et al., 1994).
Although North Americans are less sexu- Erotic portrayals of sex can trigger arousal
ally permissive than the Marquesans, they are and sexual behaviour as long as people perceive
not as repressive as the inhabitants of Inis those stimuli positively (Davis & Bauserman,
Beag, an island off the coast of Ireland. Sex is 1993). In one study, Julia Heiman (1975) measured
a taboo topic among these people, and nudity the genital arousal and self-reported arousal of
is abhorred. Only infants are allowed to be sexually experienced university students as they
completely naked. The genders are separated listened to tape recordings of erotic and non-
from early childhood until marriage, and erotic stories from popular novels. Women and
during marital sex both partners keep their men experienced sexual arousal to descriptions
underwear on. Sexual revulsion is so intense of explicit sex but not to descriptions devoid of
that dogs and other animals are often beaten sexual content (romantic or general conversa-
if they are caught licking their genitals. In tions). Both genders showed the strongest arousal
contrast to Marquesan women, who customar- when erotic stories focused on the female charac-
ily experience orgasm in sexual interactions, ter, and when she was the one who initiated sex.
416 CHAPTER ELEVEN
Pornography, Sexual Violence, countries, the public and scientists alike have
and Sexual Attitudes asked whether exposure to pornography
By today’s standards, depictions of sex in popu- fosters sexual violence against women.
lar novels are a tame form of erotica. Sexually Two psychological viewpoints are espe-
18. According to cially relevant to predicting pornography’s
social learning explicit magazines and movies, telephone sex
lines, nude dance clubs, and Internet “cyber- effects. According to social learning theory,
and catharsis
principles, how porn” constitute a multi-billion-dollar pornog- people learn through observation. Many por-
should viewing raphy industry. The rapid growth in access to nographic materials model “rape myths”—that
pornography the Internet has been accompanied by a dra- sex is impersonal, that men are entitled to sex
affect sexual matic increase in the availability of pornogra- when they want it, and that women enjoy being
aggression? phy, and consumption of pornography has been dominated and coerced into sex (Malamuth,
What does increasing since the 1970s (Price et al., 2015). 1998). Men who view such materials should
research find? become more likely to treat women as objects
One study of more than 800 undergraduate and
graduate students found that about two-thirds and sexually aggress toward them. In contrast,
(67 percent) of the male students and almost Freud and other psychoanalysts advocated a
half (49 percent) of the female students agreed catharsis principle, which states that as inborn
that viewing pornography was acceptable aggressive and sexual impulses build up, actions
(Carroll et al., 2008). When it came to use of por- that release this tension provide a “catharsis”
nography, the same study found that 87 percent that temporarily returns us to a more balanced
of the male students and 31 percent of the physiological state. Thus, viewing pornography—
female students reported using pornography. especially materials that contain aggressive or
Statistics Canada has reported that 39 percent violent content—should provide people with a
of adult Canadian women have had at least safe “outlet” for releasing sexual and aggressive
one experience of some form of sexual tensions, and should decrease sexually aggressive
assault (Statistics Canada, Measuring Violence behaviour toward women.
Against Women, 2006). Contrary to a common Correlational studies of real-world sexual
belief, as Figure 11.13 shows, most sexual violence do not clearly support either view-
assaults are not committed by strangers point. For example, although some sex offend-
(Brennan & Taylor-Butts, 2008). Given the ers use pornography to arouse themselves in
appalling incidence of sexual assault in some preparation for a crime, overall, they do not
report having been exposed to pornography
Who Commits Sexual Assault? at a younger age or to a substantially larger
degree than males in general (Bauserman, 1996).
More broadly, some countries with high rape
rates have little pornography, whereas others
Friend/ have a great deal. In some countries, pornogra-
Family member
aquaintance phy is widely available but rape rates are low
32% (Bauserman, 1996).
31%
To isolate pornography’s possible effects on
behaviour, controlled experiments are needed.
Stranger In one such experiment, Edward Donner-
18%
stein and Leonard Berkowitz (1981) randomly
Current or former divided male university students into four
boyfriend/girlfriend
groups. Group 1 saw a nonsexual film of a talk
5% Authority figure
6%
show. Group 2 watched a sexually explicit film
in which a young couple made consensual love.
FIGURE 11.13 According to Canadian police-reported Groups 3 and 4 watched explicit depictions of a
data for 2007, the victim knew the perpetrator in woman being sexually assaulted by two men. In
82 percent of sexual assaults; only 18 percent of one film (Group 3)—a “rape myth” version—the
sexual assaults were committed by a stranger. Family woman resisted at first but then became a willing
members and friends/acquaintances were the
sexual participant. In the other film (Group 4),
most likely to commit a sexual assault (Brennan &
Taylor-Butts,2008). she was shown resisting and then suffering
during the entire experience.
Source: Data from Brennan, S., & Taylor-Butts, A. (2008).
Next, in a supposedly unrelated second exper-
Sexual assaults in Canada 2004 and 2007. Canadian Centre
for Justice Sta-tistics Profile Series. Statistics Canada. Cat. iment, these male participants interacted with a
No. 85F0033M. p. 13. woman (who was actually an accomplice of the
Mean intensity of shocks to the

Not provoked
female victim (range = 1–10)

5
Provoked, angered
4
0
Non-sexual Sexual Aggressive- Aggressive-
sexual: sexual:
“rape myth” suffering
Film Condition
FIGURE 11.14 Viewing an aggressive-sexual “rape myth” film in which the victim did not appear to suffer
increased the aggression of both angered and non-angered male participants toward a woman. After seeing an
aggressive-sexual film in which the female victim did appear to suffer, only angered men showed substantially
higher aggression toward a woman. A sexually explicit film without violent content did not increase later aggression.
Source: Data from Donnerstein, E., & Berkowitz, L. (1981). Victim reactions in aggressive erotic films as a factor in violence
against women. Journal of Personality and Social Psychology, 41, 710–724.
experimenter). During this interaction, she inten- with a hostile attitude toward women, the belief
tionally angered half of the participants. Later, that sex is impersonal contributes to rape
the men were given the opportunity to aggress (Malamuth, 1998). Incarcerated rapists and
against her by giving her electric shocks as pun- students who have admitted to committing date
ishment for errors made on a learning task she rape both display an impersonal orientation
was performing. As Figure 11.14 shows, watch- to sex.
ing the “rape myth” film (Group 3) increased the Should violent pornography, or all pornogra-
aggression of both angered and non-angered phy, be banned? This moral and political ques-
men. Further, for angered men, aggression tion goes beyond what the data can answer. Like
increased even when they saw the rape depic- everyone else, researchers have personal values,
tion showing the woman suffering (Group 4). and some take a strong stand on this issue. In an
This heightened aggression was specifically encouraging vein, research also shows that pro-
directed toward women; in a related experiment, viding men with realistic information about sexual
viewing these rape depictions increased men’s assault can lead them to reject “rape myths” (Linz &
aggression toward a female confederate but not Donnerstein, 1989). Strong messages against
toward a male confederate. coercive sexual practices may promote attitudes
Based on over two dozen experiments, that help to reduce sexual crimes against women.
19. Do you
researchers still debate whether nonviolent
believe that
sexually explicit materials increase men’s Sexual Orientation research findings
aggression toward women. Some studies of should influence
Sexual orientation refers to one’s emotional
nonviolent pornography have found that por- societal
and erotic preference for partners of a particu-
nography users have more gender-egalitarian decisions about
lar sex (Byer et al., 2002). On one level, defining
attitudes (Kohut, Baer, & Watts, 2016). The pornography?
sexual orientation seems simple: Heterosexuals
clearest and strongest effects emerge for Why or why not?
prefer opposite-sex partners, homosexuals pre-
violent pornography (Byrne & Osland 2000;
fer same-sex partners, and bisexuals are sexu-
Donnerstein & Malamuth, 1997). At least tem-
ally attracted to members of both sexes. So how
porarily, such films seem to increase men’s
would you classify the sexual orientation of the
aggressive behaviour toward women. Pornog-
following 25-year-olds?
raphy also promotes a view that sex is imper-
sonal and decreases viewers’ satisfaction with • Susan feels sexually attracted to men and
their own sexual partners (Donnerstein & women, but has had sex only with men and
Malamuth, 1997; Zillmann, 1994). In combination thinks of herself as heterosexual.
418 CHAPTER ELEVEN
• Larry has had sex with other men twice since or bisexual self-identity also report same-gender
puberty, yet isn’t attracted to men and views attraction and same-gender sexual activity.
himself as heterosexual.
Determinants of Sexual Orientation
Prevalence of Different Sexual During the 20th century, theory after theory
Orientations about the origins of sexual orientation fell by the
For decades, researchers viewed sexual ori- scientific wayside. An early and unsupported
20. Why is entation as a single dimension ranging from biological theory was that homosexual and het-
the issue of
“exclusively heterosexual” to “exclusively erosexual males differ in their adult levels of
defining sexual
homosexual,” with “equally heterosexual and sex hormones. One psychodynamic view pro-
orientation
complicated? homosexual” at the midpoint (Kinsey, 1948). But posed that male homosexuality develops when
this concept is simplistic, and modern research- boys grow up with a weak, ineffectual father
21. What do ers propose that sexual orientation has three and identify with a domineering or seductive
you believe dimensions (Kelly, 2001). mother. Another hypothesized that being sexu-
determines Figure 11.15 shows that about 3 percent of ally seduced by an adult homosexual caused
sexual North American men and 1 percent of women children to divert their sex drive toward mem-
orientation? identify themselves as homosexual or bisexual, bers of their own sex. Behaviourists suggested
Does your belief but higher percentages report same-gender that homosexuality was a conditioned response,
correspond to attraction and at least one same-gender sexual developed by associating adolescent sexual
theories that experience (Laumann et al., 1994). National urges with the presence of same-sex peers.
have been
surveys in England and France report slightly These early theories took a scientific beat-
rejected?
lower rates of same-gender sexual activity ing. In an extensive study of nearly 1000 homo-
(Dunne et al., 2000; Johnson et al., 1992). sexual and more than 500 heterosexual men and
Overall, 10 percent of North American men women in the San Francisco area, Alan Bell and
and 9 percent of women answered affirmatively his colleagues (1981) asked participants more
to at least one of the items in Figure 11.15. Of this than 200 questions about their childhood, ado-
group, roughly half report same-gender attraction lescence, and adulthood. They searched in vain
but have never had same-gender sex and do not for a common pattern of early experiences that
think of themselves as homosexual. In contrast, might suggest clues about the determinants of
almost all individuals who have a homosexual sexual orientation, and concluded the following:
10
Men
Women
8
Percentage of total NHSLS sample
0
Past Past Since Since Attraction Self-
12 months 5 years age 18 puberty to person of identity
same sex
Any same-sex partners Attraction and self-identity
FIGURE 11.15 More men and women report same-sex attraction and same-sex activity than view themselves as
homosexual or bisexual.
Adapted from Sex in America by Robert T. Michael, John Gagnon, Edward O. Laumann and Gina Kolata. Copyright © 1994 by
Robert T. Michael, John H. Gagnon, Edward O. Laumann and Gina Kolata. Reprinted by permission of Little, Brown & Company
(U.S. and U.K.), and Brockman, Inc.
No particular phenomenon of family life On another biological front, altering animals’

can be singled out, on the basis of our prenatal exposure to sex hormones can influ-
findings, as especially consequential ence their sexual orientation (Collaer & Hines,
for either homosexual or heterosexual 1995). According to one view, the brain devel-
development. . . . What we seem to have ops a neural pattern that predisposes organisms
identified . . . is a pattern of feelings and to prefer either female or male sex partners,
reactions within the child that cannot depending on whether prenatal sex hormone
be traced back to a single social or activity follows a masculine or feminine path
psychological root. (pp. 191–192) (Rahman, 2005). Scientists do not conduct simi-
lar experiments with humans, but some women
Overall, there was one notable pattern: Even have used medications during pregnancy that
in childhood, homosexual men and women felt altered fetal exposure to sex hormones. Addi-
that they were somehow different from their tionally, in rare cases some genetically male
same-sex peers and were more likely to engage fetuses are insensitive to their own androgen
in gender-nonconforming behaviours. Similarly, secretions and some female fetuses experi-
a cross-cultural study found that, compared with ence an atypical buildup of androgens. Several
heterosexual women, homosexual women in studies of these individuals suggest a relation
Brazil, Peru, the Philippines, and the United States between their prenatal sex hormone exposure
were about twice as likely during childhood to be and adulthood sexual orientation (Dessens
considered tomboys, to engage in pretend play with et al., 1999; Williams et al., 2000).
men’s clothes or other items, and to be interested in These findings are intriguing, but the human
“boys’ toys” (Whitam & Mathy, 1991). Many studies research is correlational, and many investiga-
have found similar results (Cohen, 2002). tors believe that there is no clear evidence that
Still, why do such patterns arise? At present, prenatal sex hormones directly affect human
many researchers believe that human sexual sexual orientation (Byne, 1997; Doell, 1995). For 22. What
evidence
orientation has genetic roots. J. Michael Bailey example, male fetuses that have androgen insen-
suggests
and Richard Pillard (1991) found that among sitivity develop the external anatomy of females that sexual
gay men who had a brother, the concordance and typically are raised as girls, and socializa- orientation has
rates for sexual orientation (i.e., the brother tion could account for their sexual orientation. biological roots?
was gay also) were 52 percent among identi- What about environmental influences? Describe the
cal twins, 22 percent among fraternal twins, and Despite identical genes, in about half the cases limitations of
11 percent among adoptive brothers. Similarly, in which one identical twin is homosexual, the this evidence.
among lesbian women with sisters, the concor- other is heterosexual. Thus, several biological
dance rates were 48, 16, and 6 percent among factors, or a biological predisposition and social-
identical twins, fraternal twins, and adopted sis- ization experiences, may combine to determine
ters (Bailey et al., 1993). In sum, the closer the our sexual orientation (Money, 1987). At pres-
genetic relatedness, the higher the concordance ent, we do not know what those factors are. It
rates for sexual orientation (Kirk et al., 2000). is also possible, argues Daryl Bem (1996), that
In Review
• The last half-century has witnessed changing with sexual arousal. Cultural norms determine
patterns of sexual activity, such as an increase the sexual practices and beliefs that are consid-
in premarital sex. ered moral, proper, and desirable.
• During sexual intercourse, people often experience • Environmental stimuli affect sexual desire. View-
a four-stage physiological response pattern consisting sexual violence reinforces men’s belief in
ing of excitement, plateau, orgasm, and resolution. “rape myths” and increases men’s aggression
• Sex hormones have organizational effects that toward women, at least temporarily.
guide the prenatal development of internal and • Sexual orientation involves dimensions of self-
external organs along either a male or female identity, sexual attraction, and actual sexual
pattern. Sex hormones also have activational behaviour. No single biological, social, or psy-
effects that influence sexual desire. chological factor—and no specific combination
• Sexual fantasy can trigger arousal, whereas of causes—has been clearly identified as the
stress and psychological difficulties can interfere cause of sexual orientation.
420 CHAPTER ELEVEN
heredity affects sexual orientation only indi-

rectly by influencing children’s basic personal-
ity style. He proposes that different personality
styles steer children toward different socializa-
tion experiences, which then play the key role
in determining sexual orientation. Finally, there
may be multiple paths toward developing a
sexual orientation, and the paths for men and
women may differ (Byne, 1997; Peplau et al.,
1998). Although much more research is needed
to examine these models, one point is clear. No
matter what our sexual orientation, close rela-
tionships provide us with much more than the © Irvington Publishers
mere opportunity for sexual expression.
FIGURE 11.16 Pictures like this are used to elicit
stories that are scored for the motive to succeed.
ACHIEVEMENT Which of the following two stories, written by differ-
MOTIVATION ent people, reflects a stronger motive to succeed?
(1) This young man is sitting in school, but he is
Extraordinary accomplishments vividly dem- dreaming about the day when he will become a doctor.
onstrate the desire to achieve. As a university He . . . will study and work harder than anyone else. He
goes on to become one of the top medical researchers
student, you are keenly aware of society’s
in the world. (2) The boy is daydreaming about how
emphasis on achievement, and you know that much he hates being in school. . . . He would like to
some people seek out and thrive on challenges, run away from home and just take it easy on a tropical
whereas others do not. In the 1950s, David island. However, he is doomed to be in the rat race the
McClelland, John Atkinson, and their associates rest of his life.
(1953) began to explore these individual differ-
ences in need for achievement, which repre- of failure might lead a person to perform better
sents the desire to accomplish tasks and attain on challenging tasks than someone who is moti-
standards of excellence. They viewed the need vated only by a desire for success. But this is not
for achievement as a relatively stable personal- the case. The worry associated with fear of fail-
ity characteristic that energizes and guides our ure and performance-avoidance goals impairs
achievement behaviour. task performance. Anxiety makes it difficult to
process information effectively and attend to the
The Thrill of Victory, the Agony task requirements, and performance deteriorates
(Sarason & Sarason, 1990). In sports, this is the
of Defeat athlete who “chokes” under pressure (Smith, 1996).
People can strive to succeed for two radically
different reasons. The first is a positively
oriented motive for success and the second is Achievement Goal Theory
a negatively oriented motivation to avoid fail- To understand achievement motivation, we
ure, more commonly called fear of failure. need to examine the success goals that peo-
McClelland and his colleagues (1953) measured ple seek to attain. Achievement goal theory
the motive for success by showing participants focuses on the manner in which success is
a series of pictures like the one in Figure 11.16 defined both by the individual and within the
and asking them to make up a story about each achievement situation itself. At the individual
one. Other researchers use psychological tests level, achievement goal theorists are inter-
that ask participants about their own achieve- ested in the achievement goal orientation that
ment behaviour (Elliot & Church, 1997). people have (Dweck, 1999). They differentiate
People who have a strong motive for success are between a mastery orientation, in which the
attracted to the “thrill of victory” that comes about focus is on personal improvement, giving maxi-
from mastering skills or outperforming other peo- mum effort, and perfecting new skills, and a
ple. Fear of failure usually is measured by psycho- performance orientation, in which the goal
logical tests that ask people to report how much is to outperform others (hopefully, with as little
anxiety they experience in achievement situations. effort as possible).
Common sense might suggest that a strong Another way to understand achievement
motive for success combined with a strong fear motivation is to examine the goals that people
TABLE 11.2 Achievement Goal Orientations

People may have either an approach or avoidance focus for master and performance goals.
Goal Orientation Approach Avoidance

Mastery Master the task, learn, Avoid mistakes, misunderstanding,
understand, improve poor quality
Performance Win, be the best, be noticed Avoid losing, looking bad, being last
seek to attain in task situations. Think for a individual showing this pattern is preoccu-
moment about a class you are taking. On a scale pied with him- or herself. These four goals are
of 1 (“not at all true of me”) to 7 (“very true of embodied in a 2 (definitions of success) × 2
me”), rate these statements: (approach vs. avoidance) framework as dif-
ferent motivational approaches (Table 11.2;
1. I want to learn as much as possible from this Elliot & McGregor, 2001). According to achieve-
class. ment goal theory, each of us can be described
2. I am motivated by the thought of outperform- in terms of an “achievement motivation profile”
ing the other students in this class. using statements like the four given above.
3. My goal is to avoid learning too little in this class. In one study of university students in the
4. The main thing is to avoid doing more poorly Netherlands, Nico Van Yperen (2006) found that
than the others in this class. men were twice as likely as women to report
performance-avoidance goals, and women
These statements represent four different were more likely than men to report mastery-
achievement goals, two of which are approach avoidance goals. No sex differences were found
goals and two of which are avoidance or fear in the two approach orientations. The percentage
of failure goals (Curry et al., 2006; Elliot & of students in each quadrant of the 2 × 2 achieve-
McGregor, 2001). Mastery-approach goals ment goal matrix is shown in Figure 11.17.
(statement 1) focus on the desire to mas- Although the achievement goal framework
ter a task and learn new knowledge or skills, is relatively new, results indicate that the four
whereas performance-approach goals (state- motives have different relations to other vari-
ment 2) reflect a competitive orientation that ables (Schunk et al., 2007). University students’
focuses on outperforming other people. On achievement goals for a particular class, mea-
the avoidance side, mastery-avoidance sured early in the academic term, help predict
goals (statement 3) reflect a fear of not per- their psychological responses to the course
forming up to one’s own standards, whereas as well as their course performance. Students
performance-avoidance goals (statement 4) with mastery-approach motivation have higher
centre on avoiding being outperformed intrinsic motivation to learn the material, per-
by others. Performance goals have also ceive exams as a positive challenge, and rate
been referred to as “ego” goals because an the course as more interesting and enjoyable.
40
35
Percentage of students
30
25
20
15
10
5
0
Mastery- Mastery- Performance- Performance-
approach avoidance approach avoidance
motivation motivation motivation motivation
FIGURE 11.17 Percentage of undergraduate students who fell within each achievement goal category.
Source: Data from Van Yperen, N.W. (2007). “Performing well in an evaluative situation: The roles of perceived competence and
task-irrelevant interfering thoughts.” Anxiety, Stress, and Coping, 20, pp. 409–419.
422 CHAPTER ELEVEN
Students with performance-avoidance motiva- (a 40 to 60 percent probability of success), or

tion show exactly the opposite pattern. They very difficult (a low probability of success),
lack intrinsic motivation, perceive exams as which task will high-need achievers choose?
anxiety-provoking threats, report low levels Contrary to what you might expect, they prefer
of interest and enjoyment, and perform more intermediate rather than extremely high or low
poorly than any other motivational group. Inter- risks (Atkinson & Birch, 1978). On a ring-toss
estingly, performance-approach motivation is task, they tend at first to select an intermediate
most strongly associated with high performance distance to toss the ring at the peg. This distance
but with less intrinsic motivation and enjoyment is the most challenging because the outcome—
than mastery-approach motivation. Finally, success versus failure—is most uncertain. Peo-
mastery-avoidance motivation is not strongly ple with a high fear of failure are more likely
related to quality of performance (Curry et al., to choose tasks that are easy (where success is
2006; Van Yperen, 2006). By combining both almost assured) or very difficult (where success
desire for success and fear of failure, achieve- is not expected).
ment goal theory and its 2 × 2 framework rep- The key to understanding this behaviour is to
resents a promising approach to understanding recognize that it is the individual’s perception of
the various forms that achievement-related task uncertainty that counts. For most of us, the
motives can take. probability of successfully climbing Mt. Everest
is virtually zero. But to highly trained moun-
Achievement Needs taineers, the task is neither impossible nor easy.
Decades ago, sociologist and mountain climber
and Situational Factors
Dick Emerson (1966) joined a Mt. Everest expe-
People with a strong need for achievement— dition. He predicted that the climbers’ communi-
particularly those who score high on motiva- cations with one another would strike a balance
tion for success and low on fear of failure—are between optimistic and pessimistic comments
ambitious and persist longer after encounter- about reaching their goal to keep their perceived
ing difficulty than do people with a low need chance of success–failure at 50–50, thereby
for achievement. University students with high maintaining maximum motivation. Not only did
achievement motivation (which researchers call Emerson find such a pattern when he monitored
need achievement) tend to seek out and enter the climbers’ spontaneous communications, but
more prestigious occupations (Heckhausen, he also tested this hypothesis by randomly mak-
1991). But this striving for success does not ing optimistic or pessimistic statements to indi-
apply equally to all situations. vidual members of the climbing team. Most of
In the laboratory and the workplace, high- the time, the climbers’ replies were opposite to
23. How do need achievers generally do not outperform
people with Emerson’s, thereby “balancing out” their interac-
individuals with low achievement motivation tion and maintaining a perception that the climb
high versus low
achievement when conditions are relaxed and tasks are easy. had an intermediate chance of success.
needs differ in But when tasks are challenging or the impor-
the difficulty tance of doing well is stressed, high-need achiev-
of tasks they ers outshine low-need achievers (McClelland, Family and Cultural Influences
select? Explain 1989). Competitive situations decrease low-need High need for achievement develops when par-
why this occurs. achievers’ task enjoyment, but are music to the ents encourage and reward achievement, but
ears of high-need achievers (Epstein & Harack- do not punish failure (Koestner & McClelland,
24. How do iewicz, 1992). In general, high-need achievers 1990). Conversely, fear of failure seems to
cultural factors are most likely to strive hard for success when
influence the develop when successful achievement is taken
expression of • they perceive themselves as personally for granted by parents, but failure is punished.
achievement responsible for the outcome; Therefore, the child learns to dread the possibil-
needs? • they perceive some risk of not succeeding; ity of failing (Weiner, 1992). Providing children
and with a cognitively stimulating home environ-
ment that has many opportunities for learning
• there is an opportunity to receive perfor-
fosters their intrinsic motivation to perform
mance feedback (Koestner & McClelland,
academic tasks (Gottfried et al., 1998).
1990).
Individualistic cultures, such as those in North
What would you predict? When given a choice America and much of Europe, tend to stress
of performing a task that is very easy (a high personal achievement. In cultures that nurture
probability of success), moderately difficult collectivism, such as those in China and Japan,
achievement motivation more strongly reflects a 70

desire to fit into the family and social group, meet 13
Mean pages containing achievement imagery

its expectations, and work for its goals (Markus & 60 12
Patents issued per 1 000 000 population

Kitayama, 1999). Chinese high school students,
11
for example, typically care more about meeting
50 10
their parents’ expectations of academic success
than do American students (Chen & Lan, 2006). 9
These cultural differences, however, do not 40 8
portray a black-and-white picture. As Sushila 7
Niles (1998) found in comparing the achievement 30 6
goals of Sri Lankans (collectivistic) and Anglo-
5
Australians (individualistic), both groups sup-
20 4
ported the concept of individual responsibility Achievement
and a strong work ethic. As expected, Sri Lankans’ imagery 3
achievement goals were more group and fam- 10 2
Patent index
ily oriented than those of the Australians, but 1
they also reported important individual goals. 0 0
Conversely, the Australians held some group- 1810 1830 1850 1870 1890 1910 1930 1950
oriented goals, particularly as concerns the family. Midpoint of 20-year period
The relation between cultural values and
achievement motivation also is suggested FIGURE 11.18 Relation between achievement imag-
by the correspondence between the amount ery found in children’s stories and number of patents
per million population issued in the United States
of achievement imager y in children’s
between 1810 and 1950.
storybooks and measures of national accom-
plishment. Presumably, the level of concern Source: Data from DeCharms, R., & Moeller, G.H. (1962).
Values expressed in American children’s readers: 1800 to 1950.
for achievement in children’s books reflects
Journal of Abnormal and Social Psychology, 64, 135–142.
the motivational level of the adults in the
country at that time, as well as the values to live their adult lives. In each sample, students
that are being transmitted to children. In one who expressed a desire to emigrate had higher
study, achievement motivation scores based achievement motivation scores than students who
on the content of Grade 2 and 4 school- wanted to remain in their native country (Boneva
books corresponded closely to the number et al., 1998).
of patents issued per million population in
the United States between 1810 and 1950
(Figure 11.18; deCharms & Moeller, 1962). MOTIVATIONAL
Culture can influence achievement motiva-
tion, but at the same time, the desire to achieve
CONFLICT
can transcend culture. Throughout history there Motivational goals sometimes conflict with one
have been people who have left their homelands another. Achievement and affiliation motives
to seek better lives elsewhere. Might achieve- may clash, for example, when we have to choose
ment motivation relate to the desire to emigrate? between studying for an exam and going out
To address this question, researchers measured with some friends. This conflict places us in a
achievement motivation among college students motivational bind that can affect our well-being.
in Albania, the Czech Republic, and Slovenia Kurt Lewin (1935) described such conflicts in
and asked these students where they would like terms of two opposing tendencies: approach
In Review
• High-need achievers seek moderately difficult • Master-approach, performance-approach, mastery-
tasks that are challenging but attainable. Low- avoidance, and performance-avoidance motivation
need achievers are more likely to choose easy are four basic achievement goal orientations.
tasks in which success is assured or very dif- • Child-rearing and cultural factors influence our
ficult tasks in which success is not expected. level and expression of achievement motivation.
424 CHAPTER ELEVEN
and avoidance. When something attracts us, we Strong

tend to approach it; when something repels us,
Tendency to approach or avoid

we tend to avoid it. Different combinations of
approach and avoidance tendencies can pro- Approach
duce three basic types of conflict. motivation
Approach-approach conflict involves oppo-
25. Explain three sition between two attractive alternatives. Select- Point of
main types of maximum
ing one means losing the other. Conflict is at its
motivational conflict
conflict. Can greatest when both alternatives, such as a choice
Avoidance
you think of between two desirable career paths, are equally motivation
examples from attractive and important. The reverse dilemma
Weak
your own life? is avoidance-avoidance conflict, in which a
Distance from goal
person faces two undesirable alternatives. Do I Far Near
spend all week studying boring material for my
test, or do I skip studying and fail the exam? FIGURE 11.19 According to Neal Miller (1944), the
Approach-avoidance conflict involves tendency to approach and the tendency to avoid grow
being attracted to and repelled by the same goal. stronger as one moves closer to the goal. However,
These are sometimes the most difficult conflicts the tendency to avoid increases faster than the ten-
dency to approach. Maximum conflict is experienced
to resolve. A fourth-year university student,
where the two gradients cross, because at this point
thinking of changing majors, is attracted to job the opposing motives are equal in strength.
opportunities in this new major but is repelled
by the possibility of a fifth year of classes. See-
ing a person on a bench hold out some food, a essay). Your choice this evening will be different
squirrel is motivated by hunger to approach and from what it will be when there are only two days
by fear to keep its distance. left to finish the essay (we hope). The value of an
In approach-avoidance relationships, the incentive, such as getting a good mark, decreases
tendency to approach a desired goal and the with a delay. This phenomenon is called delay
desire to avoid it both grow stronger as we discounting (Mischel et al., 1972). Delay discount-
get nearer to the goal. A critical factor, how- ing refers to the decrease (or discount) in the
ever, is that the avoidance tendency usually value of a future incentive. The value of a future
increases in strength faster than does the reward will change as the time one has to wait for
approach tendency (Figure 11.19). Thus, at it decreases; as we approach the availability of a
first we may be attracted to a goal and only reward, its incentive value increases (Ainslie, 2001;
slightly repelled by its drawbacks. As we Rachlin, 2000). The motivation to study for your
get closer to it, the negative aspects become Introductory Psychology test is stronger if the test
more dominant. We may stop and then retreat, is tomorrow than if the test is next month.
approach again, and continue to vacillate in a
state of conflict.
Another issue that can trigger a motivational THE NATURE AND
conflict comes from the fact that some conse- FUNCTIONS OF
quences are in the future. For example, this eve-
ning you may be faced with the choice of writing
EMOTION
the essay that is due in two weeks or watching your Life without emotion would be bland and empty.
favourite TV show. That is, you have an immediate Our subjective experience of love, anger, joy,
incentive (the TV show that is about to start) and a fear, and other emotions energize and add colour
delayed incentive (your mark from a well-written to our lives. Emotions can foster happiness and
In Review
• Motivational goals may conflict with one another. • Approach-avoidance conflicts occur when we are
Approach-approach conflicts occur when a per- attracted to, and repelled by, the same goal. As
son has to select between two attractive alter- we approach the goal, the avoidance tendency
natives. Avoidance-avoidance goals involve usually increases in strength more rapidly than
choosing between two undesirable alternatives. the approach tendency.
(left): Ryan Remiorz/The Canadian Press; (right): Sean Kilpatrick/The Canadian Press
FIGURE 11.20 The intimate relations between motivation and emotion are seen in the strong emotional
responses that can occur when important goals are either attained or lost.
well-being, or they can contribute to psychological when an experience is pertinent to goals that are
and physical dysfunction. Modern psychology’s very important to us (Figure 11.20).
focus on the study of emotion echoes a timeless How then shall we distinguish between moti-
fascination—expressed in songs, paintings, sto- vation and emotion? One way is to place them
ries, poems, and scholarly treatises—with human within a stimulus-response framework. Some
emotions. theorists suggest that motives operate as inter-
Emotions are positive or negative feel- nal stimuli that energize and direct behaviour
ings (affective states) consisting of a pattern toward some goal or incentive, whereas emo- 26. What is an
emotion?
of cognitive, physiological, and behavioural tions are basically reactions, or responses, to
reactions to events that have relevance to events that relate to important goals (Mandler,
important goals or motives (Lazarus, 2001). The 1984; Scherer, 1988).
events in question may be external situations,
such as seeing an oncoming car swerving The Adaptive Value of Emotion
into your lane, or a group of laughing, smiling Emotions have important adaptive functions.
friends walking toward you. They may be They signal that something important is hap-
internal thoughts, memories, or images, pening, and they direct our attention to that
such as remembering the look and sound of event. Some emotions, such as fear or anger,
someone special that you just met, or thinking are part of an emergency arousal system that
about a coming exam. increases the chances of survival by energiz-
The concepts of motivation and emotion have ing, directing, and sustaining fighting or fleeing
always been closely linked, and the dividing line 27. How are
when confronted by threat or danger. Positive
emotions related
between them is not always clear (Carlson & emotions, such as joy, excitement, contentment,
to motivation?
Hatfield, 1992; Edwards, 1998). One reason and love, also have adaptive functions. They
is that motivation and emotion both involve help us form lasting social relationships and 28. What are
states of arousal, and they both can trigger pat- work to broaden our thinking and behaviour the adaptive
terns of action (e.g., flight in the case of fear and so that we explore, consider new ideas, try out functions
attack in the case of anger). Indeed, the terms new ways to achieve goals, play, and savour of positive
motivation and emotion are both derived from the what we have (Fredrickson, 1998). and negative
Latin word movere, “to move.” The link between Emotions are also an important form of emotions?
motivation and emotion involves more than a social communication. By providing observ-
common linguistic root, however. Emotion theorist able information about our internal states and 29. In what ways
Richard Lazarus (2006) believes that there is intentions, emotions influence how other people are emotions
always a link between motives and emotions, behave toward us (Isaacs, 1998). Consider, for modes of
because we react emotionally only when our communication?
example, the effects of a baby’s crying or smil-
motives and goals are gratified, threatened, or frus- ing on adults. Parents and other adults report
trated. Emotional reactions are especially strong feeling irritated, annoyed, disturbed, distressed,
426 CHAPTER ELEVEN
In Review
• An emotion is a positive or negative feeling (or • Emotions further our well-being in several ways:
affective state) consisting of a pattern of cogni- by rousing us to action, by helping us communi-
tive, physiological, and behavioural reactions to cate with others, and by eliciting empathy and
events that have relevance to important goals help. Negative emotions narrow attention and
or motives. Negative emotional responses are a behaviours, whereas positive thoughts tend to
central feature of the stress response. broaden our thinking and behaviour.
sympathetic, or unhappy when babies cry, and • First, emotions are responses to external or
30. Name the they become more physiologically aroused internal eliciting stimuli.
four major
themselves (Frodi et al., 1978). Parents and • Second, emotional responses result from
components
of emotions, other adults generally respond to crying infants our interpretation or cognitive appraisal
including the with caretaking responses that have obvious of these stimuli, which gives the situation its
two classes survival value for the infant. Positive emotions perceived meaning and significance.
of behavioural also pay off for babies. A smiling infant is likely
• Third, our bodies respond physiologically
responses. to increase parents’ feelings of love and caring,
to our appraisal. We may become physically
thereby increasing the likelihood that the child’s
“stirred up,” as in fear, joy, or anger, or we
biological and emotional needs will be satisfied.
may experience decreased arousal, as in con-
Emotional messages begin to have an impact
tentment or depression.
early in life. Within one to three days after birth,
human infants respond to another infant’s crying • Fourth, emotions include behaviour tenden-
with crying of their own. Children who are less cies. Some are expressive behaviours (e.g.,
than one year old respond with negative affect exhibiting surprise, smiling with joy, or cry-
to vocal expressions of fear by their mother ing). Others are instrumental behaviours,
(Mumme et al., 1996), and by two years of age, ways of doing something about the stimulus
they react to their mother’s real or simulated that aroused the emotion (e.g., studying for
signs of distress with efforts to help or comfort an anxiety-arousing test, fighting back in
her (Sagi & Hoffman, 1976; Zahn-Waxler et al., self-defence, or running away).
1979, 1992). Adults’ expressions of sadness and Figure 11.21 illustrates the general relations
distress also evoke concern, empathy, and help- among these four emotional components. For
ing behaviour from others (Izard, 1989). example, an insulting remark from another per-
son (eliciting stimulus) may evoke a cognitive
The Nature of Emotion appraisal that one has been unfairly demeaned,
Psychologist James Averill (1980) found more an increase in physiological arousal, a clench-
than 550 words in the English language that ing of jaw and fists (expressive behaviour), and
refer to various positive and negative emotional a verbal attack on the other person (instrumen-
states. We surely do not have 550 different emo- tal behaviour). As the two-way arrows indicate,
tions, but the emotions we do have share four these emotional components can influence one
common features: another. Cognition can trigger physiological
Physiological
responses
Eliciting Cognitive Instrumental

stimuli appraisal behaviours
Expressive
behaviours
FIGURE 11.21 Components of emotion, showing the relations between eliciting stimuli, cognitive appraisal pro-
cesses, physiological arousal, expressive behaviours, and instrumental behaviours. Note the reciprocal (two-way)
causal relations that are thought to exist among the appraisal, physiological arousal, and expressive behaviour
components.
changes and expressive behaviour, which, in On the broadest level, cultures have different
turn, can affect what we think about the situa- standards for defining the good, the bad, and
tion and about ourselves (Forgas, 2000; Frijda the ugly, and these standards affect how elic-
et al., 2005). iting stimuli will be appraised and responded
Emotion is a dynamic ongoing process. Thus, to emotionally. Physical features that provoke
any of its four elements can change rapidly as sexual arousal and feelings of infatuation in one
the situation and our responses to it influence culture, such as ornamental facial scars, may
one another. For example, as anger begins to elicit feelings of disgust in another. In Western
escalate during a disagreement, you might societies, recent increases in the popularity
choose to make a conciliatory response that and acceptability of body piercing and tattoos
evokes a positive reaction or apology from the illustrate how quickly cultural standards can
other person, helps to defuse the situation, and change.
reduces your negative appraisal of the other
person and your level of emotional arousal. This The Cognitive Component
dynamic, ever-changing property of emotional You are walking across campus with a group
reactions makes them a challenging “moving of people from one of your classes when you
target” for scientific study. encounter a person you met at a party the previ-
ous night and to whom you are attracted. The
Eliciting Stimuli person looks at you as you warmly say “Hello,”
Emotions do not occur in a vacuum. They are responds with a blank stare, and then turns
responses to situations, people, objects, or away without responding. Which emotions 31. In what
would the following thoughts trigger in you? sense can
events. We become angry at something or some-
eliciting stimuli
one; fearful or proud of something; in love with • “Oh no! What a total put-down. What do my be external or
someone. Moreover, the stimuli that trigger classmates think of me now?” internal? What
cognitive appraisals and emotional responses are the roles of
• “What a jerk, ignoring me like that.”
are not always external; they can be internal biological and
stimuli, such as mental images and memories. • “Just like always. I’ll never find anyone who learning factors?
Most of us can work up a state of anger simply likes me.”
by recalling or imagining a painful injustice or • “What a relief! Now I won’t be distracted
insult from the past, or evoke warm feelings by from my usual 50-hour study week and my
recalling significant positive experiences. thimble collection.” Embarrassed? Angry?
Innate biological factors help to determine Depressed? Relieved? As you think, so shall
which stimuli have the greatest potential to you feel.
arouse emotions (Panksepp, 2005). Newborn
Cognitions are involved in virtually every
infants come equipped with the capacity to
aspect of emotion. They can evoke emotional
respond emotionally with either interest or dis-
responses, they are part of our subjective expe-
tress to events in their environment (Galati &
rience of the emotion, and they influence how
Lavelli, 1997). Adults, too, may be biologically
we express our emotions and act on them. A sit-
primed to experience emotions in response to
uation may evoke pleasure or distress, depend-
certain stimuli that have evolutionary signifi-
ing on how we appraise it. For example, sexual
cance. As discussed in Chapter 7, fear responses
stimulation may elicit anger, fear, or disgust
can be classically conditioned more easily to
instead of pleasure if it is deemed inappropriate
pictures of snakes and spiders than to more
or unwanted.
innocuous stimuli, such as flowers, when these 32. How
stimuli are paired with mild electric shocks Appraisal processes. Emotions are always can learning
(Öhman & Wiens, 2005). responses to our perceptions of the eliciting influence
Learning also influences the ability of par- stimuli. While all perceptions involve attach- emotion?
ticular objects or people to arouse emotions. ing meaning to sensory stimuli, the appraisals
Previous experiences can make certain people involved in emotion are especially evaluative 33. How do
or situations eliciting stimuli for emotions. In and personal; they relate to what we think is cognitive
appraisals enter
Chapter 7, we encountered Little Albert who desirable or undesirable for us or for the people
into emotion?
had learned a fear of white rats and other white we care about (Lazarus, 2006).
Do they need
furry objects. The mere sight of one’s lover Both conscious and unconscious processes to involve
can evoke feelings of passion, and the sight of are involved in appraisals (Feldman-Barrett conscious
a disliked person, an instantaneous feeling of et al., 2007). Often we are not consciously thought?
revulsion that seems almost reflexive in nature. aware of the appraisals that underlie emotional
428 CHAPTER ELEVEN
responses. Some appraisals seem to involve lit- strong cross-cultural similarities in the types of
tle more than an almost automatic interpretation appraisals that evoked joy, fear, anger, sadness,
of sensory input based on previous conditioning disgust, shame, and guilt (Wallbott & Scherer,
(Smith & Kirby, 2004). Indeed, most strong emo- 1988). In another cross-cultural study compar-
tions are probably triggered initially in this auto- ing American and Asian people in Japan and
matic fashion, after which we may appraise the Hong Kong, Robert Mauro and his colleagues
situation in a more reasoning manner. Even at (1992) found that Americans reported feeling
this more “cognitive” level, however, our habit- happiness, pride, and hope more frequently
ual ways of thinking may occur with little or no than did the Japanese. The Japanese, in turn,
awareness on our part (Clore & Centerbar, 2004; reported more frequent feelings of shame and
Phelps, 2005). We often fail to appreciate how regret than did people from Hong Kong. None-
arbitrarily we interpret “the way things are.” theless, whenever any of these emotions did
The idea that emotional reactions are trig- occur, similar appraisals were involved, regard-
gered by cognitive appraisals rather than exter- less of the culture.
nal situations helps to account for the fact that Despite these cross-cultural commonalities in
different people (or even the same person at dif- appraisal, the same type of situation also can
ferent times) can have very different emotional evoke different appraisals and resulting emo-
reactions to the same object, situation, or per- tional reactions, depending on one’s culture
son (Figure 11.22). Statements such as “I have (Mesquita & Markus, 2005). Consider, for exam-
a new attitude toward her now” or “I’ve decided ple, the circumstance of “being alone.” For Tahi-
what’s really important in life” reflect changes tians, being alone is appraised as an opportunity
in appraisals of certain situations or people. for bad spirits to bother a person, and fear is
the most common emotional response. Among
Culture and appraisal. Like theorists who study
34. What the close-knit Utku, an Inuit culture, being alone
the situations that elicit emotion in various
evidence exists signifies social rejection and isolation, trigger-
cultures, those who study cognitive appraisal
for (a) universal ing sadness and loneliness. In Western cultures,
and (b) culturally have looked for cross-cultural similarities and
being alone may at times represent a welcome
determined differences in the thoughts and perceptions
respite from the frantic pace of daily life, evok-
appraisals? that precede emotions (Scherer, 1984; Smith &
ing contentment and happiness (Mesquita et al.,
Provide Ellsworth, 1985). Respondents in a variety of
1997). Thus, where appraisals are concerned,
examples of cultures have been asked to recall events that
each. there seem to be certain universals, but also
evoked certain emotions and then to answer
some degree of cultural diversity in some of the
questions about how they appraised or inter-
more subtle aspects of interpreting situations
preted the situations. In one study conducted
(Mesquita et al., 1997; Scherer, 1998).
in 27 different countries, the researchers found
The Physiological Component

One of the first things we notice is the bodily
changes that occur when our feelings are
“stirred up.” Many parts of the body are involved
in emotional arousal, but certain brain regions,
the autonomic nervous system, and the endo-
crine system play especially significant roles.
Affective Neuroscience. The brain’s involve-

ment in emotion is complex, and many aspects
are not well understood. It is clear, however,
that emotions involve important interactions
between cortical and subcortical areas
(Damasio, 2005).
Subcortical structures, such as the hypo-
35. Which thalamus, the amygdala, the hippocampus, and
subcortical
© Kwame Zikomo/SuperStock other limbic system structures play major roles
and cortical
structures are
in emotion (Figure 11.23). If animals are electri-
FIGURE 11.22 Differences in appraisal can trig-
involved in ger entirely different emotional reactions, as in this cally stimulated in specific areas of the limbic
emotion? instance. What kinds of appraisals are likely occurring system, they will growl at and attack anything
in these people? that approaches them. Destroying the same
Cerebral cortex
Receives sensory input
from thalamus and
processes it as perceptions
and interpretations
3 Sensory impulses
5 Activation of
emotions by to neocortex for
Thalamus cognitive
cognitive processes Amygdala
(conscious) processing
1
4 Controls physiological Sensory
and behavioural input
components of
emotional responses 2 Activation of emotions
before cognitive
processes take place
(unconscious)
FIGURE 11.23 Parallel neural processes may produce conscious and unconscious emotional responses at about
the same time. LeDoux’s research suggests that sensory input to the thalamus can be routed directly to the amyg-
dala in the limbic system, producing an “unconscious” emotional response before cognitive responses evoked by
the other pathway to the cortex can occur.
sites produces an absence of aggression, even two independent neural pathways, one travel-
if the animal is provoked or attacked (Sotres- ling to the cortex and the other directly to the
Bayon, Cain, & LeDoux, 2006). Other areas of amygdala. This means that the amygdala can
the limbic system show the opposite pattern: receive direct input from the senses and gen-
lack of emotion when they are stimulated and erate emotional reactions before the cerebral
unrestrained emotion when they are removed cortex has had time to fully interpret what is
(Thompson, 1988). causing the reaction. LeDoux suggests that this
The cerebral cortex has many connections primitive mechanism (which is the only emo-
with the hypothalamus and limbic system, tional mechanism in species such as birds and
allowing constant communication between reptiles) has survival value because it enables
cortical and subcortical regions. Cognitive the organism to react with great speed. Shortly
appraisal processes surely involve activities afterward, the cerebral cortex responds with a
in the cortex. Moreover, the ability to regulate more carefully processed cognitive interpreta-
emotion depends heavily on the executive function of the situation. This may be what occurs
tions of the prefrontal cortex, which lies imme- when a hiker sees an object that looks like a
diately behind the forehead (Gross, 1998). snake and jumps out of the way, only to realize
Groundbreaking research and theorizing an instant later that the object is a rope. That is,
by psychologist Joseph LeDoux (1986, 2000, there is emotional processing by areas such as 36. How does
LeDoux’s
2006) has revealed important links between the amygdala without conscious awareness.
theory explain
the cortex and the limbic system. As shown in The existence of a dual system for emotional unconscious
Figure 11.23, the key brain structures in this processing may help to explain some puzzling emotional
model are the thalamus, which routes sensory aspects of our emotional lives. For example, phenomena?
input to various parts of the brain, the amyg- most of us have had the experience of sud-
dala, which helps to coordinate and trigger denly feeling emotional without understanding
physiological and behavioural responses to why. LeDoux (2000) also suggests that people
emotion-arousing situations, and the cortex, are capable of having two simultaneous emo-
where sensory input is organized as percep- tional reactions to the same event, a conscious
tions and evaluated by the “thinking” or linguis- one occurring as a result of cortical activity and
tic part of the brain. LeDoux’s key discovery an unconscious one triggered by the amygdala.
was that the thalamus sends messages along This might help to explain instances in which
430 CHAPTER ELEVEN
people are puzzled by behavioural reactions people felt positive emotions by recalling plea-
that seem to be at odds with the emotion they surable experiences or watching a happy film,
are consciously experiencing: “I don’t know the left hemisphere was relatively more active
why I came across as being angry. I felt very than the right. But when sadness or other nega-
warm and friendly.” tive emotions were evoked, the right hemisphere
Brain activity is also involved in the regula- became relatively more active. This pattern seems
tion of emotional behaviour. Of particular inter- to be innate. Infants only three to four days old
est is the prefrontal cortex, the seat of executive showed a similar pattern of hemispheric activa-
function involving reasoning, planning, decision tion when given sucrose solutions, which evoke
making, and the control of impulsivity. Deficits positive reactions, or a citric acid solution, which
in prefrontal functions allow emotions to be apparently disgusts them (Davidson & Fox, 1988).
expressed in an unregulated manner that can People differ in their tendency to experience
have negative consequences (Boes et al., 2009). positive or negative emotions. Individual differ-
Neuroscientist Candace Pert (1997) argues ences in typical or resting hemispheric activation,
37. Which neu that, because all the neural structures involved in measured under emotionally neutral conditions,
rotransmitters
emotion operate biochemically, it is the ebbs and seem related to this tendency. Davidson and Fox
are involved
flows of various neurotransmitter substances (1989) found that human infants with resting
in specific
emotional that activate the emotional programs residing right-hemisphere dominance were more likely
responses? in the brain. For example, dopamine activity to become upset and cry if their mothers left the
appears to underlie some pleasurable emotions, room than were those with left-hemisphere domi-
and endorphins may also play a role, whereas nance (Figure 11.24). In adults, a higher resting
serotonin and norepinephrine may play a role level of right-hemisphere EEG activity appears
in anger (Damasio, 2005). When the final story to be a risk factor for the later development of
of the brain and emotion can at last be told, it adult depressive disorders (Marshall & Fox, 2000;
will undoubtedly describe complex interactions Tomarken & Keener, 1998).
between brain chemicals and neural structures. The association of the right hemisphere with
negative emotions and the left hemisphere with
Hemispheric activation and emotion. Years positive emotions has become widely accepted
ago in Italy, psychiatrists treated clinically (Ng, Fishman, & Bellugi, 2015; Sutton, 2002).
depressed patients with electroshock treatments
to either the right or the left hemisphere. The
2.5
electric current temporarily disrupted activity Right hemisphere
in the hemisphere to which it was applied. With
Left hemisphere
the left hemisphere knocked out (forcing the
2.0
right hemisphere to take charge), patients had
what physicians termed a catastrophic reaction,
Frontal lobe activation
wailing and crying until the shock effects wore

1.5
off. When shock was applied to the right hemi-
sphere, allowing the left hemisphere to domi-
nate, the patients reacted quite differently. They
seemed unconcerned, happy, and sometimes 1.0
even euphoric. A similar pattern of emotions
was noted in patients in whom one hemisphere
had been damaged by lesions or strokes. Left 0.5
38. What clinical hemisphere damage, particularly in the frontal
and research lobe, accentuated negative emotions such as
evidence is depression; right frontal damage was linked to 0.0
there to support indifference or euphoria (Gainotti, 1972). Noncriers Criers
a “left-right” These findings suggest that left-hemisphere
theory of FIGURE 11.24 Resting activation in the left and right
activation might underlie certain positive emo-
hemispheric frontal hemispheres differs in infants who later reacted
tions and right-hemisphere functioning nega- with distress or no distress when their mothers left. The
activation
tive ones (Sutton, 2002). To test this proposition, criers showed relatively greater right-hemisphere activa-
differences
for positive Richard Davidson and Nathan Fox obtained EEG tion, the noncriers greater left-hemisphere activation.
and negative measures of frontal lobe activity as people expe- Source: Data from Davidson, R.J., & Fox, N.A. (1989). Frontal
emotions? rienced various emotions (Davidson & Fox, 1988; brain asymmetry predicts infants’ response to maternal
Fox & Davidson, 1991). They found that when separation. Journal of Abnormal Psychology, 98, 127–131.
Autonomic and hormonal processes. You are Do different emotions produce different
afraid. Your heart starts to beat faster. Blood is patterns of arousal? On the one hand, many
drawn from your stomach to your muscles, and investigators conclude that complex and subtle
digestion slows to a crawl. You breathe harder emotions such as jealousy and tenderness do
and faster to get more energy-sustaining oxy- not involve distinct patterns of arousal (Pank-
gen. Your blood sugar level increases, producing sepp, 1998). On the other hand, autonomic
more nutrients for your muscles. The pupils of patterns do show subtle differences in certain
your eyes dilate to let in more light so you can basic emotions, such as anger and fear (Leven-
see the danger better. Your skin perspires to son, 1992). For example, heart rate speeds up in
keep you cool and flush out waste products cre- both fear and anger, but there are differences
ated by extra exertion. Your muscles tense, in where the blood gets pumped (Ekman et al.,
ready for action. 1983). Anger causes more blood to flow to the
Some theorists call this state of arousal the hands and feet, whereas fear reduces blood
fight-or-f light response. It is produced by the flow to these areas (providing a scientific basis 39. How are the
sympathetic
sympathetic branch of the autonomic nervous for the colloquial expression “cold feet”). But
and endocrine
system and by hormones from the endocrine whether people can detect such subtle physio-
systems involved
system. The sympathetic nervous system pro- logical differences in a manner that would allow in emotion?
duces arousal within a few seconds by directly them to identify and label their emotions is an Do different
stimulating the organs and muscles of the body. unanswered question. emotions
Meanwhile, the endocrine system pumps epi- We cannot easily control autonomic nervous have different
nephrine, cortisol, and other stress hormones system activation with exposure to emotion- patterns of
into the bloodstream. These hormones pro- evoking stimuli. This simple observation led to autonomic
duce physiological effects like those triggered the idea that changes in physiological arousal arousal?
by the sympathetic nervous system, but their might tell us whether someone is lying or telling
effects are longer lasting and can keep the body the truth. The rationale is that when people lie, 40. What
aroused for a considerable length of time. they should become anxious and that increase considerations
and research
in anxiety will be reflected in physiological
evidence
responses such as increases in heart rate, respi-
Thinking critically ration, and skin conductance (which increases
challenge the
validity of the
because of sweat gland activity). On the con- “lie detector”?
CAN YOU FOOL A LIE DETECTOR? trary, if they are answering honestly, then no What kinds of
The polygraph, or lie detector, measures physi- change in physiological arousal would be errors are most
ological changes normally outside of our inten- expected. The instrument used to measure such likely?
tional control. Does that make it infallible? changes is the polygraph, the famous, or infa-
Think about it, and then see the Answers section mous, “lie detector” (Figure 11.25). Although
at the end of the book. controversial, research has found an espe-
cially high rate of false positives, identifying an
Respiration
Event marker A B
Skin conductance
Pulse rate
(averaging)
2-second time
marker
(a) (b)
(a) Guy Bell/Alamy Stock Photo
FIGURE 11.25 The polygraph (a) records physiological changes (b) that are part of emotional responses.
Between points A and B, an emotionally loaded question was asked. Within two seconds, the effects of the ques-
tion were visible in the subject’s respiration, skin conductance, and pulse rate. Does this mean he was lying?
432 CHAPTER ELEVEN
innocent person as guilty, with polygraph tests I was close to getting lost in the character
(Lykken, 1981, 1984; Honts & Perry, 1992). of Van Gogh . . . I felt myself going over the
line, into the skin of Van Gogh. . . . Some-
The Behavioural Component times I had to stop myself from reaching
So far, we have examined the situational, cogni- my hand up and touching my ear to find out
tive, and physiological components of emotion. if it was actually there. It was a frightening
We now turn to the directly observable behav- experience. That way lies madness . . .
iours that are part of emotional responses. I could never play him again. (Lehmann-
Haupt, 1988, p. 10)
Expressive behaviours. Although we can never
directly experience another person’s feelings, we Evolution and emotional expression. Where do
can often infer that someone is angry, sad, fear- emotional expressions come from? In his classic
ful, or happy on the basis of his or her emotional work, The Expression of Emotions in Man and
displays, or expressive behaviours. When Animals (1872/1965), Charles Darwin argued
exposed to slides showing angry or happy faces, that emotional displays are products of evolu-
university students responded with subtle facial tion that developed because they contributed to
muscle responses that denote displeasure or species survival. Darwin emphasized the basic
pleasure within a third of a second (Dimberg & similarity of emotional expression in animals
Thunberg, 1998). Sometimes, too, others’ emo- and humans. For example, both wolves and
tional displays can evoke similar emotional humans bare their teeth when they are angry
responses in us, a process known as empathy. (Figure 11.26). As Darwin explained it, this
Perhaps you have found yourself experiencing behaviour makes the animal look more fero-
the same emotion as the central character while cious, and thus decreases its chances of being
reading a novel or viewing a movie. Profes- attacked and perhaps killed in a fight. Darwin
41. What did not maintain that all forms of emotional
sional actors sometimes find that they become
evidence exists
so immersed in the expressive behaviours of a expression are innate, but he believed that many
for fundamental
emotional character they are playing that the boundaries of them are.
patterns of between self and role begin to fade. Kirk Doug- Like Darwin, modern evolutionary theorists
expression? las reported one such experience after he played stress the adaptive value of emotional expres-
Vincent Van Gogh in the movie Lust for Life: sion (Izard, 1984; Plutchik, 1994; Tomkins, 1991).
(left): © Thomas Kitchen & Victoria Hurst; (right): © The beauty archive/eStock Photo
FIGURE 11.26 Similarities among species in the expression of certain basic emotions convinced Darwin and
other theorists that some expressive behaviours have an evolutionary origin.
Two key findings suggest that humans have their facial expressions are limited. Only mon-
innate or fundamental emotional patterns. keys, apes, and humans have enough well-
First, the expressions of certain emotions (e.g., developed facial muscles to produce a large
rage and terror) are similar across a variety number of expressions.
of cultures, suggesting that certain expressive The development of sophisticated measur-
42. What results
behaviour patterns are wired into the nervous ing procedures, such as the Facial Action Cod-
concerning
system. Second, children who are blind from ing System (FACS) by Paul Ekman and Wallace emotional
birth seem to express these basic emotions in Friesen (1987), have permitted the precise perception, sex
the same ways that sighted children do, rul- study of facial expressions. The FACS requires differences,
ing out the possibility that they are learned a trained observer to dissect an observed and universal
solely through observation (Eibl-Eibesfeldt, expression in terms of all the muscular actions expressions of
1973). The fundamental emotional patterns that produced it. The system is so complex that emotion have
proposed by three leading evolutionary theo- it takes about 100 minutes to score each minute been found by
rists are shown in Table 11.3. As discussed in of observed facial expression (Ekman et al., using the FACS?
this chapter’s Frontiers feature, a new emotion, 1988).
referred to as elevation has recently been pro- Although facial expressions can be valuable
posed. Other emotions are argued as resulting cues for judging emotion, even people within
from some combination of these innate emo- the same culture may learn to express the
tions. The evolutionary view does not assume same emotions differently. Thus, some people
that all emotional expressions are innate, nor have learned to appear very calm when they
does it deny that innate emotional expressions are angry. Fortunately, we usually know some-
can be modified or inhibited as a result of social thing about the situation to which the person
learning. is reacting, and this often is an important basis
for judging emotions. For example, if a woman
Facial expression of emotion. Most of us are
is crying, is she crying because of sadness or
fairly confident in our ability to “read” the emo-
because of happiness? A background show-
tions of others. Although many parts of the
ing her being declared the winner of a lottery
body can communicate feelings, we tend to con-
will result in a different emotional judgment
centrate on what the face tells us. Most lower
than one showing her at a graveside. Many
animals have relatively few facial muscles, so
experiments have shown that people’s accu-
racy and agreement in labelling emotions from
TABLE 11.3 Fundamental or Primary pictures is considerably higher when the pic-
Innate Emotions Proposed by Three tures show a background situation (Keltner &
Leading Evolutionary Theorists Ekman, 2000).
Carroll Izard Silvan Tomkins Robert Plutchik Across many cultures, women have gener-
ally proven to be more accurate judges of emo-
Anger Anger Anger
tional expressions than men (Ekman, 1982;
Fear Fear Fear
Zuckerman et al., 1976). Perhaps the ability to
Joy Joy Enjoyment accurately read emotions has greater adaptive
Disgust Disgust Disgust significance for women, whose traditional role
Interest Interest Anticipation within many cultures has been to care for others
and attend to their needs (Buss, 2005). This abil-
Surprise Surprise Surprise
ity may also result from cultural encouragement
Contempt Contempt
for women to be sensitive to others’ emotions
Shame Shame and to express their feelings openly (Taylor
Sadness Sadness et al., 2006). However, it is important to note
Distress that men who work in professions that empha-
size these skills, such as psychotherapy, drama,
Guilt
and art, are as accurate as women in judging
Acceptance
emotions, suggesting that these skills can be
Source: Based on Izard, C.E. (1984). “Emotion-cognition
learned (Rosenthal et al., 1974).
relationships and human development.” In C.E. Izard, J. What of Darwin’s claim that certain facial
Kaga, & R.B. Zajonc (Eds.), Emotions, cognition and behavior. expressions are universal indicators of spe-
Cambridge, UK: Cambridge University Press.; Tomkins, S.S. cific emotions? Modern researchers have
(1991). Affect, imagery, consciousness, Vol. 3: Anger and
fear. New York, NY: Springer.; and Plutchik, R. (1991). The approached this question by determining the
emotions. Lanham, MD: University Press of America. extent to which people in different cultures
434 CHAPTER ELEVEN
Happiness Disgust Surprise Sadness Anger Fear
United States (N = 99) 97% 92% 95% 84% 67% 85%
Brazil (N = 40) 95% 97% 87% 59% 90% 67%
Chile (N = 119) 95% 92% 93% 88% 94% 68%
Argentina (N = 168) 98% 92% 95% 78% 90% 54%
Japan (N = 29) 100% 90% 100% 62% 90% 66%
FIGURE 11.27 Percentage of agreement in judgments of facial expressions of emotion by people in five different cultures.
Source: (data): Ekman, P. (1973). Darwin and facial expression: A century of research in review. New York, NY: Academic Press.; (photos) © P. Ekman and
W.V. Friesen, Pictures of Facial Affect. Consulting Psychologists Press, Palo Alto, CA, 1976
agree on the emotions being expressed in facial For example, using the familiar upright thumb
photographs (Ekman, 1973; Russell et al., 1997). gesture while hitchhiking in certain regions of
The results of one such study are shown in Greece and Sardinia could result in decidedly
Figure 11.27. You can see that there is generally negative consequences, such as tire tracks on
high agreement on these photos of basic emo- one’s body. In those regions, an upright thumb is
tions, but also some cultural variation. Other the equivalent of a raised middle finger in North
researchers have found levels of agreement America (Morris et al., 1979). Likewise, spitting
ranging from 40 to 70 percent across a variety on someone is a sign of contempt in most cul-
of cultures, well above chance but still far from tures. Yet the Masai tribe of Africa traditionally
perfect (Russell, 1994). considered being spat on a great compliment,
In an interesting study of facial expres- particularly if the person doing the spitting is a
sions, Matsumoto and Willingham (2006) ana- member of the opposite sex (Thomson, 1887).
lyzed the facial expressions of medal winners One can only imagine what a Masai singles bar
in the judo competition at the 2004 Olympic would be like.
Summer Games, held in Athens, Greece. Do emotional expressions differ across cul-
Using photographic and videotaped records, tures in the same way that gestures do? To some
they analyzed the facial expressions of win- extent they do, since the display rules of a par-
ners immediately after completing the medal- ticular culture dictate when and how particu-
winning match and again later when they lar emotions are to be expressed. In the Orissa
received their medals. Matsumoto and Will- culture of India, sticking out one’s tongue is the
ingham used the FACS coding system devel- display rule for expressing feelings of shame
oped by Ekman and Friesen to score the (Menon & Schweder, 1994). Some Asian cul-
facial expressions of 84 winning athletes from tures, such as the Japanese, are more subdued
35 countries. Their results support the argu- in their expression of emotion in public settings
ment that the facial expressions displayed than are Europeans and Americans (Mesquita
spontaneously in an emotion-evoking situation et al., 1997). Within the Utku Inuit culture, the
can be considered to be universal. expression of anger is nearly absent. The only
43. What are
exceptions occur toward individuals who have
cultural display
Cultural display rules. The norms for emo- been ostracized by the community and toward
rules? How
do they affect tional expression within a given culture are dogs, who are the frequent targets of vented
emotional called display rules. Certain gestures, body aggression (Briggs, 1970). A number of emotion
behaviour? postures, and physical movements can convey theorists, including Silvan Tomkins (1991), Paul
vastly different meanings in different cultures. Ekman (1994), and Carroll Izard (1989), conclude
that innate biological factors and cultural display arousal and performance seems to take the shape
rules combine to shape emotional expression. of an upside-down, or inverted, U. As physiologi-
cal arousal increases up to some optimal level,
Instrumental behaviours. Emotional responses performance improves. But beyond that optimal
are often “calls to action,” requiring some sort of level, further increases in arousal impair perfor-
response to the situation that aroused the emo- mance. It is thus possible to be either too “flat” or
tion. A highly anxious student must find some too “high” to perform well.
way to cope with an impending test. A mother The relation between arousal and perfor-
angered by her child’s behaviour must find a mance depends not only on arousal level, but
nondestructive way to get her point across. also on task complexity (Yerkes & Dodson,
These are instrumental behaviours, directed 1908). Task complexity involves how compli-
at achieving some goal. cated the task is, how much precision is required
Batja Mesquita, Nico Frijda, and Klaus to do the task, and how well the task has been
Scherer (1997) analyzed cross-cultural stud- learned. Generally speaking, as task complexity
ies and concluded that instrumental actions increases, the optimal level of arousal for maxi-
fall into five broad categories: moving toward mum performance decreases. Thus, even a mod-
others (e.g., love), moving away from oth- erate level of arousal can disrupt performance
ers (fear, revulsion), moving against others on a highly complex task.
(anger), helplessness, and submission (and see Figure 11.28 illustrates these two principles.
the Frontiers feature). Within each of these Note that the inverted U relation applies for all
broad categories, many different goal-directed three tasks and that the more complex the task,
behaviours can occur. Whether an instrumen- the lower is the optimal arousal level. One other
tal behaviour will be successful depends on the feature of Figure 11.28 is worth noting: Perfor-
appropriateness of the response to the situa- mance drops off less at high levels of arousal
tion, the skill with which it is carried out, and for the simple task than for the others. In fact,
the level of emotional arousal that accompa- even the highest levels of arousal can enhance
nies the behaviours. performance of very simple tasks, such as
People often assume that high emotional running or lifting something. This fact may
arousal enhances task performance, as when ath- account for seemingly “superhuman” feats we 44. How do level
of arousal and
letes try to “psych themselves up” for competition. hear about occasionally, such as one incident in
task complexity
Yet, as students who have experienced extreme which a highly distraught 46 kilogram mother combine to
anxiety during tests could testify, high emotional lifted up the front end of a truck to free her affect task
arousal can also interfere with performance. In child, who was trapped under one of its wheels performance?
many situations, the relation between emotional (Honolulu Star-Bulletin, January 6, 1980).
Most complex task

High Intermediate task
Simplest task
Efficiency of performance
Optimal
arousal
levels
Low
Low High
Level of arousal
(middle): © Duomo/Corbis; (right): © Ingram Publishing/SuperStock
FIGURE 11.28 The relation between arousal and performance often takes the form of an inverted U, with performance declining above
and below an optimal arousal level. However, the more difficult or complex a task is, the lower is the optimal level of arousal for perform-
ing it. For which of the performances shown, (b) or (c), should optimal arousal be lower?
436 CHAPTER ELEVEN
Frontiers
A NEW EMOTION? on elevation, participants who watched a video expected to

generate elevation (a video about Mother Teresa) were more
As discussed in this chapter, there is wide agreement that there likely to report a desire to help others, to improve them-
are a limited number of basic human emotions—emotions selves, and to engage socially (Haidt , 2000). There is also
found universally among all humans. There is debate about evidence that elevation increases the amount of money
whether these are the six basic emotions originally identified one is willing to donate to a charity (Freeman, Aquino, &
by Ekman and Friesen (1987) in their groundbreaking work, or McFerran, 2009), although this effect is not always reported
some modification, such as the contributions of evolutionary (Ellithorpe et al., 2015). Compared to participants who
psychologists shown in Table 11.3. If you examine the emo- watched either an emotionally neutral documentary or a
tions listed in Table 11.3 or illustrated in Figure 11.27, all of humorous video, participants who watched a video that gen-
these emotions are familiar; no one will read these lists and erated elevation were more likely to volunteer to participate
be surprised by anything in the lists or confused about what in a uncompensated part of a putative memory experiment,
they mean. There is discussion about how many fundamental and they spent more time engaged in a tedious activity
emotions there are and how many of our emotion responses thought to be helpful to someone else (Schnall, Roper, &
are combinations of these fundamental emotions, but no one Fessner, 2010). That is, there is evidence to support the
has proposed a new emotion for a very long time. No one, that
is, until the beginning of the 21st century.
Early in this century, psychologist John Haidt proposed
a new emotion. This new emotion was labelled “elevation”
(see Figure 11.29; Ellithorpe, Ewoldsen, & Oliver, 2015;
Haidt, 2000, 2003). Elevation was defined as the emotion
evoked by witnessing a morally beautiful or virtuous act
(Haidt, 2000), and is an emotional sense of meaningful-
ness, a feeling of being connected to humanity, of wanting
to help others and to be a better person (Ellithorpe et al.,
2015). It is associated with the physical sensations of a
lump in the throat, a general “tingly” sensation, and a feel-
ing of dilation, or swelling, of the chest (Haidt, 2000).
Elevation is a positive emotional experience, but it
is not simply positive affect. For an experience to elicit
elevation it must include something deeper, something
that can be described as inspiration or connectedness
(Ellithorpe et al., 2015). Positive affect, such as feel-
ing happy, can be elicited by stimuli such as jokes,
slapstick comedy, amusing word-play, or situations
where something good happens to someone you
like. Similarly, feeling good about oneself or about a
situation can be elicited by compliments, aesthetically
pleasing surroundings, or goal achievement. All of these
can generate positive affect, but not elevation. That is,
elevation is more than a positive emotional reaction.
The situations that elicit it are things such as watching
someone perform altruistic acts or an inspirational
message (Ellithorpe et al., 2015; Haidt, 2001, 2003;
Oliver et al., 2012). For example, Silvers and Haidt
(2008) used a video clip from the Oprah Winfrey Show in
which a man described how he was spared from a life of
pover ty and deviance due to the positive influence
of his music teacher to evoke elevation, and a video David H. Lewis/Getty Images
featuring the comedian Jerry Seinfeld to generate FIGURE 11.29 Witnessing selfless acts of compassion and
happiness without elevation. altruism has been suggested to elicit the emotion of elevation,
It has been argued that the function of elevation is to a feeling of meaningfulness, connectedness, and desire to
promote altruism and prosocial behaviour. In an early study help others.
continued
idea that eliciting elevation has important and unique (computer) opponent was faster and the real participants
consequences for altruistic and prosocial behaviour. all lost and were blasted with the loudest allowable noise.
One interesting recent study (Ellithorpre et al., 2015) That is, as a participant your first experience was to be
on elevation included what is called the noise blast task, blasted with the loudest possible noise and think that your
a measure of aggression. Initially, participants watched opponent had picked that noise level. What do you do now,
either a video intended to elicit elevation or a funny video, when you can set the noise level for the next trial? Do you
and participants were led to believe they had a choice retaliate and set the noise level to maximum? Participants
over which video they watched. After watching the video, who both believed they had chosen the video they watched
participants engaged in the noise blast task. In this task and who had seen the elevating video were the least likely
participants are told that they will compete with another to retaliate of all of the groups in the study. Along with
person in a reaction time test, and whoever is faster will evidence for elevation increasing altruism, there is at least
be rewarded with money. The slower player, however, will preliminary evidence that it can also decrease aggression,
hear an uncomfortable blast of noise (hence the name as measured by a decrease in retaliation.
“noise blast” task). Participants could set the noise level Although there is great deal still to be done, there are
for their opponent, and were told that their opponent would some intriguing results from studies of the proposed new
set the level of noise that they would be exposed to if they emotional state of elevation. We experience this emotion
lost. As you might guess, participants were actually play- when we see others perform selfless and inspiring acts or
ing against a computer, and the task was rigged so that receive inspirational messages, and it has been suggested
each participant would win and lose an equal number of that this emotion functions to promote prosocial behaviours
times at random intervals. The only exception was that all such as acts of altruism and cooperation and that it may
participants lost on the first trial. On that first trial, the lower aggression.
In Review
• The primary components of emotion are the elic- • Studies suggest that negative emotions reflect
iting stimuli, cognitive appraisals, physiological greater relative activation of the right hemisphere,
arousal, and expressive and instrumental behav- whereas positive emotions are related to rela-
iours. Individual differences in personality and tively greater activation in the left hemisphere.
motivation affect the experience and expression • The validity of the polygraph as a “lie detector”
of emotion, as do cultural factors. has been questioned largely because of the dif-
• Although innate factors can affect the eliciting prop- ficulty of establishing which emotion is being
erties of certain stimuli, learning can also play an expressed.
important role in determining the arousal properties • The behavioural component of emotion includes
of stimuli. expressive and instrumental behaviours. Different
• The cognitive component of emotional experience parts of the face are important in the expression
involves the evaluative and personal appraisal of of various emotions. The accuracy of people’s
the eliciting stimuli. The ability of thoughts to interpretations of these expressions increases
elicit emotional arousal has been demonstrated when situational cues are also available. Based
clinically and in experimental research. Cross- in part on similarities in facial expression of emo-
cultural research indicates considerable agree- tions across widely separate cultures, evolution-
ment across cultures in the appraisals that ary theorists propose that certain fundamental
evoke basic emotions but also some degree of emotional patterns are innate. They agree, how-
variation in more complex appraisals. ever, that cultural learning can influence emo-
• Our physiological responses in emotion are pro- tional expression in important ways.
duced by the hypothalamus, the limbic system, • Research on the relation between arousal and
and the cortex, and by the autonomic and endo- performance suggests that there is an optimal
crine systems. There appear to be two systems level of arousal for the performance of any task.
for emotional behaviour, one involving conscious This optimal level varies with the complexity or
processing by the cortex, the other unconscious difficulty of the task; complex tasks have lower
processing by the amygdala. optimal arousal levels.
438 CHAPTER ELEVEN
For complex tasks, the relation between At about the same time that James advanced
arousal and performance is different. High emo- his theory, a Danish psychologist named Carl
tionality can interfere with the ability to attend to Lange reached a similar conclusion, so the
and process information effectively. Thus, peo- theory was attributed to both men. Today, the
ple may underachieve on intelligence test items James-Lange theory lives on as the somatic
that require complicated mental processing if theory of emotion (Papanicolaou, 1989). To
they are too anxious, and the performance of air- proponents of this theory, body informs mind;
traffic control officers can suffer in highly stress- our physiological reactions determine our emo-
ful circumstances (Joslyn & Hunt, 1998; Pierce tions. We know we are afraid or in love only
et al., 1998). On physical tasks, muscle tension because our bodily reactions tell us so.
can interfere with the skilful execution of com-
plex movements. For example, in the sport of The Cannon-Bard Theory
golf, which requires precise and complex move- It was not long before the James-Lange theory
45. Compare ments, the optimal level of arousal should be was challenged. In 1927, the physiologist Walter
the James-Lange quite low. Robert Weinberg and Marvin Genuchi Cannon fired back. He pointed out that people’s
(somatic) and
(1980) studied the effects of anxiety on perfor- bodies do not respond instantaneously to an
Cannon-Bard
mance during an intercollegiate golf tournament. emotional stimulus; several seconds may pass
explanations
for emotional Before the tournament began, they administered before signs of physiological arousal appear.
perception and a questionnaire to identify players who were Yet people typically experience the emotion
labelling. low, moderate, or high in performance anxiety. immediately. This would be impossible accord-
Although the three groups of golfers were simi- ing to the James-Lange theory. Cannon and his
lar in ability and performed equally well dur- colleague L.L. Bard concluded that cognition
ing practice rounds, their golf scores differed must be involved as well.
sharply during the anxiety-arousing tournament The Cannon-Bard theory proposed that, when
rounds. On the first day of competition, the aver- we encounter an emotion-arousing situation, the
age performance of golfers in the low-anxiety thalamus simultaneously sends sensory messages
group was five strokes better than the perfor- to the cerebral cortex and to the body’s internal
mance of those in the high-anxiety group. On organs. The message to the cortex produces the
the pressure-packed last day of the tournament, experience of emotion, and the one to the internal
this difference rose to nearly seven strokes. The organs produces the physiological arousal. Thus,
moderate-anxiety group had intermediate scores. neither cognition nor arousal causes the other;
they are independent responses to stimulation
from the thalamus. The James-Lange and Cannon-
THEORIES OF EMOTION Bard theories are compared in Figure 11.30.
Emotions involve complex interactions among
The Role of Autonomic Feedback
eliciting stimuli, thoughts, physiological responses,
and behaviours (see the Levels of Analysis fea- The James-Lange and Cannon-Bard theo-
ture, Figure 11.37, at the end of this chapter). For ries differ on one critical point. According to
more than 100 years, theorists and researchers the James-Lange theory, feedback from the
have explored the nature of these interactions. body’s reactions to eliciting stimuli tells the
brain that we are experiencing an emotion.
Without such feedback, there would be no
The James-Lange Somatic Theory emotional response. In contrast, the Cannon-
Bard theory maintains that experiencing
In 1890, the eminent psychologist William James
emotion results from signals sent from the thal-
ignited considerable controversy with this coun-
amus to the cortex, not from bodily feedback.
terintuitive statement:
46. How does Is there any situation that would provide a test
research on Common sense says . . . we meet a bear, of whether bodily feedback is necessary?
animals and are frightened, and run; we are insulted by In fact, there is. What if organisms were
people deprived a rival, are angry, and strike. The hypoth- deprived of sensory feedback from their inter-
of sensory
esis here to be defended says that this nal organs so that they never knew when these
feedback bear
order of sequence is incorrect . . . and that organs were aroused? Would they be devoid of
on the validity of
the James-Lange the more rational statement is that we feel emotional reactions? To answer this question,
and Cannon-Bard sorry because we cry, angry because we Cannon (1929) carried out experiments with
theories? strike, afraid because we tremble. (empha- animals in which he severed the nerves that
sis added, 1890–1950, p. 451) provide feedback from the internal organs to
James-Lange
Eliciting stimulus Autonomic arousal Conscious emotion (fear)

behavioural responses
Cannon-Bard
Autonomic arousal
Eliciting stimulus Subcortical activity

in thalamus
Conscious emotion (fear)
FIGURE 11.30 Two early theories of emotion continue to influence current-day theorizing. The James-Lange the-
ory holds that the experience of emotion is caused by somatic feedback and physiological arousal. According to the
Cannon-Bard theory, the thalamus receives sensory input and simultaneously stimulates physiological responses
and cognitive awareness.
the brain. He found that even after surgery, the necessary for people to experience intense emo-
animals still exhibited emotional responses, tion. But let us take this issue one step further.
supporting his theory over that of James and
Lange.
But perhaps people are different from other Positive emotions
species. Obviously, Cannon’s animal experi- Negative emotions
44
ments could never be replicated with people,
but nature provides a tragic parallel. Like Can-
non’s animals, people whose spinal cords have 42
been severed in accidents receive no sensory
Emotional intensity score
feedback from body areas below the injury.

40
Given this fact, what are their emotional lives
like? To find out, Kathleen Chwalisz, Ed Diener,
and Dennis Gallagher (1988) administered 38
self-report measures of emotional experience
to people who had sustained spinal injuries.
36
For comparative purposes, the same mea-
sures were administered to individuals having
physical handicaps that did not affect sensory 32
feedback, and to a group of non-handicapped
people.
As shown in Figure 11.31, the people with spi- Spinal cord Other Non-
nal cord injuries did not differ from the other two injured handicapped handicapped
groups in the reported intensity of either their posi- Groups
tive or negative emotions. Indeed, some reported
that they frequently experienced very intense FIGURE 11.31 Intensity of positive and negative emotions
emotions—sometimes more intense than those reported by people with spinal cord injuries, by handicapped
people with no spinal damage, and by non-handicapped
they had experienced before their injury. Moreover,
people. The lack of differences casts doubt on the assertion
people with upper and lower spinal cord injuries— that feedback from physiological arousal is essential for the
who differed in the amount of bodily feedback they experiencing of normal emotional responses.
could receive—did not differ in the intensity of
Source: Data from Chwalisz, K., Diener, E., & Gallagher, D.
their emotions. These results, like those of Cannon’s (1988). Autonomic arousal feedback and emotional experience:
animal studies, appear to cast doubt on the claim Evidence from the spinal cord injured. Journal of Personality and
that arousal feedback from the body is absolutely Social Psychology, 54, 820–828.
440 CHAPTER ELEVEN
The Facial Feedback Hypothesis pronounced different sounds, such as eee and ooh.
47. What is the Saying the eee sound, which activates muscles
facial feedback Arousal feedback is not the only kind of bodily
feedback the somatic theory considers important. used in smiling, was associated with more pleasant
hypothesis?
What research Facial muscles involved in emotional displays feelings than saying the ooh sound, which activates
evidence also feed messages to the brain, and these muscles muscles involved in negative facial expressions
supports it? are active even in patients with spinal injuries (Zajonc et al., 1989). Perhaps photographers
What might who may receive no sensory input from below should force us to say “cheese” not only when they
be the role the neck. According to the facial feedback take our picture, but also later when they show us
of vascular hypothesis, this feedback to the brain might play proofs that not even our mothers could love.
feedback? a key role in determining the nature and inten-
sity of emotion that we experience, as the James- Cognitive-Affective Theories
Lange theory would suggest (Adelmann & Zajonc, Nowhere are mind–body interactions more
1989; McIntosh et al., 1997; Soussignan, 2002). obvious than in the emotions, where thinking
Research shows that positive or negative and feeling are intimately connected. Cognitive-
emotional responses can indeed be triggered by affective theories focus on the ways in which
contraction of specific facial muscles. Especially cognitions and physiological responses interact
noteworthy are studies in which participants do (Clore & Centerbar, 2004). Historically, Richard
not know that they are activating muscles used in Lazarus and Stanley Schachter have been major
48. How did specific emotional expressions. In one such study, figures in this approach.
Lazarus and his Fritz Strack and his colleagues (1988) found that Lazarus (2001) emphasizes the link between
colleagues show when participants held pencils in their teeth, acti- cognitive appraisal and arousal, and argues
that appraisals vating muscles used in smiling (Figure 11.32a), that all emotional responses require some sort
influence level of
they rated themselves as feeling more pleasant of appraisal, whether we are aware of that
arousal?
than when they held the pencils with their lips appraisal or not.
(Figure 11.32b), which activates muscles involved
in frowning. Participants also rated cartoons as The fundamental premise is that in order to
funnier while holding pencils in their teeth and survive, animals (humans particularly) are
activating the “happy muscles” than while holding constructed biologically to be constantly
pencils with their lips (Figure 11.32c). In another evaluating (appraising) their relationship
study, Robert Zajonc and his colleagues com- with the environment with respect to sig-
pared the subjective experiences of subjects who nificance for well-being. . . . If a person (or
5
Mean funniness rating of cartoons
0
Lips Teeth
Position of pencil
(a) (b) (c)
(photos): © Tony Freeman/PhotoEdit
FIGURE 11.32 Holding a pencil in the teeth (a) so as to activate the muscles used in smiling evokes more pleasant feelings than holding
the pencil in one’s lips (b), which activates muscles used in frowning. This finding (c) provides support for the facial feedback hypothesis.
Data from Strack, F., Martin, L.L., & Stepper, S. (1988). Inhibiting and facilitating conditions of facial expressions: A non-obtrusive test of the facial
feedback hypothesis. Journal of Personality and Social Psychology, 54, 768–777.
animal) appraises his or her relationship Schachter’s Theory

with the environment in a particular way,
then a specific emotion, which is tied to the Appraisal
appraisal, always results; and if two per- Eliciting
stimuli
sons make the same appraisal, then they
will experience the same emotion regard- Arousal
less of the actual circumstances. (Lazarus,
1991, p. 825) FIGURE 11.33 Stanley Schachter’s two-factor theory
focuses on the interactive role of cognition and arousal.
It is worth emphasizing a key difference Schachter emphasized the role of appraisals of the envi-
ronment in our labelling of the emotions we experience.
between the Cannon-Bard and the cognitive-
affective theories of emotion. According to
the Cannon-Bard theory of emotion, when you arousal tells us how strongly we are feeling some-
encounter a specific environmental cue, a match- thing, but situational cues give us the informa-
ing emotion is triggered. That is, which emotion tion we need to tell us what we are feeling—fear,
you experience is importantly determined by anger, love, or some other emotion (Schachter,
what is in the environment. For example, the 1966). Lazarus would agree, viewing these cues as
sight of a bear triggers fear or hearing an insult an important determinant of the appraisal process
triggers anger. The cognitive-affective theories, (Figure 11.33). Thus, both view situation, cogni-
however, argue that what matters is how you tion, and arousal as highly interrelated.
appraise, or interpret, environmental stimuli. A classic, and creative, test of Schachter’s
The sight of a bear can elicit fear, but if the bear two-factor theory was performed by Dutton and
is perceived as an impressive and noble animal, Aron (1974) of the University of British Columbia.
the emotion may be awe. Similarly, hearing an Dutton and Aron arranged for either a male or a
insult may trigger anger, but that same com- female research assistant to approach males who
ment may be interpreted as a cutting and valid were crossing two different bridges and ask them
personal criticism and trigger sadness, or it may to participate in a study of creativity. Participants
be interpreted as sarcasm and elicit happiness were asked to complete a short questionnaire
and laughter. That is, for Lazarus and Schachter, and write a short story based on a picture shown
what matters is not what environmental cue con- to them by the research assistant. The partici-
fronts you but how you appraise it. For Cannon pants were then told that they could contact the
and Bard, a specific stimulus would be expected research assistant if they had any questions and
to consistently trigger the same emotion, were given the researcher’s name and phone num-
whereas for Lazarus and Schachter it would trig- ber. The participants were recruited on one of two
ger the same emotion only if the appraisal was different bridges. One was the Capilano Suspen-
the same; a stimulus could trigger as many dif- sion Bridge, a 137-metre-long suspension bridge
ferent emotions as there are different appraisals. 76 metres above a section of rapids. The other was
As noted earlier, the appraisal itself need not a wide, sturdy cedar bridge only 3 metres above a
be a conscious thought; it may be some automatic small stream. Dutton and Aron reasoned that, if
perception that does not enter conscious aware- Schachter was correct, when males crossed the
ness. Once the appraisal has triggered the arousal swaying, anxiety-provoking suspension bridge
response, arousal cues may feed back into the and met the attractive female research assistant,
ongoing appraisal process. Thus, if you feel your- they would attribute their arousal to the female
self becoming aroused in the presence of another research assistant. The results supported a
person, you may begin to appraise the person as cognitive-appraisal theory. Participants who had
more desirable and attractive than before. crossed the suspension bridge included more
Like Lazarus, Stanley Schachter emphasized sexual imagery in their stories and were more
the link between cognition and arousal, and likely to later call the female research assistant 49. According
to Schachter,
he developed the best known of the cognitive- than participants who had crossed the low, sturdy
what influences
affective theories of emotion. He was intrigued cedar bridge (Figure 11.34). For participants met perceptions
with the question of how we know both what we by the male research assistant, it did not matter of emotional
are feeling and how strongly we are feeling it. which bridge they crossed, sexual imagery and intensity? What
Schachter’s two-factor theory of emotion, also later behaviour were similar between bridges. tells us which
called the Schachter-Singer theory of emotion, Two classic experiments performed by Laza- emotion we are
states that arousal and cognitive labelling based on rus and Schachter that also explored the links experiencing?
situational cues are the critical ingredients in emo- between cognition and arousal are described in
tional experience. The intensity of physiological the Research Foundations feature.
442 CHAPTER ELEVEN
2.5 50
Mean sexual imagery score

2.0 40
1.5 30
1.0 20
0.5 10
0 0
Suspension Cedar Suspension Cedar
bridge bridge bridge bridge
Sexual imagery in Percentage of participants who
participants’ stories later called the research assistant
FIGURE 11.34 Results from Dutton and Aron’s classic 1974 experiment in the Capilano Canyon. Male participants
who experienced increased arousal from crossing a suspension bridge included more sexual imagery in their stories
and were more likely to later call the research assistant, attributing this arousal to the female research assistant.
Source: Data from Dutton, D.G., & Aron, A.P. (1974). Some evidence for heightened sexual attraction under conditions of high
anxie-ty. Journal of Personality and Social Psychology, 30, 510–517.
Research
Foundations
COGNITION-AROUSAL RELATIONS To study the effects of participants’ appraisal of the

filmed visual stimuli on arousal, the researchers experimen-
Manipulating Appraisal to Influence tally varied the film’s soundtrack. Four different soundtrack
Arousal conditions were used to manipulate the independent variable:
Introduction 1. A trauma soundtrack emphasized the pain suffered
Richard Lazarus and his University of California colleagues by the boys, the danger of infection, the jaggedness
examined how differences in cognitive appraisal can of the flint knife, and other unpleasant aspects of the
influence physiological arousal. To do so, they needed to operation.
measure physiological arousal in response to visual stimuli 2. A denial soundtrack was just the opposite; it denied that
that were held constant for all participants, while influencing the operation was excessively painful or traumatic, and
the manner in which these eliciting stimuli were appraised. emphasized that the boys looked forward to entering
If people in different appraisal conditions showed different
arousal responses to the same eliciting stimuli, it would
support the notion that arousal is influenced by appraisal. Design: Lazarus
Question: Can experimentally manipulated
Method
cognitive appraisals influence physiological arousal
The researchers monitored university students’ physiologi- responses to external stimuli?
cal responses while they watched an anthropology film,
Subincision in the Arunta, which depicts in graphic detail an
aboriginal puberty rite during which the penises of adoles-
cent boys are cut with a jagged flint knife. The film typically Independent Dependent
elicits a high level of physiological arousal in viewers (and, Variables Variables
according to the researchers, many leg-crossing responses Experimentally Arousal (skin
manipulated conductance) while
in males). The dependent variable, measured by record- soundtrack
ing electrodes attached to the participants’ palms, was viewing the stressful
film
changes in electrical skin conductance caused by sweat
gland activity.
continued
Soundtrack
Method
21.0 Trauma
Denial
In Stanley Schachter’s laboratory at Columbia University,
20.0
Skin conductance (arousal)
Intellectualization participants were told they were in a study involving the

19.0 Silent
effects of a new vitamin, called suproxin, on visual per-
18.0 ception. The researchers directly manipulated the level of
17.0 physiological arousal by injecting participants with one of
three different substances. In one condition, participants
16.0
received epinephrine, a stimulant that increases arousal.
15.0 In a second experimental condition, participants received
14.0 a tranquilizer drug that would decrease arousal. A placebo
13.0 control group received a saline injection that would have
no effects on arousal. The experimenters told all partici-
100 500 1000 pants that the suproxin injection would have no side effects
Time in seconds (when, in fact, the epinephrine and tranquilizer would begin
to have immediate and opposite effects on arousal). Then,
FIGURE 11.35 Appraisal influences arousal. Participants while presumably waiting for the vitamin to take effect, the
who viewed a film showing a tribal subincision rite in vivid detail participants were shown a short movie “to provide contin-
exhibited different levels of physiological arousal, depending
uous black-and-white stimulation to the eyes.” The movie
on the soundtrack that accompanied the film.
was a comedy that included a slapstick chase scene. The
Source: From J. Speisman, R.S. Lazarus, A. Mordkoff & L. Davidson, experimenters hypothesized that the participants in the two
1964, “Experimental Reduction of Stress Based on Ego-Defense drug conditions would attribute their heightened or lowered
Theory,” Jounal of Abnormal and Social Psychology, 68, 373, Fig 1.
level of arousal to the funniness (or lack thereof) of the
Copyright © 1964 by the American Psychological Association.
Reprinted by permission of the author and the publisher.
film, because they would know of no other reason why they
should feel as they did.
adulthood by undergoing the rite and demonstrating Results

their bravery.
Participants were observed from behind a one-way mirror
3. The intellectualization soundtrack, also designed to pro- while they watched the movie. The observers, who were
duce a more benign appraisal, ignored the emotional unaware of which participants had received which injections,
elements of the scenes altogether and focused on the recorded how frequently the participants smiled, grinned,
traditions and history of the tribe. laughed, threw up their hands, slapped their legs, or doubled
4. In a silent control condition, the film was shown without over with laughter. These behaviours were combined into an
any soundtrack at all, leaving viewers to make their own “amusement score” that served as the dependent variable
appraisals. measure of how funny the participants found the film to be.
It appears that arousal cues can indeed influence
Results one’s appraisal of the situation. As Figure 11.36 shows,
As shown in Figure 11.35, the soundtracks produced mark- the results supported the experimenters’ hypothesis that
edly different levels of arousal. As predicted, the trauma level of arousal would influence participants’ appraisal of
soundtrack resulted in the highest arousal, followed by
the silent film condition, which likely evoked dire apprais-
Design: Schachter
als as well. The denial and intellectualization soundtracks,
designed to create more benign appraisals, resulted in Question: Can experimentally manipulated arousal
much lower levels of arousal. This classic study supported levels influence cognitive appraisals of external
Lazarus’s contention that appraisal can influence arousal. stimuli?
Manipulating Arousal to Influence Type of Study: Experimental

Appraisal
Independent Dependent
Introduction Variables Variables
Is the reverse also true? Can level of arousal influence peo- Arousal influencing Observer’s coding of
ple’s appraisal of an eliciting stimulus? To test this hypoth- drug condition “amusement”
(stimulant, tranquilizer, behaviours
esis, one must cause people to experience different levels
control) while participants
of arousal without knowing the true reason. The level of
viewed the film
arousal should then be attributed to whatever eliciting stim-
uli are present in the situation.
continued
444 CHAPTER ELEVEN
20 the film. The aroused participants in the epinephrine group

found the film funnier than the tranquilized participants did,
and the placebo control group fell in the middle. Thus, a per-
son injected with epinephrine might think, “Here I am watch-
Mean amusement score
15
ing this film and getting all excited. This film’s really funny!”
10 Discussion
These two studies were among the first to experimentally
manipulate appraisal and arousal so as to study their effects
5 on each other. In the first study, even though it was not possible
to completely control for participants’ own tendencies to
appraise situations in certain ways, the four soundtrack
conditions did have effects on the arousal responses of
0
participants as they watched the subincision film. When
Epinephrine Placebo Tranquilizer
Schachter and Wheeler turned Lazarus’s procedure around
Experimental condition
and manipulated arousal levels with the stimulant and
FIGURE
Source: From J.11.36
Speisman,Arousal influences
R.S. Lazarus, A. Mordkoffappraisal.
& L. Davidson,Participants
1964, tranquilizing drugs, they found the expected differences in
“Experimental
were injected Reduction
withof epinephrine,
Stress Based on Ego-Defense Theory,”orJounal
a tranquilizer, of
a placebo appraisal of the films. Moreover, they were able to measure
Abnormal and Social Psychology, 68, 373, Fig 1. Copyright © 1964 by the these differences in terms of observable behaviour.
to affect arousal and then were shown a humorous film. The
American Psychological Association. Reprinted by permission of the author and
amount of amusement they displayed varied with their state
the publisher.
Taken together, these two studies show that appraisal
of arousal. influences arousal and that arousal can influence appraisal,
Source: Data from Schachter, S., & Wheeler, L. (1962). Epinephrine, demonstrating the two-way causal relation between cogni-
chlorpromazine, and amusement. Journal of Abnormal and Social tion and arousal shown in the model of emotion originally
Psychology, 65, 121–128. presented in Figure 11.21.
Sources: Joseph Speisman, Richard Lazarus, Arnold Mordkoff, and Les Davison, 1964. Experimental reduction of stress based on ego-defense
theory. Journal of Abnormal and Social Psychology, 68, 367–380; and Stanley Schachter and Ladd Wheeler, 1962. Epinephrine, chlorpromazine, and
amusement. Journal of Abnormal and Social Psychology, 65, 121–128.
In Review
• Several past and present theories posit causal feedback from the facial muscles associated
relations among emotional components. The with innate emotional displays affects cognitive
James-Lange/somatic theory maintains that we and physiological processes. Recent evidence
first become aroused and then judge what we supplies support for the theory.
are feeling. The Cannon-Bard theory proposes • Because of the two-way relations between the
that arousal and cognition are simultaneously cognitive and physiological components of emo-
triggered by the thalamus. Cognitive appraisal tion, it is possible to manipulate appraisals and
theory states that appraisals trigger emotional thereby influence the level of arousal. Arousal
arousal. According to Schachter’s two-factor the- changes can also affect appraisal of the eliciting
ory, arousal tells us how strongly we feel, while stimuli.
cognitions derived from situational cues help us
label the specific emotion.
• The facial feedback hypothesis, derived from
the James-Lange/somatic theory, states that
Emotion
Levels of Analysis
As we have seen, emotion involves complex interactions between
mind, body, and the environment. As such, its study spans the ENVIRONMENTAL
biological, psychological, and environmental levels of analysis. • Many eliciting stimuli arise in the
Here is a summary of the factors that need to be taken into external environment.
account for an understanding of emotion. • Individual and cultural learning experiences
can affect emotional expression and experience.
• Some environmental stimuli are primed by
evolutionary factors to be eliciting stimuli.
BIOLOGICAL
• Genetic factors influence
emotional reactivity from the
moment of birth.
• Brain structures, especially the amygdala,
other limbic structures, and the cortex, are
part of a two-component emotional system that
can operate at both conscious and unconscious
levels. The hemispheres differ in the emotions
associated most strongly with them.
• Neurotransmitter systems play an important PSYCHOLOGICAL
role in the neural activations and inhibitions
• Cognitive processes play an important
that underlie emotion.
role in the emotional response system,
generating emotions, and guiding instrumental
and coping responses.
• Cognitive appraisals and physiological arousal
influence each other.
• Knowledge of cultural norms for emotional expression
influence both emotional experience and expression.
How might cognitive appraisal processes influence

right and left hemisphere responses to environmental
stimuli, and which emotions would be expected to
result?
FIGURE 11.37
446 CHAPTER ELEVEN
Gaining Direction
What are the The opening scenario for Chapter 11 deals with a very specific response pattern (known as
issues? a new approach to forensic neurology called P300). Such a pattern is not emitted for new
brain fingerprinting. The basic idea is to pres- information. Issues surrounding this scenario
ent details of a crime to a suspect and then range from the specifics of brainwave patterns,
monitor the suspect’s brainwaves. The develop- to the reliability of testing, to the use of such a
ers argue that familiar information generates technology in court.
What do How reliable and valid is brain fingerprinting? Is this procedure any different from polygraph
we need to What is P300? testing? What happens when someone is lying?
know? How are brainwaves measured?
Where can You should begin by reviewing the information what type of information constitutes a valid sci-
we find the on polygraph testing. What specifically is mea- entific claim. As a general background source,
information to sured by the polygraph, and what does brain look for information on lying and deception. A
fingerprinting assess? Is brain fingerprinting a leading authority in this area is Dr. Paul Ekman
answer these
more reliable method? Why? You will probably at the University of California Medical School,
questions? want to look back at Chapter 2 and consider San Francisco.
CHAPTER
Development over
the Lifespan 12
CHAPTER PRENATAL DEVELOPMENT Applications: Understanding How Divorce
and Remarriage Affect Children
OUTLINE Genetics and Sex Determination
Moral Development
Environmental Influences
INFANCY AND CHILDHOOD ADOLESCENCE AND ADULTHOOD

The Amazing Newborn Physical Development
Sensory-Perceptual Development Focus on Neuroscience: The Neuroscience
Physical, Brain, and Motor Development of the Teenage Brain
Cognitive Development Cognitive Development
Social-Emotional and Personality Development Social-Emotional and Personality Development
Frontiers: Social Media and Social Development Research Foundations: What Does It Take
to Become an Adult?
There are only two lasting bequests we can hope to give our children. One of these is
roots; the other, wings.
—Hodding Carter
Almost 40 percent of
infants in North America What are the
and Europe under the age issues here?
of two have used an iPad.
No, they do not really understand
What do we need
how to use the tablet nor can they
to know?
choose and launch apps. But they
can follow the images and trace
actions with their fingers. Plus, Where can
iPads have the added advantage of we find the
keeping children occupied. Propo- information to
nents argue that iPad usage helps answer these
questions?
to develop eye–hand coordination,
promotes number recognition, and
is a useful developmental tool. Oth-
ers suggest that such technology
may interfere with a child’s social
and perceptual development. Some Cultura Creative (RF)/Alamy Stock Photo
go as far as suggesting that we have no idea what these devices might do to the developing brain.
Currently, there are over 800 apps available for kids from birth to age two. You can also buy a
baby bouncy seat with an attachment to hold an iPad.
448 CHAPTER TWELVE
D
evelopmental psychology examines month and then retest them every 10 years, up to
1. Explain how
changes in our biological, physical, psy- age 60, thus ensuring that everyone is exposed
cross-sectional,
chological, and behavioural processes to the same historical time frame. Unfortu-
longitudinal,
and sequential as we age. To accomplish this, developmental nately, a longitudinal design is time-consuming
designs differ. psychologists often use special research designs and, as years pass, our sample may shrink sub-
(Figure 12.1) to investigate age-related changes. stantially as people move, drop out of the study,
Suppose we wish to study how intellectual abili- or die. Furthermore, suppose we find that intel-
ties change from age 10 to age 60. Using a cross- ligence declines at age 60. Is this really due to
sectional design, we would compare people of aging or developmental experiences unique to
different ages at the same point in time. Thus, our particular cohort? Researchers can answer
we could administer intellectual tasks to 10-, 20-, this question by using a sequential design
30-, 40-, 50-, and 60-year-olds. We would test each that combines the cross-sectional and longitu-
person and compare how well the different age dinal approaches. That is, we can repeatedly
groups perform. The cross-sectional design is test several age cohorts as they grow older and
widely used because data from many age groups determine whether they follow a similar devel-
can be collected relatively quickly, but a key opmental pattern. This design is the most com-
drawback is that the different age groups, called prehensive, but also the most time-consuming
cohorts, grew up in different historical periods. and costly.
Thus, if 60-year-olds have poorer intellectual These research approaches provide much
abilities than 30-year-olds, is this due to aging or of our knowledge about human develop-
environmental differences (e.g., poorer nutrition, ment, which we now explore from concep-
poorer medical care, less education) growing up tion through death. We begin with the prenatal
in the 1950s and 1960s versus the 1980s and 1990s? period, approximately 266 days during which
To avoid this problem, a longitudinal design we develop from a single-cell organism barely
repeatedly tests the same cohort as it grows larger than a pinhead into a wondrously com-
older. We could test a sample of 10-year-olds this plex newborn human.
60
people of varying ages studied simultaneously
50
e
tim
of
d
Cross-sectional design:
pe :
a gn
rio
Age at time of testing
40
er si
ov de
d l
ie ina
ud d
st itu
30
le ng
op Lo
pe
20
e
m
sa
10
0
2014 2024 2034 2044 2054 2064
Year testing is conducted
FIGURE 12.1 Using a cross-sectional design, we would test different age groups in the year 2014 and compare
their performance. Using a longitudinal design, we would test one age group and then retest them every 10 years
until age 60. Using a sequential design (there are many types), we might test 10- through 60-year-olds in the year
2014 and then retest them every 10 years until age 60. Suppose that in the year 2014 the 60-year-olds perform
worse than younger adults. Also suppose that, as the 10- through 50-year-olds age, their performance worsens at
age 60. We are now more confident that this decline, replicated over different age cohorts, represents a true effect
of aging.
PRENATAL meaning that it is likely to survive outside the

womb in case of premature birth (Hetherington,
DEVELOPMENT Parke, & Locke, 1999).
Prenatal development consists of three stages
(Figure 12.2) of physical growth. The germinal
stage constitutes approximately the first two Genetics and Sex Determination
weeks of development, beginning when one A female’s egg cells and a male’s sperm cells 2. What
sperm fertilizes a female egg (ovum). This fertil- each have only 23 chromosomes. At con- determines the
ized egg is called a zygote. Through repeated ception, an egg and sperm unite to form the sex of a child?
cell division the zygote becomes a mass of cells zygote, which now contains the full set of
that attaches to the mother’s uterus about 10 to 23 pairs found in other human cells. The 23rd
14 days after conception. pair of chromosomes determines the baby’s
The embryonic stage extends from the end of sex. A genetic female’s 23rd pair contains two
the second week through the eighth week after X chromosomes (XX), so-called because of
conception, and the cell mass now is called an their shape (Figure 12.3). Because women carry
embryo. Two life-support structures, the pla- only X chromosomes, the 23rd chromosome in
centa and umbilical cord, develop at the start of the egg is always an X. A genetic male’s 23rd
this stage. Located on the uterine wall, the pla- pair contains an X and a Y chromosome (XY).
centa contains membranes that allow nutrients Thus, the 23rd chromosome in the sperm is an
to pass from the mother’s blood to the umbilical X in about half of the cases and a Y in the other
cord. In turn, the umbilical cord contains blood half. The Y chromosome contains a specific
vessels that carry these nutrients and oxygen gene, known as the TDF (testis determining
to the embryo, and waste products back from factor) gene, that triggers male sexual devel-
the embryo to the mother. Supplied with nutri- opment. The union of an egg with a sperm cell
ents, embryonic cells divide rapidly and become having a Y chromosome results in an XY combi-
specialized. Bodily organs and systems begin to nation and, therefore, a boy. A sperm containing
form, and by week eight the heart of the two- an X chromosome produces an XX combination
centimetre-long embryo is beating, the brain is and so a baby girl.
forming, and facial features, such as eyes, can How does the Y chromosome determine male
be recognized. sex characteristics? At roughly six to eight
At the ninth week after conception, the weeks after conception, the TDF gene initiates
embryo is called a fetus. During this fetal stage, the development of testes. Once formed, the tes-
which lasts until birth, muscles become stronger tes secrete sex hormones called androgens that
and other bodily systems continue to develop. continue to direct a male pattern of organ devel-
At about 24 weeks the eyes open, and by opment. If the TDF gene is not present, as hap-
28 weeks the fetus attains the age of viability, pens with an XX pair on the 23rd chromosome,
(left): © David M. Phillips/The Population Council/Photo Researchers, Inc.; (middle): © Biophoto Associates/Photo Researchers, Inc.; (right): © John Watney Photo Library/Photo
Researchers, Inc.
FIGURE 12.2 These remarkable photos show (a) the moment of conception, as one of many sperm cells fertilizes the ovum, (b) the
embryo at six to seven weeks, and (c) the fetus at three months of age.
450 CHAPTER TWELVE
As we will discuss in detail in Chapter 15,

stress is an important concern for many peo-
ple and our lives seem to only get increasingly
stressful. There has been concern over whether
or not maternal stress affects the develop-
ing fetus and whether there are any lasting
consequences. Robert Coplan of Carleton
University has investigated maternal anxi-
ety during pregnancy and infant tempera-
ment (Coplan, O’Neil, & Arbeau, 2005). This
research has found that maternal anxiety is
associated with greater infant distress reac-
tions and difficulty in recovering from distress
at three months of age. Although this could
be due to a range of factors other than the
impact of maternal stress on the developing
fetus, such as differences in postnatal care
associated with anxiety, genetic predisposi-
© CNRI/SPL/Photo Researchers, Inc.
tion to anxiety disorders, and so forth, sub-
FIGURE 12.3 Most human cells contain 23 pairs of sequent research has led to the conclusion
chromosomes. Each pair consists of one chromosome that prenatal exposure to stress and the stress
from each parent. The 23rd pair determines a person’s hormones is an important risk factor for later
sex. In males, the 23rd pair, which is shown in the
mental health problems, including anxiety and
lower right area of the photo, consists of an X chromo-
some and a Y chromosome. In females, the 23rd pair
depression (Davis et al., 2013).
contains two X chromosomes. Mercury, lead, radiation, and many other
environmental toxins can produce birth defects,
as can many drugs. Fetal alcohol spectrum
testes do not form and—in the absence of suffi- disorders (FASD) involve a range of mild to
cient androgen activity during this prenatal crit- severe cognitive, behavioural, and physical
ical period—an inherent female pattern of organ deficits caused by prenatal exposure to alcohol
development ensues (Hyde & DeLamater, 2000). (Coates, 2015). One disorder within this spec-
trum, fetal alcohol syndrome (FAS), involves
a cluster of severe developmental abnormalities.
Environmental Influences FAS children have facial abnormalities and small,
Teratogens are environmental agents that malformed brains (Figure 12.4). Psychological
3. How do STDs, cause abnormal prenatal development. The and social impairments include intellectual
alcohol, and
placenta prevents many dangerous substances disability, attentional and perceptual deficits,
other drugs
affect prenatal
from reaching the embryo and fetus, but some impulsivity, and poor social skills (Murthy
development? harmful chemical molecules and diseases can et al., 2009). Other children exposed to alco-
Identify other pass through. For example, if the mother con- hol in the womb may display fewer or milder
broad classes of tracts rubella (German measles)—especially impairments.
teratogens. when the embryo’s eyes, ears, heart, and central The threshold levels of alcohol exposure
nervous system are beginning to form early in needed to produce FASD, or FAS specifically,
pregnancy—it can cause blindness, deafness, are not known. About one-third to one-half
heart defects, and intellectual disability in the of infants born to alcoholic mothers have
infant (Plotkin, 2006). FAS, but even social drinking or a single epi-
Sexually transmitted diseases can pass from sode of binge drinking can increase the risk
mother to fetus and produce brain damage, of prenatal damage and long-term cognitive
blindness, and deafness, depending on the dis- impairment. Because no amount of prena-
ease. Among pregnant women with untreated tal alcohol exposure is safe, women should
syphilis, about 25 percent of fetuses are born not drink if there is any chance that they are
dead. Likewise, without treatment during preg- pregnant.
nancy or delivery by Cesarean section, about Nicotine is another known teratogen. Mater-
25 percent of fetuses born to mothers with nal smoking increases the risk of miscar-
human immunodeficiency virus (HIV) also are riage, premature birth, and low birth weight
infected (Meleski & Damato, 2003). (Kirchengast & Hartmann, 2003). Because of
(left): © George Steinmetz; (right): © Streissguth, A.P., & Little, R.E. (1994). “Unit 5: Alcohol, Pregnancy, and the Fetal Alcohol Syndrome: Second
Edition” of the Project Cork Institute Medical School Curriculum (slide lecture series) on Biomedical Education: Alcohol Use and Its Medical
Consequences, produced by Dartmouth Medical School.
FIGURE 12.4 Children who suffer from fetal alcohol syndrome (FAS) not only look different (left), but have brains
that are underdeveloped compared with those of normal children (right).
In Review
• Cross-sectional designs compare people of dif- • The 23rd chromosome in a mother’s egg cell
ferent age groups at a single point in time. A always is an X chromosome. If the 23rd chromo-
longitudinal design repeatedly tests the same some in the father’s sperm cell is an X, the child
age group as it grows older. A sequential design will be genetically female (XX); if a Y, the child
tests several groups at one point in time and will be born genetically male (XY).
then again when they are older. • Illness, drug use, and environmental toxins can
• Prenatal development involves the zygote, cause abnormal prenatal development.
embryonic, and fetal stages.
second-hand smoke, regular tobacco use by

fathers also has been linked to low infant birth
INFANCY AND
weight and increased risk of respiratory infec- CHILDHOOD
tions (Wakefield et al., 1998). There is evidence Studying infants poses interesting challenges.
that caffeine, the most widely used drug in the During research studies, infants may start
world, can also influence fetal brain develop- to fuss, cry, drool, spit up, soil their diapers,
ment (Mioranzza et al., 2014). Caffeine may or simply fall asleep! Experiments must be
affect the embryonic development of both the designed to keep infants alert and “on task,”
cerebral cortex and the hippocampus. Babies of a difficult job because they are easily over-
pregnant mothers who use heroin or cocaine are whelmed by novel, highly stimulating envi-
often born addicted and experience withdrawal ronments and rapidly become bored by bland
symptoms after birth. Their cognitive function- environments. Optimal test settings are diffi-
ing, motor skill development, and ability to cult to achieve and change with age during the
regulate their arousal and attention may also first year of life. Finally, because infants can’t
be impaired (Bennett et al., 2013; Wahlsten & describe their experiences, researchers must
Sarman, 2013). find clever ways to use those responses that
452 CHAPTER TWELVE
(a)
(a) (b)
(b) (c)
(c)
© Ryan McVay/Getty Images
FIGURE 12.5 Seeing through an infant’s eyes. These three images approximate the visual acuity of an infant at (a) age one month,
(b) three months, and (c) 12 months.
infants can make, such as sucking and look-

ing, to draw inferences about their capabilities
and preferences.
The Amazing Newborn

William James (1890) suggested that the
newborn’s world is a “buzzing, blooming
confusion”—that is, that they are passive, disor-
ganized, and have an empty mind. This view is
no longer tenable, given our knowledge of pre-
natal sensory-motor development; the tactile,
auditory, and chemical perceptual systems have
been stimulated and are operating at birth. By
contrast, the visual system receives little fetal 0 10 20 30 40 50
stimulation, making it a candidate for identify- Percentage of total
ing innate capacities. fixation time
FIGURE 12.6 Whether two days old or two to three

Newborn Sensation and Perception months old, infants preferred to look at complex pat-
Infants are very nearsighted; their visual acu- terns rather than simple patterns or solid colours.
ity is about 20/800, or 40 times worse than nor- Source: Based on Fantz, R.L. (1961, May). The origin of form
mal adult acuity of 20/20 (Maurer & Lewis, 2001; perception. Scientific American, 66–72.
see Figure 12.5). Although nearsighted, infants

can focus on an object 20 to 40 cm away, the
4. How can distance to the mother’s face for a breastfeed- Finally, newborns readily turn toward
scientists ing infant. In a pioneering study, Robert Fantz off-centred auditory (e.g., rattles or voices
measure a (1961) used the preferential looking proce- sounded opposite one ear) and tactile (e.g.,
newborn’s dure to study infants’ visual preferences. He touching the cheek) targets (Muir, Humphrey, &
sensory placed infants on their backs, showed them two Humphrey, 1994) and odours (e.g., Soussig-
capabilities
or more stimuli at the same time, and filmed nan, Schaal, Marlier, & Jiang, 1997). Thus,
and perceptual
preferences? their eyes to record how long they looked at newborns orient to significant stimuli in
What are each stimulus. Infants preferred complex pat- their environment, the most important being
some of those terns, such as realistic or scrambled drawings their mother’s face, voice, and smell, optimiz-
preferences? of a human face, to simple patterns and solid ing their access to food, warmth, and social
colours (Figure 12.6). stimulation.
Newborn Learning familiar sound. They were not simply fatigued

Although babies will track objects with their because (1) by the end of habituation, many
eyes from birth, infants are very near-sighted. infants were turning away from the sound, per-
Tests of visual acuity indicate that up to about haps trying to avoid it; (2) they readily turned
one month of age, infants are very near-sighted toward a novel sound (e.g., “Beagle”), indicat-
and can see at 6 metres what normally sighted ing that they could discriminate between some
adults can see at 60 to 120 metres (Kellerman & adult speech sounds; and (3) partial habituation
Arterberry, 2006; see Figure 12.5). Infants, how- to the sound lasted for at least 24 hours. Finally,
ever, can focus on objects that are 20 to 40 cen- using the habituation procedure, Barbara
timetres away, the distance to the mother’s face Morrongiello at the University of Guelph
for a breastfeeding infant. (Morrongiello, Fenwick, & Chance, 1998) has
Colour vision also develops rapidly after shown that newborns rapidly learn to associ-
birth. A newborn can perceive few colours, but ate particular sounds with particular objects,
by three months of age the three types of cones including the mother’s face and voice.
and their circuits are functional, and infants can Newborns can learn through classical and 5. Can newborns
perceive the full range of colours (Kellman & operant conditioning, and imitation. Blass, Gan- learn through
chrow, and Steiner (1984) followed a touch on classical and
Arterberry, 2006).
newborns’ foreheads (the CS) with the deliv- operant
The preferential looking procedure
ery of milk to their mouths (the UCS). After a conditioning,
(Fantz, 1961) is used to study infants’ visual as well as
preferences. In this procedure, preference is few pairings, newborns turned toward the food
imitation?
inferred by measuring how long the infant looks source and puckered their lips (the UCR) dur-
at one visual stimulus compared to another. ing the CS. When the food was withheld during
Infants tend to prefer complex patterns to sim- extinction, they cried, reflecting that they were
ple patterns and solid colours (Figure 12.6), upset when learned expectancies were violated.
and prefer yellow and blue over other colours Through operant conditioning, newborns learn
(Taylor et al., 2013). that they can “make things happen.” For exam-
Philip Zelazo and colleagues at McGill Univer- ple, three-day-olds learned to suck a plastic nip-
sity (e.g., Swain, Zelazo, & Clifton, 1993) used an ple with a certain pattern of sucking bursts to
auditory habituation procedure to study infant activate a tape recorder playing their mother’s
memory. They recorded two-day-olds’ head- voice, as shown in Figure 12.7b (DeCasper &
turning toward an off-centred, recorded speech Fifer, 1980).
sound (e.g., “Tinder”). After about 16 presenta- Meltzoff and Moore (1977, 2000) reported
tions, infants stopped turning to face the now that newborns will imitate some adult facial
(left): © The McGraw-Hill Companies, Inc./Jill Braaten photographer; (right): © Dr. Melanie Spence, University of Texas, Dallas
FIGURE 12.7 (a) Twice a day during their last six weeks of pregnancy, mothers read out loud the same passage
of a nursery rhyme from Dr. Seuss’s story, The Cat in the Hat. (b) Two or three days after birth, newborns were
able to turn on a recording of their mother reading either the Cat in the Hat or an unfamiliar rhyme by sucking on a
sensor-equipped nipple at different rates. Compared with infants in a control condition, these newborns more often
altered their sucking rate on a sensor-equipped nipple in whichever direction (faster or slower) selected the familiar
rhyme (DeCasper & Spence, 1986).
454 CHAPTER TWELVE
20/20
Grating acuity
20/100
20/800
0 6 12 18 24 30 36 42 48
Age (months after birth)
FIGURE 12.9 The normal developmental function for

visual acuity (the blue line) consists of a rapid improve-
ment in grating acuity during the first year of life fol-
lowed by a more gradual improvement during the next
Courtesy of Dr. Andrew Meltzoff few years until adult levels are reached by three to four
years of age. The critical/sensitive period for damage
FIGURE 12.8 Young infants have been found to to visual acuity as a consequence of early visual depri-
reproduce tongue protrusion after watching an adult vation lasts for the first ten years of life in humans.
model. Here researcher Andrew Meltzoff models the Although acuity may be damaged following early visual
behaviour and records an infant’s response. deprivation, the effect is partially reversible when vision
is restored. This point is illustrated by the results of a
case study of an infant born with cataracts (red line).
expressions (Figure 12.8). They suggest that For this infant, grating acuity was still at the new-
this innate ability helps infants recognize peo- born level when the cataracts were removed at about
six months of age, after which grating acuity rapidly
ple and engage them in social exchange. In
improved to almost normal levels. Although grating acu-
sum, infants are born with mechanisms that ity becomes almost normal for such visually deprived
help them respond to caretakers and important infants, other aspects of their visual perception remain
events in their environment. abnormal.
Source: Adapted from Maurer, D., & Lewis, T.L. (2001).
Sensory-Perceptual Development “Visual acuity: The role of visual input in inducing postnatal
change.” Clinical Neuroscience Research, 1, 239–247.
Newborns’ crude sensory-perceptual abilities
improve rapidly. Their visual field in each eye
expands to almost adult size by six months
of age, while acuity improves in a continuous disappears in the second month of life and
developmental function from 20/800 at birth returns again at four to five months of age
to 20/100 by six months of age, and then pro- (Muir & Hains, 2004). Possible reasons for this
gresses more slowly until it reaches adult drop in responding include a lack of practice,
levels by about four years of age (Maurer & interest that is captured by visual targets, and
Lewis, 2001). This developmental function is a change in how the behaviour is controlled
shown in Figure 12.9. Researchers, using visual as the cortical structures mature and take
habituation and preference procedures, have control of what had been subcortically driven
shown that around three to four months of age, reflexes. Other examples of U-shaped func-
infant pattern perception is organized accord- tions are discussed shortly.
ing to certain Gestalt principles (e.g., closure Auditory pattern perception is also rela-
and proximity; Quinn, Brown, & Streppa, tively advanced in young infants, who can
1997), and depth perception appear at about detect tiny changes in adult speech sounds that
3.5 months (Fox et al., 1980). Other Gestalt differentiate one word from another (called
principles appear later in a steplike fashion phonemes) by one to two months of age. Janet
6. Why might (Quinn & Bhatt, 2006). Werker (1989) and colleagues at the University
a perceptual
Not all perceptual developmental functions of British Columbia found that six-month-olds
function show a
decline and then show improvement with age during infancy. rapidly learned to turn their heads to receive
improvement For example, a U-shaped function exists for a visual reward (a toy that lights up) when-
during infancy? sound localization—the remarkable ability ever they heard one repeated phoneme (the
of newborns to turn toward sounds at birth “b” sound in bah) change to another (the “d”
in dah). They were equally good at detecting

changes in phonemes not found in their par-
ents’ language (e.g., two ways to pronounce
a “t” sound in Hindi) that their mothers could
not detect. The infants lost this latter ability
by 12 months of age, as they began to speak
words in their native language, demonstrating
an early case of “use it or lose it” (Werker &
Byers-Heinlein, 2008). However, the ability is
not entirely lost since adults could learn to
discriminate these non-native phonemes after
extensive training.
Young infants also appear to perceive music
as adults do, according to the research of Lau-
rel Trainor, at McMaster University, and col-
leagues. For example, six-month-olds will look
longer to hear a pitch change that adults find
pleasant (or consonant) than to hear a pitch
change that adults rate as unpleasant (or disso- FIGURE 12.10 The cephalocaudal principle. Com-
nant; Trainor, Tsang, & Cheung, 2002). As early pared with adults, a newborn’s head is disproportion-
as two months of age, infants remember a short ately large relative to the rest of the body, reflecting
the tendency for development to proceed in a head-
melody after listening to it repeated 15 times;
to-foot direction. In a fetus, the head represents an
and they discriminate it from a novel melody even greater proportion of the body (look carefully at
(Plantinga & Trainor, 2009). Masataka (2007) Figure 12.2c).
hypothesized that this primitive early musical
appreciation reflects an early stage in the evo-
lution of our communication system composed parts. Thus, a fetus’s arms develop before the
of melodies (also found in nonhuman primates) hands and fingers and at birth infants can
rather than words. control their shoulders, but not their arm or
To summarize, sensory-perceptual processes hand muscles.
are exercised in the uterus, and they all, includ-
ing vision, operate at some level at birth. Most
improve rapidly during the first year of life but The Young Brain
some perceptual abilities appear rather sud- No organ develops more dramatically than
denly several months after birth while others the brain (Kolb, 1989). At birth, the newborn’s
decline temporarily or disappear during the first brain is far from mature and has reached only
year of life. The reasons for the U-shaped devel- about 25 percent of its eventual adult weight.
opmental functions are not clear. By six months of age, however, the brain
reaches 50 percent of its adult weight. As
Figure 12.11 shows, neural networks that form
the basis for cognitive and motor skills develop
Physical, Brain, and Motor rapidly. The first brain areas to mature fully
Development lie deep within the brain and regulate basic
Thanks to maturation, the genetically pro- survival functions, such as heartbeat and
grammed biological process that governs our breathing. Among the last areas to mature
growth, our bodies and movement (motor) is the frontal cortex, which is vital to our
skills develop rapidly during infancy and child- highest-level cognitive functions.
hood. The cephalocaudal principle reflects Rapid brain growth during infancy and early
the tendency for development to proceed in a childhood slows in later childhood (Sowell
head-to-foot direction. Thus, as you can see in et al., 2001). Although five-year-olds’ brains
Figure 12.10, the head of a fetus (and infant) have reached almost 90 percent of their adult
is disproportionately large because physical size, brain maturation continues. New synapses
growth concentrates first on the head. The form, unnecessary synapses are pruned back
proximodistal principle states that devel- and lost, association areas of the cortex mature,
opment begins along the innermost parts of and the cerebral hemispheres become more
the body and continues toward the outermost highly specialized.
456 CHAPTER TWELVE
At birth most North American infants attempt to walk.

This motor skill is hidden, not lost (Fisher &
Ridley-Johnson, 1984).
7. Explain how
Environmental and Cultural Influences
nature and Although physical and motor development are
1 month
nurture jointly guided by genetic programs (i.e., maturation),
influence they are also influenced by experience. Diet is
physical growth an obvious example. For example, a large ran-
and motor domized study done at 31 maternity hospitals in
development Belarus found that consistent breastfeeding was
during infancy. linked with improved cognitive development
3 months
(Kramer et al., 2008). Chronic, severe malnutrition
not only stunts general growth and brain devel-
opment, but also is a major source of infant death
worldwide (Pelletier & Frongillo, 2003). Along
with proper nutrition, babies thrive in an enriched
15 months environment—one in which they have the oppor-
tunity to interact with others and to manipu-
late suitable toys and other objects (Needham
et al., 2002). Physical touch, too, affects growth
in infancy. Massaging premature and full-term
24 months human infants accelerates their weight gain and
neurological development (Field et al., 2006).
Experience also can influence basic motor
skill development (see Figure 12.13). For exam-
ple, reaching and grasping training at three
months of age has been shown to have last-
FIGURE 12.11 These drawings show sections of the ing effects on reaching and object exploration
human cortex at different ages early in life. Moving (Libertus, Joh, & Needham, 2015). Cross-
from birth through the first 24 months of life there is cultural studies tell a similar story. Compared to
a dramatic increase in the number and complexity of
North American infants, infants raised in urban
connections between neurons as the neural network
becomes increasingly intricate. The types of process-
China begin crawling six to eight weeks later
ing possible in the complex neural network present at and begin walking one to two months later. It
24 months could not be supported by the simple, par- has been argued this is because the Chinese
tially formed network present at birth. children have less space for crawling because
Source: Reprinted by permission of the publisher from The
of smaller houses and that concerns about
Postnatal Development of the Human Cerebral Cortex, Vols. hygiene mean that Chinese parents are reluc-
I–VIII, by Jesse LeRoy Conel, Cambridge, Mass.: Harvard tant to have infants on the ground (He, Walle, &
University Press. Copyright © 1939, 1941, 1947, 1951,
1955, 1959, 1963, 1967 by the President and Fellows of
Campos, 2015). Thus, developmental differ-
Harvard College. Copyright © renewed 1967, 1969, 1975, ences are not due to biological differences,
1979, 1983, 1987, 1991. but are more likely the result of economic and
cultural factors and differences in parenting.
Motor Development Clearly, experience plays a critical role in the
development of sensory, perceptual, motor, and
Motor development tends to follow a regular,
physical development. Our discussion of physi-
stage-like sequence, as illustrated by examples
cal growth and perceptual-motor development
of North American motor-scale norms shown
reinforces three points that apply across the
in Figure 12.12. While infants vary in the age
realm of human development:
at which they acquire a particular skill, the
sequence in which each skill appears is similar • Biology sets limits on environmental influ-
across infants. Some motor skills also follow a ences. The best nutrition will not enable most
U-shaped developmental function. For example, people to grow 2.15 metres tall, and no infant
the newborn stepping reflex (and others) usu- can be toilet trained before the nerve fibres
ally drops out after one to two months of age that help to regulate bladder control have
and reappears around 12 months of age, when matured biologically.
Walk alone easily

Stand alone easily
Degree of motor development
Pull self to stand
Stand with support
Sit without support
Prone, chest up,

use arms for support
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Age (months)
FIGURE 12.12 Infant motor development occurs in an orderly sequence, but the age at which abilities emerge varies across children.
The left end of each bar represents the age by which 25 percent of children exhibit the skill; the right end represents the age by which
90 percent have mastered it.
• Environmental inf luences can be power- Cognitive Development

ful. Nurturing environments foster physical,
sensory-motor, and psychological growth, What are the thought processes of a child like,
while impoverished environments can stunt and how do they change with age? Swiss psy-
growth. chologist Jean Piaget (1926, 1977) spent over
50 years exploring these questions, and his ideas
• Biological and environmental factors inter- have influenced generations of developmental
act. Enriched environments enhance brain researchers (DeVries et al., 2000).
development. In turn, brain development
facilitates our ability to learn and benefit
from environmental experiences. Physical Piaget’s Stage Model
deprivation early in life can lead to perma- Early in his career Piaget worked for French
nent deficits. psychologist Alfred Binet, the pioneer of intel-
ligence testing. Piaget became intrigued by the
patterns of errors children made on test ques-
tions, with children of the same age often mak-
ing similar mistakes. He came to believe that the
key issue in understanding how children think
was not whether they got the right answers, but
how they arrived at their answers.
Piaget relied on observational research,
carefully watching children and listening to
them reason as they tried to solve problems.
He proposed that children’s thinking changes
qualitatively with age, and that it differs from
the way adults think. Piaget believed that cogni-
tive development results from an interplay of
KidStock/Getty Images
maturation and experience, and he viewed chil-
FIGURE 12.13 Experience helps us acquire complex dren as natural-born “scientists” who actively
motor skills, such as those involved in riding a bicycle. explore and seek to understand their world.
458 CHAPTER TWELVE
In Review
• Newborns have poor sensory acuity, but they decline during the first few months after birth
can distinguish between different visual pat- and then recover during the first year of life.
terns, speech sounds, odours, and tastes. They • The cephalocaudal principle reflects the tendency
display perceptual preferences, learn through for development to proceed in a head-to-foot direc-
classical and operant conditioning, and may tion. The proximodistal principle states that devel-
have a primitive capacity for imitation. opment begins along the innermost parts of the
• Sensory, perceptual, and motor abilities have body and continues toward the outermost parts.
several different developmental functions. Most • Experience is critical for normal development;
rapidly improve during the first year of life. Some sensory and motor development can be delayed
newborn perceptual-motor responses temporarily or accelerated by experience.
To achieve this understanding, the brain like a dog. This imbalance or disequilibrium
builds schemas (or schemata), which are orga- between existing schemas and new experiences
nized patterns of thought and action. (Schemas ultimately forces those schemas to change.
were also discussed in Chapter 9.) Think of a Thus, the infant’s “suckability” schema will
schema as an “internal framework” that guides become more complex; some objects are suck-
our interaction with the world. For example, able, some are not. The child’s “doggie” schema
infants are born with a sucking reflex that pro- also will change, and she will begin to develop
vides a primitive framework—a schema—for new schemas for “horsey,” “kitty,” and so on.
interacting with physical objects. To the infant, This may not seem earth-shaking to us, but
the world is meant to be sucked. In a sense, to them, their understanding of the world has
sucking is a basic way in which the infant changed fundamentally. Every time a schema is
“knows” the world. Similarly, when a child says modified it helps to create a better balance, an
“doggie” to describe the family pet, this word equilibrium, between the environment and the
reflects an underlying schema—a concept or child’s understanding of it.
framework—that the child is using to under- Cognitive growth thus involves a give-and-
stand this particular experience. take between trying to understand new expe-
Cognitive development occurs as we acquire riences in terms of what we already know
new schemas, and as our existing schemas (assimilation) and having to modify our think-
become more complex. According to Piaget, ing when new experiences don’t fit into our cur-
two key processes are involved. Assimilation rent schemas (accommodation). As Table 12.1
is the process by which new experiences are shows, Piaget charted four major stages of cog-
incorporated into existing schemas. When a nitive growth.
young infant encounters a new object—a small
plastic toy, a blanket, a doll—she will try to Sensorimotor stage. In the sensorimotor
suck it. She tries to “fit” this new experience into stage, from birth to about age two, infants
a schema that she already has: objects are suck- understand their world primarily through sen-
able. Similarly, a child who sees a horse for the sory experiences and physical (motor) interac-
first time may exclaim “big doggie.” After all, tions with objects. Their reflexes are the earliest
the horse has four legs and a tail, so the child schemas that guide thought and action, but as
tries to make sense of this new experience by sensory and motor capabilities increase, babies
applying her familiar schema: “doggie.” begin to bang spoons, take objects apart, and
Accommodation is the process by which realize that they can “make things happen.”
8. Describe new experiences cause existing schemas to For young infants, said Piaget, “out of sight”
assimilation and change. As the infant tries to suck different literally means “out of mind.” If you hide six-
accommodation. month-old Cindy’s favourite toy from view, she
objects, she will eventually encounter ones that
How are
are too big to go into her mouth or that taste will not search for it, just as if the toy no longer
they related
to cognitive bad. Similarly, the child who calls a horse a “big existed (Figure 12.14). At around eight months,
development? doggie” eventually will realize that this “big dog- Cindy will search for and retrieve the hidden
gie” doesn’t bark, sit, fetch, or otherwise behave toy. She now grasps the concept of
TABLE 12.1 Piaget’s Model of Cognitive Development

Stage Age (years) Major Characteristics
Sensorimotor Birth to 2 • Infant understands world through sensory and motor
experiences
• Achieves object permanence
Preoperational 2–7 • Emergence of symbolic thought
• Symbolic thinking; child uses words and images to represent
objects and experiences; pretend play
• Thinking displays egocentrism, irreversibility, and centration
Concrete operational 7–12 • Child can think logically about concrete events
• Grasps concepts of conservation and serial ordering
Formal operational 12 on • Adolescent can think more logically, abstractly, and flexibly
• Can form hypotheses and test them systematically
problems mentally, and communicate their

thoughts to others.
Preoperational stage. At around age two, chil-
dren enter a preoperational stage in which
they represent the world symbolically through
words and mental images, but do not yet under-
stand basic mental operations or rules. Rapid
language development helps children label 9. How do
objects and represent simple concepts, such as infants develop
that two objects can be “the same” or “different.” cognitively
Children can think about the past (“yesterday”) during the
and future (“tomorrow,” “soon”), and can bet sensorimotor
ter anticipate the consequences of their actions. stage?
Symbolic thinking enables them to engage in
“make believe,” or pretend play.
Despite these advances, their cognitive abili-
10. Identify
ties still have major limitations. The preopera-
some
tional child does not understand conservation,
achievements
the principle that basic properties of objects, and limitations
such as their volume, mass, or quantity, stay the of children’s
(both): © Goodman/Photo Researchers, Inc. same (are “conserved”) even though their out- thinking in the
ward appearance may change (Figure 12.15). preoperational
FIGURE 12.14 During the early sensorimotor period,
a baby will reach for a visible toy (a), but not for one For example, four-year-olds often say that the stage.
that has been hidden from view while the infant watches taller beaker in Figure 12.15 has more liquid in
(b). According to Piaget, the child lacks the concept of it than the shorter one. You understand that the
object permanence; when something is out of sight, it liquid can be poured back into the short beaker
ceases to exist. to return to the original equal state of affairs,
but children’s thinking at this age displays irre-
versibility: It is difficult for them to reverse an
object permanence: the understanding that an action mentally. You also pay attention to height
object continues to exist even when it no longer and width, recognizing that the liquid is “taller”
can be seen. because the beaker is narrower. Preoperational
Infants begin to acquire language after age children exhibit centration; they focus (centre)
one, and toward the end of the sensorimotor on only one aspect of the situation, such as the
period they increasingly use words to represent height of the liquid.
objects, needs, and actions. Thus, in the space Preoperational children’s thinking also
of two years, infants have grown into thinkers reflects egocentrism, difficulty in viewing
who can plan, form simple concepts, solve some the world from someone else’s perspective.
460 CHAPTER TWELVE
(a) Initial equality (b) Transformation (c) Which glass has more juice?
Conservation of number Conservation of mass
Now, which row has Now, which piece

Initial equality more objects? Initial equality has more clay?
(d) (e)
(all photos): © Tony Freeman/PhotoEdit
FIGURE 12.15 (a, b, c) Conservation of volume. At the end of this sequence (from left to right), when the preoperational child is asked
which beaker contains more liquid, he points to the taller one. (d) Conservation of number. Two rows with an equal number of objects are
aligned. After one row is spread out, preoperational children will say that it has more objects than the other row. (e) Conservation of mass.
Preoperational children watch as one of two identically sized clay balls is rolled into a new shape. They typically will say that it now has
more clay.
By “egocentrism,” Piaget did not mean “self- could perform basic mental operations concern-
ishness,” but rather that children at this stage ing problems that involve tangible (i.e., “con-
believe that other people perceive things in the crete”) objects and situations. They grasped the
same way they do (Figure 12.16). concept of reversibility, displayed less centra-
tion, and easily solved conservation problems.
Concrete operational stage. Between about
They grasped the concept of serial ordering,
seven and 12 years of age, Piaget found that
easily arranging a set of objects along various
children in the concrete operational stage
dimensions (e.g., from “shortest” to “tallest”).
These children also formed mental representa-
tions of a series of actions (e.g., drawing a map
showing the route to get to school).
However, concrete operational children
often have difficulty with hypothetical prob-
lems or problems requiring abstract reasoning;
they often show rigid types of thinking. To dem-
onstrate this, ask a few nine-year-olds the fol-
lowing question: “If you could have a third eye,
where on your body would you put it? Draw a
picture.” Then ask them to explain their reason.
FIGURE 12.16 Piaget used the three-mountain prob- David Shaffer (1989) reports that nine-year-olds
lem to illustrate the egocentrism of young children. typically draw a row of three eyes across their
Suppose that a preoperational child named Ted is look- face. Their thinking is concrete, bound by the
ing at the mountains just as you are. Another child,
reality that eyes appear on the face, and their
Susan, is standing at the opposite (far) side of the
table. Ted is asked what Susan sees. Because Ted is
justifications often are unsophisticated (e.g.,
able to see the road, he will mistakenly say that Susan “so I could see you better”). Many find the task
also can see it, indicating that he has failed to recog- silly because “Nobody has three eyes” (Shaffer,
nize Susan’s perspective as different from his own. 1989, p. 324).
Formal operational stage. Piaget’s model

ends with the formal operational stage in
which individuals think logically about both
concrete and abstract problems, form hypoth-
eses, and systematically test them. Formal (a)
thinking begins around 11 to 12 years of age, Habituation event
and increases through adolescence (Ward &
Overton, 1990).
Children entering this stage also begin to 11. How
think more flexibly when tackling hypotheti- does thinking
cal problems, such as brainteasers, and typi- change during
cally enjoy the challenge. Shaffer (1989) reports the concrete
(b)
that 111⁄2 - to 12-year-olds provide more cre- Possible event
and formal
operational
ative answers and better justifications to the
stages?
“third-eye problem” than do nine-year-old con-
crete thinkers. One child placed the eye on the
palm of his hands so that he could use it to “see
around corners.” Another placed it on top of his
head, so that he could “revolve the eye to look (c)
in all directions.” Impossible event
Assessment of Piaget’s Theory: FIGURE 12.17 (a) Habituation. Renée Baillargeon 12. In what
(1987) repeatedly exposes young infants to a screen major ways does
Stages, Ages, and Culture that slowly rotates 180 degrees. Eventually, they habit- research support
Tests of Piaget’s theory conducted around the uate and become bored. Then the infants watch as a and contradict
world yield several general findings. First, box is placed in the screen’s path. (b) Possible event.
Piaget’s basic
according to Queen’s University cross-cultural The screen rotates, conceals the infant’s view of the
ideas?
psychologist John Berry and his colleagues box, and then stops as the box blocks it. (c) Impos-
(Berry et al., 2002), the general cognitive abili- sible event. The screen rotates, conceals the view of
the box, and continues a full 180 degrees because the
ties associated with Piaget’s four stages occur box is secretly removed. Infants stare longer at the
in the same order across cultures. For example, “impossible” than at the “possible” event, as if they
children understand object permanence before are surprised that the box did not stop the screen. This
symbolic thinking blooms, and concrete reason- response can happen, reasons Baillargeon, only if the
ing emerges before abstract reasoning. infants understand that the box continues to exist even
Second, children acquire many cognitive when concealed from view (i.e., object permanence).
skills and concepts at an earlier age than Piaget Source: Adapted from Baillargeon, R. (1987). “Object permanence
believed (Wang et al., 2005). Even three-and-a- in 3 1/2- and 4 1/2-month-old infants.” Developmental
half- to four-and-a-half-month-olds display a
basic grasp of object permanence when they
are tested on special tasks that require them operational level (e.g., Marini & Case, 1994).
only to look at events rather than physically This challenges the idea that development pro-
search for a hidden object. For example, Bail- ceeds in distinct stages: A child at a given stage
largeon (1987) found that four-month-olds have should not show large inconsistencies in solving
a basic understanding that two solid objects conceptually similar tasks.
cannot be in the same place at the same time Four th, culture inf luences cognitive
(Figure 12.17), suggesting that four-month- development. Piaget’s Western perspective
olds have a sense of object permanence. Even equated cognitive development with scientific-
more surprising, five-month-old infants are logical thinking, but “Many cultures . . . consider
sensitive to the number of objects present and cognitive development to be more relational,
stare longer if a scene violates the number of involving the thinking skills and processes to
items that should be present; details are given in engage in successful interpersonal contexts”
Figure 12.18 (Wynn et al., 1998). (Matsumoto & Hull, 1994, p. 105). In Africa’s
Third, cognitive development within each Ivory Coast, the Baoulé people most strongly
stage seems to proceed inconsistently. A child value a social intelligence that reflects the skills
may perform at the preoperational level on to get along with others and be respectful and
some tasks, yet solve other tasks at a concrete responsible (Dasen et al., 1985).
462 CHAPTER TWELVE
Do Infants Know That 2 – 1 = 1?

Steps 1 to 4
1. Objects placed in case 2. Screen comes up 3. Empty hand enters 4. One object removed
Then either : Possible Outcome or : Impossible Outcome

5. Screen drops ... revealing 1 object 5. Screen drops ... revealing 2 objects
FIGURE 12.18 A violation-of-expectancy experiment. Five-month-old infants watch the sequence of events shown
in steps 1 through 4. Then, in step 5, they witness a “possible” or “impossible” event. Infants stare longer at the
impossible event, suggesting that they were expecting only one object and are surprised to see two objects still
there. In other words, they understand that 2 – 1 should equal 1. In another experiment, in steps 1 to 4, infants
watch 1 object being added to another object. Then the screen is raised and lowered, revealing either two objects
(“possible event”) or just one object (“impossible event”). Once again, infants stare longer at the impossible event,
suggesting that they understand that 1 + 1 should equal 2.
Source: Adapted with permission from Macmillan Publishers Ltd: K. Wynn, 1992, “Addition and Subtraction by Human Infants,”
Nature, 358 (6389) p. 749. August 27, 1992. Copyright © 1992.
Fifth, and most broadly, cognitive develop- same cognitive level? Vygotsky says no, intro-
ment is more complex and variable than Piaget ducing a concept called the zone of proximal
proposed (Larivée et al., 2000). All children development: the difference between what a
progress from simpler to more sophisticated child can do independently and what a child
thinking, but they don’t necessarily follow the can do with assistance from adults or more
same developmental path. advanced peers.
Although research challenges many of Piag- Why is the zone of proximal development
et’s ideas, he revolutionized thinking about cog- important? First, it helps us recognize what
nitive development. His work still guides many children may soon be able to do by them-
researchers, called neo-Piagetians, who have selves. Second, it emphasizes that people can
modified his theory to account for the issues we help to “move” a child’s cognitive development
have just discussed (Becker, 2004). forward within limits (the “zone”) dictated by
the child’s biological maturation. For exam-
Vygotsky: The Social Context ple, parents who assist a child on scientific
of Cognitive Development tasks may push the child’s understanding fur-
Piaget acknowledged that social factors influ- ther along by using age-appropriate but cog-
ence children’s thinking, but he focused mainly nitively demanding speech (e.g., introducing
on children’s independent exploration of the scientific concepts) rather than simpler speech
physical world. By contrast, Russian psycholo- (Tenenbaum & Leaper, 2003). Similarly, having
13. What is the
zone of proximal gist Lev Vygotsky (1935/1978) highlighted how older siblings around the house may stimulate a
development the sociocultural context interacts with the younger child’s cognitive development, as long
and why is it brain’s biological maturation. To illustrate, sup- as the child’s brain is mature enough (Ruffman
important? pose that five-year-olds Ray and Juanita have et al., 1998).
similar scores on cognitive tests, but neither
child can solve Piaget’s conservation problems. Information-Processing Approaches
However, after guidance from a parent, teacher, In contrast to Piaget’s stage approach, many
or older sibling, Juanita can now solve these researchers view cognitive development as a con-
problems. Ray, even with assistance, just doesn’t tinuous, gradual process in which the same set
understand. Are these two children really at the of information-processing abilities becomes more
efficient over time. For example, young children 100

may be unable to solve conservation problems
Processing time (milliseconds)

because they don’t search for key information or
are unable to hold enough pieces of information 75
simultaneously in memory (Siegler, 1996).
Information-search strategies. Look at the two 50
houses in Figure 12.19. Are they identical? This
visual scanning task is easy for you or me but
not for young children. Elaine Vurpillot (1968) 25
recorded the eye movements of three- to ten-
year-olds during tasks like this one. Preschool-
ers often failed to compare each window in the 0
house on the left to the corresponding window in 8 12 16 20
Age (years)
the house on the right, but older children method-
Visual search
ically scanned the houses. In short, older chil-
10
dren are better able to search systematically for
relevant information (Merrill & Lookadoo, 2004).
Processing time (milliseconds)

Processing speed, attention, and response 7.5 14. Describe
inhibition. Processing speed, attention and the how information-
ability to inhibit responses all show improve- processing
ments with age (Kali, 1991; Rose et al., 2012). 5.0 capabilities
As shown in Figure 12.20, processing speed improve during
improves rapidly across childhood and then childhood. How
is this relevant
changes more gradually during adolescence. 2.5
to the continuity-
Older children are also better able to focus their discontinuity
attention and inhibit responses to distractions debate?
(Luna et al., 2004). For example, if children are 0
8 12 16 20
Age (years)
Mental addition
FIGURE 12.20 These two graphs show how infor-

mation-processing speed for visual search and mental
addition tasks becomes faster with age. The relatively
rapid rate of change between age eight and about 12
slows during adolescence. A similar nonlinear pattern
also occurs in name retrieval, mental rotation, and
other cognitive tasks.
Source: Data from Kail, R. (1991). “Developmental change
in speed of processing during childhood and adolescence.”
Psychological Bulletin, 109, 490–501. Fig 7. Copyright
© 1991 Elsevier. Reprinted with permission.
asked to sort cards by one rule (e.g., colour) and

then the rule is changed and they need to sort
using a different feature (e.g., shape), young
children will often revert to the old rule even
when they can correctly describe what they are
FIGURE 12.19 Stimuli used by Vurpillot to assess supposed to be doing (Davidson et al., 2006).
visual inspection through filmed eye movements. Pre-
schoolers fail to scan the pictures systematically, Working memory and long-term memory.
which often leads them to claim that the two houses Children’s working memory improves with age
are identical. (Gathercole et al., 2004; Rose et al., 2012). If you
Source: Based on Vurpillot, E. (1968). “The development of read older children a list of words, numbers, or
scanning strategies and their relation to visual differentiations.” sentences of increasing length, they will be able
Journal of Experimental Child Psychology, 6, 632–650. Fig 1. to store more of that information in working
Copyright © 1968 Elsevier. Reprinted with permission.
memory and repeat more of it to you than will
464 CHAPTER TWELVE
younger children. Older children also can retain her mother takes the candy bar out of the
and manipulate visuospatial information in box and puts it inside a red bag on the bed.
working memory more effectively than younger Susie doesn’t see her mother do this. Later,
children. For example, they can perform mental- Susie comes back and wants to get her
rotation tasks (see Chapter 9) more easily, and if candy because she is hungry. Where will
you asked them to draw you a map to a friend’s Susie look for her candy bar?
house several blocks and a few turns away, they
On problems like this, called “false belief
would likely have little difficulty. A younger child
tasks,” very young children will say that
might be able to lead you to the friend’s house but
Susie will look in the red bag, as if Susie had
would have difficulty drawing the route.
the same knowledge that they have. This
Older children are also more likely than
example shows what Piaget’s concept of ego-
younger children to use strategies to improve
centrism is all about: not being able to under-
memory (Schneider et al., 2004). In one study,
stand how someone else perceives a situation
when given lists of words or numbers to remem-
(Müller & Carpendale, 2011). By four years
ber, preschoolers rarely used rehearsal sponta-
of age, many children will choose the green
neously, whereas eight- to ten-year-olds could
box, recognizing that Susie does not have the
often be heard rehearsing words or numbers,
information they do. They comprehend that
repeating them under their breath (Flavell,
Susie’s mental state—her “mind”—is different
1970). This strategy helps older children to hold
from theirs (Astington & Gopnik, 1991). By
information in working memory and to process
five to six years of age, most children pass
it into long-term memory.
such false belief tasks. Finally, using cultur-
Theory of Mind: Children’s Understanding ally equivalent tests, researchers studying
of Mental States young children from African tribal societies,
Canada, China, Japan, the United Kingdom,
The term theory of mind refers to a person’s
15. At what age and the United States found similar results
beliefs about the mind and the ability to under-
do children begin (Ruffman et al., 1998).
stand other people’s mental states; that is, we
to understand Lying and deception also reflect a theory
have theories about the contents of other peo-
other people’s of mind. Evidence clearly indicates that those
thinking? How ples’ minds. We use these assumptions to explain
who understand false beliefs are more likely
have researchers and predict our own and other people’s behav-
to lie, starting as early as three years of age
established this? iour, and to be able to take another’s perspective.
(Talwar & Lee, 2008). They will also understand
Piaget believed that children younger than six or
the difference between a mistake and a lie. For
seven have trouble recognizing what other peo-
both a mistake and a lie, what I say is wrong.
ple are thinking. Consider the following story:
The difference is that in one case, the lie, I rec-
Susie puts a candy bar inside a green box ognize that you do not know what is going on
on the table, and then she goes away. Then inside my mind and so I can deceive you.
In Review
• According to Piaget, cognitive development a zone of proximal development, reflecting the
depends on processes of assimilation and difference between what a child can do indepen-
accommodation, and occurs in four stages: sen- dently and what the child can do with assistance
sorimotor, preoperational, concrete operational, from others.
and formal operational. • Information-processing capacities improve with
• Although the general cognitive abilities associ- age. Older children search for information more
ated with Piaget’s four stages occur in the same systematically, process it more quickly, and dis-
order across cultures, children acquire many play better memory.
cognitive skills at an earlier age than Piaget • Children begin to develop a theory of mind
believed. (beliefs about another person’s knowledge, feel-
• Vygotsky emphasized that cognitive development ings, intentions, etc.) at around three to four
occurs in a sociocultural context. Each child has years of age.
(joy) (sadness) (disgust)
(anger) (interest) (fear)

(a) (b)
(a): kdshutterman/Shutterstock; (b: six infant faces): © Carroll E. Izard
FIGURE 12.21 (a) Emotional responses communicate our internal states, and they can influence how others respond to us, providing
us with the aid and comfort we need. (b) Young infants display a variety of basic emotions.
Social-Emotional and Personality follow, they begin to display pride and shame.
Around the same age, they also display guilt—
Development as evidenced by avoiding eye contact, shrug-
Children grow not only physically and mentally ging shoulders, and making facial expressions
but also emotionally and socially. They form (Kochanska et al., 1995).
attachments and each child displays a unique Just as emotional reactions become more
personality—a distinctive yet somewhat consis- diverse with age, so does emotion regulation,
tent pattern of thinking, feeling, and behaving. the processes by which we evaluate and mod-
ify our emotional reactions. Young infants may
Early Emotions and Emotion Regulation suck their thumbs or a pacifier, turn their heads
Emotional responses communicate our inner away from something unpleasant, or cling to a
states to other people and influence how others caretaker to soothe themselves. To reduce dis-
respond to us. Although infants can’t describe their tress, toddlers may seek out a caretaker, cling
feelings, Figure 12.21 illustrates that their facial to a doll or teddy bear, fling unpleasant objects
expressions, vocalizations, and other behaviours away, and learn to smile, pout, or throw a tan-
provide a window into their emotional lives (Izard, trum to get what they want. Once they acquire
1982). By crying, they express distress; by focusing language, children can reduce distress by talk-
their gaze and staring at objects and people, they ing to themselves and other people.
express interest. Around the world, within about As children age, their emotional expres-
six months after birth, infants begin to express joy siveness and ability to regulate their emotions
and surprise (“peekaboo, I see you!”), and distress become part of their overall emotional com-
branches out into the separate emotions of disgust, petence, which in turn influences their social
anger, fear, and sadness (Lewis, 2000). behaviour and how well their peers and other
Around 18 months of age, infants begin to people like them. Children who frequently dis-
develop a sense of self. They are able to rec- play sadness or who can’t control their anger
ognize themselves in a mirror and this grow- are less likely to be popular, and emotional
ing self-awareness sets the stage for envy, competence remains important for well-being
embarrassment, and empathy to emerge. After as children develop (Eisenberg, 2002).
age two, as toddlers learn about performance Socialization influences children’s emotional
standards and rules that they are supposed to development, as parents, teachers, and peers
466 CHAPTER TWELVE
Frontiers
SOCIAL MEDIA AND SOCIAL especially concerned with social well-being, which included
DEVELOPMENT feelings of social success, social normalcy and the num-
ber of friends that parents considered a bad influence. The
In 2009 the Daily Mail news service reported a story about measure of social success included items such as having
two Australian girls that dramatically illustrates the impact close friends and feeling understood and valued by peers.
of social media on youth (Daily Mail, 2009). The two girls, Social normalcy included items such as feeling normal
ages 10 and 12, became trapped in a storm drain but luck- when compared to peers and feeling accepted by peers.
ily had cellphones with them. They used the cellphones not The average amount of total media use was 6.9 hours per
to call for help, but to update their status on Facebook. The day, a little lower than has been reported by others study-
girls were rescued when a friend saw their status updates ing this age group (e.g., Rideout et al., 2010), but still a
and contacted authorities. substantial amount of media use.
The introduction and growth of social networking sites Pea and his colleagues found that watching video had
and mobile computing has raised concerns about the a strong negative association with feelings of both social
impact of social media on development. Parents are con- success and normalcy, while face-to-face communication
cerned that social media use may adversely affect their was positively associated with both social success and
children’s school achievement and social skills (O’Keefe & normalcy. Time spent reading or doing homework had a
Clarke, 2011). With the rapid expansion of social media small but statistically significant negative relationship
and the use of so-called “third screens” (screens other than with feelings of social success and normalcy. Overall,
TV and computer), there has been a shift from face-to-face the results indicated that watching video, multitasking
communication to electronic communication, even among (simultaneous use of multiple media sources), and online
children (Rideout et al., 2010). The impact of social media communication were associated with negative social and
may be especially important during late childhood when emotional outcomes. Conversely, face-to-face communi-
face-to-face communication with peers and adults is con- cation was associated with positive social and emotional
sidered to be critically important for social and emotional outcomes. High levels of face-to-face communication
development (Denzin, 2010). were associated with greater social success, stronger
In an interesting recent study, Roy Pea and colleagues feelings of normalcy, more sleep, and having fewer
(Pea et al., 2012) investigated the impact of media use on friends that the children’s parents considered to be a bad
social development of during late childhood (ages 8 to 12), influence.
the same age group as our two trapped Australians. During Although these results are correlational, trading face-
late childhood friendships are increasingly important, expo- to-face communication for some forms of online activity
sure to risky behaviour must be dealt with, there is greater is associated with a cost for youths’ social well-being and
responsibility and autonomy, and social life shifts from social development. The authors concluded, “our society is
family-centred to peer-centred. This is the age of Erikson’s experiencing an unprecedented shift in media ecology. The
stage of industry vs inferiority, when social life expands into choices that our children are making—when and how they
school and peer relationships and the child’s main task is to engage with these media and in what situations—are shap-
develop social competence. ing their social relationships, social well-being, and time
Pea his and colleagues investigated social media and availabilities for school-related study and other activities”
feelings of social well-being in a sample of 3461 Ameri- (Pea et al., 2012, p. 335). As illustrated by the two Aus-
can and Canadian girls 8 to 12 years old. They divided tralian girls trapped in the storm drain, the choices are not
media use and communication into seven categories: always the smartest.
watching video content (e.g., TV, YouTube, movies); listening
Source: Pea, R. Nass, C., Meheula, L., Rance, M., Kumar, A., Bamford,
to music; reading or doing homework; emailing or sending
H., Nass, M., Simha, A., Stillerman, B., Yang, S., & Zhou, M. (2012).
messages, including posting on Facebook; texting or instant “Media use, face-to-face communication, media multitasking, and
messaging, including Facebook chat; talking on the phone; social well-being among 8- to 12-year-old girls”. Developmental Psychol-
and face-to-face communication. The researchers were ogy, 48(2), 327–336.
serve as models and reinforce children for some Temperament

types of emotional responses but not others From the moment of birth, infants differ from
(Ahn, 2005). Recently, the role of social media in one another in temperament, a biologically
development has drawn attention, as we explore based general style of reacting emotionally
in this chapter’s Frontiers feature. But as we and behaviourally to the environment. Some
will now explore, heredity also contributes to infants are calm and happy; others are irritable
children’s basic emotional-behavioural style. and fussy. Some are outgoing and active; others
are shy and inactive. Indeed, within any age

group—children, adolescents, or adults—people Thinking critically
differ in temperament (Fox et al., 2005).
In a pioneering, ten-year longitudinal study, SHY CHILD, SHY ADULT?
Alexander Thomas and Stella Chess (1977) had We have just seen that very shy or very
parents describe their babies’ behaviour. Most outgoing infants tend to retain these traits
infants could be classified into three groups. “Easy into early childhood. Do you think that the
infants” ate and slept on schedule, were playful, very shy or outgoing child grows into a shy
or outgoing adult? In general, does childhood
and accepted new situations with little fuss. “Dif- temperament predict adult behaviour?
ficult infants” were irritable, were fussy eaters and
Think about it, and then see the Answers
sleepers, and reacted negatively to new situations.
section at the end of the book.
“Slow-to-warm-up infants” were the least active,
had mildly negative responses to new situations,
but slowly adapted over time. Subsequently, the
difficult infants were most likely to develop emo- Erikson’s Psychosocial Theory
tional and behaviour problems during childhood. Psychoanalytic psychologist Erik Erikson
This study was admired but also criticized (1968) believed that personality develops
for relying on parents’ reports of their infants’ through confronting a series of eight major
behaviour. Other researchers directly observed psychosocial stages, each of which involves
infants and identified temperamental styles a different “crisis” (i.e., conflict) over how we
that differed from those described by Thomas view ourselves in relation to other people and
and Chess. Although some research has found the world. Each crisis is present throughout life,
that temperament is only weakly to moder- but takes on special importance during a partic-
ately stable during the first two years of life ular age period. As Table 12.2 shows, four crises
(Carnicero et al., 2000), a recent study of more occur in infancy and childhood:
than 7000 children found that temperament was
stable when children were tested at three, five, • Basic trust versus basic mistrust. Depend-
and six years of age (Bould et al., 2013). ing on how adequately our needs are met,
Consider shyness, which forms part of a more and how much love and attention we receive
general temperament style called behavioural during the first year of life, we develop a
inhibition. Inhibited infants are quiet and timid; basic trust or basic mistrust of the world.
they cry and withdraw when they are exposed • Autonomy versus shame and doubt. During
to unfamiliar people, places, objects, and sounds. the next two years, children become ready to
Uninhibited infants are more sociable, verbal, exercise their individuality. If parents unduly
and spontaneous. Research by Jerome Kagan restrict children or make harsh demands dur-
and his colleagues (1988) found that about ing toilet training, children develop shame
20 to 25 percent of infants displayed this inhibited and doubt about their abilities and later lack
pattern, which remained moderately stable dur- the courage to be independent.
ing infancy. They also studied these infants until • Initiative versus guilt. From age three
age seven-and-a-half. For the vast majority— through five, children display great curiosity
those who were only mildly to moderately inhib- about the world. If they are allowed freedom
ited or uninhibited between the ages of one and to explore and receive answers to their ques-
two—their temperament did not predict how shy tions, they develop a sense of initiative. If
or outgoing they would be as children. But for they are held back or punished, they develop
infants who were highly uninhibited or inhibited, guilt about their desires and suppress their
the findings were different. Highly uninhibited curiosity.
infants tended to become sociable and talkative
seven-year-olds, whereas highly inhibited infants • Industry versus inferiority. From age six
developed into quiet, cautious, and shy seven- until puberty, the child’s life expands into
year-olds (Kagan, 1989). A more recent study school and peer activities. Children who
found results consistent with this pattern. Baker experience pride and encouragement in mas-
and colleagues working with a sample of 100 tering tasks develop industry—a striving to 16. What does
achieve. Repeated failure and lack of praise Erikson’s model
infants in Wales found that both high fearfulness
for trying leads to a sense of inferiority. imply about
and high fearlessness, similar to Kagan’s high
the stability of
inhibition and disinhibition, were stable across Although critics argue that Erikson’s model personality?
the first three years of life (Baker et al., 2012). lacks detail and question its stage approach,
468 CHAPTER TWELVE
TABLE 12.2 Erikson’s Psychosocial Stages In humans, attachment refers to the strong
emotional bond that develops between children
Age (years) Major Psychosocial Crisis and their primary caregivers. There is no imme-
First year Basic trust vs. basic mistrust diate post-birth critical period when contact is
1–2 Autonomy vs. shame and doubt required for infant–caregiver bonding, as with
imprinting. Instead, the first few years of life
3–5 Initiative vs. guilt
seem to be a sensitive period when we most
6–12 Industry vs. inferiority easily form a secure bond with caregivers that
12–20 Identity vs. role confusion enhances our adjustment later in life (Sroufe,
20–40 Intimacy vs. isolation 2002; Figure 12.22b). Although it is difficult to
40–65 Generativity vs. stagnation form strong first attachments to caregivers later
in childhood, it is still possible.
65+ Integrity vs. despair
17. How does The attachment process. For decades, people
attachment assumed that infant–caregiver bonding resulted
illustrate the the model successfully captures several major primarily from the mother’s role in satisfying
concept of a issues that developing children confront. the infant’s need for nourishment. Harry Harlow
sensitive period? Because each stage of life creates new opportu- (1958) tested this notion by separating infant
nities, personality is not fixed in childhood. Yet, rhesus monkeys from their biological mothers
as Erikson proposed, and as some research sup- shortly after birth. Each infant was raised in a
ports, successfully resolving each crisis helps to cage with two artificial, “surrogate” mothers.
prepare us to meet the next (Hazen & Durrett, One was a bare wire cylinder with a feeding bot-
1982; Kahn et al., 1985). Like the early chapters tle attached to its “chest.” The other was a wire
of a novel, themes that emerge in childhood cylinder covered with soft terry cloth, without a
help to set the stage for the unfolding story of feeding bottle (Figure 12.23).
18. How our lives. Faced with this choice, the infant monkeys
did Harlow became attached to the cloth mother. When
demonstrate the Attachment exposed to frightening situations, the infants
importance of The young of some bird species, including ran to the terry cloth figure and clung tightly to
contact comfort? ducks and geese, and a few mammals, such as it. They even maintained contact with the cloth
shrews, show a powerful form of attachment. mother while feeding from the wire mother’s
Austrian ethologist Konrad Lorenz (1937) called bottle. Thus, Harlow showed that contact
it imprinting, a sudden, powerful, biologically comfort—body contact with a comforting
primed form of attachment (Figure 12.22a). object—is more important in fostering attach-
Imprinting involves a critical period. In mallard ment than is the provision of nourishment.
19. According ducklings, for example, the strongest imprinting Around the same time, other researchers
to Bowlby, what takes place within one day after hatching, and studied human attachment in Africa, Europe,
are the phases by two-and-a-half days the capacity to imprint is and North America (Ainsworth, 1967; Bowlby,
of attachment in lost (Hess, 1959). 1958). Based on this work, British psychoanalyst
infancy?
(left): Courtesy of Operation Migration, www.operationmigration.org; (right): Studio 1One/Shutterstock
FIGURE 12.22 (a) Canadian wildlife sculptor Bill Lishman imprinted Canada geese hatchlings to the sight of his
ultralight airplane. Although the geese have now matured, the ultralight still represents “mother” to them, and they
follow it in flight. (b) In humans, infant-caregiver attachment is more complex and forms over a much longer period.
of anxiety show a similar pattern across many

cultures (Figure 12.24).
These responses, which coincide with infants’
increasing cognitive and physical abilities, may 20. Does
separation
be adaptive reactions shaped over the course of
anxiety follow a
evolution (Bowlby, 1973). At an age when infants similar pattern
master crawling and then learn to walk, fear of across cultures?
strangers and separation may help to prevent What is the
them from wandering beyond the sight of their adaptive value
caretakers, especially in unfamiliar situations. of separation
Around age three or four, as children’s cog- anxiety?
nitive and verbal skills grow, they develop a
better understanding of their attachment rela-
tionships. According to Bowlby (1969), a stage
of goal-corrected partnership emerges in which
children and caregivers can describe their feel-
ings to each other and maintain their relation-
ships whether they are together or apart.
© Harlow Primate Laboratory
Types of attachment. Infants develop dif-
FIGURE 12.23 Infant monkeys reared from birth with ferent types of attachment with their caretak-
a cloth-covered surrogate clung to it as they would a
ers. Canadian psychologist Mary Ainsworth
real mother, and they preferred to remain in contact
with the terry cloth mother even though the wire mother
(1913–1999) and her colleagues (1978) devel-
satisfied nutritional needs. oped the Strange Situation Test (SST), a
standardized procedure for examining infant
attachment. The infant, typically a 12- to
John Bowlby (1969) proposed that attachment 18-month-old, first plays with toys in the moth-
during infancy develops in three phases: er’s presence. Then a stranger enters the room
and interacts with the child. Soon the mother
• Indiscriminate attachment. Newborns cry,
leaves the child with the stranger. Later the
vocalize, and smile, and they emit these
behaviours toward everyone. In turn, these
100
behaviours evoke caregiving from adults.
cried following maternal departure
• Discriminate attachment. Around three

80
Percentage of children who
months of age, infants direct their attach-

ment behaviours more toward familiar care-
givers than toward strangers. 60
• Specific attachment behaviour. By seven or
eight months of age, infants develop their
40
first meaningful attachment to specific care-
givers. The caregivers become a “secure
base” from which the infant can crawl about 20
and explore the environment.
As an infant’s attachment becomes more 0
focused, two types of anxiety occur. Stranger 5 10 15 20 25 30 35
anxiety, distress over contact with unfamil- Age (months)
iar people, emerges around age six or seven
months, and ends by 18 months of age. When Botswana Bushmen, Africa
Urban Antiguans, Guatemala
approached by, touched by, or handed over to
Israeli Kibbutzniks
a stranger, the infant becomes afraid, cries, and Rural Indians, Guatemala
reaches for the caregiver. Separation anxiety,
distress over being separated from a primary FIGURE 12.24 The rise and fall of separation anxi-
caregiver, typically begins a little later, peaks ety in infancy shows a similar pattern across cultures.
around age 12 to 16 months, and disappears
Source: Based on Kagan, J., Kearsley, R.B., & Zelazo, P.
between two and three years of age, showing (1978). Infancy: Its place in human development. Cambridge,
an inverted U-shaped age function. Both forms MA: Harvard University Press.
470 CHAPTER TWELVE
stranger leaves and the child is left alone. The conclusion is that being raised without
Finally, the mother returns. attachment to a real, interactive caregiver pro-
In the mother’s presence, “securely attached” duced long-term social impairment.
infants explore the playroom and react posi-
Isolation. What of isolate human children?
tively to strangers (Ainsworth et al., 1978;
Remember Victor, the Wild Boy of Aveyron dis-
Ainsworth, 1993). They are distressed when she
cussed in Chapter 9, who was abandoned early
leaves and happily greet her when she returns.
in life and lived alone in a forest until about
In contrast, there are two types of “insecurely
12 years of age. He was severely impaired after
attached” infants. “Anxious-resistant” infants
his isolation and showed only limited recovery
are fearful when the mother is present, demand
after intensive remedial training (Itard, 1962).
her attention, and are highly distressed when
Did the lack of human contact stunt Victor’s
she leaves. They are not soothed when she
development or did brain damage that was pos-
returns and may angrily resist her attempts at
sibly present at birth?
contact. “Anxious-avoidant” infants show few
In the 1960s, twin boys in Czechoslovakia
signs of attachment and seldom cry when the
were forced by their father and stepmother
mother leaves and don’t seek contact when she
to live in extreme isolation beginning at
returns. A fourth form of attachment is disor-
18 months of age. The twins were discovered
ganized attachment, sometimes referred to as
at age seven, emotionally and socially retarded,
disorganized-disoriented attachment. Infants
with the cognitive development of a three-year-
that shows disorganized attachment may
old and speech skills of a two-year-old. Jarmila
appear disoriented and confused, or they may
Koluchova (1972, 1991) studied the boys for
show contradictory behaviours, such as simul-
more than 20 years and found that they became
taneously trying to get close to the mother and
firmly attached to their foster family. Their IQ
freezing or striking out when the mother tries
increased to normal levels, and they became
to comfort them.
well-adjusted, happy, sociable adolescents and
Across most cultures studied, about one-
young adults.
half to three-quarters of infants are securely
Why the difference between Victor and the
attached. Babies in Canada (Pederson, Gleason,
Czech twins? Perhaps a critical difference was
Moran, & Bento, 1998) and the United States
that the twins’ isolation ended and rehabili-
(Posada et al., 2002) who appear securely
tation began when they were younger, at age
attached in the SST have mothers who are rated
seven, when the brain was still maturing and
as more consistently responsive and sensitive
capable of catching up. Moreover, in their first
to their babies’ needs than infants classified as
year of recovery, the twins were well cared for
insecure. Moreover, securely attached infants
in a home that allowed them to interact with
appear to be better adjusted socially during
younger, nonthreatening preschool children.
childhood. Establishing a secure attachment
21. How do early in life also may help to foster a capac- Children raised in orphanages. Developmental
studies of ity for compassion and altruism that carries psychologists have studied orphans to address
monkey and forward into adulthood (Mikulincer & Shaver, the question of whether it is necessary to have
human child
2009). This research lends credence to Erikson’s a primary attachment figure during the hypoth-
isolates, and
view that establishing a stable, trusting relation- esized sensitive period, in the first year of life.
of children in
orphanages, ship with a caregiver is an important compo- An impressive Canadian study was initiated
help us discover nent of early social development. after the overthrow of the Romanian dicta-
whether tor Nicolae Ceausescu in 1989. Thousands of
attachment Attachment Deprivation orphans were discovered housed in state-run
involves critical If infants and young children are deprived of orphanages under deplorable conditions, includ-
or sensitive a stable attachment with a caregiver, how do ing the absence of a primary attachment figure
periods? they fare in the long run? Harry Harlow stud- (Figure 12.25). Elinor Ames and her colleagues at
ied this issue under controlled conditions. At six Simon Fraser University, and Kim MacLean now
22. Why might
months of age, “isolate” monkeys were returned at St. Francis Xavier University, conducted a
Victor’s recovery
them to the monkey colony. Exposed to other longitudinal study of a large group of Romanian
have been
so limited, monkeys, the isolates were indifferent, terri- orphans adopted into Canadian homes
compared with fied, or aggressive. When they became adults, (Chisholm, 1998). They compared three groups
that of the Czech some female isolates were artificially insemi- matched for age and sex: early (adopted before
twins? nated, and as parents they were highly abusive four months of age) and late (adopted after at
toward their first-borns (Harlow & Suomi, 1970). least eight months in an orphanage) Romanian
risks, but when deprived children are placed

in a nurturing environment at a young enough
age, many if not most become attached to their
caretakers and grow into well-adjusted adults.
Clearly, although unfavourable environments can
significantly impair development, some children
exposed to extreme adversity are highly resil-
ient and thrive in later life (Mersky & Topitzes,
2009).
The Daycare Controversy

As a child, did someone other than a par-
ent regularly care for you during the day
(Figure 12.26)? In Canada, more than half
(54 percent) of parents with children aged four
© Josef Pelleross/The Image Works
and under use some form of child care (Statistics
FIGURE 12.25 In the 1980s, about 100 000 Roma- Canada, 2014). The most common forms of day-
nian infants and children were warehoused in filthy, care in Canada are (1) daycare centres, (2) home
disease-ridden orphanages where they were often left daycares, and (3) private arrangements, such as
unattended for days and had no opportunity to bond
by grandparents or other relatives.
with caretakers. Studies of Romanian infants who were
adopted into American and Canadian homes before age
High-quality daycare provides a stimulating 23. Does
two showed that about a third formed secure attach- environment with well-trained caretakers, few daycare
ments, in contrast to the more typical 60 percent figure children per caretaker, and low staff turnover, impair infants’
found in attachment studies. Still, that so many formed whereas poor daycare provides the opposite attachment?
secure attachments is a testament to their resilience in (Marshall, 2004). In either case, many parents Does it seem
bouncing back from extreme adversity. to have long-
worry about how child care will affect their
term effects on
child’s development. In the most comprehensive
children?
research project to date, psychologists working
adoptees, and Canadian-born non-adoptees. with the National Institute of Child Health and
After two years, when attachment was assessed Human Development (NICHD) Early Child Care
using a separation-reunion procedure, the late- Research Network began studying approxi-
adoptees displayed more insecure attachment mately 1400 American children from birth. Here
behaviours that were related to more behaviour are some major findings:
problems, lower IQ scores, and more parental • Attachment. Overall, as measured by the
stress. The late adoptees also showed more strange-situation procedure, high-quality child
indiscriminate “friendly” behaviour, indicating a care did not disrupt infants’ or very young chil-
possible lack of specific attachment. dren’s attachment to their parents, even when
Factors other than a lack of a sensitive, early they attended daycare for many hours a week.
attachment figure may have contributed to the When several negative factors combined—the
attachment and other problems shown by the
Romanian late-adopted children. Barbara Tizard
and Jill Hodges (1978) studied children raised
in orphanages where the nurses were attentive,
but high staff turnover prevented children from
forming a stable bond with any caregiver. Those
adopted between ages two and eight years
formed healthy attachments with their adoptive
parents, although in adolescence many had dif-
ficulty forming peer relationships because they
appeared to need “too much attention” (Hodges &
Tizard, 1989).
In sum, it appears that infancy is a sensitive
(not critical) period in which an initial attach- Liquidlibrary/Jupiterimages
ment to caregivers forms most easily and FIGURE 12.26 Today, many preschoolers are cared
facilitates subsequent development. Prolonged for during the day by someone other than a parent or
attachment deprivation creates developmental other family member.
472 CHAPTER TWELVE
child care was poor, the child spent many Warmth/ Hostility/
hours there, and parents were not sensitive to acceptance rejection
the child at home—the risk of insecure attach- Authoritative Authoritarian
Restrictive
ment increased (NICHD, 2001). Demanding, but Assertion of
• Social behaviour. Comparing the social devel- caring; good parental power
child-parent without
opment of children who experienced child communication warmth
care versus those raised exclusively by their
mothers, virtually no significant differences Indulgent Neglectful
Permissive
emerged through age four-and-a-half (NICHD, Warm toward Indifferent
2006). Among child-care children, spending a child, but and
lax in uninvolved
lot of time in child care was associated with
setting limits with child
more behaviour problems by age four-and-a-
half, but this relation disappeared by Grade 3
FIGURE 12.27 Four styles of child-rearing. Combin-
(NICHD, 2002; Vandell et al., 2005).
ing the two basic dimensions of parental behaviour
• Cognitive performance. Overall, as with (warmth-hostility and restrictiveness-permissiveness)
social development, children’s cognitive yields four different styles of child-rearing.
development by age four-and-a-half did not Source: Adapted from Maccoby, E.E., & Martin, J.A. (1983).
differ significantly depending on whether “Socialization in the context of the family: Parent-child
they experienced child care or were raised interaction.” In E.M. Hetherington (Ed.), Handbook of child
psychology: Socialization, personality, and social development.
exclusively by their mothers (NICHD, 2006). New York, NY: Wiley.
Among children in child care, exposure to
higher-quality care was associated with bet-
ter cognitive performance (NICHD, 2006). authoritative parents tend to have higher self-
esteem, are higher achievers in school, and have
24. In the short Concerns about disrupted parent–child rela- fewer conduct problems.
and long term, tions also surface when parents divorce. Our Authoritarian parents also exert control
how do children Applications feature examines this societally over their children, but do so within a cold,
generally important issue. unresponsive, or rejecting relationship. Their
respond to
children tend to have lower self-esteem, be less
parental divorce?
Styles of Parenting popular with peers, and perform more poorly in
What factors
enhance their Beyond the issues of divorce and remarriage, school than children with authoritative parents
adjustment to how do different child-rearing practices affect (Dornbusch et al., 1987).
divorce and children’s development in general? After study- Indulgent parents have warm and caring
remarriage? ing how parents interacted with their preschool relationships with their children, but do not pro-
children, Diana Baumrind (1967) identified vide the guidance and discipline that helps chil-
two key dimensions of parental behaviour. dren learn responsibility and concern for others.
The first is warmth versus hostility. Warm Their children tend to be more immature and
parents communicate love and caring for the self-centred (Patterson, 1982).
25. What child, and respond with greater sensitivity and Neglectful parents provide neither warmth
parenting styles empathy to the child’s feelings. Hostile parents nor rules and guidance. Their children are
are associated express rejection and behave as if they did not most likely to be insecurely attached, have low
with the most care about the child. The second dimension is achievement motivation and disturbed relation-
and least restrictiveness versus permissiveness. Parents ships with peers and adults at school, and be
positive child
differ in the extent to which they make and impulsive and aggressive. Neglectful parenting
outcomes?
enforce rules, place demands on children, and is associated with the most negative develop-
discipline children. As Figure 12.27 shows, com- mental outcomes (Ainsworth, 1989).
bining these dimensions yields four parenting Do these findings extend to adolescence?
styles that are associated with different patterns Laurence Steinberg and his colleagues (1994)
of child development (Linver et al., 2002). studied several thousand high school students
Authoritative parents are controlling but in California and Wisconsin. They found that,
warm. They establish clear rules, consistently overall, authoritative and neglectful parenting
enforce them, and reward children’s compliance were, respectively, associated with the most
with warmth and affection. They communicate positive and negative developmental outcomes.
high expectations, caring, and support. This Many of the findings held true across African-,
style is associated with the most positive child- Asian-, Caucasian-, and Hispanic-American stu-
hood outcomes (Baumrind, 1991). Children with dents (Lamborn et al., 1991).
Applications
UNDERSTANDING HOW DIVORCE males tend to be at higher risk for externalizing and females
AND REMARRIAGE AFFECT CHILDREN for internalizing disorders (Jordan, 2016; Kelley, 2012). The
child’s age at the time of divorce is also an important factor
Divorce is more common than it was 30 years ago. Accord- for later consequences. Each age has its own challenges
ing to Statistics Canada data for 2008 (the last year for and developmental tasks (see our discussion of social-
which data are available, Statistics Canada no longer emotional and personality development in this chapter) and
reports divorce rate), 41 percent of marriages will end in the developmental stage of the child at the time of divorce
divorce by the 30th wedding anniversary. Family breakups is an important consideration (Jordan, 2016).
create a stressful life transition for both parents and chil- The first year after a divorce is the hardest, but begin-
dren, and almost everything in the child’s daily life changes. ning in the second year most children begin to adjust
Many parents remarry, which leads to a second major (Kelley, 2012). By three years after the divorce, close to
transition for children as they become part of a stepfam- 80 percent of children of divorce are within the average
ily. Research tells us how these major life events affect range on measures of adjustment (Kelley, 2012).
children.
Should We Stay Together for the Sake
How Does Divorce Affect Children?
of the Child?
Many children report that parental divorce is one of the most
Many parents considering divorce wonder whether they
painful experiences of their lives. In the short term, children
should stay together for the child’s sake. Research con-
may experience anxiety, fear, anger, confusion, depression,
sistently supports the finding that children are psychologi-
and behavioural, social and academic problems at school.
cally, emotionally, and socially healthier if divorce ends a
In the long term, children of divorce remain at greater
marriage in which there is open conflict between the par-
risk for various difficulties, including academic problems,
ents than if that situation continues (Kelley, 2012). High
troubled social relationships with family members and
marital conflict can cause the children to feel “caught in
peers, low self-esteem, and depression (Dawson-McClure
the middle” in the battle between their parents, and this
et al., 2004; Kelley, 2012). When they become adoles-
worsens the impact of the divorce (Amato & Afifi, 2006).
cents, children of divorced parents are more likely to drop
Children living with married but contentious parents have
out of school, be unemployed, use drugs, and become
poorer school achievement, lower self-esteem, and more
unmarried teen parents. In adulthood, they are more likely
behaviour problems than children from divorced families.
to experience conflict in relationships, unemployment,
That is, the risk to the future health and adjustment of chil-
depression (particularly among women), and have a higher
dren is greater in a family in which there is open conflict
divorce rate (Huurre et al., 2006; Wauterickx et al., 2006).
than it is if divorce ends such a family situation.
The extent of this risk, however, depends critically on care
before, during, and after the divorce.
The risk of emotional, behavioural, social, and academic How Do Children Respond to Remarriage
problems for children of divorced parents is more than dou- and Stepfamilies?
ble that of children whose parents have been continuously Forming a stepfamily temporarily disrupts children’s rela-
married (Kelley, 2012). However, one cannot assume that tionships with the remarried custodial parent and typically
divorced-family children will have problems. Divorce is an increases children’s short-term problem behaviours. In turn,
important life stress for children and adolescents, but the such behaviour can increase the risk of marital conflict
impact will depend on a number of factors including the between the stepparents (Jenkins et al., 2005). It can take
child’s age, cognitive and emotional strengths and vulner- several years for parents and children to adjust to their new
abilities and temperament, the presence of peer support roles within the stepfamily. In general, young adolescents
and other sources of social support, the parents’ behaviour, seem to have the most difficulty coping with the transition
the amount of contact with the noncustodial parent, and the into a stepfamily.
amount of conflict between the parents before, during, and In remarriages, children may be hostile and reject the
after the divorce (Jordan, 2016). As a major stress, divorce stepparent, especially when the stepparent attempts to be
can act to amplify the impact of other risk factors present in a strong disciplinarian. Children usually adjust better to liv-
the child`s life, but its impact can also be lessened by vari- ing in a stepfamily when the custodial parent is warm but
ous protective factors, such as social support. firm and has primary responsibility for discipline, and when
Research has not found a consistent sex difference; both the stepparent is warm but supports the custodial parent’s
sons and daughters can be affected by divorce, although authority (Bray & Berger, 1993).
continued
474 CHAPTER TWELVE
Making It Better or Worse • encourage the child to be open with his or her feelings
and discuss those feelings with the parents, including
Divorce and the ensuing changes to daily life are a major
the anger and fear that sometimes emerge; and
life stress for children and a significant risk factor for a
range of problems. The extent of that risk can be power- • remain involved in the child’s life.
fully influenced by the parents’ behaviour before, during, The risk is amplified and made worse by parents
and after the divorce (Amato & Afifi, 2006; Kali & Barnfield, who:
2015; Kelley, 2012).
• fight or insult each other in front of the child;
To reduce the risk parents should:
• criticize their ex in front of the child;
• explain what is happening and what the child can expect • compete with each other for the child’s attention and
in the weeks and months ahead; affection;
• reassure the child that he or she is still loved; • use the child as a way to get back at the ex; and
• reassure the child that they will still be the child’s • involve the child in mediating disputes.
parents;
Gender Identity and Socialization in shaping our gender identity and sex-role ste-
Parenting also influences children’s develop- reotypes. Every group, including our family and
ment in other ways, such as helping children cultural groups, has norms that set standards
develop a gender identity, a sense of “female- for expected and accepted behaviour. Through
ness” or “maleness” that becomes a central socialization, we ultimately internalize these
aspect of our personal identity (Gelman et al., expectations and standards, and they become
2004). Early in life, infants display some knowl- part of our identity (Martin & Ruble, 2004). Sex-
edge about gender. Poulin-Dubois and her col- role stereotypes are no exception.
leagues (1988, 1994) at Concordia University Sex-typing involves treating others differ-
presented infants with pairs of male and female ently based on whether they are female or male.
pictures, along with a male or female vocal From infancy onward, girls and boys are viewed
recording. Infants at 9 and 12 months of age and treated differently. Fathers use more physi-
looked longer at the female picture when it was cal and verbal prohibition with their 12-month-
paired with the female voice, and by 18 months, old sons than with their daughters, and they steer
they matched both male and female voices their sons away from activities that are consid-
with the appropriate pictures. However, it’s not ered stereotypically feminine (Snow et al., 1983).
until between two and three years of age that In fact, University of Montreal researcher Dan-
most children develop a basic gender identity; iel Paquette (2004) theorized that while mothers
they can label themselves (and others) as being play a comforting role in times of stress, fathers
either a boy or a girl, but their understanding encourage their children, especially males, to
of gender is still fragile. Just as young children take risks to explore their environment. Paquette
often report that a cat wearing a dog mask and Bigras (2010) found that fathers gave tod-
has suddenly become a dog, they may believe dlers more leeway to take risks than mothers
that a boy wearing a dress is a “girl” and that did and that this freedom allowed them to better
a girl can grow up and become a man. Gender explore their environment. Finally, even when
constancy, which is the understanding that their sons and daughters display equal inter-
being male or female is a permanent part of est and aptitude in science, fathers and moth-
a person, develops around age six or seven ers are more likely to believe that sons have
(Szkrybalo & Ruble, 1999). the greater interest and will find science easier
As gender identity develops, children also (Tenenbaum & Leaper, 2002). Indeed, when par-
26. How does ents interact with their one- to eight-year-olds
acquire sex-role stereotypes, which are
socialization at science exhibits in a children’s museum, they
beliefs about the types of characteristics and
shape children’s are much more likely to explain the exhibits to
beliefs about behaviours that are appropriate for boys and
girls to possess. Socialization, which refers to their sons than to their daughters—even though
gender?
the process by which we acquire the beliefs, val- the children rarely ask for such explanations
ues, and behaviours of a group, plays a key role (Figure 12.28; Crowley et al., 2001).
35 influences the way children think about gender.

Boys Some children as young as two or three years
30
Girls of age display sex-role stereotypes in their abil-
Percentage of interactions
where parents explained
25 ity to identify objects, such as hammers and

brooms, as “belonging with” one gender or the
20 other (Campbell et al., 2004). By age seven or
eight, stereotyped thinking is firmly in place;
15
children believe that boys and girls possess dif-
10 ferent personality traits and should hold differ-
ent occupations as adults (Miller & Budd, 1999).
5 As children make the transition to adolescence
0
and enter junior high school, they generally dis-
Fathers Mothers Both play more flexible thinking about gender. Some
Parents present come to believe that traditionally masculine and
feminine traits can be blended within a single
FIGURE 12.28 Fathers and mothers provided more person—what is called an androgynous gender
explanations to their one- to eight-year-old sons than identity—as when a person is both assertive and
to their daughters while engaged with science exhibits
compassionate. During the remaining junior high
at a children’s museum. Similar results were obtained
regardless of the children’s age. and high school years, some adolescents maintain
this view. Overall, however, stereotypes about
Source: Adapted from K. Crowley, M.A. Callahan, H.R.
Tenenbaum, & E. Allen, 2001, “Parents Explain More Often
men’s and women’s psychological traits seem to
to Buys than to Girls During Shared Scientific Thinking,” become a little more rigid, and most people con-
Psychological Science, 12(3), 258-261, Fig 1. Copyright tinue to adhere to relatively traditional beliefs
© 2001 Association for Psychological Science. Reprinted
by permission of Sage Publications.
(Alfieri et al., 1996).
Sex-role stereotypes also are transmitted

through observational learning and operant
Moral Development
conditioning (Figure 12.29). Children observe All societies attempt to teach their members
parents, other adults, peers, and TV and movie right from wrong. How does children’s moral
characters, and often attempt to emulate what thinking change as they grow older?
they see (Bandura, 1965). In ways both obvious
and subtle, others approve of us and reinforce Kohlberg’s Stage Model
our behaviour when we meet their expectations, Drawing on Piaget’s model of cognitive devel-
and disapprove of us when we don’t. In turn, this opment, Lawrence Kohlberg (1963, 1984)
(left): © Simon Marcus/Corbis; (right): © Rosanne Olson/Digital Vision/Getty Images
FIGURE 12.29 In subtle and not so subtle ways, cultures socialize most female and male children in gender-
stereotypic ways.
476 CHAPTER TWELVE
developed a highly influential theory of moral Conventional moral reasoning is based

reasoning. He presented children, adolescents, on conformity to social expectations, laws,
and adults with hypothetical moral dilemmas and duties. In stage 3, conformity stems from
such as the following: the desire to gain people’s approval: “People
will think that Heinz is bad if he doesn’t steal
Heinz’s wife was dying from cancer. A rare
the drug to save his wife.” In stage 4, children
drug might save her, but the druggist who
believe that laws and duties must be obeyed
made the drug for $200 would not sell it
simply because rules are meant to be followed.
for less than $2000. Heinz tried hard, but
Thus, “Heinz should steal the drug because it’s
he could only raise $1000. The druggist
his duty to take care of his wife.”
refused to give Heinz the drug for that price
Postconventional moral reasoning is
even though Heinz promised to pay the rest
27. How do based on well thought out, general moral
later. So Heinz broke into the store to steal
preconventional, principles. Stage 5 involves recognizing the
the drug. What do you think? Should Heinz
conventional, and importance of societal laws, but also tak-
have stolen the drug? Why or why not?
postconventional ing individual rights into account: “Stealing
moral reasoning Kohlberg was interested not in whether breaks the law, but what Heinz did was rea-
differ? people agreed or disagreed with Heinz’s behav- sonable because he saved a life.” In stage 6,
iour, but in the reasons for their judgment. He morality is based on abstract, ethical prin-
analyzed responses to various moral dilemmas ciples of justice that are viewed as universal:
and concluded that there are three main levels “Saving life comes before financial gain, even
of moral reasoning, with two substages within if the person is a stranger. The law in this case
each level (Table 12.3). is unjust, and stealing the drug is the morally
Preconventional moral reasoning is based right thing to do.”
on anticipated punishments or rewards. Con- Kohlberg believed that progress in moral
sider reasons given for stealing the drug. In reasoning depends on general cognitive matu-
stage 1, children focus on punishment: “Heinz ration and the opportunity to confront moral
should steal the drug because if he lets his wife issues, particularly when such issues can be
die he’ll get into trouble.” In stage 2, morality is discussed with someone who is at a higher
judged by anticipated rewards and doing what stage of development. Moral education pro-
is in the person’s own interest: “Heinz should grams based on Kohlberg’s theory have been
steal the drug because that way he’ll still have applied in schools, prisons, and with at-risk
his wife with him.” youth (Higgins, 1991).
TABLE 12.3 Kohlberg’s Stages of Moral Reasoning

Level of Moral Reasoning Basis for Judging What Is Moral
Level 1: Preconventional Actual or anticipated punishment and rewards, rather than
internalized values
Stage 1: Punishment/obedience orientation Obeying rules and avoiding punishment
Stage 2: Instrumental/hedonistic orientation Self-interest and gaining rewards
Level 2: Conventional Conformity to the expectations of social groups; person
adopts other people’s values
Stage 3: Good child orientation Gaining approval and maintaining good relations with others
Stage 4: Law and order orientation Doing one’s duty, showing respect for authority, and
maintaining social order
Level 3: Postconventional Moral principles that are well thought out and part of one’s
belief and value system
Stage 5: Social contract orientation General principles agreed upon by society that foster
community welfare and individual rights; recognition that
society can decide to modify laws that lose their social utility
Stage 6: Universal ethical principles Abstract ethical principles based on justice and equality;
following one’s conscience
Source: Adapted from Kohlberg, L. (1963). “The development of children’s orientations toward a moral order: I. Sequence
in the development of moral thought.” Human Development, 6, 11–33., 1963; Kohlberg, L. (1984). The psychology of moral
development: Essays on moral development (Vol. 2). New York, NY: Harper & Row.
Culture, Gender, and Moral Reasoning Moral Behaviour and Conscience

Studies of moral reasoning from North, Central, Moral reasoning does not necessarily translate
and South America, to Africa, Asia, Europe, and into moral behaviour. Researchers have pro-
India indicate the following overall: posed that for children to conform to their cul-
ture’s moral standards, they must understand
• From childhood through adolescence, moral that there are moral rules, be able to control
reasoning changes from preconventional to their impulses to engage in forbidden behav-
conventional levels (see Figure 12.30). iour, and experience some negative emotion
• In adolescence and even adulthood, postcon- when they violate these rules.
ventional reasoning is relatively uncommon By the age of two, children understand that
(see Figure 12.30). there are rules for behaviour, and their emo-
• A person’s moral judgments do not always tional expressions suggest that they experience
reflect the same level or stage within levels guilt when they break a known rule. Children’s
(Eckensberger & Zimba, 1997). ability to stop themselves from engaging in for-
bidden behaviour develops slowly, but even tod-
Critics claim that Kohlberg’s theory has a dlers can do so at times. This internal regulatory
Western cultural bias. Fairness and justice are mechanism, often referred to as conscience, 28. What
aspects of
Kohlberg’s postconventional ideals, but in many tends to restrain individuals from acting in
Kohlberg’s
cultures the highest moral values focus on destructive or antisocial ways when they are model have
principles that do not fit easily into Kohlberg’s not being monitored by parents or other adults been supported?
model, such as respect for all animal life, col- (Kochanska et al., 2005). Internalizing the soci- What are its
lective harmony, and respect for the elderly etal values transmitted by parents or other limitations?
(Iwasa, 2001). caretakers provides the basis of a moral con-
Carol Gilligan (1982) argues that Kohlberg’s science. Children are most likely to internalize
emphasis on justice also reflects a male bias. their parents’ values when they have a positive
She claims that highly moral women place relationship with them, when parents establish
greater value than men do on caring and clear rules and provide explanations that facili-
responsibility for others’ welfare. Overall, tate children’s awareness of parental values, and
however, evidence of gender bias is mixed. when discipline is firm but not harsh (Laible &
Women use justice reasoning when the situa- Thompson, 2000).
tion calls for it, and men use reasoning based Children’s temperament also enters into the
on caring and relationships when appropriate. picture. Fearful, inhibited children tend to inter-
Nevertheless, Gilligan’s analysis reinforces the nalize parental values more easily and at an ear-
key point that high-level moral reasoning can lier age than less fearful children, particularly
be based on values other than justice (Gump when their parents provide gentle discipline.
et al., 2000). For relatively fearless, uninhibited children,
70
Stage 1
Percentage at each stage
60
Stage 2
of moral reasoning
50 Stage 3
Stage 4
40 Stage 5
30
20
10
0
10 12 14 16 18 20 22 24 26 28 30 32 34 36 38
Age (years)
FIGURE 12.30 In this study based on Kohlberg’s model, 58 American boys responded to moral dilemmas for more
than 20 years. As they aged, preconventional morality (stages 1 and 2) decreased and conventional morality (stages
3 and 4) took precedence during adolescence. Postconventional moral reasoning was not common at any age.
Source: Based on Colby, A., Kohlberg, L., Gibbs, J., & Lieberman, M. (1983). “A longitudinal study of moral judgment.” Monographs
of the Society for Research in Child Development, 48(1–2, Serial No. 200).
478 CHAPTER TWELVE
In Review
• Erikson proposed that personality development Gender identity begins to form early in child-
proceeds through eight major psychosocial hood, and socialization influences children’s
stages. Each stage involves a major crisis, and acquisition of sex-role stereotypes.
the way we resolve it influences our ability to • Divorce disrupts children’s psychological adjust-
meet the challenges of the next stage. ment in the short term and, for some children
• Temperament reflects a pattern of reacting emo- and adolescents, is associated with a long-term
tionally and behaviourally to the environment. pattern of maladjustment.
Temperament remains stable across in infancy • Kohlberg proposed that moral reasoning pro-
and childhood. ceeds through three levels. Preconventional
• Infant–caretaker attachment develops in three moral judgments are based on anticipated
phases, and infants experience periods of rewards and punishments. Conventional moral-
stranger and separation anxiety. Secure attach- ity is based on conformity to social expecta-
ment is associated with better developmental tions, laws, and duties. Postconventional moral
outcomes in childhood and adolescence than judgments are based on well-thought-out moral
insecure attachment. For most children, daycare principles. Critics argue that the model contains
does not disrupt attachment. cultural and gender biases.
• Parenting styles vary along dimensions of warmth– • Moral behaviour is governed by many factors,
hostility and restrictiveness–permissiveness. including observational learning, temperament,
The children of authoritative parents gener- attachment, and emotional development.
ally display the best developmental outcomes.
however, whether discipline is gentle or harsh

is less important. A secure attachment with
warm parents, rather than fear of punishment,
appears to motivate fearless children to inter-
nalize their parents’ standards. Thus, the devel-
opment of moral behaviour is linked not only to
children’s moral thinking but also to their emo-
tional development, attachment, and tempera-
ment (Kochanska et al., 2004).
ADOLESCENCE
AND ADULTHOOD
In some cultures specific ceremonies or activi-
ties represent rites of passage that mark a
transition from childhood into adulthood
(Figure 12.31). But what of adolescence, the
period of development and gradual transi-
tion between childhood and adulthood? Alice
Schlegel and Herbert Barry (1991) found that
among almost 200 nonindustrial societies world-
wide, nearly all recognize some type of transi-
tion period between childhood and adulthood.
Yet in many societies this period is brief and
is not marked by a special term analogous to
adolescence.
The lengthy period called adolescence is
Anders Ryman/Alamy Stock Photo
largely an invention of 18th- to 20th-century
Western culture (Valsiner & Lawrence, 1997). FIGURE 12.31 A First Nations girl participates in a
In preindustrial times, biological maturity was ceremony that initiates her into womanhood.
a major criterion for adult status. In many 12 to 14 for boys (Kaltiala-Heino et al., 2003).
cultures, for example, girls were expected Considerable variation, however, occurs among
to marry once they became capable of bear- people and cultures.
ing children. But as the Industrial Revolution The physical changes of puberty have psy-
brought new technology and a need for more chological consequences. The hormones that
schooling, recognition of adult status was steer puberty affect brain function and can
delayed and the long transition period of ado- influence mood and behaviour (Peper & Dahl,
lescence evolved. 2013). Whether puberty occurs early or late
Adolescence differs from puberty, a also matters. Overall, early maturation tends
period of rapid physical maturation in which to be associated with fewer negative outcomes 29. Describe
the person becomes capable of sexual repro- for boys than for girls. Early-maturing boys some factors
that influence
duction. Although the developmental periods are at somewhat heightened risk for engag-
adolescents’
overlap, puberty is a biologically defined ing in delinquent behaviour and using drugs psychological
period whereas adolescence is a broader (Kaltiala-Heino et al., 2003). However, the reactions to
social construction (Spear, 2000). Puberty is physical strength and size that they acquire experiencing
an important aspect of adolescence, but ado- often contribute to a positive body image, suc- puberty.
lescence is also ushered in and out by changes cess in athletics, and popularity among peers.
in thinking, interests, social circumstances, In contrast, although some early-maturing
and parental and societal expectations. In girls welcome their changed appearance, the
research studies, 12- to 18-year-olds—give or weight gain that comes with puberty results
take a year at each end—are typically con- in a negative body image for others. More-
sidered to be adolescents, but it’s essential over, early physical maturation may exposes
to keep in mind that the transitions into and girls to greater social and sexual pressures
through adolescence, and out of adolescence that they are not ready for emotionally.
into adulthood, are gradual (Arnett, 2001). Thus, compared with girls who mature later,
early-maturing girls typically feel more self-
Physical Development conscious about their bodies and are more
likely to eventually develop eating disorders,
We now explore some key developmental
problems in school, major depression, and
changes that occur in adolescence and adult-
anxiety (Graber et al., 2004).
hood, beginning with changes in the body’s
physical processes and capabilities. Note The Adolescent Brain
that when we talk about young adulthood
Compared with infancy and early childhood,
(approximately 20 to 40 years of age), middle 30. How does
overall brain growth slows from childhood to
adulthood (roughly, one’s 40s through early the brain
adolescence (Sowell et al., 2001). Longitudi-
60s), and late adulthood (approximately age change during
nal studies using fMRI techniques have shown adolescence?
65 and older), these terms—like adolescence—
that brain activity in children differs from that
represent social constructions rather than dis-
in adolescents, which in turn differs from that
tinct biological stages.
in adults (Giedd, 2004; Goddings et al., 2014).
Cortical white matter within the frontal cor-
Puberty tex increases linearly with age especially in
During adolescence, puberty ushers in impor- areas that are important for impulse con-
tant bodily changes as the brain’s hypothala- trol and abstract thought. In contrast, non-
mus signals the pituitary gland to increase its myelinated grey matter in the frontal cortex
hormonal secretions. Pituitary hormones stim- peaks at around 11 years of age for girls and a
ulate other glands, speeding up maturation of year later for boys, presumably reflecting the
the primary sex characteristics (the sex organs pruning of unnecessary cells by maturation and
involved in reproduction). Hormonal changes experience. This maturation of neural networks
also produce secondary sex characteristics (non- permits more-efficient communication between
reproductive physical features, such as breasts brain regions.
in girls and facial hair in boys). Neural restructuring is especially prominent
The pubertal landmark in girls is menarche, in the prefrontal cortex and the limbic system,
the first menstrual flow. For boys, it is the pro- regions that play a key role in planning and
duction of sperm and the first ejaculation. In coordinating behaviours that satisfy motiva-
North America and Europe, these events occur tional goals, emotional urges, and behavioural
most often around age 11 to 13 for girls and control (Wu et al., 2016). There are changes in
480 CHAPTER TWELVE
the corpus callosum, a structure that allows the The physical changes of middle adulthood
two hemispheres of the brain to communicate become more pronounced in late adulthood.
with each other (see Chapter 3). This struc- Lean body mass decreases while the amount
ture changes significantly during adolescence, of fatty tissue tends to increase, bones lose
increasing in area by up to 10 percent within a calcium becoming more brittle and slower
two-year period (White & Nelson, 2004). Silveri to heal, and hardened ligaments make move-
and colleagues (2006) studied the relationship ments stiffer and slower (Weg, 1983). But with
between maturational changes in frontal cortex regular exercise, good nutrition, and the right
and corpus callosum and behavioural impulse attitude, many adults maintain physical vigour
control and response inhibition. They used an and an active lifestyle well into old age (Fig-
fMRI procedure that measured the integrity and ure 12.32). A wonderful example of this is Olga
speed of neural transmission by the white mat- Kotelko, a Canadian track and field athlete
ter in the corpus callosum. They found a sig- who, at age 91, was called “one of the world’s
nificant relationship between increases in the greatest athletes” (Grierson, 2010). After retir-
degree of white matter and both impulse and ing from teaching in 1984, she took up slow-
inhibitory control scores. More details on the pitch softball, and then at age 77 she started
teenage brain are given in this chapter’s Focus training for track and field. By 2010, at the age
on Neuroscience feature. of 91, she held 23 age-graded track and field
world records.
Physical Development in Adulthood
Young adults are at the peak of their physical, The Adult Brain
sexual, and perceptual functioning. Maximum During the earliest years of adulthood, the brain’s
muscle strength in the legs, arms, and other neural networks generally continue to become
parts of the body is reached at age 25 to 30. more efficiently integrated (Luna et al., 2004). But
Vision, hearing, reaction time, and coordina- like other parts of the body, the brain declines
tion are at peak levels in the mid-20s (Hayslip & later in adulthood. In a longitudinal study, psy-
Panek, 2002). chologist Susan Resnick and her colleagues
Physical status typically declines at mid-life (2003) used magnetic resonance imaging to mea-
(Troll, 1985). For example, the active visual sure the loss of brain tissue among 92 men and
field that expanded in the first six months women over a four-year period. The participants
of life begins to shrink in the 20s; and by late were 59 to 85 years old at the start of the study,
adulthood this “tunnel vision” interferes with and none of them exhibited abnormal cognitive
tasks, such as driving, in which a quick reac- impairments. On average, over the next four
tion to peripheral input is important. During years, they lost tissue at a rate of 5.4 percent
middle adulthood muscles become weaker and per year in the brain regions studied, with the
stiffer, especially among sedentary people.
After age 40 the basal metabolic rate, the rate
at which the resting body converts food into
energy, slows and this produces a tendency
to gain weight. The efficiency of oxygen con-
sumption decreases, and it is harder for middle-
aged adults to maintain the physical endurance
needed for sustained exercise. Around age 50
women’s ovaries stop producing estrogen; they
lose their fertility and experience menopause,
the end of menstruation. Men remain capable of
fathering children, but their fertility gradually
declines in middle age.
Despite this decline, many middle-aged
adults are in excellent health and are vigor-
ously active. Growing experience in job and
recreational skills can offset much of the age-
related physical decline. From climbing moun-
© Ken Fisher/Getty Images
tains to running marathons, middle-aged adults
may achieve physical goals well beyond those FIGURE 12.32 Many older adults maintain a physi-
attained by many younger adults. cally active lifestyle.
Focus on
Neuroscience
THE NEUROSCIENCE generated by the amygdala to a top-down regulatory path-

OF THE TEENAGE BRAIN way controlled by the prefrontal cortex.
Adolescence is often associated with increases in
At one time it was thought that all of the important aspects novelty and sensation seeking, and an increase in these
of brain development were completed by early childhood. It behaviours during adolescence may have adaptive value.
has, however, become clear that brain maturation continues Enhanced novelty and sensation seeking can lead ado-
until the early 20s, with important changes occurring during lescents to explore new environments, new social rela-
adolescence. These changes occur most prominently in brain tionships, and new activities, all of which can help them
areas linked to processing emotional information, response establish their independence and help in the acquisition of
inhibition and behavioural control, planning and executive new skills (Steinberg, 2008). These same changes, how-
function, and sensitivity to reward (Goddings et al., 2014). ever, can have unfortunate, even dangerous, consequences
The neural systems involved in processing emotional if sensation seeking strays into experimentation with drugs
information are functional very early in life but the ability of abuse, taking physical risks, or unsafe sex.
to discriminate emotional expressions and then to control Researchers such as Beatriz Luna (Luna et al., 2013)
one’s emotional response emerges later. As we discussed have explored whether there is a neurobiological underpin-
in Chapter 11, both the amygdala and areas within the pre- ning to these changes. In a series of studies that used
frontal cortex are critical for detecting and processing emo- fMRI while participants engaged in a cognitive control task
tionally relevant stimuli and for generating and controlling during which the availability of reward was varied, Luna and
our subsequent response. Some interesting recent research colleagues assessed both reward-relevant brain areas and
has found that these brain areas mature at different rates brain areas involved in cognitive control. The cognitive con-
(Goddings et al., 2014). The amygdala appears to be fully trol task was suppressing the urge to look toward a sud-
functional by puberty, but the prefrontal cortex does not denly appearing visual cue and instead looking away from
reach full maturity until early adulthood. In an interesting it. In this situation, reward (the possibility of winning $25
recent study, Wu and colleagues (Wu et al., 2016) investi- for successful performance) was varied. The ability to exert
gated age-related changes in activation and functional inter- control over this behaviour continues to improve through
actions between the amygdala and the prefrontal cortex. adolescence and is associated with maturation of the pari-
Healthy participants between 7 and 25 years old per- etal cortex, motor areas (e.g., basal ganglia), and espe-
formed an emotional facial expression assessment task cially areas within the prefrontal cortex, the latest to mature
while brain activity was recorded using fMRI (Wu et al., of these brain areas. That is, the brain circuit needed to
2016). In the task, participants saw a target facial expres- exert cognitive control is present in childhood and during
sion at the top of a display and two faces at the bot- adolescence the connections to the prefrontal cortex are
tom of the display. One of the lower faces matched the strengthened and then mature in early adulthood. There
facial expression shown in the target and the participant’s is a different developmental pattern within the brain cir-
task was to indicate which of the lower facial expressions cuit involved in processing reward value. As we discussed
matched the target. Facial expressions tested included earlier, key areas of this circuit include the amygdala, pre-
both emotionally positive (e.g., happiness) and emotion- frontal cortex, and especially the nucleus accumbens. This
ally negative (e.g., fear, anger) expressions. Control tri- circuit does not just show a steady developmental growth
als asked participants to match geometric shapes. As or maturation; adolescence is a period of heightened
you would expect, processing emotional facial expres- reward sensitivity. Adolescents show increased sensitivity
sions generated significant activation in the amygdala to reward compared to both younger and older compari-
and in areas within the prefrontal cor tex as compared son groups. This difference is most striking in the nucleus
to processing geometric shapes. Interestingly, evaluation accumbens, the brain area most powerfully linked to moti-
of the functional connectivity between the amygdala and vation and reward (see Chapters 3 and 6).
prefrontal cortex changed with age. For children the pat- These results indicate that during adolescence cognitive
tern of activity indicated excitatory signalling from the control over behaviour is present but still developing and
early-maturing amygdala to the developmentally imma- there are limitations with that control. During this time the
ture frontal cortex. Among young adults, this pattern was brain area most powerfully linked to motivation and reward,
reversed, indicating control of the amygdala by the pre- the nucleus accumbens, shows enhanced activity in response
frontal cortex. Adolescence was the time when this shift to reward availability. That is, control is still developing and is
occurred. That is, Wu and colleagues found that during inconsistent but sensitivity to reward is amplified.
adolescence there was a change in processing emotional Adolescence is also often characterized as a time when
facial expressions from a bottom-up excitatory signal youth stay up too late, sleep in until noon, and generally
continued
482 CHAPTER TWELVE
cannot—or do not want to—function on the same clock as clock and biological clock can have serious consequences.
the rest of society. This is commonly attributed to lifestyle Many studies of adolescents and young adults find evi-
choices, with adolescents and young adults simply choos- dence of chronic sleep deprivation, with those in their late
ing to stay up late, which then forces them to sleep in or be teens showing the greatest effects (de Souza & Hidalgo,
overly tired the next day. But is this just a lifestyle choice? 2014; Kelley et al., 2015). As we saw in Chapter 6, sleep
Recently, attention has been drawn to the difference deprivation is associated with a range of problems includ-
between social time, the daily schedule set by social con- ing difficulty concentrating and poor cognitive performance,
vention, and biological time, the daily rhythms set by our irritability, anxiety, depression, digestive problems, weight
internal biological clock. It has been argued that adoles- gain, and increased risk of developing diabetes.
cence is a time when the social clock and the biological It is important to keep in mind that developmental
clock are not in sync (Kelley et al., 2015). There is also changes during adolescence do not excuse sensation seek-
evidence that from mid-adolescence until the early 20s, the ing that is directed to unhealthy or dangerous behaviours,
amount of sleep one needs changes. That is, there are at emotional overreacting that is inconsiderate of others, self-
least two aspects to the sleepy teen: the amount of sleep indulgence, or even sleeping through morning classes. As
needed and the pattern, or timing, of that sleep. we have seen when considering social-emotional devel-
The length of time a person needs to sleep each day opment and cognitive development, changes continue
declines steadily from infancy through late adulthood except throughout the lifespan and the emotional, cognitive, social,
for a transient increase during adolescence (Ruger et al., and biological changes that occur interact in complex ways.
2012). The smooth decline in the amount of sleep needed Yurgelun-Todd pointed out that while “there are neurobiologi-
is interrupted and from early/mid-adolescence until the early cal components to teen behaviour (this) doesn’t discount
20s, a time when the amount of sleep needed each day the effects of environmental or social factors, nor does
actually increases compared to younger and older individu- it absolve teenagers of accountability” (Packard, 2007,
als. Yes, the sleepy teen does actually need more sleep. p. 22). Recent neuroscience research is finding changes
There is also a shift in circadian rhythms, with a shift to that are often surprisingly consistent with the changes one
later sleep and wake times (Kelley et al., 2015). As we dis- might posit based on the work of psychologists such as
covered in our discussion of circadian rhythms, our master Erikson, Piaget, and Vygotsky. The behavioural, emotional,
clock is the suprachiasmatic nucleus (SCN; see Chapter 6). and cognitive mechanisms that allow self-control, abstract
The SCN coordinates all of our circadian rhythms and, with thought, and reflection are present from a very young age;
entrainment from external cues such as the light, keeps us they just take longer to mature than was once thought.
functioning on a 24-hour clock. In adolescence and early Recent brain-imaging and behavioural studies indicate
adulthood, there are changes and the timing of the circa- that during adolescence cognitive control is still developing;
dian clock shifts later, delaying the time at which one can there is increased sensitivity to reward, which can lead to
fall asleep, and leading to a later sleep time and later wake impulsive behaviours and sensation seeking; top-down con-
time (Kelley et al., 2015). trol over emotional responses is still maturing and may not
This combination, a later time when one can fall asleep be exerted consistently; and changes in circadian rhythms
and the need for more sleep, leads to the well-known increase the amount of sleep needed and shifts the sleep
picture of a teen who stays up late and who cannot get cycle to later sleep and waking times. Sound like anyone
out of bed in the morning. This mismatch between social you know?
In Review
• In Western cultures, puberty marks the onset of • Young adults are at the peak of their physical,
adolescence. Hormones that steer puberty also sexual, and perceptual functioning in their 20s.
can affect mood and behaviour. Generally, early • Declines in physical processes (perception, bone
maturation is a more positive experience for density, basic metabolic rate, flexibility, etc.)
boys than it is for girls. begin in the 30s, and become more pronounced
• During adolescence, neural restructuring is espe- in late adulthood, but an active lifestyle, good
cially prominent in the prefrontal cortex and the nutrition, and a positive attitude can offset many
limbic system, regions that play a key role in age-related declines.
planning and coordinating behaviours that sat-
isfy motivational goals, emotional urges, and
moral decisions.
Cognitive Development
Supported by continuing brain maturation and
learning experiences, cognitive changes dur-
ing adolescence can be as dramatic as physical
ones. Does Figure 12.34 strike a familiar chord?
Teenagers can spend a lot of time thinking about
themselves and their social circumstances. Such
thinking reflects adolescent egocentrism,
a self-absorbed and distorted view of one’s
uniqueness and importance (Elkind, 1967;
Galanaki, 2012). Elkind (1967) proposed that
adolescent egocentrism has two main parts.
First, adolescents often overestimate the
uniqueness of their feelings and experiences,
which Elkind called the personal fable. This is
reflected in statements such as “Nobody’s ever
felt love as deeply as ours.” Second, many ado-
lescents feel that they are always “on stage” and
that “everybody’s going to notice” how they look
and what they do. Elkind called this sensitivity
to social evaluation the imaginary audience.
Adolescents who think more egocentri-
cally are somewhat more likely to engage in
FIGURE 12.33 These photographs por tray the risky behaviours, perhaps in part because of
average amount of brain-tissue loss that 92 men and
women, ages 59 to 85 (who did not have brain dis-
a sense of invulnerability (Greene et al., 2000).
ease), experienced over a four-year period. Areas in red At the same time, it’s not clear that this self-
had the greatest loss. consciousness truly reflects a thinking bias. Some
theorists view teens’ greater self-reflection as a
Resnick, S.M., Pham, D.L., Kraut, M.A., Zonderman, A.B., & Davatzikos, C.
(2003). “Longitudinal magnetic resonance imaging studies of older adults: natural outgrowth of the search for individu-
A shrinking brain.” Journal of Neuroscience, 23(8), 3295–3301. Fig 6, ality and of realistic social consequences that
p. 3300.
teens face (Bell & Bromnick, 2003). 31. Discuss how
adolescents’
frontal and parietal lobes showing the greatest reasoning
Reasoning and Information Processing abilities change,
loss (Figure 12.33). Participants who were very
and the ways
healthy experienced less tissue loss than those in Adolescence
in which their
who experienced medical problems, but still, even Abstract reasoning abilities increase substan- thinking is
among physically and mentally healthy older tially during adolescence. Adolescents can more egocentric.
adults, tissue loss is normal as the brain ages. easily contemplate hypothetical issues, ranging
Copyright © ZITS. King Features Syndicate. Reprinted with permission of TorStar Syndicate Services.
FIGURE 12.34 According to David Elkind (1967), this type of thinking reflects adolescent egocentrism.
484 CHAPTER TWELVE
from scientific problems (Figure 12.35a) to wide range of tasks. Although advancing more
questions about social justice and the meaning slowly than during childhood, the speed with
of life. They reason more flexibly than children which adolescents process information quickens,
and use both deductive and inductive problem- their working memory becomes more efficient,
solving, described in Chapter 9. Recall that in and they become better able to ignore distract-
Piaget’s (1970) view, this signifies that adoles- ing information, suppress irrelevant responses,
cents have moved beyond concrete operational and stay focused on the task at hand. Informa-
thinking and entered a new stage of cognitive tion-processing speed and visuospatial working-
development: formal operational thinking. memory abilities approach adult-like levels by
Consider the pendulum problem in Fig- middle adolescence, and the ability to suppress
u re 12.35b. Which variable(s)—length of
task-irrelevant responses by late adolescence
the string, weight of the object, how hard (Luna et al., 2004). Task performance does dif-
it is pushed, and release point (height in the fer for different types of reasoning, and partly
arc)—influence(s) how quickly the pendulum depends on formal schooling and exposure to
oscillates? This problem is best solved by form- scientific-abstract tasks. Even with schooling,
ing and testing an organized set of deductive however, many teens and adults struggle with
hypotheses (e.g., “If string length is a factor, formal operational tasks. Some people frequently
then the swing time with a short versus long use abstract reasoning, but others rarely do.
string should differ”). Concrete operational
children struggle with this task (Inhelder & Changes in Adulthood
Piaget, 1958). For example, when they adjust
the string length, they often adjust the weight Post-formal operational thinking. Piaget
as well, making it impossible to draw a con- believed that formal operational thinking was
clusion about either variable. In contrast, the fourth and final stage of cognitive develop-
adolescents think more systematically and ment. He argued that adults do not develop new
manipulate one variable at a time while hold- modes of thinking; rather, they simply use for-
ing the others constant. mal operations in new and more complex ways.
Continued improvements in information- Several theorists disagree, proposing a fifth
processing capacities help abstract thinking to stage of cognitive development called post-
develop and foster better performance across a formal thought, in which people can reason
Adjustable
string
Variable
release
point
Pendulum arc
Weights
(left): Adrian Sherratt/Alamy Stock Photo; (right): Adapted from Inhelder, B., & Piaget, J. (1958). The growth of logical thinking from childhood to
adolescence. New York, NY: Basic Books.
FIGURE 12.35 (a) When adolescents attain formal operational thought, they can use deductive reasoning to
solve scientific problems systematically. (b) The materials for the pendulum problem used by Inhelder and Piaget
include an adjustable string and a set of weights. The problem is to determine what factors influence how long it
takes the pendulum to move through its arc. String length is the only relevant factor: the shorter the string, the less
time it takes the pendulum to swing back and forth.
logically about opposing points of view and and Kessels and Postma (2006). For example,
accept contradictions and irreconcilable differ- Uttl and Graf (1993) measured memory for
ences (Rakfeldt et al., 1996; Lamport & Richards, the location of objects in an office setting or
2003). Post-formal thinkers also realize that, a museum and found that spatial memory
from social behaviour to ethics and politics, life remains constant in adulthood and begins to
involves many interacting factors (Kramer, decline in the 60s.
1983). When reasoning about social problems, • Recall declines more strongly than recogni-
post-formal thinkers engage in complex thought tion, because recall requires more processing
and are more likely to acknowledge opposing resources (Craik & McDowd, 1998; Arbuckle
points of view and see both sides of a disagree- et al., 1992).
ment as having legitimate arguments.
• The effects of aging on prospective
Information processing and memory. The Uni- memory—the ability to remember to per-
versity of Toronto’s Fergus Craik concluded form some action in the future—are less 32. Discuss
how information-
that, in general, information-processing abilities clear (McDaniel et al., 2003). By late adult-
processing
decline during adulthood, but the age at which hood, people generally display poorer pro- abilities and
they begin to decline and the amount of decline spective memory than young adults in memory change
can vary substantially (e.g., Craik & Salthouse, time-based laboratory tasks (e.g., remem- throughout
2000). Consider these examples: bering to push a button every 15 minutes). adulthood.
On event-based tasks (e.g., remembering to
• Perceptual speed (reaction time) begins
push a button whenever a light comes on),
to decline steadily in early adulthood, by
age differences are less consistent. More-
some estimates as soon as one’s early 20s
over, when tested outside the laboratory,
(Salthouse, 2004). As adults grow older, it
older adults may perform as well as young
takes them longer to visually identify and
adults, even when the tasks (e.g., simulated
evaluate stimuli, such as when looking at
pill taking) are time-based. However, when
two patterns of lines and deciding whether
older people remember that they are sup-
they are the same. It takes longer to remem-
posed to execute a task (“Ah, I’m supposed
ber an item’s context (source memory),
to call Sylvia”) and something temporarily
especially under time pressure (Benjamine &
delays them from performing it, they will be
Craik, 2001). But a loss of perceptual speed
less likely to remember to perform the task
may be only part of the reason that older
immediately after the delay ends (McDaniel
adults perform more slowly on such tasks.
et al., 2003).
By late adulthood, people may process such
information more conservatively, essen- Intellectual changes in adulthood. How do
tially trading off slower response times to 33. How do
intellectual abilities change in adulthood?
gain greater accuracy in their judgments intellectual
Although it was once thought that IQ scores
abilities change
(Ratcliff et al., 2006). began to decrease between ages 30 and 40 with age? To
• Memory for new factual information (Doppelt & Wallace, 1955), researchers made what extent
declines during adulthood. With increasing a breakthrough by examining separate intel- does the answer
age, adults generally find it harder to remem- lectual abilities rather than overall IQ. They depend on the
ber new series of numbers, names, and faces studied f luid intelligence, which reflects research design
of new people, and new map directions. On the ability to perform mental operations used?
some tasks, such as recalling lists of unre- (e.g., abstract and logical reasoning, solv-
lated words, performance worsens somewhat ing spatial problems), and crystallized intel-
by the late 30s and then steadily declines ligence, which reflects the accumulation of
after age 50 (Salthouse, 2004). Certain types verbal skills and factual knowledge (Horn &
of verbal memory, however, decline more Cattell, 1966). Cross-sectional research typi-
slowly with age. Thus, the ability to immedi- cally found that fluid intelligence began to
ately repeat meaningful sentences decreases decline steadily in early adulthood, whereas
more slowly than the ability to repeat single, crystallized intelligence peaked during middle
unrelated words. Even in late adulthood, adulthood and then began to decline in late
healthy adults do well in recognizing familiar adulthood (Figure 12.36a).
stimuli from long ago, such as the faces of Was this early decline in fluid abilities really
high school classmates (Bahrick et al., 1975). a function of aging or instead the result of dif-
• Spatial memory declines with age, according ferent experiences encountered by the various
to Concordia’s Cooney and Arbuckle (1997) generations? The older adults may have had less
486 CHAPTER TWELVE
Cross-Sectional Data Longitudinal Data
60 60
Fluid
55
55 intelligence
50
Test scores
Test scores
50
Crystallized
45
intelligence
45
Inductive reasoning 40 Inductive reasoning
Spatial orientation Spatial orientation
40 Verbal ability Verbal ability
35
35 30
25 32 39 46 53 60 67 74 81 25 32 39 46 53 60 67 74 81 88
Age (years) Age (years)
(a) (b)
FIGURE 12.36 (a) Cross-sectional data indicate that fluid abilities (reasoning and spatial task performance) begin to decline in young
adulthood, whereas crystallized intelligence (verbal ability) begins to decline in late adulthood. However, (b) longitudinal data from the
same study indicate that both fluid and crystallized intelligence remain fairly stable through young and middle adulthood and do not
decline significantly until late adulthood. The longitudinal and cross-sectional data are consistent in showing that crystallized abilities
decline at a later age than fluid abilities.
Source: Adapted from Schaie, K.W. (1994). “The course of adult intellectual development.” American Psychologist, 49, 304–313.
exposure to scientific problem solving in school various real-world tasks, such as learning to use
or jobs that required less use of abstract intel- a computer. Although 75- to 89-year-olds may
lectual skills. Such factors could have depressed take longer to acquire computer skills and need
their scores artificially. more assistance than their 60- to 74-year-old
To answer this question, Warner Schaie and counterparts, the key is that many retain the
colleagues (1994, 2005) began a study in 1956 intellectual capacity to learn (Echt et al., 1998).
that has now involved several thousand adults.
This study uses a sequential design, incorpo- Use It or Lose It? Maintaining
rating longitudinal and cross-sectional com- Cognitive Functioning
ponents. The longitudinal data do not support The average intellectual decline in old age
34. Identify an early decline in either fluid or crystallized shown in Figure 12.36 is a bit deceiving, since
some factors
intelligence. Rather, most abilities are relatively it is disproportionately influenced by a minor-
associated with
greater retention stable throughout early and middle adulthood ity of Schaie’s older participants who showed
of cognitive and do not reliably decline until late adulthood very pronounced declines. For each intellectual
abilities during (Figure 12.36b). But both the cross-sectional ability, Schaie found that about 70 percent of
late adulthood. and longitudinal data, along with findings from his participants maintained their level of func-
other studies, indicate that fluid intellectual tioning between ages 67 and 74, and 65 percent
abilities typically begin to decline at an earlier maintained it between ages 74 and 81.
age than crystallized intelligence, such as ver- Can we predict who will maintain their level
bal abilities, which are similar at ages 25 and 88 of intellectual functioning the longest? As in
(Singer et al., 2003). the case of maintaining physical fitness, the
Age-related intellectual declines are partly moral for intellectual fitness appears to be
due to poorer perceptual speed, memory, “use it or lose it” (Clarkson-Smith & Hartley,
vision, and hearing (Fristoe et al., 1997). Thus, 1990). In Schaie’s (1994, 2005) longitudinal
we find a bigger intellectual decline dur- research, he found that adults who retained
ing old age when test questions call for quick their level of cognitive functioning tended to
responses (i.e., timed tests) than when they engage in more cognitively stimulating jobs
involve unlimited or ample time (untimed tests). and personal activities (e.g., reading, travel,
This decrease in intellectual speed shows up in continuing education), to marry a spouse with
greater intellectual abilities than their own, grapple with issues concerning parental and
and to maintain a higher level of perceptual peer relations, career goals, gender roles and
processing speed. Singh-Manous, Hillsdon, ethnicity, sexuality, drug use, politics, and reli-
Brunner, and Marmot (2005) conducted a lon- gion. Although some adults recall adolescence
gitudinal study on 10 308 civil servants begin- as a period of conflict and alienation, others
ning in the mid-1980s, when they were 34 to find it to be a positive, relatively carefree period
55 years of age. Their physical activity was of life (Arnett, 1999).
assessed five years later and again, along with
cognitive function, after ten years. Low physi- Adolescents’ Search for Identity
cal activity levels were associated with cog- “Who am I?” “What do I believe in?” Erik Erikson
nitive decline, especially in fluid intelligence. (1968) proposed that such questions reflect the
That is, regular physical exercise and percep- pivotal crisis of adolescent personality develop-
tual-motor activities help to preserve cogni- ment, which he termed identity versus role con-
tive abilities in late adulthood (Allmer, 2005; fusion (see Table 12.2). Erikson believed that an
Newson & Kemps, 2006). adolescent’s “identity crisis” (a term he coined)
Current research suggests that practice can can be resolved positively, leading to a stable
boost many adults’ performance on particu- sense of identity, or can end negatively, leading
lar mental tasks—no trivial matter (Delahunt to confusion over one’s identity and values.
et al., 2009; Petrosini et al., 2009). For example, Building on Erikson’s work, James Marcia
video games that require fast reaction times, (1966, 2002) studied adolescents’ and young 35. Identify
some of the
computer-based memory and attention exer- adults’ search for identity. Marcia classified the
different ways
cises, and regular participation in problem- “identity status” of each person as follows: that adolescents
solving groups to prepare for a community approach the
• Identity diffusion. These teens and adults
competition are among many training activi- challenge of
had not yet gone through an identity crisis.
ties that have been found to improve older establishing an
They seemed unconcerned or even cynical
adults’ performance on specific cognitive tasks identity.
about identity issues and were not committed
(Smith et al., 2009; Stine-Morrow et al., 2008).
to a coherent set of values.
It is important, however, to avoid unrealistic
expectations about the effectiveness of mental • Foreclosure. These individuals had not yet
exercise as a “sure-fire treatment” to prevent gone through an identity crisis either, but
cognitive decline or reverse existing dementia; for a different reason: they committed to an
there is simply too much that we still do not identity and set of values before experienc-
know about aging and age-related changes ing a crisis. For example, some automatically
(Low & Anstey, 2009). adopted peer-group or parental values with-
out giving these values much thought.
• Moratorium. These people wanted to estab-
Social-Emotional and Personality lish a clear identity and were currently expe-
Development riencing a crisis but had not yet resolved it.
G. Stanley Hall (1904), the first psychologist to • Identity achievement. These individuals had
study adolescence, viewed it as a time of “storm gone through an identity crisis, successfully
and stress.” As they cross the bridge between resolved it, and emerged with a coherent set
childhood and adulthood, adolescents may of values.
In Review
• Improvements in information-processing pro- • Information-processing capacities decline
cesses (speed, memory) foster increases in steadily after reaching one’s 30s. However, lon-
abstract reasoning during adolescence. However, gitudinal data show that many intellectual abili-
many teens and adults continue to struggle on ties do not begin to decline reliably until late
formal operational tasks (e.g., the pendulum adulthood.
problem); while some people frequently use • Remaining physically and cognitively active can
abstract reasoning, others rarely do so. maintain cognitive function with advanced age.
488 CHAPTER TWELVE
80 are an autonomous individual, with clear bound-

aries separating you from other people. But in
in each identity status

collectivistic cultures, the concept of “self” is
Percentage of people
60
traditionally based more strongly on the con-
nectedness between people (Kagitáibasi, 1997).
40
Thus, the question “Who am I?” is more likely to
be answered in ways that reflect a person’s rela-
20 tionships with family members, friends, and oth-
ers. Still, keep in mind that we are talking about
0 relative differences. Across cultures, people’s
12 15 18 21 24 sense of identity incorporates elements that
Age of participants (years) involve autonomy from—and interdependence
with—other people (Mascolo & Li, 2004).
Moratorium
Foreclosure Relationships with Parents and Peers
Identity achievement
Identity diffusion When it comes to teenagers’ relationships with
36. To what
their parents, is “storm and stress” the rule or
extent are
the exception? In a national survey, about
parent-teen FIGURE 12.37 Based on interviews in one study,
relationships 80 percent of American teens reported thinking
this graph shows the percentage of participants in
characterized each of Marcia’s four identity statuses at various ages. highly of, and enjoying spending time with, the
by “storm and These data suggest that most young people attain parents with whom they lived at home (Moore
stress”? identity a few years later than Erikson suggested. et al., 2004). About two-thirds of the teens
Source: Adapted from Meilman, P.W. (1979). “Cross-sectional age
reported an overall positive relationship with
changes in ego identity status during adolescence.” Developmental their parents.
Psychology, 15, 230–231. Likewise, research in China, the Netherlands,
Canada, and with various American ethnic
groups suggests that teen–parent conflict is not
As shown in Figure 12.37, most young ado- as severe as often assumed (e.g., Chen et al.,
lescents are in identity diffusion or foreclosure; 1998). For example, Andrew Fuligni (1998) stud-
they have not experienced an identity crisis. ied 1341 female and male American students
But, with age, many identity-diffused teens in Grades 6, 8, and 10. The students came from
think more deeply about who they are, and immigrant and native-born families of Mexican,
most teens in foreclosure reconsider their pre- Chinese, Filipino, and European ancestry. He
maturely adopted values. They experience an found that among both sexes and all four ethnic
identity crisis, and more than half successfully groups, teenagers’ level of conflict with mothers
resolve it by young adulthood. and fathers was low.
Identity, of course, is not a simple concept, Most adolescents also state that if they face a
and our sense of identity has multiple compo- serious problem, they can confide in one or both
nents (Camilleri & Malewska-Peyre, 1997). parents (National Center on Addiction and Sub-
These include (1) our gender, ethnicity, and stance Abuse, 2005). Yet many adolescents also
other attributes by which we define ourselves feel that for various reasons, including the right
as members of social groups (“daughter,” “stu- to preserve their independence, it is acceptable
dent,” “athlete”); (2) how we view our personal to lie to their parents at times. As Figure 12.38
characteristics (“shy,” “friendly”); and (3) our shows, in one study most high school students
goals and values. Typically, we achieve a stable said that they had lied to their parents on sev-
identity regarding some components before oth- eral issues in the past year (Jensen et al., 2004).
ers, and changing situations may trigger new Some parents and teenagers do struggle a
crises and cause us to re-evaluate prior goals lot, and parent–teen conflict is correlated with
and values. other signs of distress. For example, those who
Culture plays a key role in identity formation, report more conflict with parents also display
one that goes beyond the simple idea that we higher levels of school misconduct (e.g., skipping
view ourselves as belonging to certain cultural school), more antisocial behaviour (e.g., getting
groups. Our cultural upbringing influences the into fistfights), lower self-esteem, more drug use,
very way we view concepts such as “self” and and less life satisfaction (Caughlin & Malis, 2004;
“identity.” If you grew up in an individualistic Chen et al., 1998). Recalling the principle that
culture, your sense of identity assumes that you correlation does not equal causation, we must
80
70
Percentage of high school students
60
who lied to parents
50
40
30
20
10
0
Friends Alcohol/Drugs Parties Money Dating Sex
Issues
FIGURE 12.38 In one study, 229 students attending a public high school were asked how often they lied to their
parents about six issues. For each issue, this graph shows the percentage of students who reported lying to their
parents at least once during the past year.
Source: Jensen, L.A., Arnett, J.J., Feldman, S.S., & Cauffman, E. (2004). “The right to do wrong: Lying to parents among adolescents
and emerging adults.” Journal of Youth and Adolescence, 33, 101–112. Fig. 1, p. 106. With kind permission from Springer Science &
Business Media.
consider that although parent-teen conflict may reduced when the parents accurately perceived
be a cause of teens’ psychological problems, it their teens’ cognitions and affect. So, despite
also is likely to be caused by such problems. increased peer influence during adolescence,
In every city, town, and village in Canada, parental influence remains high on political,
teens like to spend time hanging out with religious, moral, and career issues. Indeed, the 37. How do peer
relationships
friends. Peer relationships increase in impor- so-called “generation gap” is narrower than is
change during
tance during adolescence, and some studies often assumed.
adolescence?
find that teenagers spend more time with peers Although parent–teen conflict may contrib-
than doing almost anything else. But this pat- ute to teens’ psychological problems, we should
tern may be stronger in Canada and the United remember that it also is likely to be caused by
States than in Europe or Asia, where teens gen- such problems. And, of course, not all adoles-
erally place a relatively stronger emphasis on cent negative behaviour can be blamed on peers
family relationships (Chen et al., 1998). or parents; for example, aggressive behaviour
Adolescent friendships are typically more may have a genetic component (Guo, 2006).
intimate than those at previous ages and
involve a greater sharing of problems. Peers The Transition to Adulthood
can strongly influence a teenager’s values and In traditional cultures, marriage typically is the
behaviours, thereby facilitating the process of key transitional event into adulthood (Arnett,
separating from parents and establishing one’s 2001). Through socialization, males develop
own identity. For some adolescents, however, skills that will enable them to protect and pro-
experiences with peers increase the risk of mis- vide for a family of their own, and females learn
conduct, such as skipping school, damaging skills needed eventually to care for children and
property, or using drugs (Larson et al., 2006). run a household. Marriage signifies that, in the
Fortunately, peer pressure against misconduct eyes of the culture, each partner has acquired
typically has an even stronger effect, and close- these skills and is deemed capable of raising a
ness to parents is an added buffer that helps family.
many teenagers resist peer pressure to engage In industrialized societies, how do we know
in risky behaviour (Chen et al., 1998). Also, when someone has become an adult? This chap-
Hastings and Grusec (1997) found that conflict ter’s Research Foundations feature examines
between Canadian teens and their parents was this question.
490 CHAPTER TWELVE
Research
Foundations
WHAT DOES IT TAKE TO BECOME General Category Sample of Specific Characteristics

AN ADULT? Individualism Be responsible for one’s actions;
Introduction determine own values/beliefs;
attain financial freedom.
If we asked you “Have you reached adulthood?” how would
you answer? And, in your view, just what does it take to be Family capacities Be capable of caring for and
financially supporting a family.
considered an adult? Jeffrey Arnett examined how North
Americans in various age groups viewed the transition to Norm compliance Refrain from crime, irresponsible
adulthood. Whereas previous research focused on the view- sex, drunk driving, illegal drug
points of adolescents and people in their 20s, this study use.
also examined the viewpoints of older adults. Biological Be capable of fathering/bearing
transitions children.
Method Legal/Chronological Obtain driver’s licence; reach age
Men and women from a mid-sized community were recruited transitions 18; reach age 19.
to participate. There were 519 participants, represent- Role transitions Full-time employment; establish
ing three age groups: 13- to 19-year-olds, 20- to 29-year- career; finish education, get
olds, and 30- to 55-year-olds. Participants rated (“Yes” or married.
“No”) whether each of 38 specific characteristics “must
be achieved before a person can be considered an adult.”
These characteristics were presented in random order and
values and beliefs, seeing oneself as an equal with one’s
represented six general categories of criteria for judging
parents, and attaining financial independence were the
adult status. These categories and some sample items
next most frequently chosen qualities among all age
appear in the accompanying table. Each participant also was
groups. Items such as “reaching age 18,” “employed full-
asked, “Do you think that you have reached adulthood?”
time,” and “marriage” were endorsed by only 47, 32, and
The answer options were “Yes,” “No,” and “In some respects
13 percent of participants, respectively. In fact, if you
yes, in some respects no.” The Design box summarizes key
look at the six general categories shown in the Method
aspects of the method.
section, they are listed in the overall order of importance,
as determined by the average ratings of all the items
in each category. Overall, there was strong consistency
Design
in how the various age groups viewed the importance of
Question: How do people of various ages view the these characteristics.
transition to adulthood? In contrast, substantial age differences emerged in
Type of Study: Correlational whether participants viewed themselves as having reached
adulthood. As Figure 12.39 shows, among adolescents
(average age 16 years), fewer than a fifth said that they
Variable X Variable Y had reached adulthood. Among people in their 20s (average
Age, three groups View of transition
age 24 years), almost half said that they had reached adult-
• ages 13 to 19 to adulthood (e.g.,
Is this characteristic hood. Still, in both of these age groups, the transitional
• ages 20 to 29
• ages 30 to 55 necessary to be “yes and no” response was most common. Only among
considered an adult? people in mid-life (average age 42 years) did most view
Are you an adult?) themselves as having fully attained adulthood.
Discussion
Results Along with other research conducted across North America,
What qualities were judged as necessary to be consid- this study reveals that on the psychological road to adult-
ered an adult? Regardless of age group, about 90 percent hood, biological, legal, chronological, and role transitions
of par ticipants endorsed the impor tance of accepting take a backseat. Individualism—becoming a responsible,
responsibility for one’s actions. Establishing one’s own independent person—was judged to be the single most
Have You Reached Adulthood? important general criterion. Still, in making the transition
90 from adolescence to adulthood, multiple factors appear to
Yes
come into play for most people.
80 Yes & No
This study had several strengths. It addressed an
No
70 interesting question, one likely to assume great personal
relevance for many people at some point in their lives.
60
The 38 characteristics for judging adulthood status were
Percent
50 carefully chosen on the basis of prior research, and the

40
participants represented a broader age range than in pre-
vious studies.
30 All studies have limitations, however, and as a critical
20 thinker, you should recognize that this study employed a
cross-sectional design. The findings tell us, at a given point
10 in time, how various age groups view the transition to adult-
0 hood. It would be interesting to study the same participants
Teens 20s Mid-life by using a longitudinal design and, thus, examine more pre-
Age group cisely how people’s views of “becoming an adult” change as
they grow older. Additionally, most participants in this study
FIGURE 12.39 Have you reached adulthood? This graph (84 percent) were White. As Arnett notes, although the over-
shows the percentage of people in their teens, 20s, and 30s to
all findings were consistent with those of studies conducted
mid-50s (mid-life) who felt that they had not, had partially, or
had fully reached adulthood. elsewhere in North America, the question of whether the
transition to adulthood is viewed differently among various
Source: Jeffrey J. Arnett (2001). Conceptions of the transition to ethnic groups and among people from other cultures needs
adulthood: Perspectives from adolescence through midlife. Journal of
Adult Development, 8, 133–143. Fig. 2, p. 140. With kind permission closer examination.
from Springer Science & Business Media.
Source: Jeffrey J. Arnett (2001). “Conceptions of the transition to adulthood: Perspectives from adolescence through midlife.” Journal of Adult
Development, 8, 133–143.
Stages versus Critical Events their meanings. If the major crises of earlier
in Adulthood stages have been successfully resolved, the per-
Many researchers view adult social develop- son experiences integrity: a sense of complete-
ment as a progression through age-related stages ness and fulfillment. Older adults who have not
(Levinson, 1990). According to Erik Erikson achieved positive outcomes at earlier stages
(1959/1980; look back at Table 12.2), intimacy may experience despair, regretting that they
versus isolation is the major developmental chal- had not lived their lives in a more fulfilling way.
lenge of early adulthood (ages 20 to 40). Intimacy Consistent with Erikson’s model, many goals
is the ability to open oneself to another person increase in importance as people age, and suc-
and to form close relationships. This is the period cessfully resolving certain life tasks contributes
of adulthood in which many people form close to mastering others (McAdams & de St. Aubin,
adult friendships, fall in love, and marry. 1998). Critics caution that we should avoid view-
Middle adulthood (ages 40 to 65) brings ing early, middle, and late adulthood as strict
with it the issue of generativity versus stagna- stages in which one life task takes over while
tion. Through their careers, raising children, or others fade away. Although older adults are
involvement in other activities, people achieve more concerned about generativity and integrity
generativity by doing things for others and mak- than are younger adults, they remain highly con-
ing the world a better place. Certainly, many cerned about intimacy (Sheldon & Kasser, 2001).
young adults make such contributions, but gen- Another way to view adult social develop-
erativity typically becomes a more central issue ment is through the major life events that people
later in adulthood (Slater, 2003). experience. Sigmund Freud (1935) once defined
Late adulthood (age 65 and older) accentu- psychological adjustment as “the ability to love
ates the final crisis, integrity versus despair. and work,” and many key life events revolve
Older adults review their lives and evaluate around these two themes.
492 CHAPTER TWELVE
Marriage and Family couples are unhappy. They are still satisfied,
Around the world, most people marry or form just a little less so. In a sense, the honeymoon
another type of family union at some point in is over.
their lives, and family structures can vary The birth of a first baby dramatically alters
widely both across and within various cultures. the way couples spend their time. For many cou-
The “average” family in North America and ples, marital satisfaction decreases in the year
some other parts of the world has changed in or two after their first child is born (Cowan &
several ways over recent generations. For exam- Cowan, 2000). Compared with husbands, wives
ple, Baby Boomers were born a few years after are more likely to leave their outside jobs, spend
the end of World War II, and their children (born more time parenting, and feel that their spouses
in the 1960s through the early 1980s) became are not helping enough. Disagreements over the
known as Generation X. As Figure 12.40 shows, division of labour and parenting are a major
compared with the families that Baby Boomers contributor to the drop in marital satisfaction
grew up in, members of Generation X are more (Frisco & Williams, 2003).
likely to have experienced parental divorce, had Over a broader age period, cross-sectional
two working parents, had a smaller number of studies suggest a U-shaped relation between
siblings, and yet maintained a similar level of marital satisfaction and progression through
closeness to their parents (Bengtson, 2001). major life events. The percentage of couples
Adults typically expect much from marriage, reporting that they are “very satisfied” in their
but a high divorce rate in many countries indi- marriage typically is highest before or just
cates that marital happiness is by no means as the first child is born, drops during child-
automatic. Successful marriages are character- rearing years, and increases after all the children
ized by emotional closeness, positive commu- have left home (Orbuch et al., 1996). Contrary
nication and problem solving, agreement on to the popular “empty nest” stereotype, most
basic values and expectations, and a willing- middle-aged couples do not become signifi-
ness to accept and support changes in the part- cantly depressed or suffer a crisis when their
ner (Cordova et al., 2005). On average, marital children leave home (Chiriboga, 1989). Couples
satisfaction declines over the first few years maintain meaningful relationships with their
after the knot is tied (McNulty & Karney, 2004). children but have more time to spend with each
This decline does not mean, however, that most other and pursue leisure activities.
90
80
Baby Boomers at age 18–22
70
Generation X at age 18–22
60
Percentage
50
40
30
20
10
0
More than Father Mother Mother Mother Parents Solidarity Solidarity
two siblings? college college homemaker? employed divorced? with with
grad? grad? full-time? mother? father?
FIGURE 12.40 Growing up in different generations. Baby Boomers were surveyed when they were 18 to 22 years
old and asked to identify various characteristics of the families in which they had grown up. A generation later, when
the Baby Boomers’ children (Generation X) had turned 18 to 22 years old, they answered the same survey ques-
tions as their parents had.
Source: V.L. Bengtson, 2001, “Beyond the Nuclear Family: The Increasing Importance of Multigenerational Bonds,” Journal of
Marriage and the Family, 63(1), 1–16, Fig 2. www.interscience.wiley.com. Reprinted by permission of the publisher.
Despite the stresses that accompany mar- Diane Benoit and Kevin Parker (1994) con-
riage and parenthood, studies around the globe ducted a longitudinal study on 96 Canadian
find that married people experience greater infants, their mothers, and their grandmothers.
subjective well-being than unmarried adults They found 88 percent agreement in attach-
(Keyes & Waterman, 2003). They tend to be hap- ment classification of mothers and their infants,
pier and live longer. Although raising children and 65 percent agreement across the three
is demanding, parents often report that having generations—much greater than expected by
children is one of the best things that happened chance. Benoit and Parker’s results suggest that
in their lives. the patterns of attachment are passed on from
one generation to the next. However, along with
Cohabitation. Some couples in committed rela-
attachment, difficult temperaments, poverty,
tionships cohabit—that is, live together without
and other factors may also be involved.
being married. According to Statistics Canada,
8.6 percent of the adult population cohabited in
Establishing a Career
a “common-law” relationship in 2012. Couples
may cohabit as a permanent alternative to mar- In the adult world, one of the first questions a
riage, but many more people do so as a “trial new acquaintance typically asks is “So, what
marriage” to determine if they are compatible do you do?” A career helps us earn a living and
before tying the knot. In Sweden, premarital defines an important part of our identity. Work
cohabitation appears to be the norm among provides an outlet for achievement, gives us
newlyweds (Duvander, 1999). Not all premari- structure, and is a significant source of social
tal cohabitation leads to marriage; Manning interactions. Having satisfying relationships at
and Smock (2002) found that the probability of work is especially important in collectivistic
cohabiters expecting to marry depended in part countries (Siu, 2003).
on the socioeconomic status of the man. According to Donald Super (1957), a pio-
neer in the field of vocational psychology, from
childhood through our mid-20s, we first enter
a growth stage of career interests in which we
Thinking critically
form initial impressions about the types of jobs
we like or dislike. This stage is followed by a
COHABITATION AS A “TRIAL MARRIAGE”
more earnest exploration stage in which we
What would you predict? Do couples who live form tentative ideas about a preferred career
together before getting married have a lower,
and pursue the necessary education or training.
higher, or similar rate of divorce compared to
couples who do not live together before they get From the mid-20s to mid-40s, people often enter
married? Why? an establishment phase, during which they begin
Think about it, and then see the Answers section to make their mark. Initially, they may experience
at the end of the book. some job instability. After college, for example,
many people are likely to change careers at least
once. Eventually, careers tend to become more
stable, and people enter a maintenance stage that
Attachment revisited. Before we leave mar- continues into late adulthood. Finally, during the
riage and parenthood, note that, according to decline stage, people’s investment in work tends
attachment theory, security of attachment influ- to decrease, and they eventually retire.
ences the relationships adults form with their Although this general model is useful, peo-
partner and their children. Adults’ security of ple’s career paths vary, and this is especially
attachment with their mothers has been classi- true for women. Overall, compared with their
fied by using interviews (e.g., Benoit & Parker, fathers and mothers at the same age, today’s
1994) and questionnaires (e.g., Webster, 1997). young women hold higher career aspirations
The proportions of secure, avoidant, and resis- (Bengtson, 2001). Still, family responsibilities,
tant attachment styles are similar for adults and which fall disproportionately on women even
infants, at least for Canadian and American sam- when their married partners have similar job
ples, and adult attachment styles are related to status, are a major cause of women’s work
social relationships (Goldberg, 1991). For exam- gaps outside the home, of reductions to part-
ple, a disproportionate number of adults with time work status, or of delayed entry into the
various behavioural problems (including crimi- workforce (Smithson et al., 2004). After raising
nal behaviour; e.g., Wand, Hudson, & Marshall, a family, many women enter the workforce for
1996) have a history of insecure attachment. the first time, reinvigorate an earlier career,
494 CHAPTER TWELVE
or return to college to prepare for a new one. mid-life, but so do people of all ages (Wethington,
Career gaps also occur when adults must tem- 2000). As Erikson emphasized, there are major
porarily leave the workforce to care for their goals to achieve, crises to resolve, and rewards
elderly parents. As in raising children, women to experience in every phase of life.
disproportionately fill this elder-care role.
Retirement and the “Golden Years”
Mid-Life Crisis: Fact or Fiction? Older adults are the fastest-growing segment
Popular wisdom holds that, along the developmen- of the population in many countries, including
tal path of career and family, people hit a massive Canada. In 2012, according to Statistics Canada,
pothole called the mid-life crisis. Is it true? Dan- the median age in Canada was 40.0 years, the
iel Levinson and his colleagues (1978, 1986) lon- oldest it has ever been. There are almost as
gitudinally studied 85 men and women and found many Canadians 65 and older (5 186 822) as
that many experienced a turbulent mid-life transi- there are younger than 15 (5 663 163); a record
tion between the ages of 40 and 45. They began to 14.9 percent of the total population was over
focus on their mortality and realized that some of 65. Furthermore, the age group between 55 and
their life’s dreams pertaining to career, family, and 64—a group of people that will soon retire—is
relationships would not come true. at a record high of 4 491 528 (almost 13 percent
Critics note that Levinson’s sample was small of the Canadian population)!
38. Is the mid-life and nonrepresentative. In fact, there is consid- Retirement is an important milestone. Some
crisis a myth?
erable evidence that the notion of a full-blown, adults view it as a reminder that they are grow-
Discuss the
evidence.
turmoil-filled mid-life crisis is largely a myth ing older, but many look forward to leisure and
(Lachman, 2004). Research conducted around other opportunities they were unable to pursue
the world shows that happiness and life satisfac- during their careers. Most retired people do not
tion generally are unrelated to age (Diener et al., become anxious, depressed, or dissatisfied with
1999). In one study of adolescents and people life because of retirement itself, although those
in young, middle, and late adulthood from eight who have strong work values are most apt to
Western European countries, about 80 percent miss their jobs (Hyde et al., 2004).
39. Does of each age group reported they were “satisfied” The decision to retire or keep working typi-
retirement cause or “very satisfied” with their lives (Ingelhart & cally involves many factors, such as one’s feel-
psychological Rabier, 1986). Moreover, people in their 40s do not ings about the job, leisure interests, physical
problems for have higher rates of divorce, suicide, depression, health, financial security, and family relation-
most retirees? feelings of meaninglessness, or emotional insta- ships. Family income, leisure time, and family
Under what bility than younger or older adults (Figure 12.41; roles change with retirement, and married cou-
conditions are
McCrae & Costa, 1990; Kessler et al., 2005). ples often experience increased marital stress
such problems
most likely? In sum, adults surely experience conflict, dis- after a spouse retires, especially if the other
appointment, frustration, and worry as they enter spouse is still working. Over time, however, they
typically adjust to their new circumstances and
32 marital quality is enhanced (Moen et al., 2001).
Women Some people, of course, do not have the lux-
Men ury to choose their work status. They may be
forced into retirement by job layoffs or manda-
Neuroticism scores
24
tory retirement ages, or feel compelled to keep
working for economic reasons. These circum-
16
stances can have a significant impact on well-
being. Whether in their 50s, 60s, or 70s, adults
8 who are working or retired because this is what
they prefer report higher life satisfaction and
better physical and mental health than adults
36 39 42 45 48 51 54 who are involuntarily working or retired (Shultz
Age (years) et al., 1998). Of course, declining physical and
FIGURE 12.41 In a national health survey of over mental health also may be factors that lead peo-
10 000 men and women, the percentage of individu- ple to retire in the first place. Thus, biological,
als measured to have “emotional instability” remained psychological, and environmental factors noted
steady between the ages of 33 and 54. in Figure 12.42 continue to exert their influence
Source: From McCrae, R.R. & Costa, P.T. (1990). Personality in
on development and jointly shape how people
adulthood. New York, NY: Guilford Press. navigate their golden years.
Lifespan Development
Levels of Analysis
We’ve seen in this chapter that aging is a biological process intertwined
with psychological and environmental components. Using these three ENVIRONMENTAL
levels of analysis, let’s highlight some of the main points we’ve • Teratogens cause abnormal prenatal
covered. development.
• Different parenting styles (e.g., authoritative
versus authoritarian) are associated with different
patterns of child development outcomes.
• Prolonged social isolation and attachment
deprivation pose developmental risks.
BIOLOGICAL • Cognitive development occurs in a social context;
• Newborns’ reflexes and temperament socialization influences the acquisition of a moral
are biologically based; our genetic conscience and sex-role stereotypes.
blueprint guides the aging process. • Peer relationships often take on increased
• Critical and sensitive periods occur during importance during adolescence, and peers
prenatal development and childhood. can strongly influence a teen’s values and
behaviour.
• Physical and motor development follow the
cephalocaudal and proximodistal principles.
• A surge in pituitary hormones during puberty speeds
maturation of sex organs and produces secondary sex
characteristics.
PSYCHOLOGICAL
• Brain maturation is especially rapid during infancy
and childhood. Many neural circuits are rewired • Newborns have perceptual preferences
during adolescence. and basic learning capabilities.
• People generally achieve their physical and • The acquisition of new schemas and improved
perceptual peak and greatest brain information-processing skills underlie cognitive
efficiency in young adulthood. development.
• Compared with imprinting in some animals, infant-
caregiver attachment in humans is more flexible; it
involves periods of stranger and separation anxiety.
Consider this possible interaction between environmental and • Children’s ability to express and regulate their emotions
improves with age; they acquire a gender identity and
psychological levels of analysis. In Arnett’s (2001) research sex-role stereotypes.
on the psychological transition to adulthood among students, • The capacity for abstract thinking and a focus on
“individualism” emerged as a key factor. In cultures that one’s identity increase during adolescence.
are relatively more collectivistic, do you think that people • The psychological transition from adolescence
would place greater weight on other characteristics in judging to adulthood is multifaceted and typically
not based on attaining a particular
whether they have reached adulthood?
age or social role.
FIGURE 12.42
Death and Dying levels; it is an inevitable biological process, but

It was a grand birthday party. Jeanne Calment one with important psychological and environ-
(Figure 12.43) was born in France ten years mental components.
after the American Civil War. By age 60, she had In her pioneering work on dying, Elisabeth
lived through a world war and the invention of Kübler-Ross (1969) found that terminally ill
the radio, telephone, motion picture, automo- patients often experienced five stages as they
bile, and airplane. Still to come was another coped with impending death. Denial typically
world war, TV, space flight, computers, and the came first, as the person refused to accept that
Internet. Calment rode a bicycle until age 100 the illness was terminal. Next, denial often gave
and her 120th birthday was a grand affair. When way to anger and then to bargaining, such as
a reporter asked how her future looked, Jeanne “Lord, please let me live long enough to see my
replied with a wry sense of humour, “Very brief.” grandchild.” Depression ushered in the fourth
All of us eventually face death. Like other stage, as patients began to grieve. Finally, many
aspects of lifespan development summarized experienced acceptance and a resigned sense of
in Figure 12.42, death can be viewed at several peacefulness.
496 CHAPTER TWELVE
Francois Mori/AP Photos/The Canadian Press
FIGURE 12.43 Jeanne Louise Calment of Arles,

France, was born in 1875 and died in 1997 at the age
of 122. Calment’s life is the longest that has been
verified.
© Reuters/Corbis
It is essential to keep in mind that these stages
40. Why is it do not represent a “normal” or “correct” way FIGURE 12.44 Many cultures honour a person’s
incorrect to say death with a ceremony that involves family, friends,
to face death, and that terminally ill patients’
that there is and the wider community. In some cultures, this occa-
reactions may not typify those of people facing
a “normal” or sion is traditionally sombre; in others, it is a joyous
“proper” way to death under other circumstances (Doka, 1995). celebration.
confront death? Even among terminally ill patients, some move
back and forth between stages, do not experi-
ence all the stages, or look forward to death
(Schulz & Aderman, 1980). Beliefs and customs concerning death vary
Kübler-Ross’s ideas have become widely across cultures (Figure 12.44) and individuals
known, but her research and model have (Werth et al., 2002). To some, death means the
remained topics of discussion and debate complete end of one’s existence. Others believe
(Maciejewski, 2007; Roos, 2013). It is impor- in reincarnation or that the soul enters an after-
tant to keep in mind that Kübler-Ross studied life. Death also means different things to people
terminally ill patients and described the proof different ages (Cicirelli, 1998). Older adults
cess of dying among those individuals. Her typically have lost more friends and loved ones,
model, however, has also been applied to and have thought more about their own deaths
describe how people deal with loss, trauma, than have younger people. Understandably, the
and bereavement. Extensive research by elderly are more accepting of their own deaths
George Bonanno indicates that when people than any other age group (Kalish & Reynolds,
deal with loss or trauma they do not pass 1977). In the midst of a fatal heart attack, one
through Kübler-Ross’s stages of grief, but tend 81-year-old man reassuringly told his family,
to be surprisingly resilient (Bonanno, 2009; “It’s my time. It’s been a good life.” We should all
Mancici & Bonanno, 2012). wish for this blessing of a fulfilled life’s journey.
In Review
• Erikson proposed that intimacy versus isolation, • For many couples, marital satisfaction tends to
generativity versus stagnation, and integrity ver- decline in the years following the birth of chil-
sus despair are the main crises of early, middle, dren, but it increases later in adulthood. Adult-
and late adulthood. mother attachment styles are related to social
• Young adolescents often show egocentrism in their relationships and may be passed on from one
social thinking. The search for identity is a key generation to the next.
task of adolescence. With age, teens who have • Work serves important psychological and social
not experienced an identity crisis become more functions. Overall, women experience more
likely to do so, and most resolve it successfully. career gaps and their career paths are more
• During adolescence, peer relationships become variable than men’s. Most adults do not experi-
more important and intimate. Most teens main- ence a full-blown “mid-life crisis.” Similarly, most
tain good relations with their parents. retired people do not become more anxious,
depressed, or lonely because of retirement.
• In North America, the most important criterion for
a transition into adulthood is becoming a respon- • Many terminally ill patients experience similar
sible, independent person. In traditional cultures, psychological reactions as they cope with their
marriage is a common marker of this transition. impending death, but beliefs and feelings about
death vary with culture and age, and there is no
• In general, married people tend to be happier “normal” way to approach death.
and live longer.
Gaining Direction
What are the Brain development in infants is a very com- will development be influenced by the screen
issues? plex activity. Perceptual development requires images? How are we ever going to test this
exposure to and interaction with the environ- properly? Is there any evidence of enhanced
ment. But what happens if we replace the “real development using technology? Is this
world” with a technology-based virtual world? really any different from letting kids watch
Will the brain develop in a normal fashion or television?
What do What is the normal path of brain development? Does prolonged use of a tablet result in digital
we need to Does a virtual world result in a virtual brain? dependency?
know? Can kids really see the screen properly? How much use is appropriate?
Will concentrating on the screen harm vision? Can apps help young children learn?
Where can We need to begin by looking at the abilities studies in this area. One consideration would
we find the of the newborn and consider both sensory be infant’s visual acuity—are they straining
information to and brain development. There are not a lot their eyes watching the screen? Finally, we
of studies on infant tablet usage, so we might should consider what it means to be digitally
answer these
have to look for research on television or dependent and whether early usage promotes
questions? even see if there are any appropriate animal this disorder.
CHAPTER
Behaviour in a Social
Context 13
CHAPTER SOCIAL THINKING AND PERCEPTION SOCIAL RELATIONS
OUTLINE Attribution: Perceiving the Causes of Behaviour Affiliation and Interpersonal Attraction
Forming and Maintaining Impressions Love
Attitudes and Attitude Change Prejudice and Discrimination
Applications: Making Close Relationships Work:
SOCIAL INFLUENCE
Lessons from Psychological Research
The Mere Presence of Others
Focus on Neuroscience: The Neuroscience of
Social Norms: The Rules of the Game Stereotyping
Conformity and Obedience
Prosocial Behaviour: Helping Others
Research Foundations: The Dilemma of Obedience:
Aggression: Harming Others
When Conscience Confronts Malevolent Authority
Frontiers: Do Violent Video Games Promote
Crowd Behaviour and Deindividuation Aggression?
Group Influences on Performance
and Decision Making
Without the human community, one single human being cannot survive.
—The Dalai Lama
At approximately 12:30
P.M. on September 13, What are the
2006, Kimveer Gill parked issues here?
his car on Boulevard de
Maisonneuve in Montreal. He popped What do we need
the trunk and removed a Beretta to know?
semi-automatic carbine, a Glock
9mm handgun and a shotgun. He Where can
then proceeded to the entrance of we find the
Dawson College and opened fire. information to
As he entered the college, he made answer these
questions?
his way to the cafeteria, where he
reloaded the weapons and began to
shoot people at random. Two police
officers who had been visiting the
school responded immediately and
exchanged fire with Gill. He was
shot in the arm by one of the officers,
and shortly afterwards, he turned Peter McCabe/The Canadian Press
his weapon on himself and died at
12:48 P.M. In less than 20 minutes, Gill had killed one woman and injured 19 other people, 8 critically.
Fortunately, all 19 people recovered. When police searched Gill’s home, they found a number of firearm
accessories, a letter of apology, and a letter praising the actions of Eric Harris and Dylan Klebold, the
Columbine shooters.
Gill’s blog at the Goth site vampirefreeks.com contained photos of all his weapons, articles on
his various interests, and information suggesting that the shooting was premeditated. Gill’s screen
name was “fatality 666” and he commented that he would become known as the Angel of Death. He
liked violent video games and was a fan of Postal, Blood, 25 to Life, and Doom. It is rumoured that
he also liked Super Columbine Massacre. In his profile, Gill wrote, “Work sucks . . . School sucks . . .
Life sucks . . . What else can I say? Life is like a video game, you gotta die sometime.”
To date, there have been over 145 shooting incidents at schools, colleges, and universities in
North America. Over 300 people have been killed.
A
s social beings, we belong. We spend our
lives in a stream of social environments
that profoundly shape how we behave,
think, and feel. In this chapter, we explore the
field of social psychology, which studies how
we think about and perceive our social world
(social thinking and social perception), how
other people influence our behaviour (social
inf luence), and how we behave toward other
people (social relations).
SOCIAL THINKING © Bruce Ayres/Getty Images
AND PERCEPTION FIGURE 13.1 “He’s been under a lot of stress lately.”
“He only thinks about himself. What a jerk!” Depending on
Beyond decision making, we spend a great which attribution she makes for her husband’s outburst,
deal of time thinking about our social world. this woman may respond with understanding or anger.
We hold countless attitudes and beliefs, won-
der about why people act as they do, and defendant’s behaviour influence their decisions
develop impressions of people. Social psy- about guilt versus innocence.
chologists have devoted considerable atten-
tion to these three aspects of social thinking Personal versus Situational Attributions
and perception. Fritz Heider, a pioneer of attribution theory, main-
tained that our attempts to understand why people
behave as they do typically involve either personal
Attribution: Perceiving the attributions or situational attributions (Heider,
Causes of Behaviour 1958; Stewart et al., 2010). Personal (internal)
In everyday life, we often make attribu- attributions infer that people’s behaviour is caused
tions, judgments about the causes of our own by their characteristics: Bill insulted Carl because
and other people’s behaviour and outcomes Bill is a rude person; my A on an exam reflects
(Figure 13.1). Was my A on the mid-term because my high ability. Situational (external) attribu-
of hard work and ability, or was it just an easy tions infer that aspects of the situation cause a
test? Did Bill criticize Carl because he is a rude behaviour: Bill was provoked into insulting Carl; I
person, or was he provoked? Attributions influ- received an A because the test was easy. 1. What types
of information
ence our subsequent behaviour and emotions. If I How do we decide whether a behaviour is
lead us to form a
attribute my A to hard work and ability, I will feel caused by personal or situational factors? Sup- situational rather
greater pride and continue to exert more effort pose you ask Kim for advice on whether to take a than a personal
than if I attribute it to an easy test (Weiner, 1985). particular course (say, Art 391) and she tells you attribution?
In the courtroom, jurors’ attributions about a that the course is terrible. Is Art 391 really terrible
500 CHAPTER THIRTEEN
(a situational attribution), or did something about attributions are more closely linked to the medial
Kim (a personal attribution) lead to this response? prefrontal cortex (Moran et al., 2014).
According to Harold Kelley (1973), three types of
information determine the attribution we make: Attributional Biases
consistency, distinctiveness, and consensus. Social psychology teaches us that the immedi-
2. Describe the First, is Kim’s response consistent over time? If ate social environment profoundly influences
fundamental you ask Kim again two weeks later and she still behaviour. Yet we often form negative opinions
attribution says that Art 391 is terrible, then consistency is about the participants in these studies because
error and the
high. Second, is her response distinctive? If Kim we tend to make a fundamental attribution
self-serving
dislikes only Art 391, then distinctiveness is high. error: We underestimate the impact of the situ-
bias. How do
cultural norms If she thinks that most of her courses are terrible, ation and overestimate the role of personal fac-
affect these then distinctiveness is low. Finally, how do other tors when explaining other people’s behaviour
attributional people respond? If other students agree with Kim (Neuschatz et al., 2008; Ross, 2001).
tendencies? that Art 391 is terrible, then consensus is high. But In a classic experiment, university students
if they disagree with her, then consensus is low. read either a favourable or unfavourable
As Figure 13.2 illustrates, when consistency, speech about Cuban president Fidel Castro, pre-
distinctiveness, and consensus are all high, we sumably written by a member of a university
are likely to make a situational attribution: The debating team (Jones & Harris, 1967). They then
course is terrible. But, when consistency is high estimated the writer’s attitude toward Castro.
and the other two factors are low, we make a Half the students were told that the debate team
personal attribution: Perhaps Kim is overly criti- member freely chose the favourable or unfa-
cal or just doesn’t like university. vourable position. The others were told that the
At times, people do respond thoughtfully and favourable or unfavourable viewpoint had been
take consistency, distinctiveness, and consensus assigned by the debate coach—it was not the
information into account when making attribu- debater’s choice. Figure 13.3 shows that when
tions. But, at other times, people take mental the speech was freely chosen, students logically
shortcuts and make snap judgments that bias assumed that the debater had a correspondingly
their attributions (Ross & Nisbett, 1991). Inter- positive or negative attitude about Castro. Yet,
estingly, Brosch et al. (2013) have shown that when told that the role was assigned, students
when people take situational information into paid insufficient attention to this situational fac-
consideration, the dorsolateral prefrontal cortex tor and still perceived that the pro-Castro and
is involved, indicating more thoughtful top-down anti-Castro debaters had different personal
processing of the information. Dispositional beliefs. Similarly, people make the fundamental
Behaviour Attributional factors Attribution
Consistency Distinctiveness Consensus

High Low Low Personal attribution
When asked, Kim Kim says that Other students Kim is overly critical
always says that all her classes say that Art 391
Art 391 is boring are boring is great
Kim says
that Art 391
is boring
High High High Situational attribution
When asked, Kim Kim says that Other students Art 391 is boring
always says that only Art 391 say that Art 391
Art 391 is boring is boring is boring
FIGURE 13.2 According to Harold Kelley, consistency, distinctiveness, and consensus information help us
determine whether to make personal or situational attributions for someone else’s behaviour. Note that in both
examples, above, consistency is high. If a person’s behaviour has low consistency (suppose that sometimes Kim
says Art 391 is boring, and other times she says it’s interesting), we typically attribute the behaviour to transient
conditions (e.g., changes in Kim’s mood) rather than to stable personal or situational factors.
Source: Based on Kelley, H.H. (1973). The process of causal attribution. American Psychologist, 28, 107–128.
Attitude attributed
to speaker
Pro- 70
Castro Pro-Castro speech
Anti-Castro speech
60
50
40
30
20
Anti- 10
Castro Chosen Assigned
FIGURE 13.3 These data illustrate a fundamental NBC/Courtesy Everett Collection/The Canadian Press
attribution error. When told that a debate coach had
assigned a team member to write a pro- or anti-Castro FIGURE 13.4 Unlike Mr. Spock, the logical and emo-
speech, university students still attributed a more anti- tionless Vulcan from the series Star Trek, actor Leonard
Castro attitude to the writer of the anti-Castro speech. Nimoy has feelings just like the rest of us. TV and
movie fans make the fundamental attribution error
Source: Data from Jones, E.E., & Harris, V.A. (1967). The when they expect media stars to have the same traits
attribution of attitudes. Journal of Experimental Social as the characters they play. The title of Nimoy’s autobi-
Psychology, 3, 2–24. ography, I Am Not Spock, emphasizes this point.
attribution error on the basis of actors’ profes- schoolmates and a teacher. In the following
sional roles: They expect TV and movie stars to days, Gallup Polls found that most Americans
have the same personal traits as the characters rated situational factors such as parenting, gun
they play (Tal-Or & Papirman, 2007). Figure 13.4 availability, TV and movie violence, and media
illustrates this example. coverage of past shootings as bearing consid-
The fundamental attribution error applies to erable blame. On one set of questions, only
how we perceive other people’s behaviour rather 11 percent made a personal attribution for the
than our own. As comedian George Carlin once shooters’ behaviour, such as “mental problems,”
noted, the slow driver ahead of us is a “moron,” “bad kids,” “anger,” or “wanting attention”
and the fast driver trying to pass us is a “maniac.” (Gillespie, 1999; Saad, 1999).
Yet we do not think of ourselves as a “moron” or When people have time to reflect on their
a “maniac” when we are driving slowly or trying judgments or are highly motivated to be care-
to pass another driver. One reason for this is that ful, the fundamental attribution error is reduced
we have more information about the present situ- (Burger, 1991; Gilbert & Malone, 1995). The
ation when making judgments about ourselves, Columbine shooting was preceded by a tragic
as when we are driving slowly to follow unfamil- string of similar and highly publicized incidents
iar directions. Second, the perceptual principle across the United States. The American public
of figure-ground relations comes into play. When was already highly engaged in this issue and
you watch others behave, they are the “figure” had considerable time to think about the causes
that stands out against the background. But when of school violence. Similarly, when a 14-year-
we behave, we are not “watching” ourselves. We old boy opened fire at the W.R. Myers High
are part of the background, and the situation that School in Taber, Alberta, one week after Colum-
we are in stands out. If you watch yourself on a bine, we were ready to think about the possible
videotape, you now become the figure, and are situational determinants of such behaviour.
more likely to make personal attributions about When it comes to explaining our own behav-
your own behaviour—as if you were observing iour, we tend to protect our self-esteem by
someone else (Storms, 1973). displaying a self-serving bias: making rela-
Is the fundamental attribution error inevita- tively more personal attributions for successes
ble? Certainly not. Recall that Eric Harris and and more situational attributions for failures
Dylan Klebold went on a shooting rampage in (Ross & Nisbett, 1991). In one study of ath-
1999 killing 12 of their Columbine High School letes’ post-game statements, successes tended
to be attributed to personal factors, such as Personal attributions

“We played great defence and hung in there,” 50
North America
whereas losses were more frequently attrib-
India
uted to external causes, such as poor offici-
ating or “Everything they shot was going in”
(Lau & Russell, 1980). The strength of the self-
25
serving bias depends on various factors, rang-
ing from one’s psychological state to cultural
Percentage of personal and situational

norms. Depressed people, for example, often
attributions for negative behaviours

display the opposite attributional pattern—
taking too little credit for successes and too
much credit for failures—a pattern that helps 0
8 11 15 Adult
to keep them depressed.
Age of respondents
Culture and Attribution
Situational attributions
Just as culture influences how we perceive the 50
physical world (see Chapter 5), it also affects
how we perceive the social world. Consider the
fundamental attribution error. Many studies sug-
gest that the tendency to attribute other people’s
behaviour to personal factors reflects a Western-
25
ized emphasis on individualism (Triandis, 2001).
In a study by J.G. Miller (1984), participants of
varying ages from India and the United States
attributed causality for several behaviours. As
Figure 13.5 shows, with increasing age, partici-
pants from India made more situational attribu- 0
8 11 15 Adult
tions and those from the United States made more
personal attributions. Similarly, American uni- Age of respondents
versity students and British schoolchildren make FIGURE 13.5 With increasing age from childhood to
more personal attributions for other people’s crim- adulthood, North Americans show a greater tendency
inal behaviour than do Korean university students to make personal attributions for other people’s behav-
and Nigerian schoolchildren, who come from less iours. In contrast, participants from India show an
individualistic cultures (Na-Eun-Yeong & Loftus, increased tendency to make situational attributions.
1998; Pfeffer et al., 1998; Tyson & Hubert, 2002). Source: Data from J.G. Miller, 1984, Culture and the
Culture also influences attributions for our Development of Everyday Social Explanation, Journal of
own behaviour (Singh et al., 1979). Modesty is Personality and Social Psychology, 46, 961–978, Table 2.
highly valued in China’s collectivistic culture, Copyright © 1984 by the American Psychological Association.
Reprinted by permission of the author and the publisher.
and Chinese university students take less credit
for successful social interactions than do Ameri-
can students, while accepting more responsibil- higher overall on measures of holistic thinking
ity for their failures (Anderson, 1999). and also took a greater amount of information
Beyond influencing the types of attributions into account when making causal attributions
that we make, our cultural background also for other people’s behaviour.
seems to affect the way we go about making Importantly, this relation between holistic
attributions. Consider that East Asians, in gen- thinking and the use of information was also
eral, tend to hold a more holistic view of the found within each culture. Among the Ameri-
universe than Westerners (Nisbett et al., 2001, can students and among the Korean students,
2008). This view, reflected in the belief that those who thought more holistically than their
all events are interconnected and therefore peers took more information into account when
cannot be understood in isolation, leads East making attributions (Choi et al., 2003). Thus, the
Asians to develop more complex views about same underlying psychological principle—a
the causes of behaviour. Accordingly, Incheol link between holistic thinking and beliefs about
Choi and colleagues (2003) predicted and found causality—seems to account for information-
that compared with European-American col- seeking differences between cultures as well as
lege students, Korean college students scored among individuals within each culture.
Forming and Maintaining (Ambady & Skowronski, 2008), and some evo-
lutionary psychologists propose that evaluating
Impressions stimuli quickly (such as rapidly distinguishing
As social beings, we constantly form impres- friend from foe) was adaptive for our survival
sions of other people, just as they form impres- (Krebs & Denton, 1997). But we are not slaves
sions of us. Attributions play a key role in to primacy. Primacy effects decrease—and
impression formation: Does a person’s behav- recency effects (giving greater weight to the
iour say something about her or him, or is it most recent information) may occur—when we
caused by the situation? Other factors, how- are asked to avoid making snap judgments, are
ever, also affect how we form and maintain reminded to carefully consider the evidence,
impressions. and are made to feel accountable for our judg-
ments (Luchins, 1957b; Webster et al., 1996).
Primacy versus Recency: Are First
Impressions More Important? Mental Sets and Schemas: Seeing
Try this simple exercise: Tell some people that What We Expect to See
you know a person who is “intelligent, indus- Imagine that we are going to a party and I tell
trious, impulsive, critical, stubborn, and envi- you that the host, George, is a distant, aloof, and
ous.” Tell others that this person is “envious, cold person. You meet him and try to make pleas-
stubborn, critical, impulsive, industrious, and ant conversation. George doesn’t say much in
intelligent.” Then ask for their impression of response to your questions, avoids eye contact,
this person. Both groups receive the same and doesn’t ask you about your life. A bit later,
information but in reverse order. In a classic you say to me, “You were right; he’s really a cold
experiment, Solomon Asch (1946) found that fish.” Now let’s roll back this scene. Suppose that
the person in the first description was perceived I had described George as nice, but extremely
more positively—as being more sociable and shy. Later, when you try to make conversation,
happier—than the person in the second descrip- he doesn’t say much, avoids eye contact, and
tion. In another experiment, participants read doesn’t ask you about your life. You say to me,
a two-paragraph story about a boy named Jim. “You were right; he’s really shy.” Same behaviour,
One paragraph described Jim as outgoing, the different impression. This example reminds us of
other as introverted. Participants’ impression of a key perceptual principle highlighted in Chap-
Jim was influenced more strongly by whichever ter 5. Whether perceiving objects or people, the
paragraph they read first (Luchins, 1957a). same stimulus can be “seen” in different ways.
When forming impressions, the primacy Our mental set, which is a readiness to perceive
effect refers to our tendency to attach more 3. Why do
the world in a particular way, powerfully shapes
primacy
importance to the initial information that we how we interpret a stimulus (see Figure 5.2).
effects occur
learn about a person. New information can What creates our mental sets? One important in impression
change our opinion, but it has to “work harder” factor that we have encountered throughout the formation? How
to overcome that initial impression for two rea- book is schemas, mental frameworks that help can they be
sons. First, we tend to be most alert to informa- us organize and interpret information. By telling reduced?
tion we receive first. Second, initial information you that our host is “cold,” “shy,” or “distracted,” I
may shape how we perceive subsequent infor- activate a set of concepts and expectations (your 4. How do
mation. Imagine a student and an athlete who, schema) for how such a person is likely to behave. mental sets
respectively, get off to a great start in class or Although the host’s behaviour can be interpreted shape the way
training camp. The teacher and the coach attri- in multiple ways, you “fit” his behaviour into the we perceive
bute high ability to these people, but, suppose particular schema that is already activated. people? How
that as time goes on, performance declines. To do stereotypes
A stereotype, which is a generalized belief
create mental
maintain their positive initial impression, the about a group or category of people, represents
sets?
teacher and coach need only attribute the per- a powerful type of schema. In one experiment,
formance decline to fatigue, a drop in motiva- participants watched a videotape of a nine-year-
tion, or a string of bad breaks. old girl named Hannah and were asked to judge
Primacy is the general rule of thumb in her academic potential. Half of the participants
impression formation, especially for peo- were told that Hannah came from an upper-
ple who dislike ambiguity and uncertainty middle-class environment and that her parents
(Kruglanski, 2004). We seem to have a remark- had white-collar careers. Other participants
able capacity for forming snap judgments were told that Hannah came from a poor neigh-
based on small amounts of initial information bourhood and that her parents were blue-collar
workers. On the videotape, Hannah performed Self-fulfilling prophecies have since been
at an average level, answering some difficult demonstrated in hundreds of studies across dif-
questions and missing some others. Although all ferent countries and settings, including schools,
participants saw the same performance, those business organizations, the military, sports, and
who thought Hannah came from an affluent set- dating and marital relationships (Madon et al.,
ting rated her higher in ability than did those who 2006; Shapiro et al., 2007). In interacting with
thought she came from a disadvantaged back- others, our initial, unfounded expectations can
ground (Darley & Gross, 1983). In a real sense, influence how we behave toward them, thereby
participants’ stereotypes about blue-collar shaping their behaviour in a way that ultimately
and white-collar workers created a mental set confirms our expectations.
that biased their perception of Hannah’s subse-
quent behaviour. Attitudes and Attitude Change
Self-Fulfilling Prophecies: Creating In 1935, Gordon Allport called attitude “social
What We Expect to See psychology’s most indispensable concept”
(p. 798). Our attitudes help to define our iden-
Seeing what we expect to see is only one way
5. Explain how tity, guide our actions, and influence how we
we confirm our initial expectations and impres-
our incorrect judge people (Maio & Olson, 2000). Indeed,
sions. A self-fulfilling prophecy occurs usually
expectations can attitudes help to steer the course of world
without conscious awareness, when people’s
become self- events, from political elections, to war, to the
fulfilling. erroneous expectations lead them to act toward
latest fashion craze.
others in a way that brings about the expected
An attitude is a positive or negative evalu-
behaviours, thereby confirming the original
ative reaction toward a stimulus, such as a per-
impression. Returning to our “party” example,
son, action, object, or concept (Crano & Prislin,
if you expect the host to be cold and aloof, your
2006; Gawronski, 2007). Whether disagreeing
behaviour toward him may change in subtle
with a governmental policy or agreeing with a
ways. You make conversation, but perhaps
movie review, you are expressing evaluative
you smile less, stand farther away, or give up
reactions. Sometimes, as shown in Figure 13.7,
a little earlier than you would have if I had told
our attitudes are supported by an extensive per-
you that George was a great guy. His reserved
sonal belief and value system.
response, in part, could be a reaction to your
behaviour (Figure 13.6).
Reduces
social
Your discomfort Eases
behaviour studying
(unfriendly, Friends +
Causes guarded) +
(1) dislike
smoking –
Smoking Health
cigarettes –
Your risks
Roommate –
expectation Causes (2) dislikes
(“George is smoking –
unfriendly”)
–
Makes Expensive
you smell
George bad
(3) responds
Confirms in an
your expectation unfriendly FIGURE 13.7 The components of a person’s attitude
fashion toward smoking. Around the attitude object (smoking
cigarettes) are beliefs related to smoking. The plus and
FIGURE 13.6 The self-fulfilling prophecy begins minus signs show the positive or negative value the
when a false expectation that we have about some- person associates with each belief. The minus sign in
one else influences how we treat that person. Next, the centre indicates the resulting overall negative atti-
influenced by our behaviour, the person responds in a tude toward smoking cigarettes.
particular way. Finally, we interpret the person’s behav- Source: Adapted from Sears, D.O., & Kinder, D.R. (1985).
iour as evidence that our expectation was correct all Whites’ opposition to busing: On conceptualizing and
along—unaware of the role that we played in shaping operationalizing group conflict. Journal of Personality and
the person’s behaviour. Social Psychology, 48, 1141–1147.
Do Our Attitudes Influence seek HPV vaccination, become smokers, use

Our Behaviour? condoms, attend church, donate blood, and
If we tell you that, according to research, peo- seek out therapy (Armitage, 2005; Blanchard
ple’s attitudes strongly guide their behaviour, et al., 2002; Courneya et al., 1999; Elliot et al.,
you might reply, “So what? That’s just common 2007; Fisher et al., 2013; Rutter, 2000; Sieverding
sense.” But consider a classic study by Rich- et al., 2010; Yardley & Donovan-Hall, 2007). Atti-
ard LaPiere (1934). In the 1930s, he toured the tudes are even a strong predictor of your desire
United States with a young Chinese couple, to avoid physical exercise and remain a couch
stopping at 251 restaurants, hotels, and other potato (Prapavesis & DeJesus, 2015). But if situ-
establishments. At the time, prejudice against ational factors are strong, we may defer. For
Asians was widespread, yet the couple— example, Aschemann-Witzel et al. (2014) fol-
who often entered the establishment before lowed a group of young Danish shoppers who
LaPiere did—was refused service only once. held positive attitudes towards organic foods.
Later, LaPiere wrote to all the places they If the price was very high, they avoided buying
had visited, asking if they would provide ser- organic.
vice to Chinese patrons. More than 90 percent Second, attitudes have a greater inf luence
of those who responded stated they would on behaviour when we are aware of them and
not. In a similar study, Page (1999) reported when they are strongly held. Sometimes we
that landlords in Windsor and London, seem to act “without thinking,” out of impulse or
Ontario, were less likely to want to rent to a habit. Attitude-behaviour consistency increases
potential tenant if that person identified him- when people consciously think about their atti-
self or herself on the phone as an individual tudes before acting (Powell & Fazio, 1984; White
with AIDS. et al., 2002). In addition, attitudes are stronger
In LaPiere’s study, we cannot be sure that and more predictive of behaviour when they
the people who expressed negative attitudes are formed through direct personal experience, 6. Why did
rather than through second-hand, indirect infor- LaPiere’s study
in the survey were the same individuals who,
mation (Millar & Millar, 1996). raise doubts
months earlier, had actually served the Chi- about attitude-
nese couple. Yet the discrepancy between Third, general attitudes are better at pre-
behaviour
stated prejudicial attitudes and nondiscrimina- dicting general classes of behaviour, and spe-
consistency?
tory behaviour seemed so overwhelming that cific attitudes are better at predicting specific
it called into question the “common-sense” behaviours. For example, Martin Fishbein
assumption of attitude-behaviour consis- and Icek Ajzen (1974) found almost no rela-
tency. Decades of better-controlled research, tion between people’s general attitudes
however, indicate that attitudes do pre- toward religion and 70 specific religious
dict behaviour (Hunecke et al., 2010). Three behaviours (such as the frequency of praying
factors help to explain why the attitude- before meals or attending services). However,
behaviour relationship is strong in some cases when they combined the 70 specific behav-
but weak in others. iours into a single “global index” of religious
First, attitudes influence behaviour more behaviour, the relation between general reli-
gious attitudes and overall religious behav- 7. Discuss
strongly when counteracting situational factors
iour was substantial. Similarly, Zanna, Olson, three broad
are weak. Financial incentives, conformity and
conditions under
obedience pressures, deindividuation, group- and Fazio (1980) found a general composite
which attitudes
think, and other conditions may lead people index of over 90 separate religious behaviours
best predict
to behave in ways that are at odds with their (referred to as a multiple-act behavioural behaviour.
inner convictions. According to the theory criterion) was reasonably correlated with
of planned behaviour and similar models general attitudes (r = 0.54), whereas the cor-
(Ajzen, 1991, 2015; Fishbein, 1980), our inten- relation with specific behaviours was quite
tion to engage in a behaviour is strongest when low (r = 0.09 to 0.38).
we have a positive attitude toward that behav-
iour, when subjective norms (our perceptions Does Our Behaviour Influence
of what other people think we should do) sup- Our Attitudes?
port our attitudes, and when we believe that the As we have just seen, under the proper condi-
behaviour is under our control. Based on this tions, people’s attitudes guide their behaviour.
approach, researchers have successfully pre- But attitude-behaviour consistency is not a
dicted numerous behaviours, including whether one-way street: We also may come to develop
people will undergo breast cancer screenings, attitudes that are consistent with the way we
behave (McKimmie et al., 2009). Why should +1.5

this be?
Self-justification. Imagine that you volun- +1.0
Ratings of task enjoyableness

teer for an experiment, arrive at the labora-
tory, and perform two extremely boring tasks,
emptying and filling a tray with spools over +0.5
and over, and repeatedly turning 48 pegs
stuck into holes. After 60 minutes of the labo-
ratory equivalent of being bitten to death by 0.0
ducks, the experimenter enters, thanks you
for participating, and asks for your help. You
are told that it is important for the next student –0.5
to begin the study with a “positive attitude”
about the tasks and that all you have to do is
tell the student that the boring tasks are inter- –1.0
esting. Depending on the condition to which Control $1.00 $20.00
you have been randomly assigned, the experi- High Low
menter offers to pay you either $1 or $20 for, Dissonance
essentially, lying to the next participant. To
help out, you agree to do so. Afterwards, you FIGURE 13.8 Participants lied to a fellow student
by saying that a boring task was interesting. Those
go to the psychology department’s main office
offered $1 to lie later rated the task most positively.
to collect your money and fill out a “routine Presumably, they reduced their cognitive dissonance
form” that asks how much you enjoyed the about lying by convincing themselves that the task
tasks in the experiment. was interesting after all. Participants offered $20 had
Make a prediction: Comparing participants an external justification to lie, experienced little disso-
who received $1 and those who received $20 nance, and therefore did not need to convince them-
with a control group that simply rated the bor- selves that the task was enjoyable. They and control
participants who had not lied rated the task less favour-
ing tasks without telling any lie beforehand,
ably than did the $1 group.
which of the three groups rated the task most
positively? Why? Source: Based on Festinger, L., & Carlsmith, J.M. (1959).
Cognitive consequences of forced compliance. Journal of
Common sense might suggest that partici-
Abnormal and Social Psychology, 58, 203–210.
pants paid $20 would feel happiest about the
experiment and rate the task most highly.
However, as Figure 13.8 shows, and as Leon
Festinger and J. Merrill Carlsmith (1959)
predicted, participants who were paid $1 a little lie for $20?”—and there was little rea-
gave the most positive ratings. Indeed, they son for them to change their attitude toward
actually rated the boring tasks as slightly the boring tasks. Those who had lied for only
enjoyable! $1 could not use this trivial monetary gain to
According to Festinger’s (1957) theory of justify their behaviour. But, if they could con-
8. What causes cognitive dissonance, people strive for convince themselves that the tasks were actually
cognitive
sistency in their cognitions. When two or more enjoyable, then they wouldn’t have lied after all!
dissonance,
cognitions contradict one another (such as “I In short, they changed their attitude about the
and how can it
produce attitude am a truthful person” and “I just told another task to bring it more into line with how they had
change? student that those boring tasks were interest- behaved.
ing”), the person experiences an uncomfortable Behaviour that is inconsistent with our atti-
state of tension that Festinger calls cognitive tude is called counterattitudinal behaviour,
dissonance, and becomes motivated to reduce and it produces dissonance only if we perceive
this dissonance. that our actions were freely chosen rather than
The theory predicts that, to reduce disso- coerced. Dissonance is maximized when the
nance and restore a state of cognitive con- behaviour threatens our sense of self-worth
sistency, people will change one of their or produces negative consequences that were
cognitions or add new cognitions. Participants foreseeable (Stone & Cooper, 2001; Petty &
who received $20 could justify their behaviour Wegener, 1998). For example, Powers & Jack
by adding a new cognition “Who wouldn’t tell (2013) argue that returning merchandise to
stores is the result of dissonance induced by the Self-perception theory and cognitive dis-
negative consequence of purchasing a less than sonance theory both predict that counter-
desirable product. attitudinal behaviour will produce attitude
Dissonance, however, does not always lead change. One key difference, however, is that
to attitude change. People can reduce disso- dissonance theory assumes that we experi-
nance by rationalizing that their attitude or ence heightened physiological arousal (tension
their behaviour wasn’t important, by finding produced by dissonance) when we engage in
external justification, or by making other counterattitudinal behaviour. Do we? At least
excuses (Buunk & Dijkstra, 2001; Gosling et al., in some instances, it appears that this does
2006; McKimmie et al., 2009). In surveys of happen (Harmon-Jones et al., 1996).
over 3300 Scandinavian adolescents and Moreover, if unpleasant arousal motivates
adults, people who drank alcohol despite hav- attitude change, then factors that reduce
ing negative attitudes toward drinking often arousal should reduce attitude change. When
emphasized that “Other people drink more research participants experience arousal from
than I do.” As researcher Klaus Mäkelä (1997) dissonance-producing behaviours but are led to
noted, the general rationalization seemed to believe that their arousal is a side effect caused
be “I may not be perfect, but other people are by a pill (which in reality is a placebo), they
still worse.” do not change their attitudes to be more in line
Despite the many ways to reduce dissonance, with their behaviour (Cooper, 1998; Zanna &
the theory has successfully inspired researchers Cooper, 1974). The pill gives participants an
to change people’s attitudes by inducing them external justification (albeit a false one) for
to engage in counterattitudinal behaviours. For their arousal.
example, university students who agree to write In general, dissonance theory better
essays advocating positions opposite to their explains why people change their views after
own (such as supporting a tuition increase) behaving in ways that openly contradict their
often shift their attitudes in the direction of clearly defined attitudes, particularly when
the essay they have produced (Croyle & Coo- such behaviours threaten their self-images.
per, 1983; Stalder & Baron, 1998). Mediators in However, in situations in which counterattitu-
labour disputes occasionally use this principle dinal behaviour does not threaten one’s self-
by asking company executives and labour lead- worth and we have weak attitudes to begin
ers to switch roles for a time and present each with, such behaviour is less likely to create
other’s arguments. significant arousal—yet people still may alter
their attitudes to be more consistent with the
Self-perception. If we observe someone cam- way they have behaved. In this case, self-
paigning for a political candidate, we likely perception theory may provide the better 9. According to
will assume that this person has a positive explanation. Thus, both dissonance theory and self-perception
attitude toward the candidate. If we see some- self-perception theory appear to be correct but theory, why does
one exerting great effort to achieve a goal, we under different circumstances (Fazio et al., counterattitudinal
1977; Tesser & Shaffer, 1990). Both theories, behaviour produce
will judge, logically, that the goal is important
however, agree that our behaviours can inf lu- attitude change?
to that person. In short, we infer what other
people’s attitudes “must be” by watching how ence our attitudes.
10. What
they behave. According to Daryl Bem’s (1972) evidence
self-perception theory, we make inferences Persuasion supports
about our own attitudes in much the same Whether through political speeches, advertise- dissonance
way: by observing how we behave. Know- ments, or discussions with family and friends, theory? What
ing that, for very little external justification persuasion is a fact of everyday life (Maio & evidence favours
($1), you have told a fellow student that the Olson, 2000). Persuasion involves a communi- self-perception
boring experimental tasks are enjoyable, you cator who delivers a message through a chan- theory?
logically conclude that “deep down” you must nel (e.g., in writing, verbally, or visually) to an
feel that the tasks were at least somewhat 11. Identify
audience within a surrounding context (e.g., a
enjoyable. In Bem’s view, your attitude is communicator
cultural setting; Petty & Cacioppo, 1986). Here, and message
not produced by a mysterious concept called we briefly examine three components that have characteristics
cognitive dissonance. Rather, you sim- been studied extensively. that increase
ply observe how you have acted, and infer persuasiveness.
how you must have felt to have behaved in The communicator. Communicator credibil-
this fashion. ity—how believable the communicator is—often
is the key to effective persuasion. In fact, audi- The audience. A message loaded with logical
12. Describe
ence members who do not enjoy thinking deeply arguments and facts may prove highly persua-
the central and
about issues may pay little attention to the con- sive to some people yet fall flat on its face with
peripheral routes
to persuasion. tent of a message and simply go along with the others. According to Richard Petty and John
For whom is the opinions of a highly credible source (Chaiken & Cacioppo (1986), there are two basic routes
central route Maheswaran, 1994). Credibility has two major to persuasion. The central route to persua-
more likely to be components: expertise and trustworthiness sion occurs when people think carefully about
effective? (Schul et al., 2004; Tobin & Raymundo, 2009). the message and are influenced because they
The most effective persuader is one who appears find the arguments compelling. The peripheral
both to be an expert and to be presenting the route to persuasion occurs when people do
truth in an unbiased manner (Hovland et al., not scrutinize the message but are influenced
1953), as well as one who advocates a point of mostly by other factors, such as a speaker’s
view contrary to his or her own self-interest attractiveness or a message’s emotional appeal.
(Petty et al., 2001). Perceived expertise may Attitude change that results from the central
be particularly important when the issue is route tends to have a deeper foundation, lasts
complex (Cooper et al., 1996; Cooper & longer, and predicts future behaviour more
Neuhaus, 2000). successfully.
Communicators who are physically attrac- Under what conditions will we follow the
tive, likable, and similar to us (such as in central route? Petty and Cacioppo (1986) sug-
interests or goals) also may persuade us more gest that we tend to process a message more
effectively, which is why advertisers spend mil- closely when it is personally relevant: when it
lions of dollars hiring likable, attractive stars to actually will affect us in some way. Typically,
promote their products (Messner et al., 2008). high personal relevance or high involvement
with an issue will result in central processing.
The message. In trying to persuade someone, But this is not always the case. One reason is
is it more effective to present only your side that people differ in their need for cognition.
of the issue or to also present the opposition’s Some enjoy analyzing issues; others prefer
arguments and then refute them? A meta-analy- not to spend much mental effort (Cacioppo
sis indicates that, overall, the two-sided refuta- et al., 1983, 1996). People who have a high
tional approach is more effective (Allen, 1991). need for cognition tend to follow the cen-
Especially when an audience initially disagrees tral route to persuasion. In forming attitudes
with a message or is aware that there are two about consumer products, for example, they
sides to the issue, the audience will perceive a are influenced by information about product
two-sided message as less biased. characteristics (Wood & Swait, 2002). In con-
In stating your position to an audience that trast, people with a low need for cognition
disagrees with you, should you “go for broke” are more strongly influenced by peripheral
and present extreme arguments, hoping that the cues, such as the attractiveness of the per-
audience will compromise by moving toward son who endorses the product (Haugtvedt
your position? Or should you present a position et al., 1992).
that is only moderately discrepant with their Sorrentino and his colleagues at the Uni-
viewpoint? A highly credible communicator can versity of Western Ontario (e.g., Sorrentino
afford to present a more discrepant viewpoint et al., 2005) have reported also that people
than a low-credibility communicator (Aronson differ in their approach to new information.
et al., 1963), but in general, a moderate degree Those who are uncertainty-oriented look
of discrepancy is more effective (Bochner & for information, particularly in situations
Insko, 1966). that are new and unpredictable. In contrast,
Messages that attempt to persuade by arous- certainty-oriented individuals avoid such
ing fear can be effective under certain condi- situations, particularly when the information
tions (Wood, 2000). Overall, fear arousal works is self-relevant. Thus, uncertainty-oriented
best when the message evokes moderate fear people follow the central route when issues
and provides people with effective, feasible (i.e., are personally relevant, but those who are
low-cost) ways to reduce the threat (Johnson, certainty-oriented do not. In fact, they are
1991; Witte & Allen, 2000). If the message is too more likely to rely on peripheral information
frightening, people may reduce their anxiety by when the information is self-relevant and are
simply denying the message or the communica- more influenced by factors such as speaker
tor’s credibility. attractiveness or expertise.
In Review
• Consistency, distinctiveness, and consensus infor- • Our behaviour also influences our attitudes.
mation jointly influence whether we make a per- Counterattitudinal behaviour is most likely to
sonal or situational attribution for a particular act. create cognitive dissonance when the behaviour
• The fundamental attribution error is the tendency is freely chosen and has negative implications
to attribute other people’s behaviour to personal for our sense of self-worth or produces foresee-
factors while underestimating the role of situ- able negative consequences.
ational factors. The self-serving bias is the ten- • To reduce dissonance, we may change our
dency to attribute one’s successes to personal attitude to become more consistent with how
factors and one’s failures to situational factors. we have behaved. In situations where our atti-
• Although our impressions of people may change tudes are weak and counterattitudinal behaviour
over time, our first impression generally carries doesn’t threaten our self-worth, we may change
extra weight. Stereotypes and schemas create our attitudes through self-perception.
mental sets that powerfully shape our impressions. • Communicator, message, and audience charac-
teristics influence the effectiveness of persua-
• Through self-fulfilling prophecies, our initially
sion. Communicator credibility is highest when
false expectations shape the way we act toward
the communicator is perceived as expert and
someone. In turn, this person responds to our
trustworthy. Fear-arousing communications may
behaviour in a way that confirms our initially
be effective if they arouse moderate to strong
false belief.
fear and suggest how to avoid the feared result.
• Attitudes are evaluative judgments. They predict The central route to persuasion works best with
behaviour best when situational influences are listeners who have a high need for cognition; for
weak, when the attitude is strong, and when we those with a low cognition need, the peripheral
consciously think about our attitude. route works better.
SOCIAL INFLUENCE performance improved when people were in

each other’s presence (Triplett, 1898).
Patricia, a novice piano player, makes more Many early studies replicated this finding; the
mistakes after her parents enter the room to lis- mere presence of coactors or a passive, silent
ten to her practise. Shawn donates money to a audience enhanced performance. Even ants car-
charity after seeing his co-workers contribute. ried more dirt when in the presence of other
Jenna, a university student, picks up the slack ants (Chen, 1937). Yet, other experiments found
on a class project because other members of her that performance on learning tasks worsened
group are not pulling their weight. These diverse when coactors or an audience were present.
situations share one basic ingredient: They all In 1965, Robert Zajonc proposed a theory to
involve social influence. explain this seeming paradox. First, the mere phys-
ical presence of another person (or member of the
The Mere Presence of Others same species) increases our arousal. Second, as
Norman Triplett (1898) helped to launch the arousal increases, we become more likely to per-
field of social psychology by testing a decep- form whatever behaviour happens to be our dom- 13. Under what
conditions
tively simple hypothesis: The presence of oth- inant response (i.e., our most typical response) to
does the mere
ers energizes performance. Triplett, who loved that specific situation. When a task is difficult and presence of
bicycle racing, analyzed the records of numer- complex, and we are first trying to learn it, our other people
ous competitions. In some races, cyclists per- dominant response is to make errors. Therefore, enhance
formed individually against the clock; in other performing in front of an audience or with coac- or impair
races of similar distance, they performed tors should impair performance. But when a task performance?
together in a “pack.” As Triplett predicted, either is simple or is complex but well learned, Why?
cyclists’ average speed per mile was much our dominant response usually is to perform the
faster in group races than in individual races. task correctly. In these situations, performing in
Next, in a laboratory experiment, Triplett had the presence of others enhances performance
children perform a simple physical task as rap- (Figure 13.9). This phenomenon is called social
idly as they could, either alone or in the pres- facilitation, an increased tendency to perform
ence of another child (called a coactor) who one’s dominant response in the mere presence of
independently performed the same task. Again, others (Blascovich et al., 1999).
If dominant
responses are Performance
correct in the is enhanced
present situation
Presence of Enhanced
others (either as Heightened tendency to
an audience arousal perform dominant
or as coactors) responses
If dominant
responses are Performance
incorrect in the is impaired
present situation
© PhotoAlto/SuperStock
FIGURE 13.9 Social facilitation of dominant responses. Whether this pool player’s performance improves or worsens when other people
are watching depends on whether she is highly skilled or a novice (Michaels et al., 1982). Zajonc’s (1965) theory of social facilitation pro-
poses that the presence of other people increases our arousal, which then makes us more likely to perform our dominant responses. If a
dominant response (e.g., stroking the pool cue in a particular way) happens to be correct—as typically occurs on simple tasks or complex
tasks that have been mastered—then performance will be enhanced. But if a dominant response is incorrect—as often occurs when a
novice is trying to learn a complex task—then the presence of other people most likely will impair performance.
Social facilitation occurs in species ranging and they are the cement that binds social sys-
from cockroaches and fruit flies to rats and hens tems together (Morris et al., 2001; Schaller &
(Duncan et al., 1998; Thomas et al., 2002). Meta- Crandall, 2004). Some norms are formal laws
analyzing the results of 241 studies involving and regulations, but many are implicit and
almost 24 000 participants, Charles Bond and Linda unspoken. As the “break-a-norm” examples illus-
Titus (1983) found that social facilitation produced trate, such norms often regulate daily behaviour
small but reliable effects on human performance. without our conscious awareness; we take them
In one study, James Michaels and his colleagues for granted—until they are violated.
(1982) identified pairs of pool players who had A social role consists of a set of norms that
either above average or below average skill. Then characterizes how people in a given social posi-
four observers (researchers) sauntered over to the tion ought to behave. The roles of “university stu-
pool tables at the student union building to watch dent,” “professor,” “police officer,” and “spouse”
the players. As predicted, the presence of an audi- carry different sets of behaviour expectations.
ence improved the performance of the accom- Because we may wear many hats in our daily life,
plished players (whose dominant responses were role conflict can occur when the norms accom-
assumed to be correct) but worsened the perfor- panying different roles clash. University students
mance of the less skilled players (whose dominant who hold jobs or have children often experience
responses were assumed to be incorrect). Social role conflict as they try to juggle the competing
facilitation may be the most basic of all social influ- demands of school, work, and parenthood.
ence processes, and it has an important practical Norms and roles can influence behaviour so
implication: When learning complex tasks, mini- strongly that they compel a person to act unchar-
mize the presence of other people. acteristically. In a classic study by Phil Zimbardo
(Zimbardo et al., 1973), students at Stanford Uni-
versity were recruited to participate in a two-
Social Norms: The Rules week-long simulation of prison life. Half were
of the Game assigned the role of guards and half the role of
Years ago, a professor we knew gave his class an prisoners. Guards wore uniforms and mirrored
unusual assignment: Without doing anything ille- glasses, and the prisoners were housed in cells in
gal, students were to violate some “unspoken rule” the basement of the psychology building. Within
of social behaviour and observe people’s reactions. six days the simulation had to be stopped because
One student licked her plate clean at a formal the guards became so brutal in their treatment
dinner, receiving cold stares from other guests. of the prisoners that the experimenters became
Another boarded a city bus, sat down next to the worried about the prisoners’ well-being. Prison-
only other passenger, and said “Hi.” The passen- ers were awakened in the middle of the night for
ger sat up stiffly and stared out the window. The roll call, forced to do push-ups with a guard’s foot
14. How do assignment ended when a third student entered holding them down, made to clean toilets with
norms and class—attired only in a thin coat of oil. their hands, and so on. The guards in the Stan-
roles guide our
Social norms are shared expectations about ford Prison Study were well-adjusted students,
behaviour?
how people should think, feel, and behave, yet norms related to the role of “guard” and to
concepts of “crime and punishment” seemed to judgments over several sessions, their judgments
override their values, leading to dehumanizing converged and a group norm evolved. The partici-
treatment of the prisoners. pants did not explicitly communicate or “decide”
to develop a group norm; it just happened. More-
Culture and Norm Formation over, just as norms vary across cultures, the norm
Social norms lose invisibility not only when they that evolved for how far the dot of light moved var-
are violated, but also when we examine behaviour ied from group to group, and it was not the simple
across cultures and historical periods. In doing so, average of the original judgments (Figure 13.11).
we see that social customs we take for granted as When participants were retested individually a
“normal”—from gender roles to sexual practices year later, their judgments continued to reflect their
and views of love and marriage—are merely arbi- group’s norm (Rohrer et al., 1954).
trary (Figure 13.10). Norms regulate even such Sherif’s finding has been replicated in other
subtle aspects of social behaviour as the amount countries and with different types of tasks
of personal space that we prefer when interacting (Khoury, 1985). Whether at a cultural level
with people (Li, 2001; Li & Li, 2007). For example, or in small random groups, humans placed
Japanese sit farther apart when conversing than together seem to develop common standards
Venezuelans do, and Americans prefer an inter- for behaviour and judgment. Indeed, Bennett
mediate distance (Sussman & Rosenfeld, 1982). and Sekaquaptewa (2014) were able to induce
Italians and Greeks are more likely to touch while a norm of embracing diversity that lasted
interacting than are Europeans from more north- throughout the year simply by having a faculty
ern regions (Remland et al., 1995). member talk about egalitarian social norms at
Indeed, it is difficult to imagine any society, the beginning of the term. Ridout and Campbell
organization, or social group functioning well (2014) were also able to reduce alcohol use in
without norms. In a classic experiment, Muzafer a sample of university students by promoting
Sherif (1935) found that even randomly created safer levels of consumption via Facebook.
groups develop norms. The task involved an opti-
cal illusion called the autokinetic effect: When Conformity and Obedience
people stare at a dot of light projected onto a
Norms can influence behaviour only if people
screen in a dark room, they begin to perceive the
conform to them. Without conformity—the
dot as moving, even though it really is stationary.
adjustment of individual behaviours, attitudes,
When Sherif tested university students individu-
and beliefs to a group standard—we would have
ally over several trials, each student perceived
social chaos. It is no accident, therefore, that all
the light moving a different amount, from a few
social systems exert overt and subtle pressures
centimetres to almost 30 centimetres.
on their members to conform.
Later, the students were randomly placed into
groups of three and made further judgments. As the 25
members within each group heard one another’s Individual 1
Mean perceived movement
Individual 2
20 Individual 3
(centimetres)
15
10
0
I II III IV
Alone Group Group Group
Sessions
© Merie W. Wallace/Warner Bros/Bureau L.A.Collections/Corbis FIGURE 13.11 In Sherif’s experiments, individuals’

autokinetic judgments made alone (session I) began to
FIGURE 13.10 The evolution of norms across time converge when they were made in the presence of two
and cultures. The Academy Award–winning movie Mil- other participants (sessions II, III, IV). Each mean is
lion Dollar Baby portrayed an aspiring professional based on 100 judgments per session. These data are
female boxer—an activity that women would be barred from one of the three-person groups.
from in many countries and women were barred from Source: Based on Sherif, M. (1935). A study of some social
decades ago in the United States. factors in perception. Archives of Psychology (No. 187).
A 1 2 3
Standard Comparison
“Well, heck! If all you smart cookies agree, line lines
who am I to dissent?”
© The New Yorker Collection 1972. J.B. Handelsman from cartoonbank.
com. All Rights Reserved.
(a)
FIGURE 13.12 Often we conform to a majority

because we believe that their opinion “must be right.”
Why Do People Conform?

Psychologically, our desire to understand the
world and respond to it effectively provides one
basic motive for conforming (Biener & Boudreau,
15. Explain 1991). As Figure 13.12 illustrates, at times we fol-
the difference low the opinions or behaviour of other people
between because we believe they have accurate knowledge
informational and what they are doing is “right.” This is called
and normative informational social influence. We also may
social influence. conform to obtain rewards that come from being (b)
accepted by other people, while at the same time
© William Vandivert, Scientific American, November 1955, Vol. 193,
avoiding their rejection. This is called normative Issue 5, pp. 31–35. Reproduced with permission by Scientific American,
social influence (Deutsch & Gerard, 1955). Inc. All rights reserved.
Solomon Asch’s (1951, 1956) landmark con- FIGURE 13.13 (a) In Asch’s (1956) conformity exper-
formity experiments illustrated both types of iments, students were asked to judge which of three
influence. In the experimental condition, groups comparison lines was the same length as the standard
of university students performed several trials line. They performed this task for 18 trials, using a dif-
of a simple visual task, shown in Figure 13.13. ferent set of standard and comparison lines each time.
Only one member of the group, however, actu- (b) Upon hearing other group members unanimously
ally was a participant. The rest were accomplices say that “Line 1” is the correct match, the participant
wonders whether his own judgment (Line 2) is correct.
(called confederates) of the experimenter. Group
members sat around a table and were called on
in order. The real participant sat next to last. During debriefing discussions with the experi-
According to plan, every confederate intention- menter after the task was over, many participants
ally gave the same wrong answer on some trials. said they were puzzled by the difference between
Imagine, for example, that the first member says their own and the group’s perceptions. Some
“Line 1.” (You think to yourself, “Huh?”). Then the felt that the group was wrong but went along to
next four members also say “Line 1.” (You won- avoid “making waves” and possible rejection. This
der, “Can this really be?”). Now it is your turn. behaviour reflects normative social influence.
Would anybody conform to the group’s incor- After several trials, other participants succumbed
rect judgments? Asch found that a quarter of the to informational social influence and began to
participants never conformed, a quarter con- doubt their eyesight and judgment.
formed frequently, and the rest conformed once
16. Identify
or a few times. Overall, participants conformed Factors That Affect Conformity
some situational
factors that 37 percent of the time, compared with a mere 1 Asch demonstrated that complex social behav-
influence percent error rate in a control condition in which iour could be studied scientifically under con-
people’s degree people judged the lines by themselves. This controlled conditions. In subsequent experiments
of conformity. formity rate stunned many scientists since the he manipulated different independent variables
task was very easy and the confederates did not and measured their effects on conformity. Con-
overtly pressure participants to conform. sider two examples:
• Group size. Conformity increased from about Around the globe, conformity in face-to-face
5 to 35 percent as group size increased from situations tends to be greater among research
one to four or five confederates, but, contrary participants from collectivist cultures, in which
to common sense, further increases in group group harmony is valued more highly than in indi-
size did not increase conformity. Participants vidualistic cultures. Overall, gender differences
were just as likely to conform when there in conformity have been weak or non-existent
were four or five confederates giving incor- (Bond & Smith, 1996; Cinnirella & Green, 2007).
rect answers as when there were 10 or 15.
• Presence of a dissenter. When one confederate Minority Influence
(according to plan) disagreed with the others, Although majority influence is powerful, in some
this greatly reduced real participants’ confor- cases a minority of the group’s members may influ- 17. Under what
ence the majority’s behaviour (Clark, 2001). Serge conditions is
mity. Even when the dissenter gave an incor-
the minority
rect answer (e.g., the majority said “Line 3” and Moscovici (1985) proposes that, to maximize its
most likely to
the dissenter said “Line 1”), participants made influence, the minority must be highly committed to influence the
many fewer errors. The key is that, when some- its point of view, remain independent in the face of majority?
one else dissents, this person serves as a model majority pressure, and be consistent over time, yet
for remaining independent from the group. appear to keep an open mind. Dissenting informa-
Would Asch’s participants have conformed tion presented by the minority may cause majority
less if the task had been made more important members to change their view, at least on a private
to them, say, by offering a financial incentive for level (Butera & Levine, 2009; Maass & Clark, 1984).
giving correct answers? As Figure 13.14 shows, In reviewing almost a hundred studies, Wendy Wood
when the correct answer is obvious (the task is and her colleagues (1994) found that minority influ-
easy, as was Asch’s), conformity decreases when ence is strongest when it maintains a highly con-
the consequences of going along with the group’s sistent position over time. However, if the minority
erroneous judgment are made more costly appears too unreasonable, deviant, or negative, it
(Baron et al., 1996). But, when we are less sure may cause the majority to become entrenched or
of the right way to behave (the task is hard), con- lead some people to shift their attitudes even fur-
formity increases as the stakes become higher. ther away from the minority’s position.
Obedience to Authority
50 Like conformity to a group, obedience to an
authority figure is inherently neither good nor
Percentage of conformity
40 bad. As an airplane passenger, you would not be

Difficult
to wrong answers
judgments amused if the co-pilot disregarded the pilot’s com-

30
mands simply because he or she “didn’t feel like
obeying,” putting the flight and your life at risk.
20 Without obedience, society would face chaos.
Easy
judgments But obedience can also produce tragic results.
10 After World War II, the famous Nuremberg trials
were held to judge Nazi war criminals who had
0 slaughtered millions of innocent people in con-
Low High
centration camps. In many instances, the defence
Task importance
offered by the defendants was that they had “only
FIGURE 13.14 In this experiment, university students followed orders.” In the massacre of men, women,
made a series of eyewitness memory judgments. For and children at My Lai during the Vietnam War,
each judgment, one participant and two accomplices
American soldiers accused of atrocities gave the
were shown a slide of a person. Next, they had to pick
out that person from a second slide showing four people.
same explanation. No doubt we will hear the cry
The second slide was presented for five seconds (easy “I was just following orders” again as account-
task) or half a second (hard task), and the accomplices ability is judged for more recent mass atrocities in
intentionally gave wrong answers on some trials. Partici- Kosovo, Rwanda, and elsewhere around the globe.
18. Describe
pants were told that the task was important (including a Just as the Nuremberg court did, many of
possible $20 prize for high accuracy) or unimportant. The
Milgram’s
us reject justifications based on obedience to obedience
high incentive decreased conformity on the easy task,
authority as mere rationalizations, secure in our experiment. Do
but increased conformity when the task was difficult.
conviction that we would behave more humanely you believe the
Source: Based on Baron, R.S., Vandello, J.A., & Brunsman, B. in such situations. But would we? Let’s consider results would be
(1996). The forgotten variable in conformity research: Impact
the answers provided by Stanley Milgram in this similar today?
of task importance on social influence. Journal of Personality
chapter’s Research Foundations feature. Why or why not?
and Social Psychology, 71, 915–927.
Research
Foundations
THE DILEMMA OF OBEDIENCE: WHEN

CONSCIENCE CONFRONTS MALEVOLENT
AUTHORITY
Introduction
Stanley Milgram wanted to examine conformity in a more
powerful situation than Asch had. Rather than have partici-
pants judge lines, Milgram thought about testing whether
people would conform to group pressure and give electric
shocks to a protesting victim. But he realized that a control
condition was needed to measure how much shock people
would give without group pressure. Here the experimenter
would instruct each participant to give the shocks. As he
thought about it, Milgram wondered: Would ordinary citizens
obey such malevolent orders? How far would they go? At that
moment, Milgram shifted his focus from conformity to obedi-
ence. Fuelled by his desire to better understand the horrors
and lessons of the Holocaust, Milgram conducted 18 obedi-
ence experiments between 1960 and 1963 (Milgram, 1974).
Method
The following experiment was conducted twice, first with © 1965 by Stanley Milgram. From the film Obedience, distributed by Penn State,
Media Sales
40 men and then with 40 women. Participants ranged in
age from 20 to 50 years and represented a cross-section of FIGURE 13.15 The participant (teacher) saw the learner
occupations and educational backgrounds. being strapped into the chair.
In the laboratory, each participant met a middle-aged
man who was introduced as another participant, but who
as “Please continue,” “You must continue,” and “You have
actually was a confederate. They were told that the experi-
no other choice.” At 75 volts the learner moaned when the
ment examined the effects of punishment on memory.
teacher threw the switch. At 150 volts the learner’s reaction
Then, through a supposedly random draw (it was rigged),
was “Ugh!!! Experimenter! That’s all. Get me out of here. I
the real participant became the teacher and the confeder-
told you I had heart trouble. My heart’s starting to bother me
ate became the learner. The teacher presented a series of
now. Get me out of here, please . . . I refuse to go on. Let me
memory problems to the learner through a two-way intercom
out.” Beyond 200 volts he emitted agonized screams every
system. Each time the learner made an error, the teacher
time a shock was delivered, yelling “Let me out! Let me out!”
was instructed to administer an electric shock, using a
At 300 volts the learner refused to answer and continued
machine that had 30 switches, beginning with 15 volts
screaming to be let out. At 345 volts and beyond, there was
and increasing step-by-step to 450 volts. As the teacher
only silence. Full obedience was operationally defined as
watched, the learner was strapped into a chair in an adjoin-
continuing to the maximum shock level of 450 volts.
ing room and hooked up to wires from the shock generator
Participants wrestled with a dilemma: Should they con-
(Figure 13.15). The learner expressed concern about the
tinue to hurt this innocent person, as the experimenter com-
shock and mentioned he had a slight heart problem.
manded, or should they stop the learner’s pain by openly
Returning to the main room, the experimenter gave
disobeying? Most participants became stressed. Some
the teacher a sample shock (45 volts) and then ordered
trembled, sweated, laughed nervously, or in a few cases,
the experiment to begin. Unbeknownst to the teacher, the
experienced convulsions. But would they obey? Make a pre-
learner actually did not receive any shock and intentionally
diction: What percentage of people obeyed to 450 volts,
committed many errors. The learner made verbal protests
and were there any gender differences?
that were standardized on a tape recorder, so that they
were the same for all participants.
As the learner’s errors mounted, the teacher increased
Results
the shock. If the teacher balked at continuing, the experi- When Milgram asked psychiatrists, professors, university
menter issued one or more escalating commands, such students, and middle-class adults to predict the outcome,
continued
100 While administering the shock, some participants stated

“I can’t stand
90 the pain!” (180) that they “were not responsible” for what happened. Others
“Ugh!”
Percentage of people obeying
command at each shock level
(75)
asked, “Who is responsible if something happens to the
80
learner?” When the experimenter replied, “I am responsi-
70
“Get me out ble,” participants felt greater freedom to continue. Yet they
60 of here! Agonized
screams were the ones flipping the switch.
My heart’s Silence
50 (270) (345) Would similar results occur today? We suspect so. For
starting to
40 bother me! 25 years after Milgram’s research, experiments in differ-
Intensely
30 I refuse to ent countries, in “real-world” settings, and with children,
agonized
go on! adolescents, and adults yielded depressingly consistent
20 screams
Let me out!”
(315) results (Miller, 1986). In the 1980s, Dutch researchers Wim
10 (150)
Meeus and Quinten Raaijmakers (1986, 1995) conducted
0
19 obedience studies. In one, 92 percent of male and
Slight Strong Intense Danger: female participants completely obeyed an experimenter’s
15 volts 135 volts 255 volts severe
shock orders to repeatedly disrupt the performance of a job appli-
375 volts cant (actually a confederate) taking a very important job
screening test. The applicant pleaded to no avail with par-
Moderate Very Extreme XXX ticipants to stop.
75 volts strong intensity 435–450
195 volts 315 volts volts How would you have responded? Almost all of our own
students say they would have disobeyed. So suppose we
Shock level
conduct the experiment today, but with real electric shock
FIGURE 13.16 This graph shows the percentage of male and with you as the learner. The teacher will be a randomly
participants who continued to shock the learner through various selected student from your class. Are you confident that
voltage levels. The pattern for women was similar. this student will disobey? Few of our students express such
Source: Based on Milgram, S. (1974). Obedience to authority: An
confidence. In short, virtually all of us are confident that
experimental view. New York, NY: Harper & Row. we would not obey, but we are not so sure about other
people—and in turn they are not so sure about us.
they estimated a 1 percent obedience rate. Indeed, most

participants balked or protested at one time or another and
said they would not continue. But ultimately, 26 of the 40 Design
men and an identical 26 of 40 women (65 percent) obeyed
to the end (Figure 13.16). Question: Will “ordinary citizens” obey a
researcher’s orders to inflict painful electric shocks
Discussion on a person, against that person’s will? What factors
influence obedience?
Milgram’s research has generated controversy for decades
(Blass, 2000). On one level, its ethics were harshly criticized Type of Study: Experimental*
(Baumrind, 1964): Participants were deceived, exposed to
substantial stress, and risked long-lasting negative effects Independent Dependent
to their self-image. Milgram countered that the research Variables Variables
was so socially significant as to warrant the deception, that Variables are Level of obedience,
manipulated one study as measured by the
participants were carefully debriefed afterward, and that
at a time (e.g., teacher highest intensity of
psychiatric follow-ups of a sample of obedient participants can or cannot see the shock delivered by
suggested no long-term ill effects. Weighing the costs and learner; experimenter the teacher to the
benefits, do you believe that this research was justified? gives orders in person learner
Researchers also debate why obedience was high, but or by phone)
many agree with Milgram’s view that participants psycho-
logically transferred much of the “responsibility” for the *The situation is systematically changed from study to study and
teacher’s fate to the experimenter (Blass & Schmitt, 2001). effects on behaviour are observed.
Source: Stanley Milgram (1974). Obedience to Authority. New York: Harper & Row.
Factors That Influence Destructive of obedient versus disobedient participants.

Obedience Differences were weak or non-existent. Like-
By changing various aspects of the experi- wise, gender was not consistently related to
mental situation, Milgram and other research- obedience rates (Milgram, 1974; Shanab &
ers obtained obedience rates ranging from 0 to Yahya, 1977).
more than 90 percent.
Lessons Learned: From the Holocaust
• Remoteness of the victim. Obedience was to Airline Safety
greater when the learner was out of sight. What lessons shall we draw from this research?
When the teacher and learner were placed Certainly, it is not that people are apathetic or
in the same room, obedience dropped to 40 evil. Participants became stressed precisely
percent. Furthermore, when the teacher had because they did care about the learner’s wel-
to make physical contact and force the learn- fare. Neither is the lesson that we are sheep. If
er’s hand onto a “shock plate,” obedience we were, obedience would be high across all sit-
dropped to 30 percent (Figure 13.17). uations, which is not the case. Rather, Milgram
• Closeness and legitimacy of the authority fig- sums up a key lesson as follows:
ure. Obedience was highest when the authority
. . . it would be a mistake . . . to make the
figure was close and perceived as legitimate.
simple-minded statement that kindly and
When the experimenter left the scene and gave
good persons disobey while those who are
orders by phone, or when an “ordinary person”
cruel do not . . . often, it is not so much the
(a confederate) took over and gave the orders,
kind of person a man is as the kind of situ-
obedience dropped to about 20 percent.
ation in which he finds himself that deter-
• Cog in a wheel. When another “participant” mines how he will act. (1974, p. 205)
(actually a confederate) flipped the shock
switch and real participants had to perform In other words, by arranging the situation
only another aspect of the task, 93 percent appropriately, most people—ordinary, decent
obeyed. In short, obedience increases when citizens—can be induced to follow orders from
someone else does the “dirty work.” In con- an authority figure they perceive as legitimate,
trast, when Harvey Tilker (1970) made par- even when doing so contributes to harming
ticipants feel fully responsible for the learner’s innocent people. The applicability of this princi-
welfare, not a single person obeyed to the end. ple to the Holocaust and other atrocities seems
clear (Blass, 2008; Saltzman, 2000). During the
• Personal characteristics. Milgram compared
Holocaust, obedience was made easier because
the political orientation, religious affiliation,
most of the personnel working at the concentra-
occupations, education, length of military
tion camps were cogs in a horrendous wheel:
service, and psychological characteristics
They didn’t pull the switch to flood the cham-
bers with gas but instead performed other tasks.
Their victims also were “remote” at the moment
of their murder. Furthermore, to lessen concen-
tration camp workers’ feeling of responsibility,
Hitler’s subordinate Heinrich Himmler told them
in manipulative speeches that only he and Hitler
were personally responsible for what took place
(Davidowicz, 1975). Keep in mind, however, that
the participants in Milgram’s studies did show
stress and remorse, unlike many of the Holo-
caust perpetrators (Fenigstein, 2015).
Does obedience research suggest that we are
© 1965 by Stanley Milgram. From the film Obedience,distributed by
Penn State, Media Sales. not responsible for following orders? This is a
moral and legal question, not a scientific one. But
FIGURE 13.17 In one of Milgram’s studies (Touch this research should heighten our sense of respon-
Proximity), the teacher was ordered to physically force
sibility and awareness of the pitfalls of blind
the learner’s hand onto a shock plate after the learner
refused to continue. Here, 30 percent of participants
obedience and prevent us from being so smug
obeyed fully to 450 volts. Although touch proximity or naive as to feel that such events “could never
strongly reduced obedience, the fact that a significant happen here.” We should note that Milgram’s
minority still obeyed raises considerable concern. results hold true today and not just decades ago.
Burger (2009) conducted a partial replication of often come armed with special compliance tech-
the Milgram experiment, but the shock level went niques: strategies that may manipulate you into
to only 150 volts (where participants began to saying “Yes” when you really want to say “No.”
stop in the original experiment). The procedures By learning to identify these techniques, you
used by Burger were fully reviewed by the Ameri- will be better able to withstand them.
can Psychological Association and deemed to be The powerful norm of reciprocity involves
ethical. Consistent with Milgram’s original report, the expectation that when others treat us well,
65 percent of those tested obeyed fully. we should respond in kind. Thus, to get you to
Increased sensitivity to the power of obedi- comply with a request, I can do something nice
ence pressures also has concrete applications. for you now—such as an unsolicited favour—
As an airline passenger, there are times when in hopes that you will feel pressure to recipro-
you would want the co-pilot to challenge a pilot’s cate later when I present you with my request
commands, such as when the pilot’s actions pose (Cialdini, 2008). As Figure 13.19 illustrates, the
a clear threat to flight safety. But, traditionally, Hare Krishna Society (a religious group) clev-
co-pilots have been reluctant to do this (National erly used “flower power” to manipulate the
Transportation Safety Board, 1979). Actual cock- norm of reciprocity and raise millions of dollars
pit recordings and flight simulator experiments in donations.
suggest that several jetliner crashes might have Now consider the door-in-the-face tech-
19. Identify
been prevented had co-pilots been more asser- nique: A persuader makes a large request, four common
tive in taking over control or questioning pilots’ expecting you to reject it (you “slam the door” compliance
decisions (Foushee, 1984; Helmreich, 1997). For in the persuader’s face), and then presents a techniques and
example, there were reports of disagreement smaller request. Telemarketers feast on this explain how they
between the pilot and co-pilot on the ill-fated technique. Rather than ask you directly for work.
Swiss Air flight 111 (Figure 13.18). a modest monetary donation to some orga-
nization or cause, they first ask for a much
Detecting and Resisting Compliance larger contribution, knowing that you will say
Techniques no. After you politely refuse, they ask for the
From telemarketers and salespeople to TV and smaller contribution. In one experiment, after
Internet advertisements, would-be persuaders people declined an initial request to donate $25
to a charity, they were more likely to donate $2
© Owen Franken
© STRJOH/Jonathan Hayward/The Canadian Press
FIGURE 13.19 In the 1970s, members of the Hare
FIGURE 13.18 On September 2, 1998, Swiss Air Krishna Society approached passersby and gave them
flight 111, carrying 215 passengers and 14 crew a small flower. If a passerby refused, the member said,
members, crashed off the coast of Peggy’s Cove, Nova “Please. It is a gift for you.” Reluctantly, people often
Scotia. Indications arose later that there was a dis- accepted. Then the member asked for a donation. Peo-
agreement between the pilot and co-pilot, in which the ple felt pressure to reciprocate, donated money, and
co-pilot acquiesced. often threw the flower away.
than were participants who were directly asked the smaller request. In lowballing, the stakes for
for $2 (Wang et al., 1989). To be effective, the the same behaviour are raised after you commit
same persuader must make both requests (or to it but before you consummate the behaviour.
at least, be present at both (Terrier et al., 2013). Having made a commitment, you may find it
The persuader “compromises” by making the easier to rationalize the added costs or may feel
second, smaller request, so we feel pressure to obligated to the person to whom you made the
reciprocate by complying (Lecat et al., 2009). commitment.
Refusing the first request also may produce By recognizing when compliance techniques
guilt, and complying with the smaller request are being used to manipulate your behaviour, you
may help us reduce guilt or feel socially respon- are in a better position to resist them. Consider
sible (Tusing & Dillard, 2000). Door-in-the-face the norm of reciprocity. Robert Cialdini (2008),
works for a variety of requests, including cut- an expert on influence techniques, suggests that
ting back on smoking (Pansu et al., 2014). the key is not to resist the initial gift or favour;
Using the foot-in-the-door technique, instead, accept the unsolicited “favour,” but if
a persuader gets you to comply with a small the person then asks you for a favour in return,
request first (getting the “foot in the door”) and recognize this as a manipulative technique. As
later presents a larger request (Eastwick et al., Cialdini notes, “The rule says that favors are to
2009). Imagine receiving an email message be met with favors; it does not require that tricks
from a stranger requesting help. It’s a student be met with favors” (1988, p. 53). Similarly, if a
who needs to collect data for a class project telemarketer asks you to agree to a large request
and asks if you would fill out a 20-minute online and then after you decline immediately asks for
questionnaire about your dietary habits. Would a smaller commitment, respond by thinking or
you do it? In an experiment with French college even saying, “I see: the door-in-the-face tech-
students, 44 percent complied (Guéguen, 2002). nique.” Of course, you can still choose to comply
Now let’s turn to a different condition of this if you believe it is the right thing to do. The goal
experiment. Imagine receiving an email from is not to automatically reject every social influ-
a stranger who asks for simple advice about a ence attempt but to avoid feeling coerced into
word-processing program. It takes less than a doing something you don’t want to do.
minute to reply, and you do (as did all the par-
ticipants in this condition of the experiment).
Once the person gets the foot in the door, a sec- Crowd Behaviour
ond email appears minutes later, asking if you and Deindividuation
would help with a class project by filling out a Years ago in New York City, a handyman sat
dietary questionnaire. In this condition, many perched on a ledge for an hour while a crowd
more students—76 percent—complied. of nearly 500 people on the street below shouted
With a final technique, lowballing, a persuader at him to jump. Fortunately, police managed to
gets you to commit to some action and then— rescue the man. New York is hardly alone, as
before you actually perform the behaviour—he Australian psychologist Leon Mann (1981) found
or she increases the “cost” of that same behav- when he analyzed newspaper reports of 21 cases
iour (Cialdini, 2008). Imagine negotiating to buy in which crowds were present when a person
a used car for $8000, a “great price.” The sales- threatened to jump off a building. In 10 cases, the
person says, “I need to confirm this with my crowd had encouraged the person to jump.
manager,” comes back shortly, and states, “I’m What could prompt people to encourage dis-
afraid my manager says the price is too low. But traught human beings to end their lives? In the
you can have the car for only $400 more. It’s still 19th century, French physician Gustave LeBon
a great price.” At this point, you are more likely (1895) suggested that the anonymity that exists
to go through with the deal than you would have in mobs leads to a loss of personal identity and
been, had the “real” $8400 price been set at the a weakening of restraints that prompt people to
outset. engage in behaviours they would not perform
Both lowballing and the foot-in-the-door tech- as individuals. This condition is called deindi-
nique involve moving from a smaller request to a viduation, a loss of individuality that leads to
larger, more costly one. But with the foot-in-the- disinhibited behaviour (Festinger et al., 1952).
door approach, the smaller and larger requests The concept of deindividuation has been applied
often involve different acts (e.g., giving advice, to diverse types of antisocial behaviour, from
filling out a questionnaire) and the larger cheating and stealing, to riots by sports fans, to
request is made after you finish complying with acts of genocide (Staub, 1996).
But what is the primary aspect of deindividu- Group Influences on Performance

ation that disinhibits behaviour? Tom Postmes
and Russell Spears (1998) meta-analyzed 60
and Decision Making
deindividuation studies and determined that Much of our behaviour occurs in groups, from
anonymity to outsiders was the key. Condi- family and friendship groups to social clubs,
tions that make an individual less identifiable work groups, and athletic teams. People often
to people outside the group reduce feelings of form groups to make decisions or perform tasks
accountability and, slightly but consistently, that are too complex or physically demanding to
increase the risk of antisocial actions. Postmes be accomplished by one person (Figure 13.20).
and Spears suggest that being anonymous to We now consider some factors that enhance or
outsiders enhances the individual’s tendency to interfere with group productivity.
focus on his or her identity with the group and
makes the person more responsive to emerging Social Loafing: Failing to Pull
group norms. Your Own Weight
Reinforcing the importance of anonymity to In 1913, Max Ringelmann, a French agricultural
20. Describe
outsiders, Mann (1981) found that people were engineer, measured the force that men exerted deindividuation
most likely to encourage a potential suicide vic- while pulling on a rope as hard as they could. and how
tim to jump when the crowd was large and it was Individually, the men averaged 63 kilograms of conditions in the
dark outside. During the Stanford Prison Study, pull. In groups of three, you might expect a com- Stanford Prison
no names were used and guards had to be called bined pull of about 3 × 63 kilograms = 189 kilo- Study may have
“Mr. Correctional Officer.” All guards wore iden- grams, and 504 kilograms for groups of eight. fostered it.
tical uniforms and reflecting sunglasses that But this isn’t what happened. The total pull in
prevented the prisoners from making direct eye three- and eight-man groups was 16 percent and
contact. The guards were unaware that their 51 percent below expectations, respectively.
behaviour was being monitored by the experi- Why did this happen? Perhaps the men didn’t
menters, and antisocial norms evolved from the coordinate the timing of their pull precisely, and
role of “tough prison guard” adopted by those there was a loss of mechanical efficiency. Or
participants who spontaneously took over perhaps each person exerted less effort when
leadership roles (Zimbardo et al., 1973). These in a group. To resolve this issue, Alan Ingham
factors led Zimbardo to conclude that deindi- and his colleagues (1974) led blindfolded par-
viduation was a key factor in the cruelty exhib- ticipants to believe that they were pulling a rope
ited by the guards. Reducing anonymity—and (connected to a force meter) either alone or in
thereby increasing public accountability—may groups of various sizes. In reality, participants
be the most basic approach to counteracting were always alone, and therefore any perfor-
deindividuation. mance drop had to be due to diminished effort.
(left): Ammit Jack/Shutterstock; (right): © Digital Vision/Getty Images
FIGURE 13.20 Whether for recreational, volunteer, or work activities, much of human behaviour occurs in groups.
Overall, participants exerted 18 percent less its parts.” But this is not always the case. Social
force when they thought they were in a group. loafing may disappear when individual perfor-
The tendency for people to expend less indi- mance is monitored (Lount & Wilk, 2014; Pearsall
21. What is vidual effort when working in a group than et al., 2010) or when members highly value their
social loafing when working alone is called social loafing. group or the task goal (Karau & Hart, 1998). In
and when is it
In contrast to social facilitation experiments, in fact, to achieve a highly desired goal, some mem-
most likely to
occur? which a person performs a task individually (in bers may engage in social compensation: They
front of an audience or with a coactor) and does will work harder in a group than alone if they
not pool her or his effort with anyone, social expect that their colleagues either don’t have
loafing involves collective performance. Thus, enough ability or will slack off (Hart et al., 2001).
contrary to what common sense might tell you,
when university students and high school cheer- Group Polarization: Going to Extremes
leaders are asked to be as loud as possible, they Groups are often called on to make key deci-
22. Identify two individually clap, shout, and cheer less loudly sions. Governments, educational institutions, and
causes of group
when performing as a group than when they are corporations frequently develop policies through
polarization.
alone (Hardy & Latané, 1986). committees. The fate of defendants often rests
Social loafing also occurs on cognitive in the hands of juries. Such decisions are often
tasks, such as when people have to evaluate entrusted to groups because they are assumed to
written materials, make decisions in simulated be more conservative than individuals and less
juries, and monitor the concentration of gases likely to “go off the deep end.” Is this assump-
in the air (Hoeksema et al., 1998). Why does tion correct? It is, as long as the group is gen-
social loafing occur? Steven Karau and Kipling erally conservative to begin with. In such cases,
Williams (1993, 2001) propose a collective effort the group’s final opinion or attitude likely will be
model: On a collective task, people will put forth even more conservative. But, if the group mem-
effort only to the extent that they expect their bers lean toward a more liberal or risky view-
effort to contribute to obtaining a valued goal. point to begin with, the group’s decision will tend
In support of this model, their meta-analysis to become more liberal or riskier. This principle
of 78 social loafing studies revealed that social is called group polarization: When a group of
loafing is more likely to occur when like-minded people discusses an issue, whether
face to face or through email, the “average” opin-
• people believe that individual performance ion of group members tends to become more
within the group is not being monitored; extreme (Krizan & Baron, 2007).
• the task (goal) has less value or meaning to Why does group polarization occur? One rea-
the person; son, reflecting normative social inf luence, is
• the group is less important to the person; and that individuals who are attracted to a group
may be motivated to adopt a more extreme
• the task is simple and the person’s input is
position to gain the group’s approval. A second
redundant with that of other group members.
reason, reflecting informational social inf lu-
Fatigue also seems to increase social loafing. ence, is that during group discussions people
By having participants work on various cog- hear arguments supporting their positions that
nitive tasks for 20 hours without sleep, Dutch they had not previously considered. These new
researchers demonstrated that we are more arguments tend to make the initial positions
likely to “skate by” on other group members’ seem even more valid (Sia et al., 2002).
shoulders when we are tired (Hoeksema et al.,
1998). Social loafing also depends on gender Groupthink: Suspending Critical Thinking
and culture (Karau & Williams, 1993). It occurs After the U.S. military ignored warning signs
more strongly in all-male groups than in all- of imminent attack by Japan in 1941, the fleet
female or mixed-sex groups, possibly because at Pearl Harbor was destroyed in a “surprise”
women may be more concerned about group attack. In 1961, President John F. Kennedy and
outcomes than men. Participants from individu- his advisors launched the doomed Bay of Pigs
alistic cultures (Canada and the United States) invasion of Cuba. In 1972, five men broke into
exhibit more social loafing than people from Democratic Party offices at the Watergate hotel,
collectivistic cultures (China, Japan, Taiwan), in and the following cover-up forced President
which group goals are especially valued. Richard Nixon to resign. According to Yale Uni-
Social loafing suggests that, in terms of group versity social psychologist Irving Janis (1983),
performance, “the whole is less than the sum of the decision makers involved in each of these
Antecedent conditions
Janis developed the concept of groupthink,
shown in Figure 13.21, after analyzing historical 23. What are
some causes,
1. High stress to reach a decision accounts of group deliberations that resulted in
2. Insulation of the group symptoms, and
disastrous decisions. He proposed that group- consequences of
3. Directive leadership
4. High cohesiveness think is most likely to occur when a group groupthink?
• is under high stress to reach a decision;
• is insulated from outside input;
Some symptoms of groupthink • has a directive leader who promotes her or
1. Illusion of invulnerability his personal agenda; and
(group overestimates itself) • has high cohesion, reflecting a spirit of close-
2. Direct pressure on dissenters
3. Self-censorship
ness and ability to work well together.
4. Illusion of unanimity
Under these conditions, the group is so com-
5. Self-appointed mind guards
mitted to reaching a consensus, while remain-
ing loyal and agreeable, that members suspend
their critical judgment. Particularly when facing
Groupthink increases risk of a collective threat, the group’s desire to main-
defective decision making
tain a positive view of itself may lead members
1. Incomplete survey of alternatives to reach agreement without carefully weighing
2. Incomplete survey of objectives opposing views (Turner et al., 2007).
3. Failure to examine risks of
preferred choice
Various symptoms signal that groupthink
4. Poor information search is at work. For example, group members who
5. Failure to reappraise alternatives express doubt are faced with direct pressure to
stop “rocking the boat.” Some members serve
FIGURE 13.21 Antecedents, symptoms, and nega- as mind guards by preventing negative infor-
tive effects of groupthink on decision making. mation from reaching the group. Ultimately,
Source: Adapted from Janis, I.L. (1983). Groupthink: members display self-censorship and withhold
Psychological studies of policy decisions and fiascos (2nd ed.). their doubts, creating a potentially disastrous
Boston, MA: Houghton Mifflin. illusion of unanimity in which each member
comes to believe that “everyone else seems to
agree with the decision” (Figure 13.22).
historical blunders fell victim to a process called Groupthink principles have been applied
groupthink, the tendency for group members to diverse situations. In the business world,
to suspend critical thinking because they are groupthink can contribute to poor manage-
striving to seek agreement. ment decisions that adversely affect the
“All those in favor say ‘aye’.”

“Aye.” “Aye.” “Aye.”
“Aye.” “Aye.”
(left): © The New Yorker Collection 1979 Henry Martin from cartoonbank.com. All Rights Reserved.; (right): NASA
FIGURE 13.22 (a) The illusion of unanimity occurs when group members collectively fail to speak their true
minds. (b) This illusion contributed to the ill-fated decision to launch the space shuttle Challenger on January 28,
1986. The Challenger exploded shortly after takeoff, killing all the astronauts on board.
financial value and public reputation of a com- In the days leading up to the fiery disinte-
pany (Eaton, 2001). In crime investigations, gration of the space shuttle Columbia as it re-
groupthink may lead the investigative team to entered Earth’s atmosphere in 2003, engineers,
prematurely reach agreement on a particular supervisors, and some NASA officials intensely
interpretation of the case without adequately debated whether Columbia’s left wing had sus-
considering other alternatives (Kerstholt & tained damage because of a mishap during
Eikelboom, 2007). launch. But as the Columbia Accident Investiga-
Many aspects of groupthink were present tion Board found, tragically, “dangerous aspects
during the decision process leading up to the of NASA’s 1986 culture . . . remained unchanged”
fatal launch of the space shuttle Challenger in (2003, p. 198). For example, stress was high, key
1986 (Esser & Lindoerfer, 1995; Moorhead et al., managers were isolated from outside expert
1991). The engineers who designed the rocket opinion, and a “need to produce consensus at
boosters had strongly opposed the launch, fear- each level” filtered out dissenting information
ing that subfreezing weather would make rub- on safety risks (p. 198).
ber seals too brittle to contain hot gases from Can groupthink be prevented? Janis sug-
the rocket. NASA, however, was under great gests that the leader should remain impartial
stress, and leadership was directive. This shuttle during discussions, regularly encourage criti-
mission was to be historic, carrying America’s cal thinking, bring in outsiders to offer their
first civilian into space. There had been several opinions, and divide the larger group into
delays and NASA did not want another one. subgroups—to see if each subgroup indepen-
To foster an illusion of unanimity, a key NASA dently reaches the same decision. Of course,
executive polled only management officials, even groups that display poor decision-making
excluding the engineers from the final decision- procedures may still end up making a correct
making process (Magnuson, 1986). Thanks to decision, or at least may “get away” with a bad
mind guarding, the NASA official who gave the one (Raven, 1998). Conversely, critical debate
final go-ahead was never informed of the con- does not guarantee a positive outcome, but it
cerns expressed by the engineers. does enhance the odds.
In Review
• A social norm is a shared rule or expectation • Deindividuation is a temporary lowering of restraints
about how group members should think, feel, and that can occur when a person is immersed in a
behave. A social role is a set of norms that defines group. Anonymity to outsiders appears to be the
a particular position in a social system. key factor in producing deindividuation.
• People conform to a group because of informa- • Social loafing occurs when people exert less
tional social influence and normative social influ- individual effort when working as a group than
ence. The size of the majority and the presence when working alone. Social loafing decreases
or absence of dissenters influence the degree of when the goal or group membership is valued
conformity. Minority influence is strongest when highly and when people’s performance within the
the minority maintains a consistent position over group can be individually monitored.
time but does not appear too deviant. • When the members of a decision-making group
• Milgram’s obedience research raised strong ethical initially share the same conservative or lib-
concerns and found unexpectedly high percentages eral viewpoint, the group’s final decision often
of people willing to obey destructive orders. Such reflects a polarization effect and becomes more
obedience is stronger when the victim is remote and extreme than the average opinion of the individ-
when the authority figure is close by, legitimate, ual members.
and assumes responsibility for what happens. • Cohesive decision-making groups that have
• People often use special techniques to get us directive leaders, are under high stress, and
to comply with their requests. These compliance are insulated from outside input may display
techniques include the norm of reciprocity, the groupthink, a suspension of critical thinking to
door-in-the-face technique, the foot-in-the-door maintain cohesion and loyalty to the leader’s
technique, and lowballing. viewpoint.
SOCIAL RELATIONS and enables us to judge the level of our cogni-

tive and physical abilities (Festinger, 1954).
Our relations with other people take many People differ in how strongly they desire
forms. Here we explore four types of social to affiliate. In one study, university students
interaction that help to define who we are, both who scored high on a personality test of need
individually and collectively: attraction, preju- for affiliation made more friends during the
dice, altruism, and aggression. semester than did students who scored low
(Byrne & Greendlinger, 1989). In another study,
Affiliation and Interpersonal high school students wore beepers over a one-
Attraction week period. They were signalled approxi-
mately every two hours, and then recorded their
What makes your life meaningful? To many peo-
thoughts and activities. Participants with high
ple, close relationships are one key. Abraham
need for affiliation were more likely than their
Maslow (1954) viewed belongingness and love
peers to report they were thinking about friends
as basic psychological needs, and considerable
and wishing they could be with people (Wong &
research indicates that “… the need to belong is a
Csikszentmihalyi, 1991).
powerful, fundamental, and extremely pervasive
People with high need for affiliation also show
motivation” (Baumeister & Leary, 1995, p. 497).
a stronger psychological sense of community—
Why Do We Affiliate? the feeling of being part of a larger collective
and being engaged with others in pursuing com-
Humans are social beings and affiliate in many
mon goals (Burroughs & Eby, 1998). People with
ways (Figure 13.23). Some theorists argue that, 24. According
a strong sense of community are more likely
over the course of evolution, individuals whose to evolutionary
to engage in extracurricular school activities
biological makeup predisposed them to affiliate and social
and to keep abreast of local and national news
were more likely to survive and reproduce than comparison
(Davidson & Cotter, 1997). Clearly, our desire to
those who were reclusive. By affording greater viewpoints, why
feel connected can express itself in many ways.
access to sexual mates, more protection from are humans such
Many situational factors affect our tendency
predators, an efficient division of labour, and social creatures?
to affiliate. For example, fear-inducing situations
the passing of knowledge across generations,
increase our desire to be with others (Schachter, 25. How does
a socially oriented lifestyle had considerable
1959). During emergencies, as in the aftermath fear influence
adaptive value (Flinn, 1997; Kottak, 2000).
of earthquakes, floods, and hurricanes, many affiliation?
Craig Hill (1987) suggests that, psychologi-
people find themselves bonding to strangers
cally, we affiliate for four basic reasons: to
(Humphriss, 1989). When afraid, we prefer to be
obtain positive stimulation, receive emotional
with people who have been through the feared
support, gain attention, and permit social com-
situation we are facing. This way, we can gauge
parison. Social comparison involves compar-
the normalcy of our reactions and learn informa-
ing our beliefs, feelings, and behaviours with
tion about what to expect. In one study, hospital
those of other people. This comparison helps us
patients awaiting open-heart surgery expressed a
determine whether our responses are “normal,”
stronger desire to have a roommate who already
had been through the surgery than a preoperative
roommate like themselves (Kulik & Mahler, 1989).
And, when such patients were assigned to postop-
erative rather than preoperative roommates, they
became less anxious and later recovered from
surgery more quickly (Kulik et al., 1996).
Initial Attraction
Attraction is the first phase of most friendships
and romantic relationships. What causes us to
“connect” with some people, but not others?
Ingram Publishing/SuperStock
Proximity and mere exposure: “Haven’t I seen
FIGURE 13.23 Affiliation brings us companionship,
intimacy, love, and also basic social contact. To satisfy
you somewhere?” People cannot develop a
these desires, we form friendships, interact with family relationship unless they first meet, and proxim-
members, join groups, converse with strangers, and ity (nearness) is the best predictor of who will
flock together in crowds. cross paths with whom. In today’s increasingly
wired world, friendships and romances some- So like mismatched roommates Felix Unger
times develop after strangers make initial contact (an uptight neatnik) and Oscar Madison (a care-
through Internet chat rooms, social-networking free slob) in the classic movie The Odd Couple,
sites, or email. Still, physical proximity matters. do opposites ever attract? At times, of course.
We interact most with people who are physi- But much more often, opposites repel (Krueger &
cally closer (Latané et al., 1995). Residents in Caspi, 1993; Rosenbaum, 1986). When choosing
married-student apartments are more likely to potential friends or mates, we typically screen
form friendships with other residents who live out people who are dissimilar to us. And, when
close by; students placed in assigned classroom dissimilar people do form relationships, they
seats are more likely to become friends with stu- tend not to last as long (Byrne, 1997). As Diane
dents seated nearby (Back et al., 2008); and many Felmlee (1998) found, dissimilarity increases
adults meet their spouse or current dating partner the risk of “fatal attractions”: We initially find
at school, work, or place of worship (Festinger some characteristic of another person appeal-
et al., 1950; Michael et al., 1994). In fact, if we are ing, but over time we come to dislike it. In short,
thinking about affiliating with other people, we what is intriguing and different today may repel
actually see ourselves as physically closer to oth- us tomorrow!
ers (Stel & Koningsbruggen, 2015).
26. How and why Proximity increases the chance of frequent Physical attractiveness: Spellbound by
does proximity encounters, and over 200 experiments provide beauty. It may be shallow and in many ways
influence evidence of a mere exposure effect: Repeated unfair, but most people seem drawn to beauty
affiliation and exposure to a stimulus typically increases our lik- like moths to a flame (Figure 13.24). In many
attraction? ing for it. No matter the stimuli—university class- studies, when men and women rate the desirabil-
mates, photographs of faces, random geometric ity of hypothetical short-term dating partners,
shapes, foreign words, and so on—so long as they their judgments are influenced most strongly by
are not unpleasant and we are not oversaturated, how good-looking the person is.
exposure generally enhances liking (Monahan Consider the heterosexual college students
et al., 2000; Winograd et al., 1999). This effect who participated in a recent speed-dating survey
occurs even when we are not consciously aware of at a southeastern U.S. public university (Luo &
the repeated exposures (Hansen & Wänke, 2009). Zhang, 2009). Prior to the actual speed-dating
sessions, the researchers measured the stu-
Similarity: Birds of a feather. When it comes to dents’ interests, values, personality characteris-
attraction, folk wisdom covers all the bases. On tics, and other personal factors. Eight research
the one hand, “opposites attract.” On the other, team members also rated each student’s physi-
“birds of a feather flock together.” So which is cal attractiveness based on a photograph of the
it? The evidence is overwhelming: People most student taken moments prior to their particular
often are attracted to others who are similar to speed-dating session. At a session, each speed
themselves (Byrne, 1997). For psychological date lasted five minutes and immediately after-
attributes, similarity of attitudes, beliefs, and wards, participants rated their desire to see that
27. Do birds of
a feather flock values seems to matter the most (Buss, 1985). person again. The results were as follows: For
together, or In the laboratory, university students’ degree men and women, their desire to date the partners
do opposites of liking for a stranger can be predicted very they met depended far more strongly on the part-
attract? Describe accurately simply by knowing the proportion ner’s physical attractiveness than on any other
the evidence. of similar attitudes that they share (Byrne, 1997; characteristic the researchers measured.
Byrne & Nelson, 1965). This similarity-attraction In other research, psychologists have mea-
relationship has been found across many groups, sured people’s physical attractiveness and per-
including people in Mexico, India, and Japan who sonal characteristics, and then randomly paired
ranged from Grade 4 students to retirees. Outside them on actual blind dates. In one classic study
the laboratory, Donn Byrne and his colleagues with university students, the partners’ physi-
(1970) matched university students on a brief cal attractiveness was the only factor that pre-
30-minute date, pairing people with partners who dicted students’ attraction (Walster et al., 1966).
had either highly similar or dissimilar attitudes. Women and men who dated physically attrac-
Students were more attracted to similar part- tive partners liked them more and had a stron-
ners, talked with them more during the rest of the ger desire to date them again. Similarly, among
semester, and had a stronger desire to date them. 100 homosexual men who researchers paired
One reason we like people with similar attitudes together for a date, men’s liking for their part-
is that they validate our view of the world. ners and desire to date them again were most
(left): © PhotoAlto/Alamy Stock Photo; (right): © Sid Bahrt/Photo Researchers, Inc.
FIGURE 13.24 Hey, good lookin’! The way that both sexes initially judge someone is influenced by that person’s
attractiveness and other physical features. We are not alone. Many species, such as these Frigate birds (male on
the left), have evolved distinct features and ritualized mating displays to attract a potential mate’s attention.
strongly influenced by the partners’ physical individuals may attribute the positive responses
attractiveness (Sergios & Cody, 1986). of others solely to their “surface” beauty rather
What motivates our desire to affiliate with than to their inner personal qualities.
attractive people? One factor may be the wide- Although we are attracted to “beautiful peo-
28. Identify two
spread stereotype that “what is beautiful is ple,” we are most likely to have a dating partner
factors that may
good”; we often assume that attractive people or spouse whose level of physical attractive-
underlie the
have more positive personality characteris- ness is similar to our own: a matching effect desire to affiliate
tics than unattractive people (Dion et al., 1972; (Feingold, 1988). In this case, “birds of equally more with
Feingold, 1992). The popular media reinforce this attractive feathers flock together.” One reason attractive people
stereotype. Analyzing five decades of top-grossing for this is that the most attractive people may than unattractive
Hollywood movies, Stephen Smith and his col- match up first and be “taken,” then the next people.
leagues (1999) found that good-looking male most attractive, and so on (Kalick & Hamilton,
and female characters were portrayed as more 1988). Another factor is that, to lessen the risk
intelligent, moral, and sociable than less attrac- of rejection, some people may refrain from
tive characters. However, attractiveness can approaching potential dating partners who are
work against you if you are in need and asking more attractive than they are (Huston, 1973).
for help (Fisher & Ma, 2014). Because we are Among dating couples, those who are best
often judged by the company we keep, we also matched on attractiveness are most likely to
may prefer to associate with attractive people fall deeply in love, and couples who eventually
to buttress our self-esteem. Self-conscious peo- marry are more similar in attractiveness than
ple, who are highly concerned about how they dating couples in general (White, 1980).
come across to others, are especially likely to
gravitate toward attractive people (Richardson, Facial attractiveness: Is “average” beautiful?
1991; Snyder et al., 1985). Given beauty’s power, what makes a face physi-
Lest you conclude that beauty is the key to cally attractive? Beauty may be in the eye of the
happiness, we should note that physical attrac- beholder, but within and across cultures, people
tiveness during the university years is unrelated are seeing through similar eyes; their ratings of
to life satisfaction in middle age (Kaner, 1995). facial attractiveness agree strongly (Langlois
And physically attractive people do not necessar- et al., 2000).
ily have the highest levels of self-esteem (Major Look at face 3 and face 5 in Figure 13.25. The
et al., 1984), although attractiveness has been first thing you need to know is that these people
shown to be related to psychological well-being don’t exist. These photos are composites, “aver-
(Datta Gupta et al., 2015). Beauty is sometimes aged” male and female faces created digitally
linked with self-doubt, because highly attractive by blending 16 photographs of young men and
Face 1 Face 2 Face 3 Face 4 Face 5 Face 6 Face 7
“Extreme” “Averaged” “Averaged” “Extreme”

male face male face female face female face
FIGURE 13.25 Judging beauty. Which male face do you find most attractive? Which female face? Faces 3 and 5 are “averaged”
composite photographs digitally created by blending photos of 16 men and 16 women, respectively. These averaged composites were
then digitally altered to accentuate either masculine or feminine features. Faces 1 and 7 are extremely masculinized and feminized,
respectively; faces 2 and 6, moderately so. Face 4 blends the masculine and feminine features. In actual experiments, masculinization-
feminization changes typically are done very gradually, creating many more choices than you see here.
Source: Adapted with permission Johnston, V.S. et al. Male Facial Attractiveness: Evidence for Hormone-Mediated Adaptive Design. Fig. 1, p. 255,
Evaluation and Behavior 22. pp. 251–ßß267. Elsevier Publishing.
16 photographs of young women (Johnston et al., faces as the most attractive (Johnston et al.,
2001). Using different sets of photographs, stud- 2001; Perrett et al., 1998). In contrast, depending
ies in North America, Europe, and Asia consis- on the study, male faces that have been some-
tently find that people typically rate “averaged” what masculinized or feminized are rated as the
male and female faces as more attractive than most attractive.
almost all the individual faces used to create
the composites (Langlois & Roggman, 1990). As Attraction Deepens: Close
Moreover, people perceive individual faces as Relationships
more attractive when those faces are digitally Budding relationships grow closer as peo-
modified to look more like the “averaged” face ple share more diverse and meaningful
(Rhodes et al., 2001). One reason that averaged experiences(Altman & Taylor, 1973). Self-
faces seem more attractive is that they are more disclosure—the sharing of innermost thoughts
symmetrical, and people prefer facial symme- and feelings—plays a key role (Dindia, 2002). In
try (B. Jones et al., 2004). However, even when friendships, dating relationships, and marriages,
viewing faces from the side, where symmetry more extensive and intimate self-disclosure is
is not an issue, averaged faces are still rated as associated with greater emotional involvement
more attractive. and relationship satisfaction. This relation is
As Gestalt psychologists noted, in visual per- reciprocal. Self-disclosure fosters intimacy
ception, the whole is more than the sum of its and trust, and intimacy and trust encourage
parts. As individual facial features—noses, eyes, self-disclosure.
lips, and so on—conform more to an “averaged” Social exchange theory proposes that
29. According to norm, we perceive the “whole face” as more the course of a relationship is governed by
social exchange attractive. But keep in mind that some individ- rewards and costs that the partners experience
theory, what ual faces, which deviate from their composite, (Thibaut & Kelley, 1959). Rewards include com-
factors influence
are rated the most attractive overall. Moreover, panionship, emotional support, and the sat-
whether a
as Figure 13.25 shows, some researchers have isfaction of other needs (van de Rijt & Macy,
relationship
will deepen, be taken composite faces and digitally altered 2006). Costs may include the effort spent to
satisfying, and them to appear progressively more masculine maintain the relationship, arguments, conflict-
continue? (e.g., larger jaw and brow ridges) or more femi- ing goals, and so forth. The overall outcome
nine (e.g., fuller lips, a narrower jaw). Consis- (rewards minus costs) in a relationship can be
tently, people perceive moderately feminized positive or negative.
Satisfaction
Comparison
with
level
relationship
vs.
Rewards – Costs = Outcomes
vs.
Comparison Commitment
level for to
alternatives relationship
FIGURE 13.26 Social relationships: Are you satisfied and committed? According to Thibaut and Kelley’s (1959)
social exchange theory, rewards minus costs equal the outcome of a relationship. Comparing our outcomes with
two standards, the comparison level and the comparison level for alternatives, determines our satisfaction and
commitment to the relationship, respectively.
Outcomes are evaluated against two stan- women viewed it as the most important qual-
dards (Figure 13.26). The first, called the com- ity they desired in a mate. In many cultures, a
parison level, is the outcome that a person has mate’s chastity (no previous experience in sex-
grown to expect in relationships, and it influ- ual intercourse) was viewed as last or near-last
ences the person’s satisfaction with the pres- in importance, but in China and India, men and
ent relationship. Outcomes that meet or exceed women viewed chastity as an important quality
the comparison level are satisfying; those that in a mate.
fall below this standard are dissatisfying. The There are also remarkably consistent sex dif-
second standard, called the comparison level ferences in mate preferences across cultures. 30. Describe
for alternatives, focuses on potential alterna- Men tend to place greater value on a potential some gender
differences
tives to the relationship, and it influences the mate’s physical attractiveness and domestic
in mate
person’s degree of commitment. Even when a skills, whereas women place greater value on preferences.
relationship is satisfying, partners may feel low a potential mate’s earning potential, status, and
commitment if they perceive that something ambitiousness. Men tend to desire a mate who
better is available. In turn, the partners’ sense of is a few years younger, whereas young and
commitment helps to predict whether they will middle-aged women tend to desire a mate who
remain together or end their relationship in the is a few years older (Alterovitz & Mendelsohn,
future (Sprecher, 2001). 2009). Men also are more likely to desire and
pursue a greater number of short-term romantic
Sociocultural and Evolutionary Views encounters than are women (Schmitt et al., 2001).
According to social exchange theory, a part- As we discussed in detail in Chapter 4, some
ner’s desirable characteristics can be viewed as evolutionary psychologists argue that these sex
rewards, whereas undesirable characteristics differences reflect inherited predispositions,
represent costs. But what specific characteris- shaped by natural selection in response to dif-
tics do people desire in a partner? In a massive ferent adaptive problems that men and women
study involving 10 000 men and women from have faced over the ages (Gangestad et al., 2006).
37 cultures around the world, evolutionary psy- According to the sexual strategies theory, ances-
chologist David Buss and his colleagues asked tral men who were predisposed to have sex with
people to identify the qualities they sought in more partners increased the likelihood of father-
an ideal long-term mate (Buss, 1989; Buss et al., ing more children and passing on their genes.
1990). Overall, for both sexes, mutual attraction/ Such men may have perceived a woman’s youth
love, dependable character, emotional stabil- and attractive appearance as signs that she was
ity, and a pleasing disposition emerged (in that fertile and had many years left to bear children
order) as the most highly rated of the 18 charac- (Buss, 1989). Ancestral women, however, maxi-
teristics evaluated. mized their reproductive success by selecting
The importance attached to many qualities, mates who were willing and able to commit time,
however, varied considerably across cultures. energy, and other resources (e.g., food, shelter,
For example, whereas North American men protection) to the family (Buss, 1989).
and women viewed refinement/neatness as hav- Do men and women have different biologi-
ing only modest importance, Iranian men and cal wiring when it comes to romantic attraction
and relationships? Social structure theory types of love contribute to satisfaction in long-
proposes that most of these sex differences term romantic relationships (Sprecher & Regan,
in mating strategies and preferences occur 1998). In general, passionate love is less stable
because society directs men into more advan- and declines more quickly over time than com-
taged social and economic roles (Eagly & panionate love, but this does not mean that the
Wood, 1999, 2006). As this theory predicts, flames of passionate love inevitably are extin-
in cultures with more gender equality, many guished (Tucker & Aron, 1993).
31. How does of the sex differences in mate preferences The distinction between passionate and com-
Sternberg’s shrink. Women place less emphasis, for exam- panionate love is one of psychology’s most basic.
model expand on ple, on a mate’s earning power and status, and However, Robert Sternberg (1988, 1997) pro-
the passionate- men and women seek mates more similar in poses a three-component triangular theory of
companionate age. Men’s tendency to place more emphasis love that focuses on intimacy (closeness, shar-
love distinction? on a mate’s physical attractiveness, however, ing, and valuing one’s partner), commitment
does not decrease in such cultures. But it is (the decision to remain in the relationship), and
still a leap, say critics, to conclude that sex passion (feelings of romance, physical attrac-
differences in mating preferences reflect a tion, and sexual desire). Research suggests that
hereditary predisposition rather than some these three qualities do a good job of captur-
other aspect of gender socialization that may ing the way people commonly think about love
be consistent across cultures. (Aron & Westbay, 1996).
This issue is far from settled, but perhaps Figure 13.27 shows that different combina-
the most important point to realize is the notion tions of these components characterize seven
that men and women come from “different types of love (plus “non-love,” which is the
planets” when it comes to attraction, romance, absence of all three components). Sternberg
and close relationships is more pop psychol- proposes that the ultimate form of love
ogy than reliable science (Hazan & Diamond, between people—consummate love—occurs
2000). Sex differences exist, but cross-cultural when intimacy, passion, and commitment are
differences tend to be stronger. That is, men all present.
and women within the same culture are typi-
cally more similar to one another than are men The Cognitive-Arousal Model: Why Does
from different cultures or women from differ- My Heart Pound?
ent cultures (Buss et al., 1990). Our culture believes in the concept of love, and
we are exposed to love themes from childhood.
Love
Love must be a powerful motive if it indeed
“makes the world go round,” but which type of Liking
love does this? In his book The Art of Loving, (intimacy alone)
psychoanalyst Erich Fromm (1956) identified
Intimacy
five fundamental types of love: parental love,

erotic (sexual) love, self-love, love for human- Romantic love Companionate love
ity, and love of God. Restricting ourselves to (intimacy + (intimacy +
passion) commitment)
friendships and romantic relationships, poet
Elizabeth Barrett Browning’s insight, “How Consummate
do I love thee? Let me count the ways” is most love
(intimacy +
applicable. passion +
commitment) Co
mm
Types of Love ion
itm
ss en
Passionate love involves intense emotion, Pa t
arousal, and yearning for the partner (Hatfield, Infatuation Empty love
(passion alone) (commitment alone)
1988). We may ride an emotional roller coaster Fatuous love
that ranges from ecstasy when the partner is (passion + commitment)
present to heartsickness when the person is
FIGURE 13.27 According to Sternberg, different
absent. Companionate love involves affec- types of love involve varying combinations of intimacy,
tion, deep caring about the partner’s well-being, commitment, and passion. Consummate love involves
and a commitment to “being there” for the other the presence of all three factors, whereas non-love rep-
(Caspi & Herbener, 1990; Hatfield, 1988). Both resents the absence of all three.
Woman meets Prince Charming; they fall in prefrontal cortex shows lower activity levels
love, get married, and live happily ever after. By (Zeki, 2007)—indicating that we are likely to
adolescence, we are eagerly awaiting the glo- engage in riskier behaviours.
ries of love. Of course, for close relationships to develop 32. Explain
According to the cognitive-arousal model and endure, they need more than passion alone. how transfer of
of love, the passionate component of love has Intimacy, self-disclosure, and commitment pro- excitation can
interacting cognitive and physiological com- vide a basis for the trust and friendship that influence our
ponents (Berscheid, 1984; Hatfield & Rapson, sustain and increase love. As this chapter’s feelings of love.
1987). Primed with our beliefs and expectations Applications feature highlights, other behav-
about love, when we experience high arousal in iours also help to make close relationships
the presence of someone whom we perceive as successful.
attractive and desirable, we may conclude that
we must be “falling in love.” This model suggests Prejudice and Discrimination
that emotional arousal actually caused by some
Walk into a party, classroom, job interview—any
other factor may sometimes be misinterpreted
social situation—and just by looking at your body
as love. This phenomenon is known as transfer
build people will start to form an impression of
of excitation: arousal due to one source is per-
you (Crandall et al., 2001). If they perceive you 33. Based on
ceived (“misattributed”) as being due to another
as “overweight,” for example, then you may be marital research,
source (Zillmann, 1984).
judged as less likable, as having poorer will power give some advice
Remember the Capilano Suspension Bridge
and social skills, and as being more unhappy to a newlywed
experiment by Donald Dutton and Arthur
with yourself than your nonfat peers (Crandall & couple about
Aron (1974) that we discussed in Chap- behaviours that
Martinez, 1996; Carr & Friedman, 2005).
ter 11? As you will recall, an experimenter will help to keep
Attractiveness matters too. Both children
approached male participants as they crossed their relationship
and adults tend to form less favourable impres-
over one of two bridges just north of Vancou- strong.
sions of people who are less attractive. They
ver. Participants who crossed the narrow,
expect them to have less desirable personality
wobbly, and arousing Capilano Suspension
traits and to achieve less success and happiness
Bridge included more sexual themes in their
in life, even though correlational studies typi-
stories than did participants who crossed
cally find that such variables are unrelated or
a wide, sturdy non-arousing bridge. Dutton
only weakly related to attractiveness and other
and Aron (1974) concluded that men’s sexual
facial features (Dion et al., 1972; Zebrowitz
attraction toward the woman was increased
et al., 1996).
by the arousal produced by being on the sus-
Perhaps above all, ethnicity and gender mat-
pension bridge, and a meta-analysis of over
ter. They are likely to be the first character-
30 experiments supports this model (Foster
istics someone notices about you, and like so
et al., 1998). When we are in the presence of
many other personal qualities, can be the basis
someone we find attractive, other sources of
for prejudice and discrimination (Fiske, 2002).
arousal—whether a wobbly bridge, physical
Prejudice refers to a negative attitude toward
exercise, or a frightening movie—increase
people based on their membership in a group.
our sexual attraction even if we recognize
Thus, we prejudge people—dislike them or hold
those outside sources. If we are not aware
negative beliefs about them—simply because of
of these sources, our attraction increases
their gender, ethnic or religious identity, sexual
even more.
orientation, and so on. This type of prejudging
As you might expect, love does seem to have
is more likely to found in people with lower
a neurological component. The ventral tegmen-
levels of education and lower levels of income
tal area of the brain is triggered when you think
(Carvacho et al., 2013). Discrimination refers
about the person you love. This results in the
to overt behaviour: It involves treating people
release of dopamine, which is related to plea-
unfairly based on the group to which they belong.
sure. People who are in love, show greater activ-
ity in the entire reward structure of the brain
(Song et al., 2015). Other neurotransmitters are Overt and Covert Prejudice:
affected as well. For example, norephinephrine Have Times Changed?
increases and serotonin decreases. The result Even in this day and age, overt prejudice and
is an increase in heart rate and blood pressure, discrimination are in abundant supply. Armed
and we tend to become almost obsessive in conflicts based on ethnic or religious divisions
our thoughts about our loved one. Finally, the continue across the globe; supremacist groups and
Applications
MAKING CLOSE RELATIONSHIPS WORK: reported being happily married, unhappily married, or
LESSONS FROM PSYCHOLOGICAL divorced. Using data collected while the couples were new-
RESEARCH lyweds, the researchers predicted which marriages would
end in divorce with 83 percent accuracy, and the degree of
Close relationships go through good times and bad, per- marital satisfaction in still-married couples with 80 percent
sisting or dissolving over time. Consider marriage. Though accuracy.
highly intimate, this union often is fragile. In North America, Surprisingly, the amount of anger expressed by hus-
about half of first marriages end in divorce, and the fail- bands and wives in their laboratory interactions predicted
ure rate for second marriages is higher. How can people neither stability nor happiness six years later. Instead, the
make their close relationships more satisfying and stable? crucial factor was the manner in which couples dealt with
Recent research on marriage suggests several answers that their anger. Particularly important were four behaviours that
also may be applied to dating relationships and friendships. Gottman (1994) calls “The Four Horsemen of the Apoca-
For decades, most marital research simply asked people lypse”: criticism, contempt, defensiveness, and stonewalling
about their marriages. But as Figure 13.28 shows, research- (listener withdrawal and nonresponsiveness).
ers are now bringing couples into laboratories to videotape Couples headed for unhappiness or divorce often exhibit
their interactions and to chart their facial and physiologi- these behaviours while discussing conflict, thereby esca-
cal responses as they discuss emotionally charged issues lating their conflict and negative emotions. When the wife
(Gottman et al., 1999; Kiecolt-Glaser et al., 1998). Rather criticizes the husband, he often stonewalls and withdraws
than focusing only on unhappy couples to find out what from her attempts to reach some resolution. Her resulting
is going wrong in their relationships, researchers also are frustration leads to stronger emotional displays and criti-
studying happy couples to discover the secrets of their cism, and the interaction degenerates into exchanges of
success. contempt in which the partners tear down each other. Once
Using these methods and new marital interview tech- this negative cycle develops, even positive overtures by
niques, psychologists have predicted whether marriages one spouse are likely to evoke a negative response from
will last or dissolve with impressive accuracy (Carrere et al., the other (Margolin & Wampold, 1981).
2000). In one laboratory study, John Gottman and his col- Happily married couples experience conflict and anger,
leagues (1998) collected behavioural and physiological data too, but do not allow the spiral of negativity to get out of
from 130 newlywed couples as they discussed areas of control. Instead, they make frequent “repair attempts” to
marital conflict (e.g., in-laws, finances, sex) during the first resolve their differences in a spirit of mutual respect and
six months of their marriage. Six years later, participants support. Gottman and his colleagues (1998) found that
in happy marriages, the wife often introduced the conflict
topic in a softened or low-intensity manner, rather than with
sarcasm, criticism, and strong emotion. Next a key factor
occurred: The husband responded to the issues she raised
in a concerned and respectful manner that de-escalated
negative emotion. A husband who turns off the TV and lis-
tens to his wife, or who says, “I can see you’re upset, so
let’s work this out,” demonstrates that her concerns are
important to him. In happy marriages, after the husbands’
responsiveness de-escalated the conflict, couples tended
to “soothe” each other (and themselves) with positive com-
ments and humour, resulting in more emotionally positive
interchanges and lowered physiological arousal.
Happily married partners also make the effort to get
to know each other’s psychological world—their fears and
dreams, philosophy of life, attitudes, and values—and they
continually update their knowledge. This “love map,” as
© Andrew Brusso
Gottman calls it, allows each partner to be more responsive
FIGURE 13.28 In John Gottman’s “love lab,” married cou- to the other’s needs and to navigate around relationship
ples (husband visible in rear) are filmed while interacting. roadblocks (Gottman et al., 1998; Gottman & De Claire,
Facial expressions, actions, heart rate, breathing rate, perspi- 2002). Such behaviour contributes to an essential aspect of
ration, fidgeting, and other responses are measured. happy marriages: a deep and intimate friendship between
continued
TABLE 13.1 How Strong Is Your Relationship? the partners. Gottman (1994; Gottman & Silver, 2012)
notes that the lessons of happy marriages can be applied
Answer each question True (T) or False (F):
to other types of close relationships. Affirmative answers to
I can tell you about some of my partner’s dreams. T F the questions in Table 13.1 suggest that such relationships
We just love talking to each other. T F are on solid psychological ground.
My partner is one of my best friends. T F
My partner listens respectfully, even when we T F
disagree.
We generally mesh well on basic values and goals T F
in life.
I feel that my partner knows me pretty well. T F
The greater the number of “True” answers, the stronger your

relationship. Courtesy of John Gottman.
Source: Gottman & De Claire, 2002. The relationship cure: A five-step guide to strengthening your marriage, family, and friendships. New York, NY:
Three Rivers Press
hate crimes persist (Figure 13.29); and people’s implicit association test in which a series of word-
race, gender, religion, and sexual orientation spark pairs, such as “black—pleasant” and “white—pleas-
unfair treatment (Herek, 2000). In some ways, ant” are flashed on a computer screen. As soon as
however, the most blatant forms of prejudice and you see each pair, your task is to press a computer
discrimination have decreased in many countries. key as quickly as you can, and this represents your
Racial segregation is no longer sanctioned by reaction time. The principle underlying this test is
government policy in the United States and South that people react more quickly when they perceive
Africa, and opinion polls indicate that fewer people that the two words in each pair are associated with
express prejudiced attitudes toward other ethnic each other (i.e., the words “fit” together) than when
groups than was the case decades ago. they don’t fit together. Thus, without conscious con-
Although prejudiced attitudes truly seem to trol, a person prejudiced against Blacks will react
have faded a bit, in many ways modern racism, sex- more slowly to the “black—pleasant” pair than to
ism, and other forms of prejudice have gone under- the “white—pleasant” pair. The larger the discrep-
ground and are more difficult to detect (Brochu ancy in reaction times, the stronger are the person’s
et al., 2008; Dovidio et al., 2005; Dovidio et al., underlying negative attitudes. Greenwald and his
1997). Many people consciously hide their preju- associates found large reaction time differences of
dices, expressing them only when they feel it is this kind even among White males who claimed—
safe or socially appropriate. In other cases, people in response to standard questions—to have no
may honestly believe that they are not prejudiced prejudice toward Blacks. Likewise, Japanese and
but still show bias when tested in sophisticated Koreans, whose nations have a history of conflict,
ways (Fazio et al., 1995; Olson & Fazio, 2003). react differently toward pairs such as “Japanese—
To measure covert prejudice, Anthony pleasant” and “Korean—pleasant.”
34. How do
Greenwald and his colleagues (1998) developed an Prejudiced attitudes may surface when we are
psychologists
cued to think in negative ways. Esses and Zanna use reaction
(1995) had students listen to music that put them time tasks to
in a good, bad, or neutral mood. They then gener- detect people’s
ated a set of traits for a variety of ethnic groups covert prejudice?
(e.g., English Canadians, Pakistanis) and rated
how positive or negative they felt each trait
was. The data indicated that English-Canadian
students rated other ethnic groups more nega-
tively when they were in a bad mood but not
when they were in a good mood. Thus, the
way we are feeling can influence how we think
about others. Recent research has attempted to
© Royalty-Free/Corbis
identify the neural basis for these reactions. We
FIGURE 13.29 Prejudice reveals itself in many sub- examine this work more closely in this chapter’s
tle and not-so-subtle forms. Focus on Neuroscience feature.
Focus on
Neuroscience
THE NEUROSCIENCE Black faces than for White faces. However, the dark-toned
OF STEREOTYPING White face resulted in as much activity as observed with the
Black faces (see Figure 13.30). There was a nonsignificant
Researchers wanting to study stereotyping acknowledge decrease observed for the light-toned Black faces.
that modern versions of prejudice are more covert, more Ronquillo et al. (2007) suggest that these subtle differ-
implicit than they were in the past (e.g., Esses & Hodson, ences are the bases of stereotype formation. Phenotypic
2006; Greenwald et al., 1998). Rather than directly indicat- features such as dark skin tone are detected at the level of
ing that a particular group is disliked, prejudice is more the amygdala and in a largely automatic fashion result in
likely to show up as increased reaction time when the stereotypic bias. We are likely to have a negative-affective
names of targeted groups are paired with positively toned response to individuals who possess this feature, regardless
adjectives (e.g., Black—pleasant). What neural circuits of their group membership. How fast does all of this hap-
might we expect to be involved in this kind of reaction? pen? Ito and Bartholow (2009) and others (e.g., Kubota &
Recent work has focused on the amygdala. Activity in the Ito, 2007) have found EEG spikes (event-related potentials)
amygdala can reflect a quick assessment of the potential within 180 milliseconds following the presentation of an
threat posed by an emotionally laden stimulus (Adolphs et al., out-group target.
1994; Nelson, 2013). Thus, if an individual perceives an out-
group member as threatening, we should observe heightened 600
amygdala activity. This result has been reported by several
researchers (e.g., Chekroud, et al., 2014; Cunningham et al.,
2004; Eberhardt, 2005) in studies where participants simply 500
(mean percent signal change)
look at faces of in-group and out-group members. Indeed,

amygdala activation can be observed even when the target
400
Amygdala activity
face is presented subliminally (Cunningham et al., 2004)

and the strength of activation is correlated with measures of
implicit racism (Phelps et al., 2000). 300
Which facial features might trigger such a response?
While there are many possible features to examine (e.g., 200
size of nose, straightness of hair), one that seems an
obvious candidate is skin tone. Variations in skin tone are
100
related to perceptions of favourability (lighter skin tones are
preferred), even by same-race judges (e.g., Maddox & Gray,
2002). Perhaps looking at skin tone itself will activate the 0
amygdala. Ronquillo et al. (2007) presented photographs White White Black Black
light dark light dark
of both Black and White faces to participants (White males)
while being scanned with fMRI. The faces had been colour
FIGURE 13.30 Amygdala activity in response to Black and
adjusted by using Photoshop so that participants saw both White faces (after Ronquillo et al., 2007).
light-toned and dark-toned versions of each face. Their task
Source: Data from Ronquillo, J., Denson, T.F., Lickel, B., Lu, Z., Nandy,
was simply to decide whether the individual presented was A., & Maddox, K.B. (2007). The effects of skin tone on race-related
older or younger than 24 years. Consistent with previous amygdala activity: An fMRI investigation. Social Cognitive and Affective
findings, greater activity was observed in the amygdala for Neuroscience, 2(1), 39–44.
Cognitive Roots of Prejudice

perceptual tendency to categorize objects and peo-
Whether overt or subtle, prejudice and dis-
ple. At times, this helps us react to the environment
crimination are caused by a constellation of
quickly and to predict others’ behaviour (Ito &
factors, including historical and cultural norms
Cacioppo, 2000). But our automatic tendency to
that legitimize differential treatment of various
categorize people also helps to lay a foundation for
35. Identify groups. Here, we examine several cognitive and
cognitive
prejudice (Dovidio et al., 1997; Glick & Fiske, 1999).
motivational causes of prejudice.
processes that Categorization leads to the perception of “in-
foster prejudice. Categorization and us-them thinking. To orga- groups” and “out-groups,” groups to which we do
nize and simplify our world, we have a normal and do not belong, respectively. In turn, in-group
versus out-group distinctions spawn two common distinguish among “Hispanic” subgroups than
biases. First, we display in-group favouritism, a were Cuban-American, Mexican-American, and
tendency to favour in-group members and attri- Puerto Rican–American university students
bute more positive qualities to “us” than to “them.” (Huddy & Birtanen, 1995). But just like Anglo
In-group favouritism emerges in laboratory exper- students, the Cuban-, Mexican-, and Puerto
iments across the globe, even when participants Rican–American students also engaged in us-
are assigned to temporary groups based on the them thinking: They saw their own subgroup as
flip of a coin or some trivial characteristic (Reichl, distinct from the others but did not differentiate
1997; Tajfel, 1970). Out-group derogation reflects between the other two Hispanic subgroups.
a tendency to attribute more negative qualities to
“them” than to “us.” Although people may display Stereotypes and attributional distortions. Cat-
both biases, especially when they feel threatened, egorization and in-group biases lead us to respond 36. How can
in-group favouritism is usually the stronger of the quickly to out-group members based on perceived people maintain
two (Hewstone et al., 2002). group characteristics—stereotypes—rather than their stereotypes
Second, people display an out-group homo- based on their individual characteristics. Recall that in the face of
merely labelling Hannah’s parents as “blue-collar” contradictory
geneity bias. They generally view members of
information?
out-groups as being more similar to one another or “white-collar” created a mental set that shaped
than are members of in-groups (Du et al., how people perceived her behaviour (Darley &
2003; Brauer, 2001). In other words, we per- Gross, 1983). Similarly, 73 percent of White univer-
ceive that “they are all alike,” but recognize that sity students who observed a videotape of a Black
“we are diverse” (Linville & Jones, 1980). The man shoving a White man perceived the behav-
mere fact that we identify people as “Asian,” iour as “violent,” but when the tape showed a
“Hispanic,” “Black,” and “White” reflects such White man shoving a Black man, only 13 percent
a bias, because each of these ethnic categories of students saw it as violent (Duncan, 1976).
contains many subgroups. In one study, Anglo- Figure 13.31 illustrates how racial and gender
American university students were less likely to stereotypes affect our perceptions.
(a) (b)
FIGURE 13.31 (a) Who is holding the razor knife? Allport and Postman (1947) showed this picture to one person, who then told another,
who then told another, and so forth. Typically, by the sixth telling, the Black man was erroneously described as holding the razor. (b) Which
person contributes most strongly to this research team? When the drawing shows an all-male group, all-female group, or mixed-sex group with
a male at the head of the table (seat 3), participants say that the person in seat 3 is the strongest member. But in this mixed-gender drawing,
most male and female participants do not pick the woman in seat 3. Instead, they pick one of the two men (Porter & Geis, 1981).
Source: (a) From The Psychology of Rumor, by G.W. Allport (L. Postman, 1947, Henry Holt & Co. Reprinted by permission of Robert Allport; (b) based on
Porter, N.P., & Geis, F.L. (1981). “Women and nonverbal leadership cues: When seeing is not believing.” In C. Mayo & N.M. Henley (Eds.), Gender and
nonverbal behavior. New York, NY: Springer-Verlag.
What happens when we encounter individual threats to the in-group threaten our self-esteem.
members of out-groups whose behaviour clearly Our group identity thus creates a tendency to
contradicts our stereotypes? One possibility is take pride in one’s in-group while also derogat-
that we may change our stereotype; but some- ing out-groups (Perdue et al., 1990). Compared
one who is motivated to hold on to a prejudiced with relatively unprejudiced people, prejudiced
belief can “explain away” discrepant behaviour individuals show greater concern with accu-
in several ways. For example, the out-group rately determining who is an in-group versus
member may be seen as an “exceptional case” out-group member (Blascovich et al., 1997).
or as having succeeded at a task not because
of high ability but because of good luck, spe- How Prejudice Confirms Itself
cial advantage, or some other situational factor Self-fulfilling prophecies are one of the most
(Stewart et al., 2010). invisible yet damaging ways of maintaining
prejudiced beliefs. A classic experiment by Carl
Motivational Roots of Prejudice Word and his colleagues (1974) illustrates this
People’s ingrained ways of perceiving the point. The researchers began with the premise—
world—categorizing, forming in-groups and supported by research at the time—that Whites
out-groups, and so forth—appear to set the held several negative stereotypes of Blacks. In
wheels of prejudice in motion, but motivational the experiment, White male university students
factors affect how fast those wheels spin. interviewed White and Black high school stu-
dents who were seeking admission into a spe-
Competition and conflict. According to real-
37. According to cial group. The participants used a fixed set
istic conflict theory, competition for lim-
realistic conflict of interview questions provided by the experi-
ited resources fosters prejudice. In the United
theory and social menter. Unknown to them, each applicant
identity theory,
States and Europe, hostility toward minority
was an “accomplice” who had been trained to
what are the groups increases when economic conditions
respond in a standard way to the questions. The
motivational worsen (Green et al., 1998; Catalano et al., 2002;
findings indicated that these White participants
roots of Hovland & Sears, 1940; Pettigrew & Meertens,
sat farther away, conducted shorter interviews,
prejudice? 1995). Originally, it was believed that a threat to
and made more speech errors when the appli-
one’s personal welfare was the prime motivator
cants were Black. In short, their behaviour was
of prejudice, but research suggests that preju-
discriminatory.
dice is triggered more strongly by a perceived
But this is only half the picture. In a second
threat to one’s in-group (Tajfel et al., 2004). In a
experiment—a job interview simulation—White
classic study by Sherif et al. (1961), students at
male undergraduates served as job applicants.
a summer camp were divided into two groups
Through random assignment they were treated
(“The Rattlers” and “The Eagles”). When the
either as the White applicants had been treated
groups had to compete with each other for
in the first experiment, or as the Black appli-
scarce resources, hostility and derogation of
cants had been treated. In other words, for half
the out-group was maximized. Likewise, among
the participants, the interviewer sat farther
Whites, prejudice toward Blacks is not related
away, held a shorter interview, and made more
to personal resource gains and losses, but to the
speech errors. The findings revealed that White
belief that White people as a group are in dan-
participants who were treated more negatively
ger of being overtaken (Bobo, 1988).
performed worse during the job interview, were
Enhancing self-esteem. According to social less composed, made more speech errors, and
identity theory, prejudice stems from a need rated the interviewer as less friendly. In short,
to enhance our self-esteem. Some experiments these experiments suggest that an interviewer’s
find that people express more prejudice after negative stereotypes can lead to discriminatory
their self-esteem is threatened (such as by treatment during a job interview, and this dis-
receiving negative feedback about their abili- criminatory behaviour can cause the applicant
ties) and that the opportunity to derogate oth- to perform more poorly—ultimately confirming
ers helps to restore self-esteem (Fein & Spencer, the interviewer’s initial stereotype.
38. Discuss how
1997). Self-esteem, however, is based on two Stanford University psychologist Claude
self-fulfilling
prophecies and components: a personal identity and a “group” Steele (1997) has demonstrated another debili-
stereotype threat identity that reflects membership in various tating way that prejudice ends up “confirm-
perpetuate groups (Tajfel & Turner, 1986). We can raise ing itself.” His concept of stereotype threat
prejudice. self-esteem by associating ourselves with our proposes that stereotypes create a fear and
in-group’s accomplishments, and, conversely, self-consciousness among stereotyped group
members that they will “live up” to other peo- evaluation studies of desegregation programs
ple’s stereotypes. For example, in a study com- and concluded that increasing direct contact
paring female and male college students who through desegregation did not, in and of itself,
major in various fields, women majoring in the consistently reduce racial prejudice. Indeed,
traditionally “male” fields of math, science, and some studies found that prejudice increased
engineering reported the highest level of stereo- after desegregation.
type threat (Steele et al., 2002). They were more Why weren’t the results more positive? First,
likely to feel that they (as well as other women in the condition of equal status contact was often
their major) had been targets of sex discrimina- not met, and contact when status is unequal
tion and that because of their gender, other peo- serves only to perpetuate both groups’ nega-
ple (including their professors) expected them tive stereotypes of each other. Second, in many
to have less ability and do more poorly. Stereo- integrated school situations, close and per-
type threat can occur even if the group mem- sonal contact between group members did not
bers do not accept the stereotype themselves. occur. Black and White students were some-
Given the stereotype that “Blacks are not as times placed in different “learning tracks” that
intelligent as Whites,” Black university students minimized in-class contact, and they tended to
who take a difficult test perform more poorly associate only with members of their own eth-
than White students when the test is described nic group outside of class. Third, classroom
as “an intelligence test.” But Blacks perform as experiences focused on individual rather than
well as Whites when the items are described cooperative learning. And finally, intergroup
merely as being a “laboratory task.” Stereotypes contact was often not supported by broader
that Whites are inferior to Asians in math, and social norms. In the early years of desegrega-
that women are inferior to men in math, pro- tion, many White politicians, parents, teachers,
duce analogous results. When a difficult stan- and school officials militantly opposed school
dardized math test is given in situations that integration.
activate these stereotypes, Whites and women When intergroup contact takes place under
perform more poorly than when the test is pre- proper conditions, however, prejudice often
sented in a more neutral way (Aronson et al., decreases (Krahe & Altwasser, 2006; Pettigrew &
1999; Spencer et al., 1999). Tropp, 2000). In school settings, cooperative
learning programs place children into multira-
Reducing Prejudice cial learning groups. Contact is close and sus-
Psychologists are interested not only in the tained, each child is accorded equal status, and
causes of prejudice but also in identifying ways each has responsibility for learning and then
to reduce it. With some success, they have teaching other group members one piece of the
implemented many techniques aimed at chang- information that is needed for the group to suc-
ing the way people categorize one another ceed in its assignment (Aronson & Patnoe, 1997).
and think about in-groups and out-groups Overall, such programs reduce prejudice and
(Hewstone et al., 2002; Kawakami et al., 2000). promote appreciation of ethnic group differences
The best-known approaches to prejudice (Johnson & Johnson, 2000; McKown, 2005).
reduction are based on a principle called equal Beyond equal status contact, cooperative
status contact: Prejudice between people is learning programs enable children to forge a
most likely to be reduced when they (1) engage common group identity, much as athletes on a
in sustained close contact, (2) have equal sta- team or members of a military unit form a group
tus, (3) work to achieve a common goal that identity. Adopting a common identity is another
requires cooperation, and (4) are supported by factor that helps to reduce prejudice among
broader social norms (Allport, 1954). group members (Dovidio et al., 2000).
In 1954, the United States Supreme Court Research investigating the cognitive mecha-
handed down a momentous decision in the case nisms that underlie prejudice and stereotyping
of Brown v. Board of Education, ruling that suggests that the automatic activation of ste-
school segregation based solely on race violates reotypes can be reduced. Kawakami and col-
the constitutional rights of racial minorities. leagues (2000) demonstrated that training in
Providing key testimony, several psychologists negating stereotypes reduced subsequent ste-
stated that segregation contributed to racial reotype activation in participants. Gawronski
prejudice and hostility. and colleagues (2008) have since argued that in
Did school desegregation reduce prejudice? fact affirmation of counter-stereotypic associa-
Walter Stephan (1990) reviewed more than 80 tions is much more effective than negation of
stereotypic associations in reducing stereotype Prosocial Behaviour: Helping

activation. Mentally processing a statement
such as “Not all African Americans are crimi-
Others
nals” involves the breakdown of the statement Helping behaviour comes in many forms, from
into several components, including the pairing heroic acts of bravery and charitable donations
of Africans and criminality, and the presence of to tutoring a classmate or returning a lost wal-
the negation (i.e., the word “not,” which reverses let. It characterizes the entire being of people
the meaning of the rest of the sentence). For such as Mother Teresa, who devoted her life to
this reason, extensive training in negating ste- the world’s poor. Acts of violence often grab the
reotypes can have the ironic effect of actually news headlines, but we should not lose sight of
increasing stereotype activation. the mountains of good deeds performed around
the world each day (Figure 13.32).
Using simulations to reduce “shooter bias.” In
Why Do People Help?
several highly publicized cases during the past
39. According to What motivates prosocial behaviour? The
decade, police officers investigating a crime
sociobiologists, debate over this question has practical con-
what is the have shot and killed unarmed Black men. The
officers, faced with a split-second decision sequences and profound implications for our
evolutionary
about whether to shoot, mistakenly perceived conception of human nature. In Chapter 4, we
basis of helping
that these men were either reaching for or hold- considered the evolutionary principle of kin
behaviour?
ing a weapon. Was the victims’ race a factor in selection. Let’s examine some more environ-
40. How do these shootings? Social psychologists devised mental explanations.
social norms, experiments in which college students and Social learning and cultural influences. Social-
self-reinforcers, other adults quickly had to decide whether to ization, modelling, and reinforcement play a key
and empathy shoot armed and unarmed White and Black role in fostering prosocial behaviour and attitudes
influence helping suspects who appeared on a computer screen (Eisenberg & Mussen, 1989; Janoski et al., 1998).
behaviour? during a video simulation. The results revealed Beginning in childhood, we are exposed to helpful
a “shooter bias” in which participants—both models and taught prosocial norms. Recall from
White and Black participants in some studies— Chapter 7 that children were more likely to place
were more likely to shoot unarmed suspects several dogs’ welfare above their own if they had
who were Black (Correll et al., 2002). Miller et al. first seen adults rescue a puppy on a TV program
(2012) have shown that this bias extends to peo- (Sprafkin et al., 1975). A survey of nearly 200 stud-
ple who are simply perceived as different from ies suggests that TV programs that model acts of
you. Participants were randomly assigned a kindness and helping have a strong positive effect
personality type (red or green) and then shown on viewers’ prosocial behaviour (Hearold, 1986).
images of other people who had a similar or dif- Two social norms are especially relevant to
ferent personality type. Sometimes the person helping behaviour (De Cremer & van Lange, 2001;
in the image had a weapon, sometimes not. Par- Miller et al., 1990). First, the norm of reciprocity
ticipants had 600 milliseconds to decide whether states that we should reciprocate when others
or not to shoot. Results indicated that people
were more likely to shoot unarmed suspects if
they were different.
In computer simulation experiments with
students and police officers, E. Ashby Plant and
colleagues have been able to reduce this shooter
bias (Plant & Peruche, 2005; Plant et al., 2005).
The shooting simulation program, like those
used in other experiments, was designed so that
White and Black criminal suspects were equally
likely to be armed or unarmed. Over time, with
repeated exposure to the simulation program,
the shooter bias that students and police offi-
cers displayed on the earlier trials disappeared.
As the researchers note, these findings are only © Ken Gillespie Photography/Alamy Stock Photo
a promising first step that await further test- FIGURE 13.32 Like these rescue workers, many
ing in a more rigorous police academy training people seek out careers or join volunteer organizations
program. that allow them to help other people.
treat us kindly. Second, the norm of social respon- 100

sibility states that people should help others and
contribute to the welfare of society. We are rein-
Percentage of subjects volunteering to help

forced with approval when we adhere to these 80
norms, receive disapproval when we do not, and
observe that other people receive praise for con-
forming to these norms. Eventually, we internalize
prosocial norms and values as our own, enabling 60
powerful self-reinforcers such as pride, self-praise,
and feelings of satisfaction to maintain prosocial
behaviours even when external reinforcement is
40
absent. If we remind people about these norms in
the lab, they are more likely to help even when
bystanders are present (Abbate et al., 2013).
Studies in Europe, Asia, and North America 20
confirm that socialization matters (Eisenberg &
Valiente, 2002). Children are more likely to act pro-
socially when they have been raised by parents 0
who have high moral standards, who are warm Low High
and supportive, and who encourage their chil- empathy empathy
dren to develop empathy and “put themselves in Empathy condition
other people’s shoes” (Janssens & Dekovic, 1997;
Krevans & Gibbs, 1996). However, there also are FIGURE 13.33 Compared with women in a low-empa-
cross-cultural differences in beliefs about when thy condition, women who were led to feel high empathy
for a fellow research participant were more likely to vol-
and why we should help (Eckensberger & Zimba,
unteer to receive electric shocks in her place.
1997). Joan Miller and her colleagues (1990) found
that Hindu children and adults in India believe Source: Data from Batson, C.D., Duncan, B.D., Ackerman, P.,
Buckley, T., & Birch, K. (1981). Is empathic emotion a source
that one has a moral obligation to help friends and of altruistic motivation? Journal of Personality and Social
strangers, whether their need is serious or mild. Psychology, 40, 290–302.
In contrast, when a person’s need for assistance is
mild, American children and adults feel less obli- places with the woman, thereby saving her from
gated to help and view helping as more of a choice. the trauma of being shocked. Consistent with the
empathy-altruism hypothesis, Figure 13.33 shows
Empathy and altruism. Are all prosocial acts, that high-empathy participants were much more
regardless of how noble they appear, ultimately likely to voluntarily change places.
motivated by self-reinforcement, or do we have As critical thinkers, we need to ask whether
a capacity for altruism, the desire to aid another participants exchanged places not by virtue
without concern for oneself? According to C. of empathy, but because they would have felt
Daniel Batson’s empathy-altruism hypoth- guilty for not doing so. Or perhaps, as the nega-
esis, altruism does exist, and it is produced by tive state relief model proposes, high empathy
empathy, the ability to put oneself in the place of causes us to feel distress when we learn of oth-
another and to share what that person is experi- ers’ suffering, so by helping them we reduce our
encing (Batson, 2006; Batson et al., 2002). own personal distress—a self-focused goal, not an
In one study, female students’ empathy for altruistic one (Cialdini et al., 1987). Indeed, there
another female participant (actually an accom- are many reasons for acts of helping, but Batson’s
plice) was increased or decreased by leading research suggests that at least some prosocial
them to believe that her values were either simi- behaviour is motivated by unselfish goals and not
lar or dissimilar to their own (Batson et al., 1981). by the reduction of guilt, sadness, or one’s own
Then, by a rigged coin flip, the accomplice was distress (Batson et al., 1997). Given that altruistic
selected to receive supposedly painful electric behaviour has been observed in children as young
shocks while performing a task, while the real as 18 months of age and even in young chimpan-
participant acted as an observer. When the exper- zees (Warneken & Tomasello, 2006), it seems likely
iment began, the accomplice expressed great that Batson is correct. Other researchers are not
fear of the shocks. At this point, the participant convinced, however, and the larger philosophical
was told that she could leave after watching only debate as to whether people are ever truly altruis-
two shock trials or, if she wished, could change tic rages on (Cialdini et al., 1997).
No
Thinking critically 1. Notice an event?
Yes
DOES PURE ALTRUISM REALLY EXIST?
Interpret as an No
Do you believe that people ever help one another 2.
emergency?
for purely altruistic reasons? Or is even a small
degree of egoism always involved? Yes
at the end of the book. Assume responsibility No
3.
for helping?
Yes
No
4. Know how to help?
When Do People Help?
Ordinary citizens often go to great lengths Yes
41. Identify
two key ways to help strangers, but, as the infamous Kitty
(two stages of Genovese murder (discussed in Chapter 2) illus- No
5. Decide to help
intervention) trates, at times bystanders fail to assist victims
in which the who are clearly in distress (Figure 13.34). What
presence of influences whether a bystander will intervene? Yes
other bystanders Bibb Latané and John Darley (1970) view Help No help
often inhibits bystander intervention as a five-step process victim given
people from (Figure 13.35). First, a bystander will not help
responding to an unless she or he notices the situation. Imagine
emergency. FIGURE 13.35 Bystander intervention in an emer-
that as you walk along a street, you hear two gency situation can be viewed as a five-step process. If
people yelling and then hear a single scream the answer at each step is “Yes,” help is given.
coming from inside a house. You’ve noticed the Source: Based on Latané, B., & Darley, J.M. (1970). The
situation, but now what? In everyday life, many unresponsive bystander: Why doesn’t he help? New York, NY:
social situations are ambiguous, and step 2 Appleton-Century-Crofts.
involves deciding whether this is an emergency.
Is someone really in danger? To answer this Laboratory experiments confirm the impor-
question, we often engage in social compari- tance of social comparison. In one classic study,
son: We look around to see how other people are participants were filling out a questionnaire
responding. You might say to yourself, “No one when smoke started to pour into the room from
else seems concerned, so it mustn’t be anything underneath a locked side door (Latané & Darley,
too serious.” In Kitty Genovese’s murder, some 1968). Among those who were alone, three-
bystanders mistakenly thought that because quarters left the room to report the smoke.
nobody else intervened they were merely wit- But when three participants were in the room
nessing a “lover’s quarrel” that didn’t warrant together, only 38 percent of the groups reported
their “butting in” (Darley & Latané, 1968). the smoke. Astonishingly, most groups kept
working while the room filled with smoke. Each
person looked around, saw that nobody else
was doing anything, and became convinced that
the smoke didn’t represent an emergency!
If you conclude that a situation is an emer-
gency, then you move to the next step: assum-
ing responsibility to intervene. If you are the
only person to hear someone screaming, then
responsibility for helping falls squarely on you.
But if others are present, there may be a diffu-
sion of responsibility—“If I don’t help, some-
one else will”—and if each bystander has this
thought, the victim won’t receive help. In the
Kitty Genovese murder, many bystanders who
George Widman/AP Photo
did interpret the incident as an emergency failed
FIGURE 13.34 Why do bystanders sometimes fail to to intervene because they were certain that
assist a person in need? someone must already have called the police
(Darley & Latané, 1968). Similarly, in an experi- as MDMA (ecstasy) may influence emotional
ment in which university students were isolated empathy and, thus, result in increased helping
in individual cubicles and listened to another (Hysek et al., 2014). Finally, we help more when
student who indicated he was having a seizure, there is a lack of time pressure and we are not
participants were less likely to assist the seizure in a hurry.
victim if they believed that other bystanders
were present (Darley & Latané, 1968). Whom Do We Help?
If you take responsibility, whether you actu- Some people are more likely to receive help
ally intervene still depends on a fourth factor, 42. Whom are
than others. Three prominent factors are the we most likely to
your self-efficacy (confidence) in dealing with following: help? How might
the situation. Sometimes we fail to help because the belief in a
we don’t know how or believe that our help won’t • Similarity. Perceiving that a person is simi-
just world inhibit
be effective. In one survey, 269 university stu- lar to us increases our willingness to provide us from helping?
dents and faculty indicated they had witnessed help. The similarity may be in dress, atti-
a public episode of child abuse, yet only a quar- tudes, nationality, music preference or other
ter reported that they had intervened (Christy & characteristics (Clark & Giacomantonio,
Voigt, 1994). Of those who intervened, 71 per- 2013; Dovidio, 1984), and it may make it eas-
cent said that they had been certain about what ier for us to identify with the victim’s plight.
to do. Among those who did not intervene, 80 • Gender. Women are more likely to receive
percent said they were not certain about what help than men if the bystander is male
action to take. (Eagly & Crowley, 1986). Women and men
Finally, a bystander might decide not to inter- are equally likely to be helped by female
vene because of the perceived costs (Dovidio bystanders.
et al., 1991). Potential costs include not only pos- • Perceived responsibility. People are more
sible physical danger, but also negative social likely to receive help when their need for aid
consequences, such as “appearing foolish” by is viewed as being caused by factors beyond
trying to help inappropriately. their control (Blader & Tyler, 2002; Weiner,
As this model indicates, the common-sense 1996). Thus, people who are homeless
adage “there is safety in numbers” is not always because of a natural disaster are more likely
true when it comes to receiving help. Many to receive help than those who are perceived
experiments find a bystander effect: The as being homeless because they are unwilling
presence of multiple bystanders inhibits each to work.
person’s tendency to help, largely because of
social comparison or diffusion of responsibil- Because our attributions regarding why a
ity. This inhibition is more likely to occur when person needs help can be inaccurate, this last
the bystanders are strangers rather than friends factor—perceived responsibility—can take an
(Latané & Rodin, 1969). Markey (2000) reports odd twist. Ironically, one factor that can lead
that the bystander effect occurs even when com- attributions astray is a belief that the world is a
municating over the Web. A general request for just place. The just world hypothesis (Lerner,
help (“Can anyone tell me how to look at some- 1980) holds that, because people want to view
one’s profile?”) was sent to 200 chat groups over the world as fair, they perceive that people get
a 30-day period. Assistance came more slowly what they deserve and deserve what they get.
from larger chat groups than from smaller ones. This belief may lead some people to conclude
Beyond the bystander effect, other factors that victims of rape, AIDS, and other misfor-
also help to explain why people may be help- tunes somehow deserve their fate (Ford et al.,
ful on some occasions but not on others. First, 1998; Landstrom et al., 2016; Wyer et al., 1985).
we are more likely to help when we are in a This irrational blaming of victims may reduce
good mood (Salovey et al., 1991). Ironically, pre- people’s feelings of responsibility to help.
existing guilt—feeling guilty about something
we have recently done—also increases helping Increasing Prosocial Behaviour
(Regan et al., 1972). Apparently, assisting oth- Can prosocial behaviour be increased? “Man-
ers eases our guilt, even when the two actions datory volunteerism” is one approach used in
are unrelated. Observing a helpful role model, some high schools, universities, and businesses.
such as someone assisting a stranded motorist Obviously, the students and workers who are
or donating blood, increases prosocial behav- required to donate their time to charitable orga-
iour (Sarason et al., 1991). Certain drugs such nizations provide a valuable service, but do these
programs increase participants’ intrinsic vol-

unteerism later in life? Unfortunately, research
results are mixed (Janoski et al., 1998; Stukas,
1999). The outcome probably depends on the
personal rewards that volunteers experience and
their increased awareness of human needs.
Another approach, consistent with social
learning theory, is to expose people to prosocial
models. Psychologists used prosocial modelling
as part of a nationwide program to increase
blood donations (Sarason et al., 1991). Students
in 66 high schools watched an audiovisual pro- FIGURE 13.36 During the mating season, the male
gram showing high-school donors giving blood. stickleback fish develops a red belly. The sight of
Compared with a control condition presented another red-bellied male—a potential rival for a mate—
with a standard appeal from the local blood reflexively triggers an attack by the first male. The key
bank, the prosocial video increased blood dona- releaser stimulus for this fixed action pattern is the red
tions by 17 percent. marking. A male stickleback will not attack a realistic-
looking male model that has no red belly but will attack
Research suggests that developing feel-
unrealistic fish models that have this red marking.
ings of empathy and connectedness with oth-
Source: Based on Tinbergen, N. (1951). The study of instinct.
ers also may make people more likely to help Oxford, UK: Clarendon Press.
(Eisenberg, 2000). Margaret Clark and her col-
leagues (1987) found that people who felt a
greater sense of connectedness to their com- fish shown in Figure 13.36, certain aggressive
munities were more likely to experience a need behaviours represent a fixed-action pattern that
to be socially responsible and help others. Even is reflexively triggered by specific environmental
group musical training in children increases stimuli. Humans do not display such rigid, reflex-
connectedness and prosocial behaviour ive aggressive responses, but behaviour geneti-
(Schellenberg et al., 2015). cists argue that heredity partly determines why
Finally, simply learning about factors that some people are more aggressive than others.
hinder bystander intervention may increase the Identical twins are more similar in their aggres-
tendency to help someone in distress. Arthur sive behaviour patterns than are fraternal twins,
Beaman and his colleagues (1978) exposed even when the identical twins are raised in dif-
some university students to information about ferent homes with presumably different social
the bystander effect. Control participants did environments (Bouchard et al., 1990; Coccaro
not receive this information. Two weeks later, et al., 1997; Beatty et al., 2002). Sociobiologists
more than half of the students who had learned propose that a genetic predisposition toward
about the bystander effect provided aid to the aggression can be traced to evolutionary adapta-
victim of an accident (staged by the research- tion (see Chapter 4). As in nonhumans, aggres-
ers), compared with only about a quarter of the sion at the proper time helped our ancestors
control group participants. compete successfully for mates, food, and shel-
ter, defend territory, and survive against attack.
Aggression: Harming Others This aggression increased the odds that such
individuals would pass their genes on to the next
We love. We nurture. We help. But as current generation (Rushton, 1989).
43. What events and the history of humankind attest, we The search for biological causes of aggres-
evidence also harm. In humans, aggression represents sion also has led researchers deep within the
supports a any form of behaviour that is intended to harm brain, to the hypothalamus, amygdala, and
genetic role in another person, and it can be analyzed at biolog- other subcortical structures (Adams, 2006;
aggression? ical, environmental, and psychological levels. Falkner et al., 2014; Siegel et al., 1999). Elec-
trically stimulate certain neural pathways in
44. Describe Biological Factors in Aggression a cat’s hypothalamus, and it will arch its back
some brain
Is aggression rooted in heredity? From bulls, and attack. Surgically destroy areas of the
regions and
body chemicals roosters, and dogs to laboratory mice and rats, amygdala—an approach that sometimes has
that play a role animals can be selectively bred over generations been used with violent human criminals—and
in aggression. to be more or less aggressive (Lagerspetz et al., in many species defensive aggression will
1968). In some species, such as the stickleback decrease (Aggleton, 1993). There is, however, no
single brain structure that “turns on” and “turns proposed the frustration-aggression hypoth-
off” aggression. Different types of aggression— esis, stating that (1) frustration inevitably leads
defending oneself, defending one’s offspring, to aggression, and (2) all aggression is the result
predatory aggression, establishing dominance, of frustration (Dollard et al., 1939).
and so forth—may involve different neural cir- Both of these sweeping assertions have since
cuits (Siegel et al., 1999). been disproved. From human infants to adults,
Aggression also involves activity of the fron- frustration does increase the risk of verbal or
tal lobes, and the important role that the frontal physical aggression (Calkins & Johnson, 1998).
lobes play in impulse control (Hawkins & Trobst, At the workplace, it contributes to acts of
2000). Adrian Raine and his colleagues (1998) employee hostility, theft, and sabotage (Spector,
examined the brain functioning of 24 adults who 1997). But people do not always respond to frus-
had murdered someone, either out of emotional, tration by aggressing. Instead, they may exhibit
momentary impulse, or as a planned predatory despair, resignation, or non-aggressive ways of
act. PET scans revealed that both groups of mur- dealing with conflict (Björkqvist, 1997).
derers showed more subcortical activity than a The second postulate is false as well. Aggres-
control group of non-murderers, but the impulsive sion can be increased not only by frustration, 45. Identify
murderers also had lower frontal lobe activity. but also by exposure to a wide range of aversive some major
types of
Deficient frontal lobe activity may make it more stimuli (Berkowitz, 1990). For example, pain-
environmental
difficult to regulate aggressive impulses gener- ful stimuli can trigger irritability and aggres- stimuli that
ated by subcortical brain regions (Raine, 2002). sion in humans and other animals. Provocation increase the risk
Just as there is no single brain centre for is another stimulus to aggress. Experiments with of aggression.
aggression, there is no one “aggression chemical.” university students confirm that we often retali-
In humans and other animals, however, atypically ate against someone who insults us or causes us
low levels of serotonin activity may play a role physical harm (Ohbuchi & Kambara, 1985). In
in impulsive aggression, as when people lash out other species, even animals that are normally pas-
from emotional rage (Audero et al., 2013; Siegel sive and prefer to flee when attacked will fight if
et al., 1999; Siever et al., 1999; Moore et al., 2002). they become cornered (Enquist & Leimar, 1990).
When a drug designed to boost serotonin activity Crowding can trigger aggression in many spe-
is administered to men who physically abuse their cies. In humans, when people feel crowded and
partners and also to psychiatric patients who believe they have little control over the situation,
have difficulty controlling aggressive impulses, they report greater stress, have higher levels of
both groups show a relatively weak response to stress hormones, and tolerate frustration more
the drug (Rosenbaum et al., 1997). poorly (Fleming et al., 1987). For some motor-
And what about the sex hormone testoster- ists, increasingly congested roads and being
one, which is found in males and also in females trapped in inescapable traffic jams set the stage
(though in smaller amounts)? In many species for high stress and aggressive acts of “road rage”
of mammals, higher testosterone levels contrib- (Figure 13.37). These aggressive acts are slightly
ute to greater social aggression: unprovoked lower for motorcycle riders, who are more vul-
aggressive acts that are designed to establish nerable than drivers (Rowden et al., 2016).
a dominance hierarchy among members of the
same species. Injecting adult males with tes-
tosterone increases social aggression, whereas
castration decreases it. But in humans and other
primates, the association between testosterone
and aggression is weaker and less consistent
(Pinel, 1997; O’Connor et al., 2002).
Aversive Environmental Stimuli:

Beyond Frustration
Aggression is influenced not only by biology,
but also by our present environment and past
learning experiences (Eron, 2000; Rotton &
Cohn, 2000). Frustration, which occurs when
Gabriela Medina/Blend Images/Getty Images
some stimulus or event interferes with our prog-
ress toward a goal, often contributes to aggres- FIGURE 13.37 Increasingly crowded roads and stressed
sion. In 1939, several leading psychologists drivers have made road rage an international problem.
Heat also increases the risk of aggres- cause and effect, find that aggressive and
sion (Anderson, 2001; Bushman et al., 2005). delinquent children tend to have parents
Assaults, rapes, family disturbances, and riots who frequently model aggressive behaviour
increase in summer months. These correlational (Bandura, 1973; Stormshak et al., 2000).
findings are supported by several controlled
experiments. In one, Dutch police officers were Psychological Factors in Aggression
exposed to two temperature conditions (27° Numerous psychological factors influence
and 21°C/80.6° and 69.8°F) and shown firearm- whether we behave aggressively in a particular
training videotapes portraying interactions with situation (Anderson & Bushman, 2002). From
crime suspects (Vrij et al., 1994). When the tem- face-to-face and cyber (email, chat) aggres-
perature was hotter, police perceived suspects sion among schoolmates to gang violence,
as more threatening and responded with greater “road rage,” and war, people may employ
aggression. Recently, several authors (e.g., several types of self-justification to make it
Anderson, 2012; Mares, 2013) have suggested psychologically easier to aggress toward oth-
that global warming has the effect of increas- ers (Lanier, 2001; Pornari & Wood, 2010).
ing violence, particularly in disadvantaged Aggressors may blame the victim for imag-
neighbourhoods. ined wrongs, thereby convincing themselves
that the victim “deserves it.” They may mini-
Learning to Aggress: Reinforcement mize the seriousness of their own aggression
and Modelling by believing that other people’s acts are even
46. Discuss how Aggression, like other behaviours, is influenced more repulsive, or by displacing responsibility.
reinforcement by learning (Anderson & Bushman, 2002). Non- They may also “dehumanize” their victims by
and modelling aggressive animals can be trained to become stripping them of human qualities and regard-
contribute to vicious aggressors if conditions are arranged so ing them as objects or animals.
aggression. that they are consistently victorious in fights with
weaker animals. Conversely, if conditions are Perceived intent, empathy, and emotional
47. How do arranged so that an animal is defeated in its early regulation. Other cognitive factors, such as
cognitive factors battles, it becomes submissive. The younger an the attribution of intentionality, affect how
determine animal is when it first suffers repeated defeats, we respond to provocation. When we perceive
whether we the more submissively it will react to attacks by that someone’s negative behaviour toward us
will respond
other animals (Zillmann, 1979). was intended or controllable, we are more likely
to a stimulus
aggressively? Reward affects human aggression in much to become angry and retaliate (Betancourt &
the same way. In one study of four-year-old Blair, 1992; Graham et al., 1992). Unfortunately,
nursery-school children, the investigators people who are generally angry and aggressive
recorded a total of 2583 aggressive acts and tend to perceive others as having greater hostile
their consequences. Children became increas- intent, which may contribute to a vicious cycle
ingly aggressive when their aggressive behav- of aggression (Epps & Kendall, 1995).
iour produced positive outcomes for them (as Our degree of empathy for someone also
when an aggressive act resulted in another influences how we react to provocation. When
child’s giving up a desired toy). Children whose people offend us and then apologize, the likeli-
aggressive behaviour was unsuccessful or who hood that we will forgive them depends, in part,
experienced unpleasant consequences were less on how well we can understand their viewpoints
likely to be aggressive in the future (Patterson (McCullough et al., 1997). And even when we
et al., 1967). Unfortunately, about 80 percent of don’t forgive, whether we respond to provoca-
the aggressive behaviours were rewarding for tion calmly or lash out depends on our ability
the aggressor. to regulate our emotions. Some children and
Aggression also can be learned by observ- adults seem to be more physiologically reactive
ing others (Huesmann, 1997). As Alber t to provocation than others, and reduced frontal
Bandura’s (1965) famous “Bobo doll” experi- lobe activity may impair the ability to control
ments clearly demonstrated, children learn aggressive impulses (Raine et al., 1998). But cul-
“how to aggress” even when they witness an tural norms and cognitive factors also influence
aggressive model being punished (Chapter 7). how we regulate our emotions and manage con-
Later, if the punishing agent is not present, flict (Bjoerkqvist, 1997). Thus, when nonviolent
or if rewards are available for aggressing, married men listen to audiotaped interactions
children may reproduce the model’s actions. designed to induce anger, they respond with
Correlational studies, while not establishing more anger-controlling thoughts than do men
with a history of domestic abuse (Eckhardt & women (Donnerstein & Berkowitz, 1981). And
Kassinove, 1998). what about watching violent movies and TV
programs? Do these activities help people “blow
Psychodynamic processes. Sigmund Freud off steam,” as some stars in the entertainment
believed that human aggression is instinctive, a industry claim?
view shared by the famous ethologist Konrad
Lorenz (1966) and some modern psychody- Media Violence: Catharsis versus
namic thinkers (Raphling, 1998). Freud pro- Social Learning
posed that, in a never-ending cycle, aggressive Many movies, as well as fiction and non-fiction
impulses build up over time, eventually have to TV programs, are saturated with violence.
be released, and then build up again. His princi- According to psychodynamic theory, movie
ple of catharsis stated that performing an act 48. According
and TV violence should be a cathartic pot of
of aggression discharges aggressive energy and to the catharsis
gold. But social learning theorists argue that, and social
temporarily reduces our impulse to aggress. by providing numerous aggressive models— learning
But how does one do this in a world in which including many who are reinforced—media viewpoints, what
violence is discouraged and punished? One violence is more likely to increase viewers’ role does media
method of releasing aggressive impulses is to aggressive behaviour than to reduce it (Ander- violence play
channel them into socially acceptable “aggres- son et al., 2010; Huesmann, 2007). From a in regulating
sive” behaviours, such as participating in verbal social learning perspective, it is particularly human
debates, vigorous exercise, competitive sports, disturbing that aggression?
hunting, and so forth. Another approach is to
discharge aggressive impulses vicariously by • 40 percent of violent incidents on TV were
watching and identifying with other people who initiated by “good guys” whom viewers were
behave aggressively. likely to perceive as attractive role models
If people cannot express their aggressive and identify with;
impulses in direct or disguised forms, will the • about 75 percent of violent scenes contained
unreleased pressures build up to an explosion no remorse or penalty for violence, and the
point? In some cases, seemingly meek or unas- “bad guys” went unpunished in 40 percent of
sertive people commit shocking and brutal the programs; and
crimes. These individuals, whom psychologist • only 15 percent of TV programs portrayed
Edwin Megargee (1966) describes as having long-term negative consequences of violence
overcontrolled hostility, show little immediate (National Television Violence Study, 1998).
reaction to provocation. Instead, they bottle
up their anger and, over time, the pressure to Headline-making “copycat” acts of violence
aggress builds up. At a critical point, they erupt clearly illustrate social learning effects. Still,
into violence. Often, the provocation that trig- hundreds of millions of people view media vio-
gers their destructive outburst is trivial. For lence, and such horrendous acts thankfully are
example, one ten-year-old boy with no previ- rare. What, then, are the more general effects
ous history of aggression stabbed his sister of media violence on aggression? Over the past
more than 80 times with an ice pick after she 30 years, hundreds of experiments and correla-
changed the channel during his favourite TV tional studies have shed light on the “catharsis
show. After the aggressive outburst, such peo- versus social learning” debate.
ple revert to their former passive, unassertive To most experts, the verdict is clear: The
state (Quinsey et al., 1983). preponderance of evidence favours the social
Cases of overcontrolled hostility are con- cognitive view (Eron, 2000; Gentile, 2007;
sistent with the concept of catharsis, but other Huesmann, 2010; Johnson et al., 2002). Expo-
research results are not. For example, when sure to TV and movie violence is related to the
people are aroused by just-completed vigorous tendency of both children and adults to behave
physical exercise, it is easier—not harder— aggressively (Huesmann et al., 2003).
to provoke them to aggression (Bushman & For example, using data collected over
Bonacci, 2002). Psychodynamic theory also pre- 22 years, Leonard Eron (1987) found that
dicts that viewing violent pornography should American children who had watched greater
help people discharge aggressive impulses, but, amounts of TV violence at age eight were
as noted in Chapter 11, this is not what hap- more likely to have committed serious criminal
pens. After watching scenes of rape and sexual activity by age 30 (Figure 13.38). In Finland,
coercion, men act more aggressively toward Vappu Viemeroe (1996) found that boys and
45
qualifications that we should consider. First
Seriousness of criminal acts by age 30

Amount of violent TV of all, some people are more influenced by
40 watched at age 8
TV violence than others. For example, Eron
Low
35 (1987) notes that boys tend to be more sus-
Medium
ceptible to media violence effects than girls
30 High
(see Figure 13.38 again). In addition, aggres-
25 sive behaviour does not occur in a vacuum—
20 in most cases, some kind of negative stimulus
(e.g., insult, provocation, extreme heat, high
15
arousal level) must be present. Finally, the
10 highest level of aggression is observed when
the cues present in the TV program are simi-
5
lar to those encountered in the actual situa-
0 tion. Wendy Josephson (1987) at the University
Females Males
of Winnipeg asked boys in Grade 2 or 3 to
FIGURE 13.38 Children who watched more violent watch either a violent or nonviolent program.
TV at age eight committed more serious criminal behav- Both shows were action-oriented, but the vio-
iour by age 30. Although criminal behaviour is higher lent show involved a lot of gunplay between
overall for males than for females, the general pattern a police SWAT team and gang members. The
of results is the same. These findings are correlational
SWAT team kept in constant communication
(can you think of alternative explanations for this TV-
crime relation?), but, in conjunction with controlled
with one another by using walkie-talkies. After
experiments, the weight of evidence convinces most watching the program, the boys were asked
experts that viewing media violence has psychological to play a game of floor hockey while observ-
consequences. ers coded their behaviour for aggression.
Source: Data from Eron, L.D. (1987). The development of However, before starting the match, the play-
aggressive behavior from the perspective of a developing ers were “interviewed” by the experimenter
behaviorism. American Psychologist, 42, 435–442. in a manner similar to pre-game interviews at
actual hockey games. For some of the boys,
girls who had watched more violent TV when the experimenter used a microphone and for
they were seven to nine years old were more others, a walkie-talkie.
likely to have been arrested by their mid-20s. The highest level of aggression was found
In Belgium, Jacque Leyens and his colleagues in the boys who watched the violent program
(1975) went into a facility for high-school-age and who were interviewed with a walkie-talkie.
juvenile delinquents and held a special “movie The lowest level was reported for those who
week” in which they showed different groups watched the nonviolent show. Apparently, the
of boys either violent or nonviolent mov- presence of the aggressive cue (the walkie-
ies each night. The result: Among boys who talkie) stimulated more aggression because
watched the violent films, physical and verbal of its association with the violence in the film
49. Based clip. Similar results of increased aggression fol-
aggression increased.
on research, lowing exposure to aggressive cues have been
how does Media violence appears to exert its effects
through multiple avenues (Huesmann, 1997; reported in both laboratory (e.g., Berkowitz &
media violence
National Television Violence Study, 1998): LePage, 1967) and field settings (e.g.,
affect people’s
behaviour and Boyanowski & Griffiths, 1982).
• Viewers learn new aggressive behaviours Beyond movies and TV, the question of
attitudes?
through modelling. whether violent video games promote aggres-
50. According • Viewers come to believe that aggression sion also has raised public and scientific con-
to learning usually is rewarded or, at least, is rarely cern. In July 2000, the St. Louis County (Missouri)
principles, how punished. Council passed an ordinance to penalize busi-
might violent • Viewers become desensitized to the sight and nesses that allow people under the age of 18 to
video games thought of violence, and to the suffering of play violent video games without parental con-
teach people sent (Jurkowitz, 2002). This decision has since
victims.
to behave been overturned by a U.S. federal appeals court,
aggressively? • Viewers’ fear of becoming a target of crime
but it still highlights the issue of video game
Does evidence or violence increases.
violence. What does science have to say? This
support this
view? Before you become completely disillu- chapter’s Frontiers feature looks at this issue in
sioned and toss out your TV, there are some more detail.
Frontiers
DO VIOLENT VIDEO GAMES PROMOTE free-play period, and more physical aggression toward the
AGGRESSION? boy during the competition.
On a summer’s eve in 2008, four bored teenagers from New What Research May Show
Hyde, New York, decided to go on a crime spree. Seeking Let’s think critically about these results. Did the violent con-
to emulate the behaviour of the lead character in the vio- tent of the video game increase the children’s aggression, or
lent video game Grand Theft Auto IV, they beat and robbed was it simply a more exciting game? Heart rate measures
a victim, broke into garages, attempted a carjacking, and recorded before and during video game play indicated that
tried to rob a man driving a van before being arrested by the game’s content was not more arousing, strengthening the
the police (Crowley, 2008, June 27). In August of 2013, an conclusion that the game’s content was the key factor. Other
eight-year boy shot and killed his grandmother after playing experiments with college students have found that briefly
the same game. Over a decade earlier, in April 1999, two playing violent video games, at least in the short term,
students went on a shooting rampage in Columbine High increases subsequent aggressive behaviour and physiologi-
School, Colorado, killing a teacher and 12 students, and cally desensitizes students to scenes of real-world violence
wounding others. The killers were avid players of many vio- (Carnagey & Anderson, 2005; Carnagey et al., 2007).
lent video games, most notably the “first-person shooter” Some correlational studies also suggest a possible link
games Doom and Doom 2 (Block, 2007). between playing violent video games and getting into physi-
In North America and Europe, crimes such as these cal fights (Gentile et al., 2004; Rudatsikira et al., 2008).
reinforce public, political, and scientific concern about the But as a critical thinker, remember that correlation doesn’t
effect of violent video games (Glock & Kneer, 2009). Yet establish causation. Recall the bidirectionality problem:
such tragic cases cannot, by themselves, provide clear perhaps getting into fights produces consequences (e.g.,
answers. Many factors play a role in aggression, and try- anger, frustration) that prompt people to play video games.
ing to isolate how any single factor contributed to a crime Also consider the third-variable problem: perhaps people
after the fact typically involves much speculation. Had the who have a more hostile personality to begin with play more
four teens, the eight-year-old, or the two Columbine shoot- violent video games and also get into more fights. Indeed,
ers never played a violent video game (or watched a violent in one study, adolescents exposed to more violent video
movie), would they still have committed those crimes? games did score higher on personality tests of hostility
Keep in mind that in other school shootings, the killers (Gentile et al., 2004). So the researchers adjusted their
have had little, if any, expertise with violent video games statistical analyses to take this possible confounding factor
(Ferguson, 2008). Moreover, many millions of people play into account. They found that violent video game exposure
violent video games (and watch violent media) and don’t com- was still correlated—albeit weakly—with a tendency to get
mit violent crimes. So, in an interview on the TV station CNN, into more physical fights.
was the president of the Interactive Digital Software Asso-
ciation correct when he stated, “I think the issue has been
vastly overblown. . . . There is absolutely no evidence, none,
that playing a violent video game leads to aggressive behav-
iour” (Lowenstein, 2000, May 12; quoted in Anderson &
Bushman, 2001, p. 353)?
Even back then, experiments in which researchers
directly manipulated people’s exposure to violent video
games provided such casual evidence. In what remains one
of the better experiments to this date, Roland Irwin and Alan
Gross (1995) randomly assigned 60 seven- and eight-year-
old boys to play with a violent or nonviolent video game for
20 minutes. Afterwards, each child engaged in a ten-minute
“free-play” period with another boy (an accomplice). Next,
as each participant competed against this boy on a task for
a prize, the boy (according to plan) cheated. Compared with
© Sylent-Press/ullstein bild/The Image Works
participants who had played the nonviolent game, those
who had played the violent game displayed more physical FIGURE 13.39 Do children who play graphically violent video
and verbal aggression toward inanimate objects (e.g., toys), games become desensitized to violence and more likely to
more verbal aggression toward the other boy during the behave aggressively toward other people?
continued
Several longitudinal studies have examined video game vio- As in the case of mass media research, debate about
lence. For example, two studies of adolescents in Germany and violent video games still exists. Based on their own con-
one of adolescents and children in Finland found that exposure siderably smaller meta-analysis and concerns about the
to violent video games helped to predict physical aggression or methods used in many studies, Christopher Ferguson and
delinquency 24 to 30 months later (Hopf et al., 2008; Möller & John Kilburn (2009) believe that it’s premature to conclude
Krahé, 2009; Wallenius & Punamäki, 2008). In contrast, a that violent video games cause aggression. Researchers
one-month longitudinal American study involving older partici- have also swapped critiques about whose meta-analysis
pants (with an average age of 28 years) found no link between approach is more appropriate (Anderson et al., 2010b;
playing an online violent video game and subsequent aggres- Ferguson & Kilburn, 2010).
sion (Williams & Skoric, 2005). Aldachi & Willoughby (2013) We agree that more research, and especially more
followed students throughout high school and report that the complete longitudinal research, is needed. But based on
more competitive video gamers were indeed more aggressive. the evidence available now, the conclusion that exposure
But they attribute this to the competition factor rather than the to video game violence is more likely to increase than
violence per se. The same students were also more violent if decrease aggression is more reality than myth. In fact, the
they were engaged in competitive gambling. American Psychological Association has recently taken a
stand on this issue noting that there is definitely a link
The Big Picture between violent video games and aggression. The APA is
Based on the most comprehensive meta-analysis of violent less sure whether or not this can lead to actual crimes.
video game research to date, which covers 136 studies This doesn’t mean that everyone who plays violent video
and 130 296 participants in Western countries and Japan, games becomes more aggressive, angrier, or desensitized.
Craig Anderson and his colleagues (2010a) concluded that After Australian researchers exposed adolescents to a vio-
playing violent video games increases people’s aggressive lent video game for 20 minutes, 72 percent showed no
behaviour, cognition, and emotions, and also desensitizes significant change in feelings of anger. But among those
them to violence. Most of these associations are weak, but who changed, almost three times as many experienced
they all support social-cognitive models of aggression. As increased (20.6 percent) rather than decreased (7.4 per-
for practical importance, Anderson and his colleagues note, cent) anger (Unsworth et al., 2007). In a more recent study,
Hasan et al. (2013) report that playing an aggressive video
When effects accumulate across time, or when large por-
game for three consecutive days results in more aggression
tions of the population are exposed to the risk, or when
and an increase in hostile expectations about the behaviour
consequences are severe, statistically small effects
of others. Certainly, the overwhelming majority of children,
become much more important (2010a, p. 170).
teens, and adults who play violent video games don’t go
As an analogy, think of some factor (shoe or ski design, out and assault or kill people. But aggression comes in
anxiety) that reduces a sprinter’s or ski racer’s time in a compe- many forms—physical and verbal, obvious and subtle—and
tition by only two-tenths of a second. In many circumstances, even the potential for a small increased risk of aggression
this might be trivial, but in the Olympics, it could mean the dif- among some people some of the time can have important
ference between a gold medal and no medal at all. consequences.
In Review
• Proximity, mere exposure, similarity of attitudes, with conflicts by de-escalating their emotions
and physical attractiveness typically enhance our and providing mutual support.
attraction toward someone. Relationships deepen
• Overt prejudice has decreased in some ways,
as partners self-disclose and exchanges between
but people may hide their prejudice or be
them become more intimate and broader. Social
unaware of subtle prejudices they harbour.
exchange theory analyzes relationships in terms of
the rewards and costs experienced by each partner. • Prejudice stems partly from our tendency to per-
• The qualities that people find most attractive in a ceive in-groups and out-groups. People typically
mate vary somewhat across cultures. Evolution- display in-group favouritism and an out-group
ary theorists propose that gender difference in homogeneity bias. Perceived threats to one’s in-
mate preferences reflect inherited biological ten- group and a need to enhance one’s self-esteem
dencies, whereas sociocultural theorists believe can motivate prejudice.
that these differences result from socialization • Prejudice often is reduced when in-group and out-
and gender inequities in economic opportunities. group members work closely together, with equal
• Partners are more likely to remain happily mar- status, on tasks involving common goals and under
ried when they understand each other and deal conditions of broader institutional support.
• Some theorists propose that through kin selec- amygdala, and frontal lobes play especially
tion and reciprocal altruism, evolution has helped important roles in certain types of aggression.
to shape a genetic predisposition toward prosocial • Provocation, heat, crowding, and stimuli that
behaviour among humans. Social learning theorists cause frustration or pain increase the risk of
emphasize how social norms, modelling, and rein- aggression. Learning experiences help to shape
forcement shape prosocial attitudes and behaviour. a tendency to behave more or less aggressively.
• The presence of multiple bystanders may People are more likely to aggress when they find
decrease bystander intervention through social ways to justify and rationalize their aggressive
comparison processes and a diffusion of respon- behaviour, perceive provocation as intentional,
sibility for helping. We are most likely to help and have little empathy for others.
others when we perceive that they are similar to • Most research supports the social-cognitive
us and not responsible for their plight. theory prediction that watching movie and
• Prosocial behaviour can be increased by enhanc- TV violence, and playing violent video games,
ing people’s feelings of empathy for victims and increase the risk that children and adults will act
providing prosocial models. aggressively.
• Heredity influences the strength of an organ-
ism’s tendency to aggress. The hypothalamus,
Aggression
Levels of Analysis
We’ve just seen that biological, psychological, and environmental
factors all contribute to aggressive behaviour. Let’s recap some of ENVIRONMENTAL
these factors. • Stimuli that produce frustration (i.e.,
that block goal accomplishment) increase
the risk of aggression.
• Painful stimuli, heat, and crowding increase the
risk of aggression.
• Past and present reinforcement for aggression
affects the likelihood of current aggressive behaviour.
• Exposure to live models and media models who
BIOLOGICAL display aggression can promote the social learning of
• Within a species, heredity partly aggression.
accounts for individual differences in
aggressiveness.
• The frontal lobes, amygdala, hypothalamus,
and other brain regions play key roles in
regulating aggression.
• Serotonin is among the major neurotransmitters that
regulate aggression.
• Higher testosterone levels contribute to greater
social aggression in many mammalian species. PSYCHOLOGICAL
• Aggression is more likely when a potential
provocation is perceived as intentional.
• A lack of empathy for a potential target increases
the risk of aggression toward that person.
• People denigrate and dehumanize potential targets to
self-justify acts of aggression.
• Impaired reasoning may decrease the ability to regulate
hostile feelings.
In the social influence section of this chapter, we discussed
how norms, conformity, obedience, and group processes affect
behaviour. Think about the relevance of these social influence
factors in accounting for human aggression. For example, in what
contexts do these factors promote or inhibit aggression, and how do
they shape the form that aggression takes?
FIGURE 13.40
Gaining Direction
What are the Among all the events of the past years, the ones ties with his friends. Like Harris and Klebold,
issues? that seem to have the greatest impact on the he liked violent video games and hated almost
millennial generation involve disasters and everything that was “normal.” Goth culture was
mass shootings (e.g., the tsunami of 2004, the where he found his identity. His online pro-
shooting at Dawson College). Kimveer Gill, file lists the following as his number one dis-
much like Eric Harris and Dylan Klebold, was like: “the world and everything in it.” How do
best described as “different.” He was into Goth people decide which groups to affiliate with?
culture and did not really like other people. He What happens when you feel rejected from the
became obsessed with 9/11 conspiracy theories majority group? Does a culture of fantasy vio-
and the Columbine massacre. Months before lence lead to actual violence? Do people copy
the shooting at Dawson College, he cut off all the behaviours of others?
What do What is social identity? How are people influenced by others?

we need to Why do we conform to group norms? Can social influence extend to harmful
know? How does the group affect the individual? aggressive behaviour?
Can violent video games lead to real
aggression?
Where can A good place to start is with the section on might we come to adopt such beliefs? Review
we find the social influence. People respond to group the discussion on the theory of cognitive disso-
information to norms (real or imagined) all the time. We often nance. Festinger reminds us that we may come
view this as positive (e.g., complying with to hold “false” beliefs as our own to justify our
answer these
laws), but in some situations, conformity can behaviour. Finally, look at the material regard-
questions? result in behaviours that are not consistent with ing media influences on aggression. If an indi-
one’s true beliefs. If you feel rejected from one vidual is predisposed to aggression because he
group, you may adopt the norms of another and or she is angry, upset, or frustrated, media por-
over time, come to believe them. Such behav- trayals of aggression (e.g., TV, movies, video
iour can be harmful, as demonstrated in Stanley games) can fuel these feelings and result in
Milgram’s classic work on obedience. But how actual violence.
CHAPTER
Personality 14
CHAPTER WHAT IS PERSONALITY? The Stability of Personality Traits
Evaluating the Trait Approach
OUTLINE THE PSYCHODYNAMIC PERSPECTIVE
Freud’s Psychoanalytic Theory SOCIAL COGNITIVE THEORIES
Frontiers: Attachment Style and Abusive Romantic Julian Rotter: Expectancy, Reinforcement Value,
Relationships and Locus of Control
Evaluating Psychoanalytic Theory Albert Bandura: The Social Cognitive Perspective
and Self-Efficacy
THE HUMANISTIC PERSPECTIVE Research Foundations: Albert Bandura, Human
George Kelly’s Personal Construct Theory Agency, and the Social Cognitive Perspective
Carl Rogers’s Self Theory Applications: Increasing Self-Efficacy through
Focus on Neuroscience: The Neurobiology Systematic Goal Setting
of the Self Walter Mischel: The Consistency Paradox
and If . . . Then . . . Behaviour Consistencies
Research on the Self
Evaluating Social Cognitive Theories
Evaluating Humanistic Theories
PERSONALITY ASSESSMENT
TRAIT AND BIOLOGICAL PERSPECTIVES
Interviews
Cattell’s Sixteen Personality Factors
Behavioural Assessment
Eysenck’s Extraversion-Stability Model Remote Behaviour Sampling
The Five Factor Model Personality Scales
Traits and Behaviour Prediction Projective Tests
Biological Foundations of Personality Traits Personality Theory and Personality Assessment
Much of our lives is spent in trying to understand others and in wishing others
understood us better than they do.
—Gordon Allport
Aquarius (Jan. 20 to Feb. 18). Those born

under the 11th sign of the zodiac tend to have a What are the
strong social conscience and want to make the issues here?
world a better place. They are visionary, pro-
gressive, and humanitarian. Famous Aquarians include What do we need
Galileo, Charles Darwin, Paul Newman, Oprah Winfrey, to know?
and Don Cherry. There are two distinct personality types:
one shy and gentle and the other exuberant and lively. Where can
Both types have strong convictions and seek the truth. we find the
While they have the ability to see both sides of an argu- information to
ment, they leave no question as to which side they favour. answer these
questions?
Aquarians are intelligent, logical, refined, frank, and ide-
alistic. Their desire for truth and knowledge makes the
Aquarian ideally suited to be a scientist or historian. The
progressive trait may find an outlet in poetry, broadcast-
ing, or teaching. In general, Aquarians value friendship
and strive to give as much as possible.
© Darren Calabrese/The Canadian Press
550 CHAPTER FOURTEEN
WHAT IS PERSONALITY? Perhaps more than any other topic, the study
of personality has been guided by the psycho-
The concept of personality arises from the fas- dynamic, humanistic, biological, cognitive, and
cinating spectrum of human individuality. We sociocultural perspectives. These perspectives
observe that people differ meaningfully in the provide different conceptions of what person-
ways they customarily think, feel, and act. As ality is and how it functions. As one pair of
1. What two
common one group of theorists noted, each of us is in observers noted, “It seems hard to believe that
observations certain respects like all other people, like some all the theorists are talking about the same crea-
give rise to other people, and like no other person who ture, who is now angelic and now depraved,
the concept of has lived in the past or will exist in the future now a black-box robot shaped by reinforcers
personality? (Kluckhohn & Murray, 1953). and now a shaper of its own destiny, now devi-
The concept of personality also rests on the ous . . . and now hardheadedly oriented to solid
observation that people seem to behave some- reality” (Stone & Church, 1968, p. 4). Yet this
what consistently over time and across differ- very diversity arises from the fact that the theo-
ent situations. From this perceived consistency rists have their own personalities that influence
comes the notion of “personality traits” that how they perceive and understand themselves
characterize individuals’ customary ways of and their world. No doubt you will find some
responding to their world. Although only mod- of the theories more in accord with your own
est stability is found from childhood personal- life views than others. But for personality psy-
ity to adult personality, consistency becomes chologists, their subjective “truth” is less impor-
greater as we enter adulthood (Caspi & tant than their usefulness as scientific theories.
Roberts, 1999) and personality traits among As discussed in Chapter 2, a theory is scientifi-
adults tend to remain consistent across time cally useful to the extent that it (1) provides a
(Specht, Luhmann, & Geiser, 2014). Nonethe- comprehensive framework within which known
less, even in adulthood, there remains a capac- facts can be incorporated, (2) allows us to pre-
ity for meaningful personality change (Lewis, dict future events with some precision, and
1999). Combining these notions of individuality (3) stimulates the discovery of new knowl-
and consistency, we can define personality as edge. We will evaluate each of the theories we
the distinctive and relatively enduring ways of describe in terms of these scientific standards.
thinking, feeling, and acting that characterize a
person’s responses to life situations.
2. What three
The thoughts, feelings, and actions that are THE PSYCHODYNAMIC
standards are
seen as reflecting an individual’s personality
typically have three characteristics. First, they
PERSPECTIVE
used to evaluate
are seen as components of identity that distin- Psychodynamic theorists look for the causes of
the usefulness
guish that person from other people. Second, behaviour in a dynamic interplay of inner forces
of a personality
theory? the behaviours are viewed as being caused pri- that often conflict with one another. They also
marily by internal rather than environmental focus on unconscious determinants of behav-
factors. Third, the person’s behaviours seem to iour. Sigmund Freud’s psychoanalytic theory
“fit together” in a meaningful fashion, suggest- was the first and most influential of these theo-
ing an inner personality that guides and directs ries, and his ideas continue to influence Western
behaviour (Figure 14.1). thought today.
Behaviours
Components
of identity
Perceived
Attributed to Personality
internal cause
Perceived
organization
and structure
FIGURE 14.1 Perceived characteristics of behaviours that are seen as reflecting an individual’s personality.
Personality 551
Freud’s Psychoanalytic Theory from a Victorian society that was not ready to
regard people as seething cauldrons of sexual
Freud (1856–1939) spent most of his life in and aggressive impulses.
Vienna, where he attended medical school with Freud based his theory on careful clinical
the intention of becoming a medical researcher observation and constantly sought to expand
concentrating on brain functioning (Figure 14.2). it. Over time, psychoanalysis became a theory
A pivotal event in his life occurred when he was of personality, an approach to studying the
awarded a fellowship to study in Paris with the mind, and a method for treating psychological
famous French neurologist Jean Charcot. Char- disorders.
cot was treating patients who suffered from a
disorder called conversion hysteria in which Psychic Energy and Mental Events
physical symptoms such as paralysis and blind- Inspired by the hydraulic models of 19th-cen-
ness appeared suddenly and with no apparent tury physics, which emphasized exchanges and
physical cause. Freud’s experiences in treating releases of physical energy, Freud considered
these patients convinced him that their symp- personality to be an energy system, somewhat
toms were related to painful memories and like the steam engines of his day. According
feelings that seemed to have been repressed, to Freud, instinctual drives generate psychic
or pushed out of awareness. When his patients energy, which powers the mind and constantly
were able to re-experience these traumatic presses for either direct or indirect release. For
memories and unacceptable feelings, which example, a buildup of energy from sexual drives
were often sexual or aggressive in nature, might be discharged directly in the form of sexual
their physical symptoms often disappeared or activity or indirectly through such diverse behav-
improved markedly. iours as sexual fantasies, farming, or painting.
These observations convinced Freud that Mental events may be conscious, precon-
an unconscious part of the mind exerts great 3. Which clinical
scious, or unconscious. The conscious mind
influence on behaviour. He began to experiment phenomena
consists of mental events that we are presently convinced Freud
with various techniques to access the uncon- aware of. The preconscious contains memo-
scious mind, including hypnosis, free associa- of the power of
ries, thoughts, feelings, and images that we the unconscious
tion (saying whatever comes to mind, no matter are unaware of at the moment but that can be mind?
how trivial or embarrassing), and dream anal- called into conscious awareness. Memories of
ysis. In an attempt to relieve painful bouts of your 16th birthday reside in your preconscious 4. How did
depression he was experiencing, Freud con- mind. If mention of your 16th birthday resulted hydraulic
ducted an extensive self-analysis based on his in you thinking about it, that prompt triggered systems of his
own dreams. Freud’s work on dream analysis the movement of those memories from your time contribute
culminated in the publication of his book The preconscious to your conscious mind. Because to Freud’s
Interpretation of Dreams in 1900. The book we are aware of their contents, we are likely psychodynamic
sold only 600 copies in its first six years, but concepts?
to see the conscious and preconscious areas of
his revolutionary ideas began to attract follow- the mind as the most prominent. Freud, how-
ers. His theory also provoked scathing criticism ever, believed that these areas are dwarfed in
both size and importance by the unconscious
mind, a dynamic realm of wishes, feelings, and
impulses that lies beyond our awareness. Only
when impulses from the unconscious are dis-
charged some way, such as in dreams, slips of
the tongue, or some disguised behaviour, does
the unconscious reveal itself.
The Structure of Personality

Freud divided personality into three separate
but interacting structures: the id, the ego, and
the superego. The id exists totally within the
unconscious mind (Figure 14.3). It is the inner-
© Corbis most core of the personality, the only structure
FIGURE 14.2 Sigmund Freud is shown here with his present at birth, and the source of all psychic
daughter Anna, who also became an influential psycho- energy. The id has no direct contact with real-
analytic theorist. ity and functions in a totally irrational manner.
Immediate awareness
Conscious
of current environment
Ego Superego Preconscious Available to awareness

(e.g., names of friends,
home address)
Id
Unconscious
Unavailable to awareness
(infantile memories,
repressed wishes and
conflicts)
FIGURE 14.3 Freud’s own representation of his three-part conception of personality shows the relation of the id,
ego, and superego to the conscious, preconscious, and unconscious areas of the mind. Note how relatively small
the conscious portion of the mind is compared with the unconscious.
Source: Adapted from Smith, B.D., Psychology: Science and Understanding, Fig 14.2, 1998. New York: McGraw-Hill. Reprinted by
permission of The McGraw-Hill Companies, Inc.
Operating according to the pleasure principle, With the development of the superego, the
it seeks immediate gratification or release, ego is squarely in the eye of a psychic storm. It
regardless of rational considerations and envi- must achieve compromise between the demands
ronmental realities. Its dictum: “Want . . . take!” of the id, the constraints of the superego, and
The id cannot directly satisfy itself by the demands of reality. This balancing act
5. Discuss
obtaining what it needs from the environment has earned the ego the title “executive of the
the roles of
because it has no contact with the outer world. personality.”
the pleasure
principle, the Therefore, in the course of development, a new
reality principle, structure develops that has direct contact with Conflict, Anxiety, and Defence
and identification reality. The ego functions primarily at a con- The dynamics of personality involve a never-
in relation to scious level, and it operates according to the ending struggle between the id trying to dis-
Freud’s three reality principle. It tests reality to decide when charge its instinctive energies and the opposing
personality and under what conditions the id can safely dis- forces generated by the ego and the superego.
structures. charge its impulses and satisfy its needs. When the ego confronts impulses that threaten
The last personality structure to develop is to get out of control or is faced with dangers
6. Why is the the superego, the moral arm of the personality. from the environment, anxiety results. Like
ego sometimes According to Freud, the superego developed by physical pain, anxiety serves as a danger signal
referred to as
the age of four or five, and was the repository and motivates the ego to deal with the problem
the “executive of
for the values and ideals of society. These ideals at hand. In many instances, the anxiety can be
the personality”?
are internalized by the child through identifica- reduced through realistic coping behaviours,
7. How and tion with his or her parents, and by explicit train- as when a person who is extremely angry at
why do defence ing about what is “right,” what is “wrong,” and someone works out the problem through ratio-
mechanisms how the child “should” be. With the development nal discussion. However, when realistic strate-
develop? What of the superego, self-control takes over from the gies are ineffective in reducing anxiety, the ego
specific forms do external controls of rewards and punishments. may resort to defence mechanisms that deny
they take? Like the ego, the superego strives to control the or distort reality. Some of the defence mecha-
instincts of the id, particularly the sexual and nisms permit the release of impulses from the id
aggressive impulses that are condemned by in disguised forms that will not conflict with the
society. Whereas the ego tries to delay gratifica- limits imposed by the external world or with the
tion until conditions are safe and appropriate, prohibitions of the superego. The major defence
the superego, in its quest for perfection, tries to mechanisms are described in Table 14.1.
block gratification permanently. For the super- Psychoanalysts believe that repression is
ego, moralistic goals take precedence over real- the primary means by which the ego “keeps
istic ones, regardless of the potential cost to the the lid on the id.” In repression, the ego uses
individual. Thus, the superego might cause a some of its energy to prevent anxiety-arousing
person to experience intense guilt over sexual memories, feelings, and impulses from entering
activity even within marriage because it has consciousness. Repressed thoughts and wishes
internalized the idea that sex is “dirty.” remain in the unconscious, but they may be
Personality 553
TABLE 14.1 Psychoanalytic Ego Defence Mechanisms

Defence Mechanism Description Example
Repression An active defensive process through which A person who was sexually abused in childhood
anxiety-arousing impulses or memories are develops amnesia for the event.
pushed into the unconscious mind.
Denial A person refuses to acknowledge anxiety- A man who is told he has terminal cancer refuses
arousing aspects of the environment. The denial to consider the possibility that he will not recover.
may involve either the emotions connected with
the event or the event itself.
Displacement An unacceptable or dangerous impulse is A man who is harassed by his boss experiences no
repressed, and then directed at a safer anger at work, but then goes home and abuses his
substitute target. wife and children.
Intellectualization The emotion connected with an upsetting event A person who has been rejected in an important
is repressed, and the situation is dealt with as relationship talks in a highly rational manner
an intellectually interesting event. about the “interesting unpredictability of love
relationships.”
Projection An unacceptable impulse is repressed, and then A woman with strong repressed desires to have an
attributed to (projected onto) other people. affair continually accuses her husband of being
unfaithful to her.
Rationalization A person constructs a false but plausible A student caught cheating on an exam justifies the
explanation or excuse for an anxiety-arousing act by pointing out that the professor’s tests are
behaviour or event that has already occurred. unfair and, besides, everybody else was cheating,
too.
Reaction formation An anxiety-arousing impulse is repressed, and its A mother who harbours feelings of hatred for her
psychic energy finds release in an exaggerated child represses them and becomes overprotective
expression of the opposite behaviour. of the child.
Sublimation A repressed impulse is released in the form of a A man with strong hostile impulses becomes an
socially acceptable or even admired behaviour. investigative reporter who ruins political careers
with his stories.
expressed, as slips of the tongue or in dreams. argued that excessive reliance on defence
They may even be channelled into socially mechanisms, with their denial or distortion of
desirable behaviours through the defence mech- reality, was a primary cause of maladaptive or
anism of sublimation, completely masking the dysfunctional behaviour.
forbidden underlying impulses. For example,
hostile impulses may find expression in tracking Psychosexual Development
down criminals or being a successful trial law- Freud’s clinical experiences convinced him that 8. What happens
yer. Although Freud described several defence personality is powerfully moulded by experi- if there is
mechanisms, his primary interest was in repres- ences in the first years of life. He proposed that deprivation
sion. His daughter Anna Freud, also a psycho- children pass through a series of psychosexual during a stage
analyst, extended his ideas and described many stages during which the id’s pleasure-seeking of psychosexual
of the defence mechanisms shown in Table 14.1. tendencies are focused on specific pleasure- development?
Defence mechanisms operate unconsciously, sensitive areas of the body called erogenous
so people are usually unaware that they are zones (Table 14.2). If there is either inadequate
using self-deception to control anxiety. Freud or excessive gratification at any of these stages,
TABLE 14.2 Freud’s Stages of Psychosexual Development

Stage Approximate Age Erogenous Zone Key Task
Oral 0–2 Mouth Weaning
Anal 2–3 Anus Toilet training
Phallic 4–6 Genitals Resolving Oedipus complex
Latency 7–puberty None Developing social relationships
Genital puberty on Genitals Developing mature social and sexual
relationships
then fixation at that stage occurs and instincts processing of information, and a growing body
stay focused, or fixated, on that stage’s erog- of research has shown that much of our moment-
enous zone. Freud’s theory of psychosexual to-moment mental and emotional life does occur
development is the most controversial part of his outside our awareness (e the discussion of sub-
work. Many theorists reject Freud’s assertions liminal perception in Chapter 5, and automatic
about childhood sexuality as well as the notion processing in Chapter 6). On the biological front,
of specific psychosexual stages in the develop- cognitive neuroscience has provided methods
ment of personality. Although there is evidence for tapping into mental processes as they occur
that childhood experiences, such as emotional by measuring brain activity (D’Esposito, 2003).
attachments, do indeed influence the develop- Although some researchers are using these
ment of personality (Westen et al., 2008), there is tools to test hypotheses derived from Freudian
little to support the idea that personality develop- theory with greater scientific precision, there is
ment unfolds in the manner theorized by Freud. relatively little current research attempting to
assess psychoanalytic theory.
Research on Psychoanalytic Theory
Freud was committed to testing his ideas Freud’s Legacy: Neoanalytic and Object
through case studies and clinical observations. Relations Approaches
He believed that careful observations of every- Freud’s ideas were so revolutionary that they
day behaviour and clinical phenomena were the generated disagreement even within his circle
best source of evidence. He opposed experimen- of disciples. Neoanalysts were psychoanalysts
tal research, believing that the complex phe- who disagreed with certain aspects of Freud’s
nomena he had identified could not be studied thinking and developed their own theories.
under controlled conditions (Rosenzweig, 1992). Among them were Alfred Adler, Karen Horney,
Most modern psychologists do not believe that Erik Erickson, and Carl Jung. The neoanalysts
clinical observations are sufficient proof of a believed that Freud did not give social and cul-
theory, although they do acknowledge the diffi- tural factors a sufficiently important role in the
culty of studying psychoanalytic concepts under development and dynamics of personality. In
controlled laboratory conditions (Carver & particular, they believed that he stressed infan-
Scheier, 2003; Mischel et al., 2004). tile sexuality too much (Kurzweil, 1989). The
Although limited, research continues to second major criticism was that Freud laid too
address aspects of psychodynamic theory. For much emphasis on the events of childhood as
example, research on defence mechanisms and determinants of adult personality. Neoanalytic
repression continues (Cramer, 2007), as does theorists agreed that childhood experiences are
research into who is likely to be a target of important, but some neoanalysts, such as Erik
projection (Govorun, Fuegen, & Payne, 2006). Erikson, believed that personality development
Much of the research into psychodynamic the- continues throughout the lifespan as individuals
ory is in a clinical context, as were Freud’s origi- confront challenges that are specific to particu-
nal observations. lar phases in their lives.
9. Explain how According to Freud’s theory of psychosexual In contrast to Freud’s assertion that behav-
neoanalytic development, we develop our personality as we iour is motivated by inborn sexual and
theorists Adler pass through a series of discrete developmen- aggressive instincts and drives, Alfred Adler
and Jung tal stages, each defined by an erogenous zone, (1870–1937) insisted that humans are inher-
departed from a bodily source of pleasure. If there is either ently social beings who are motivated by social
Freudian theory. excessive or inadequate gratification at a par- interest, the desire to advance the welfare of
What is the
ticular stage, then fixation at that stage occurs others. They care about others, cooperate with
focus of the
and adult personality is affected. them, and place general social welfare above
object relations
approach? Despite this research interest, a major short- selfish personal interests (Figure 14.4). In con-
coming of psychoanalytic theory is that many trast, Freud seemed to view people as savage
of its concepts are ambiguous and difficult to animals caged by the bars of civilization. Per-
operationally define and measure (Westen & haps influenced by his own struggles to over-
Gabbard, 1999). How, for example, can we mea- come childhood illnesses and accidents, Adler
sure the strength of an individual’s id impulses also postulated a general motive of striving for
or study processes that are by definition uncon- superiority, which drives people to compensate
scious and inaccessible to the person? for real or imagined defects in themselves (the
Cognitive psychologists have developed inferiority complex) and to strive to be ever
methods to identify and measure nonconscious more competent in life.
Personality 555
Mikulincer, 2009). People who have difficulties

forming and maintaining intimate relationships
tend to mentally represent themselves and oth-
ers in negative ways, expecting painful interac-
tion and attributing malevolence or rejection to
others (Kernberg, 1984; Nigg et al., 1992). These
working models often create self-fulfilling
prophesies, influencing the recurring rela-
tionships people form with others (Fraley &
Shaver, 2009). See the Frontiers feature about
adult attachment style and abusive romantic
relationships for more about the impact of
attachment style.
John Bowlby’s (1969, 2000b) attachment the-
ory, discussed in Chapter 12, is an outgrowth
© PhotoEdit of the object relations approach. Research
relating early attachment experiences to later
FIGURE 14.4 In Alfred Adler’s theory, people have
an inborn social interest that can cause them to put adult relationships is yielding provocative
society’s welfare above their interests. Mother Teresa’s results. For example, university students with
selfless service to others is one striking example. a history of positive early attachments tend
to have longer and more satisfying romances
(Shaver & Clark, 1996). In contrast, child-
Like Adler, Carl Jung (1875–1961) was abusing parents often have mental representa-
Freud’s friend and associate before he broke tions of their own parents as punitive, rejecting,
away and developed his own theory of analytic and abusive (van Ijzendoorn, 1995). Table 14.3
psychology. Jung expanded Freud’s notion shows descriptive statements that character-
of the unconscious in unique directions. For ize people who manifest secure, avoidant, and
example, he believed that humans possess not anxious-ambivalent adult attachment styles.
only a personal unconscious based on their life Studies by Benjamin Hankin and colleagues
experiences, but also a collective unconscious
that consists of memories accumulated through-
out the entire history of the human race. These TABLE 14.3 A
ttachment Styles in Adult
memories are represented by archetypes, Relationships
inherited tendencies to interpret experience in
Question: Which of the following best describes
certain ways. Archetypes find expression in
your feelings?*
symbols, myths, and beliefs that appear across
A. I find it relatively easy to get close to others
many cultures, such as the image of a god, an
and am comfortable depending on them and
evil force, the hero, the good mother, and the having them depend on me. I don’t often worry
quest for self-unity and completeness. about being abandoned or about someone
Following Freud’s death in 1939, a new getting too close to me.
psychodynamic emphasis known as object B. I am somewhat uncomfortable being close
relations became highly influential. Object to others; I find it difficult to trust them
relations theorists, including Melanie Klein completely, difficult to allow myself to depend
(1991), Otto Kernberg (1976), Margaret Mahler on them. I am nervous when anyone gets too
(1968), and Heinz Kohut (1975), focus on the close, and often, love partners want me to be
more intimate than I feel comfortable being.
images or mental representations that people
form of themselves and other people as a result C. I find that others are reluctant to get as close as
I would like. I often worry that my partner doesn’t
of early experience with caregivers. Whether
really love me or won’t want to stay with me. I
realistic or distorted, these internal represen- want to merge completely with another person,
tations of important adults—for example, of and this desire sometimes scares people away.
the mother as kind or malevolent, the father
as protective or abusive—become lenses, or *The first type of attachment style is described as “secure,” the
second as “avoidant,” and the third as “anxious/ambivalent.”
“working models” through which later social
Source: Based on Shaver, P., Hazan, C., & Bradshaw, D. (1988).
interactions are viewed, and these relational
“Love as attachment: The integration of three behavioral
themes exert an unconscious influence on a systems”. In R.J. Sternberg & M.L. Barnes (Eds.), The
person’s relationships throughout life (Shaver & psychology of love. New Haven, CT: Yale University Press.
Frontiers
ATTACHMENT STYLE AND ABUSIVE The women viewed each of the 16 personal ads (without
ROMANTIC RELATIONSHIPS pictures) on an experimenter-constructed website. The per-
sonal ads were compiled from actual self-descriptions pro-
Researchers who study abusive romantic relationships have vided by a group of male university students and were rated
noted that involvement in such relationships tends to repeat by a separate sample of women on desirability as a dating
over time (Dutton, 2006). Does this occur by chance, or do peo- partner and potential for being abusive. The descriptions cre-
ple with specific personality patterns somehow seek out one ated potential male dating partners who fell into three cat-
another to re-create destructive relationships marked by psycho- egories: potentially abusive; undesirable as a dating partner
logical abuse? One possibility is that adult attachment styles but not abusive; and desirable as a dating partner and not
predispose people to prefer romantic partners who fit their work- abusive. The high-abuse and low-abuse women viewed each
ing models of intimate relationships. To test this hypothesis, of the descriptions and made a series of choices, finally
Vivian Zayas and Yuichi Shoda (2007) studied the romantic part- selecting the one person they were most interested in get-
ner preferences of women with a history of victimization and of ting to know better. The women in each group also com-
men with a history of abusing women in romantic relationships. pleted a self-report measure of attachment style.
Two groups of women were identified for the study. One group In a second part of the study, male students were admin-
consisted of 32 women who reported being victims of frequent istered the psychological abuse questionnaire. The research-
psychological abuse in their most recent long-term romantic rela-
ers identified 46 men who were abusive and 47 who reported
tionship. On the measure of abusive behaviours, these women
reported: isolation and emotional control (e.g., “My partner tried inflicting little or no psychological abuse. These two groups
to keep me from seeing or talking to my family”); undermining of men also engaged in a computer dating procedure in which
self-esteem (e.g., “My partner treated me like I was stupid”); jeal- they chose a potential dating partner based on personal ads
ousy (e.g., “My partner was jealous of my friends”); verbal abuse (again, no pictures). They chose from personal ads that were
(e.g., “My partner swore at me”); and emotional withdrawal (e.g., designed to express either high or low attachment anxiety.
“My partner sulked and refused to talk about a problem”). The The researchers first examined the relationship between
second group of 33 women were in low-abuse relationships; they attachment anxiety and past abuse. In agreement with previ-
reported that such experiences occurred seldom or never in their ous research, they found that the high-abuse women were
most recent romantic relationship. significantly more anxious about their close relationships and
The women participated in a computer dating procedure fearful of losing them; that is, they showed high levels of
in which they indicated how much they would like to date attachment anxiety.
each of 16 different men. The descriptions of the men, The dating preferences of the two groups of women are
presented as personal ads, varied in desirability as a dating shown in Figure 14.5. The low-abuse women preferred a
partner and potential for being abusive.
Low-Abuse High-Abuse
Desirable Undesirable Abusive Desirable Undesirable Abusive
(a) (b)
FIGURE 14.5 Percentages of women who chose each type of dating partner. Women had a history of little or no abuse in their
romantic relationships and were low in attachment anxiety (Low-Abuse, panel a), or had experienced high levels of psychological
abuse in their recent romantic relationships and were high in attachment anxiety (High-Abuse, panel b).
Source: Zayas, V. & Shoda, Y. (2007). Predicting preferences for dating partners from past experiences of psychological abuse: Identifying the
psychological ingredients of situations. Personality and Social Psychology Bulletin, 33, 123–138.
continued
Personality 557
desirable partner and very few chose one of the potentially perpetuate self-injurious and destructive relationship pat-
abusive men. In contrast, the high-abuse women were three terns. Women with histories of abuse in romantic relation-
times as likely to choose one of the potentially abusive ships might be expected to steer clear of future relationships
men; they were about as likely to choose a potentially abu- of this kind. Instead, they are as likely to choose a dating
sive partner as a desirable one. partner who has been judged by others to be impulsive,
The men’s dating preferences also showed a notable possessive, jealous, aggressive, hostile, degrading, and
contrast. The majority of non-abusive men (72.3 percent) potentially violent as they are to choose a desirable and non-
preferred a woman who was low in attachment anxiety. In abusive partner. Men’s personality characteristics also influ-
contrast, a majority of abusive men (60.9 percent) chose ence their choice of potential romantic partners. Men without
a potential dating partner who was high in attachment a history of abusing women show little desire to relate to
anxiety. insecure, relationship-anxious women. In contrast, abusive
This study illustrates the potential usefulness of concepts men are drawn to women who are more likely to become
derived from object relations theory in understanding human dependent on them and therefore tolerate their behaviour as
relationships. In this study, we see evidence that people may they act out their hostility within the relationship.
Source: Zayas, V. & Shoda, Y. (2007). Predicting preferences for dating partners from past experiences of psychological abuse: Identifying the
psychological ingredients of situations. Personality and Social Psychology Bulletin, 33, 123–138.
(2005) examined the relationship between Today, a large proportion of psychodynamic

adult attachment dimensions and symptoms of theorists and clinicians claim to rely more heav-
emotional distress (e.g., anxiety, depression). ily on object relations concepts than on classical
Avoidant and anxious-ambivalent attachment psychoanalytic theory. The concepts in object
predicted depressive symptoms, and anxious relations theories are also easier to define
attachment predicted anxiety symptoms. Anx- and measure, making them more amenable to
ious and avoidant attachment also predict research.
poorer response to psychotherapy (Shorey &
Snyder, 2006). Abuse by a caregiver can put a
child at risk of developing disorganized attach-
Evaluating Psychoanalytic
ment. Children with disorganized attachment Theory
may appear disoriented and feel detached from Although it has profoundly influenced popu-
what is happening around them. As adults, they lar culture, psychology, psychiatry, and other 10. Why is it
difficult to test
often have difficulty making sense of their own fields, psychoanalytic theory has often been
psychoanalytic
experiences, struggle with emotional and social criticized on scientific grounds. One reason is theory? What
relationships, and are at an increased risk for that many of its specific propositions have not is the current
the development of anxiety and depression held up under the scrutiny of research (Fisher & status of
(Beeney et al., 2016; Lecompte, Moss, Cyr, & Greenberg, 1996). Another major problem with unconscious
Pascuzzo, 2014). psychoanalytic theory is that it is hard to test, processes and
The lasting impact of attachment patterns not because it doesn’t explain enough, but psychosexual
is also apparent in the finding that some forms because it often explains too much to allow development?
of early attachment are associated with per- clear-cut behavioural predictions (Meehl, 1995).
sonality disorders among both adolescents and For example, suppose we predict on the basis
adults (Errázuriz, Constantino, & Calvo, 2015; of psychoanalytic theory that participants in
Weinstein et al., 2014). Disorganized attachment an experimental condition will behave aggres-
(discussed in Chapter 12) is of particular con- sively, and they behave instead in a loving
cern and has been linked to personality disor- manner. Is the theory wrong, or is the aggres-
ders and other mental health challenges among sion being masked by the defence mechanism
adults (Beeney et al., 2016). called reaction formation (which produces
Attachment theory predicts that once attach- exaggerated behaviours that are the opposite
ment styles are set down by childhood experi- of the impulse)? The difficulty in making clear-
ences, they continue to play themselves out cut behavioural predictions means that some
in adult relationships. Our Frontiers feature psychoanalytic hypotheses are untestable. Sci-
explores the possibility that this can result in ence, including the science of human behaviour,
abusive romantic relationships. progresses by the development of theories and
In Review
• Freud’s psychoanalytic theory views personal- id impulses threaten to get out of control or
ity as an energy system. Personality dynamics when danger from the environment threatens,
involve modifications and exchanges of energy the result is anxiety. To deal with threat, the ego
within this system. Mental events may be con- may develop defence mechanisms, which are
scious, preconscious, or unconscious. used to ward off anxiety and permit instinctual
• Freud divided the personality into three struc- gratification in disguised forms.
tures: id, ego, and superego. The id is irrational • Freud’s psychosexual theory of personality
and seeks immediate instinctual gratification on development held that adult personality is basi-
the basis of the pleasure principle. The ego oper- cally moulded by how children deal with instinc-
ates on the reality principle, which requires it to tual sexual urges.
test reality and mediate between the demands • Neoanalytic theorists modified and extended
of the id, the superego, and reality. The super- Freud’s ideas in important ways, stressing social
ego is the moral arm of the personality. and cultural factors in personality development.
• The dynamics of personality involve a continuous Modern object relations theorists focus on the
conflict between impulses of the id and counter- mental representations that people form of
forces of the ego and superego. When dangerous themselves, others, and relationships.
the rigorous testing of hypotheses based on humanists embrace a positive view that affirms
those theories. Many personality theorists have the inherent dignity and goodness of the human
rejected psychoanalytic theory on the grounds spirit. They emphasize the central role of con-
that it cannot be tested. scious experience, as well as the individual’s
Freud’s emphasis on the unconscious was creative potential and inborn striving for self-
scorned by a Victorian society that emphasized actualization, the total realization of one’s
rationality and was condemned as unscientific human potential (Figure 14.6). As described in
by generations of personality psychologists Chapter 11, humanist Abraham Maslow consid-
with a behaviourist orientation. Research over ered self-actualization to be the ultimate human
the past 20 years, however, has vindicated need and the highest expression of human
Freud’s belief in unconscious events by show- nature.
ing that nonconscious mental and emotional
phenomena do indeed occur and can powerfully
affect our behaviour (Bargh & Chartrand, 1999;
Erdelyi, 1995). Then again, the nonconscious
processes that have been experimentally dem-
onstrated are far different from those proposed
by Freud (Kihlstrom, 1999). Accepted noncon-
scious mental processes, such as automatic pro-
cessing (see Chapter 8), are very different from
the types of phenomena that Freud placed in
the unconscious mind. Rather than a seething
cauldron of forbidden wishes and desires, cur-
rent research is unearthing what one theorist
described as “a kinder, gentler unconscious”
(Greenwald, 1992).
Hero Images/Getty Images

11. What is self-
actualization? THE HUMANISTIC FIGURE 14.6 The motivations underlying behav-
How does this PERSPECTIVE iour are much different for humanistic theorists than
concept conflict they are for Freudians. In the view of humanistic theo-
with Freud’s Humanistic theories were in part a reaction
rists such as Maslow and Rogers, creative and artis-
conception of to Freud’s conception of the human as being tic accomplishments like this one are a product not of
human nature? driven by “those half-tamed demons that inhabit intrapsychic conflict and sublimation but of an innate
the human beast” (Freud, 1900, p. 202). Instead, tendency toward self-actualization.
Personality 559
George Kelly’s Personal are true (which we cannot know), Kelly exam-
ined the consequences of construing in partic-
Construct Theory ular ways. For example, if one of the people
A theory developed by George Kelly (1905–1967) in the broken relationship interpreted what
in the 1950s had a strong influence on person- happened as “being rejected,” Kelly would try
ality theory and on the development of clinical to discover the consequences for the person
psychology (Kelly, 1955). According to Kelly, of construing the situation in that way. If the
people’s primary goal is to make sense out of the construction led to bad outcomes, such as feel-
world, to find personal meaning in it. When they ings of worthlessness or the conclusion that
are unable to do so, they experience uncertainty “no one will ever love me, and I’ll never get
and anxiety. To achieve understanding, they try to involved again,” then the task would be to find
explain and understand the events of their lives, a more useful and healthier alternative con-
and they test this understanding in the same struction. Kelly, a clinical psychologist, saw
way scientists do: by attempting to anticipate, to psychotherapy as a way of demonstrating to
predict. clients that their constructions are hypotheses
Kelly’s primary interest was how people rather than facts. Once clients realize this,
construct reality. They do so by their indi- they can be encouraged to test the hypoth-
vidual system of personal constructs, which eses that govern their lives, just as scientists
are cognitive categories into which they sort do, and to replace maladaptive ones with more
the people and events in their lives. In Kelly’s useful ones.
theory, the personal construct system was In order to help clients experiment with new
the primary basis for individual differences in viewpoints and behaviours, Kelly developed a
personality. therapeutic technique called fixed-role ther-
As noted in our discussion of concept for- apy. He wrote role descriptions and behav-
mation in Chapter 9, perception and thought ioural scripts for his clients that differed from
involve categorizing. From birth onward, their typical views of themselves. For exam-
Kelly maintained, stimuli are categorized, ple, a shy person might be asked to play the
given meaning, and reacted to in terms of the role of a more confident and assertive person
categories, or personal constructs, into which for two or three days, to think and act like a
they are placed. Every person has her or his confident person. Kelly and the client would
own pattern of preferred personal constructs, practise the role within the therapy setting to
which vary in personal importance. For be certain that the client had a command of
example, your constructs of “good” or “suc- the required behaviours and the view of the
cessful” may differ from those of the person world that a confident individual would have.
sitting next to you in class. By understanding Kelly hoped that by trying out the new role,
these constructs, the rules an individual uses the client might gain a firsthand appreciation
to assign events to categories, and her or his for the ways in which different constructions
hypotheses about how the categories relate to and behaviours could lead to more satisfying
one another, Kelly believed that we can under- life outcomes. Kelly suggested that a willing-
stand the person’s psychological world. If we ness to experiment with new roles and ways of
can understand the individual’s internal world, thinking can help all of us develop in ways that
then we can understand and predict that per- enhance our lives.
son’s behaviour.
The same event can be categorized, or per-
ceived, in entirely different ways by different
Carl Rogers’s Self Theory
people. For example, suppose that two lovers Carl Rogers (1902–1987) was one of the most
break up. One observer may construe the event influential humanistic theorists. In contrast to
as “simple incompatibility”; another may think Freud, Rogers believed that our behaviour is
that one person was “jilted” by the other; not a reaction to unconscious conflicts but a
another might describe the breakup as the response to our immediate conscious experi-
“result of parental meddling”; another might call ence of self and environment (Rogers, 1951). He
it “a terrible development”; and a fifth might see believed that the forces that direct behaviour
it as “a blessing in disguise.” are within us and that, when they are not dis-
Rather than evaluating alternative con- torted or blocked by our environment, they can
structions according to whether or not they be trusted to direct us toward self-actualization.
The Self The self-consistency knife can cut in both

The central concept in Rogers’s theory is the directions, however. At the other extreme, con-
self, an organized, consistent set of perceptions sider a young man who believes that he is totally
of and beliefs about oneself (Rogers, l959). Once undesirable to women. If an attractive woman
formed, the self plays a powerful role in guid- expresses interest, he might appropriately revise
ing our perceptions and directing our behav- his self-concept in a positive direction. But it is
iour. Self-concept is now a more widely used often as difficult for people with negative self-
term than “the self” and conveys much the same concepts to accept success as it is for those with
meaning as intended by “Self.” unrealistically positive self-concepts to accept
Rogers theorized that, at the beginning of failure (Rogers, 1959). Thus, he might find it nec-
their lives, children cannot distinguish between essary to give a congruent explanation (“She’s
themselves and their environment. As they just trying to be nice. She doesn’t really like me.”).
interact with their world, children begin to dis- Such interpretations will allow the young man to
tinguish between the “me” and the “not-me.” maintain his negative image of himself.
Self-concept continues to develop in response To preserve their self-images, people not only
to our life experience, though many aspects interpret situations in self-congruent ways, but
of it remain quite stable over time. There are they also behave in ways that will lead others
also cultural influences on our self-concept. For to respond to them in a self-confirming fashion
example, Asian collectivist cultures exhibit an (Swann & Bosson, 2008). As Rogers frequently
extended sense of self that can include close noted, people are pushed by self-consistency
relatives (Wang et al., 2012). needs to behave in accord with their self-con-
Once the self-concept is established, there is cepts (Figure 14.7).
12. Describe According to Rogers, the degree of con-
a tendency to maintain it, for it helps us under-
the roles of self- gruence between self-concept and experi-
stand ourselves in relation to the world. We
consistency and ence helps to define one’s level of adjustment.
congruence in therefore have needs for self-consistency (an
absence of conflict among self-perceptions) The more inflexible people’s self-concepts are,
Rogers’s self
and congruence (consistency between self- the less open they will be to their experience
theory. How do
these concepts perceptions and experience). Any experience and the more maladjusted they will become
relate to we have that is inconsistent with our self-con- (Figure 14.8a). If there is a significant degree
adjustment? cept, including our perceptions of our own of incongruence between self and experience,
behaviour, evokes threat and anxiety. Well- and the experiences are forceful enough, the
adjusted individuals can respond to threat defences used to deny and distort reality may
adaptively by modifying the self-concept so collapse, resulting in extreme anxiety and a
that the experiences are congruent with the temporary disorganization of the self-concept.
self. But other people choose to deny or distort This chapter’s Focus on Neuroscience fea-
their experiences to remove the incongruence, ture explores how modern neuroscientific tech-
a strategy that can lead to what Rogers termed niques, such as brain imaging, are being used to
“problems in living.” explore the self.
Suppose that an important aspect of a young
man’s self-concept is the belief that he is so Self-Esteem
charming and handsome that every woman Self-esteem refers to how positively or neg-
13. How do atively we feel about ourselves, and it is a
differences finds him irresistible. He meets a young woman
whom he finds very attractive but who shows a very important aspect of personal well-being,
in self-
esteem affect total lack of interest in him. This incongruence happiness, and adjustment (Diener, 2000;
behaviour? between his self-concept and his experience Lilienfeld et al., 2010). That is, if self-concept
produces threat and anxiety because his basic is how we perceive and describe ourselves,
view of himself is challenged. On the one hand, self-esteem is our affective evaluation of that
he could react adaptively by modifying his self- description. The feelings included in self-
concept to acknowledge that he is not, after all, esteem can be illustrated by the types of items
irresistible to all women. On the other hand, he found on measures of self-esteem (Table 14.4).
might resolve the incongruence by distorting In adulthood, there are only small differ-
reality. He might deny the woman’s lack of inter- ences in overall self-esteem between men and
est (“She’s just playing hard to get”), or he might women (Larsen & Buss, 2010; Pan, 2015); how-
distort his perception of the woman (“She would ever, during late adolescence, males report
have to be crazy not to appreciate how special I having higher self-esteem than females do
am—thank heaven I found out in time”). (Pan, 2015). Levels of self-esteem, however,
Personality 561
FIGURE 14.7 Tendencies to behave in accordance with one’s self-concept at times can have ominous implications.
The New Yorker Collection 1971 Dana Fradon from cartoonbank. com. All Rights Reserved.
Denied
experience
tend to be stable across development, with

correlations between + 0.50 and + 0.70 from
childhood to old age (Trzesniewski et al.,
Incongruent Experience
self-concept 2003; Yang et al., 2016).
Self-esteem is related to many positive
behaviours and life outcomes. People with high
self-esteem are less susceptible to social pres-
Distorted
experience sure, have fewer interpersonal problems, are
happier with their lives, achieve at a higher and
(a)
more persistent level, and are more capable of
Experiences are forming satisfying love relationships (Baumeis-
integrated with the ter, 1999). In contrast, people with a poor self-
self, with little image are more prone to psychological problems
distortion such as anxiety and depression, to physical ill-
ness, and to poor social relationships and under-
achievement (Heimpel et al., 2002).
Fully
functioning
self
TABLE 14.4 I tems Similar to These Found

on Measures of Self-Esteem*
(b)
1. I believe I am a worthwhile person.
FIGURE 14.8 Rogers defined psychological adjust- 2. There are many things I would change about
ment in terms of the degree of congruence between myself if I could (reverse scored).
self-concept and experience. Maladjustment (a) occurs 3. I approve of myself as a person.
when a person faced with incongruities between self
and experience distorts or denies reality to make it 4. I have many positive traits.
consistent with the self-concept. In contrast, extremely 5. I like who I am.
well-adjusted, or fully functioning, people integrate 6. There are many things I do not like about
experiences into the self with minimal distortion (b), myself (reverse scored).
so they are able to profit fully from their experiences.
Source: Rogers, C.R. (1951). Client-centered therapy. Boston, *Items are answered on a 5-point scale ranging from
strongly disagree to strongly agree.
MA: Houghton Mifflin.
Focus on
Neuroscience
THE NEUROBIOLOGY OF THE SELF 3. Do you agree with how others described you?
Our self-esteem, how positively or negatively 4. Do you agree with how others described the celebrity?
we feel about ourselves, has an important influ- There was a strong positive correlation between self-
ence on our well-being; positive self-esteem is esteem scores and how much participants agreed with positive
associated with lower risk of anxiety and depres- descriptions of them provided by others, and a strong negative
sion, more successful social and emotional relationships, correlation between self-esteem scores and how much they
and greater life satisfaction (Lecompte et al., 2014; Pan, agreed with negative deceptions of them provided by others.
2015). As discussed in more detail elsewhere in this chap- This would indicate that participants did attend to and process
ter, our self-esteem is our emotional evaluation of our self- the different adjectives and assess their accuracy.
concept, the emotional reaction to how we perceive our- Participants’ self-esteem scores were positively corre-
selves. Another important influence on our self-esteem is lated with activity in the orbitofrontal cortex when process-
how we believe others perceive and evaluate us (Yang et al., ing adjectives about the self. The orbitofrontal cortex is an
2016). That is, self-esteem includes both an intrapersonal area within the medial prefrontal cortex (mPFC) immediately
perspective, how we evaluate ourselves, and an interper- above and behind the eyes at the very front of the brain.
sonal perspective, how others evaluate us. The orbitofrontal cortex and more generally the mPFC are
Questions that have recently been asked are what brain important parts of the network involved in emotional pro-
areas support self-concept and self-esteem and whether cessing and have important connections with brains areas,
the two different aspects of self-esteem, the intrapersonal such as the amygdala and anterior cingulate cortex, known
and the interpersonal, are related to activity within different to be important for emotion. These results are consistent
brain regions. The self-evaluation that is the central fea- with the findings of other studies that have found that the
ture of self-esteem might be expected to be associated mPFC is active when people process information about
with activity in brain areas generally associated with affect, themselves (e.g., Kim & Johnson, 2014).
many of which were discussed in Chapter 11. But our self- When the evaluation was not of the self, but was about
esteem is also influenced by how others evaluate us and what others said about them, a somewhat different pattern
by what we believe others think of us. It has not been clear of activity was found. Self-esteem scores were positively
what brain areas might be associated with this aspect of correlated with activity in the mPFC, the posterior cingulate
self, with processing how others evaluate us. cortex, and structures within the temporal cortex when par-
In an interesting recent study, Yang and colleagues (Yang ticipants evaluated what others said about them. That is,
et al., 2016) asked participants to reflect on the self or on along with the mPFC, self-esteem was related to the brain
a celebrity, and to reflect on what others said about them areas often associated with cognitive processing during
or about the celebrity. While participants were engaged in evaluation of feedback about the self provided by others.
these tasks, brain activity was assessed using fMRI. This Interestingly, there were also increases in activity within
design allowed the researchers to evaluate whether self- a group of structures referred to as the default mode net-
esteem is associated with brain activation related to both work, which we encountered in Chapter 6, which are associ-
self-evaluation and processing evaluations about the self ated with reflection and mind-wandering. Although changes
provided by others. in activity were not correlated with self-esteem scores,
The study involved 25 healthy university students who processing information about the self was associated with
completed the Rosenberg Self-esteem Scale, the most increased activity within parts of the default mode network.
widely used measure of self-esteem and then had brain activ- The neuropeptide oxytocin has been reported to influ-
ity measured using fMRI. For information from others about ence activity within the default mode network (Scheele
the self, the researchers had other students rate potential et al., 2014), especially within frontal regions such as the
participants on different personality adjectives, half of which mPFC and anterior cingulate cortex. Furthermore, results
were positive (e.g., friendly) and half of which were negative of several research studies have indicated that oxyto-
(e.g., childish). Students were also asked to rank a celebrity cin may be involved in processing information about the
(a well-known athlete) on the same set of adjectives. self, and is involved in some way in making distinctions
This allowed the researchers to ask participants four dif- between self and others (Zhao et al., 2016). Past results,
ferent questions while brain activity was monitored: however, have been inconsistent. The overlap between
areas known to be influenced by oxytocin, such the mPFC
1. How well does this adjective describe you? and parts of the default mode network, and its effects
2. How well does this adjective describe the celebrity? on making distinctions between self and other has led
continued
Personality 563
researchers to investigate oxytocin’s role in self-concept Oxytocin also decreased reaction times; participants
and self-esteem. made their decisions about whether or not an adjective accu-
In one recent study (Zhao et al., 2016), university stu- rately described them or others more quickly if treated with
dent participants were randomly assigned to a placebo oxytocin. Participants were tested unexpectedly with a mem-
group or to a group that was treated with oxytocin. Partici- ory task for the adjectives after scanning was completed. We
pants were administered either the placebo or oxytocin by usually remember descriptions about self more accurately
nasal spray, a procedure that has been shown to increase than descriptions about others. Oxytocin eliminated the pref-
oxytocin levels in cerebrospinal fluid. After the nasal spray, erential memory for self information over other information.
participants completed a number of questionnaires includ- That is, oxytocin improved the speed of decision making on
ing measures of anxiety, personality traits, positive and all judgments and, at the same time, weakened the usually
negative affect, self-esteem, and feelings of connectedness superior memory for self over descriptions of others.
with others. Participants then had brain activity measured These results further support a critical role for the mPFC
using fMRI while they evaluated how accurately positive in self. Oxytocin reduced activity in the mPFC and interac-
(e.g., kind) and negative (e.g., lazy) adjectives described tions between the mPFC and anterior cingulate cortex and
them, a family member, a classmate, or a stranger. this decrease was associated with a weakened distinction
Brain imaging found that making judgments about between self and others.
the self increased activity in areas of the frontal cortex, The results of studies such as those by Yang et al.
especially mPFC and cingulate cortex. Interestingly, oxy- (2016) and Zhao et al. (2016) indicate a critical role of the
tocin decreased activity in the mPFC, and also decreased mPFC, anterior cingulate cortex, and parts of the default
functional connectivity between the mPFC and the anterior mode network in supporting distinctions between self and
cingulate cortex and other structures within the default others, and an association between activity in these brain
mode network. This decrease in the interactions between areas, especially areas within the mPFC, and an individual’s
the mPFC and the anterior cingulate cortex was negatively self-esteem. It is interesting to note that the brain areas
associated with self-esteem. That is, the mPFC was active that are most powerfully linked to self-concept and self-
when making judgments about the self, as compared to esteem are the phylogenetically newest—they are the most
making judgments about others, and this activity was sup- distinctly human of all brain areas—and are also the last
pressed by oxytocin. brain areas to mature during an individual’s development.
Research by Joanne Wood and Sara Heimpel their own lives, people with low self-esteem
at the University of Waterloo has examined the reported that they deliberately thought about
influence of successes on those with low self- things that would calm their excitement, that
esteem. They found, perhaps counter-intuitively, would make them feel less good about them-
that while success bolsters the self-esteem of selves and their success, or that would dis-
those already high in self-esteem, success gen- tract them from the success (Wood, Heimpel, &
erates self-doubt and anxiety among those low Michela, 2003).
in self-esteem (Heimpel, Wood, Marshall, & Danielle Gaucher, of the University of
Brown, 2002; Wood, Heimpel, & Michela, 2003; Winnipeg, and colleagues found that self-
Wood et al., 2005). esteem is also linked to expressive behav-
Earlier work by these researchers found iour, such as emotional expressivity and
that self-esteem has an impact on how people self-disclosure. Self-esteem is an impor-
act to regulate their mood. In response to fail- tant determinant of expressivity because
ure, participants with low self-esteem were expressive behaviours leave one vulnera-
less likely to express a desire to improve their ble to rejection. Those with low self-esteem
mood than were participants with high self- are par ticularly averse to social rejec-
esteem. Although those with low self-esteem tion, so they are usually less expressive
knew what to do to improve their mood (e.g., than those with high self-esteem (Gaucher
watch a comedy, visit friends), they did not et al., 2012). Consistent with this finding, Jessica
engage in these behaviours when in a negative Cameron at the University of Manitoba reported
mood (Heimpel et al., 2002). Not only did those that high self-esteem contributes to the willing-
low in self-esteem not attempt to improve a ness to accept social risk such as that involved
bad mood, they even worked to depress a good in initiating a potential romantic relationship
mood. After experiencing a positive event in (Cameron et al., 2013).
What conditions foster the develop- poor self-regulation and poor mental and physi-
ment of high self-esteem? Children develop cal health (Baumeister & Leary, 1995; Crocker,
higher self-esteem when their parents com- 2002; Deci & Ryan, 2000).
municate unconditional acceptance and
love, establish clear guidelines for behav- The Need for Positive Regard
iour, and reinforce compliance while giv- Rogers believed that we are born with an innate
ing the child freedom to make decisions need for positive regard—that is, for accep-
and express opinions within those guide- tance, sympathy, and love from others. Rogers
lines (Coopersmith, 1967; Har rington viewed positive regard as essential for healthy
et al., 1987). One study showed that when development. Ideally, positive regard received
low–self-esteem children were exposed to from the parents is unconditional—that is, inde-
highly supportive youth sport coaches who pendent of how the child behaves. Uncondi-
gave them much positive reinforcement and tional positive regard communicates that the
encouragement, the children’s self-esteem child is inherently worthy of love. Conditional
increased significantly over the course of positive regard, however, is dependent on how
the sport season (Smoll et al., 1993). Appar- the child behaves. In the extreme case, love and
ently, the positive feedback caused the chil- acceptance are given to the child only when the
dren to revise their self-concepts in a positive child behaves as the parents want.
direction. People need positive regard not only from
14. What The value of high self-esteem has been well others but also from themselves. We all want
conditions affect publicized and has led to a wide range of self- to feel good about ourselves. Thus, a need for
the development help books, educational programs, child-rearing positive self-regard also develops. Lack of
of self-esteem? manuals, and other resources meant to help unconditional positive regard from parents and
people elevate their feelings of self-worth. But other significant people in the past teaches peo-
15. How do is high self-esteem always beneficial? Unstable ple that they are worthy of approval and love
conditions of or unrealistically high self-esteem may be even only when they meet certain standards. This fos-
worth develop more dangerous to the individual and society ters the development of conditions of worth
and how can
than low self-esteem. When unstable or inflated that dictate when we approve or disapprove of
they hinder
self-esteem is threatened, individuals may react ourselves. A child who has experienced parental
adjustment?
aggressively, even violently, to protect their approval when behaving in a friendly fashion,
self-esteem (Baumeister, Smart, & Boden, 1996). but disapproval whenever she became angry or
Indeed, the higher one’s self-esteem, the greater aggressive, may come to disapprove of her own
the vulnerability to ego threats (Baumeister “angry” feelings, even when they are justified.
et al., 1996). Recently, it has been recognized She may, therefore, come to deny in herself all
that the pursuit of self-esteem can also be a feelings of anger and struggle to preserve a self-
source of problems. When you attempt some image of being totally loving. Rogers believed
new task, such as learning to snowboard, tackle that conditions of worth can tyrannize people
a new and challenging university course, or join and cause major incongruence between self
a band, do you do it to master the task? Or do and experience, together with a need to deny or
you do it because success will enhance your distort important aspects of experience. Condi-
self-esteem and validate your abilities? If the tions of worth are similar to the “shoulds” that
goal is enhanced self-esteem, achieving your populate Freud’s superego.
goal imparts a feeling of worth and value, but
the emotional benefits may be only temporary Fully Functioning Persons
(Crocker & Park, 2004). Furthermore, a failure Toward the end of his career, Rogers became
when the goal is enhanced self-esteem is more particularly interested in people who had
damaging to the individual than a failure when achieved self-actualization. As Rogers viewed
the goal is to master the task (Crocker, 2002; them, fully functioning persons do not hide
Crocker & Park, 2004). If the goal is enhanced behind masks or adopt artificial roles. They feel
self-esteem, people feel particularly challenged a sense of inner freedom, self-determination,
to succeed and may react to threats or per- and choice in the direction of their growth. They
ceived threats in ways that are destructive or have no fear of behaving spontaneously, freely,
self-destructive. When the pursuit of self-esteem and creatively. Because they are fairly free of
is successful it does have emotional benefits, but conditions of worth, they can accept inner and
the pursuit of self-esteem can also have costs, outer experiences as they are, without modify-
such as decreasing learning and leading to ing them defensively to suit a rigid self-concept
Personality 565
or the expectations of others. Thus, a fully func- relationships. One study found that if people with
tioning unmarried woman would be able to state firmly held negative self-views marry spouses
quite frankly that her career is more important who appraise them favourably, they tend even-
to her than a role as a wife and a mother if she tually to withdraw from the marriage. Such
truly felt that way, and would act comfortably people are more likely to remain with spouses
on those feelings. In a sense, she could be true who agree with the negative image they have of
to herself (Figure 14.8b). themselves. In contrast, people with positive self-
concepts prefer spouses who share their positive
Research on the Self view of themselves (Swann et al., 1992).
Rogers also suggested that people have a need
By giving the self a central place in his the-
to regard themselves positively, and research
ory, Rogers helped to stimulate a great deal of
confirms a strong and pervasive tendency to
research on the self-concept (Robins et al., 1999;
gain and preserve a positive self-image. These
Phillips & Silvia, 2005). Two topics at the fore-
processes are known as self-enhancement
front are (1) the development of self-esteem and
(Brown, 1998; Swann, 1966). Several self-
its effects on behaviour, and (2) the roles played
enhancement strategies have been identified.
by self-enhancement and self-consistency
For example, people show a marked tendency
motives.
to attribute their successes to their own abilities
and effort, but to attribute their failures to envi-
ronmental factors. Furthermore, most people
Thinking critically rate themselves as better than average on virtu-
ally any socially desirable characteristic that is
IS SELF-ACTUALIZATION A USEFUL subjective in nature (Steele & Baumeister, 1999).
SCIENTIFIC CONSTRUCT? The vast majority of businesspeople and politi-
Self-actualization is a central concept for humanis- cians rate themselves as more ethical than the
tic theorists such as Maslow and Rogers. Consider average. In defiance of mathematical possibil-
what you have learned about formulating a psycho- ity, about 80 percent of high school students rate
logical construct and evaluating a theory according
themselves in the top 10 percent in their ability
to scientific principles. Can you see any problems
with establishing the existence of this core motiva- to get along with others. Even people who have
tion from a scientific perspective? been hospitalized after causing auto accidents
Think about it, and then see the Answers section at rate themselves as more skilful than the average
the end of the book. driver (Pyszczyncki & Greenberg, 1987). Indeed,
as evidence on self-serving biases in self-
perception continues to accumulate, research-
ers are concluding that positive illusions of
Self-Verification and Self-Enhancement this sort are the rule rather than the exception
Motives in well-adjusted people and that these self-
Rogers proposed that people are motivated to enhancement tendencies, or “positive illusions,”
contribute to their psychological well-being 16. Define
preserve their self-concept by maintaining self-
(Taylor & Brown, 1988; Taylor et al., 2000). self-verification
consistency and congruence. Modern research- and self-
ers call this need self-verification, and it has enhancement.
received considerable research support. In one Culture, Gender, and the Self What research
study, researchers measured university stu- Culture provides a learning context in which evidence is there
dents’ self-concepts. In a later experiment, the the self develops. Individualistic cultures such to support these
students interacted with other participants and as those in North America and northern Europe processes?
received fake feedback from them in the form place an emphasis on independence and per-
of adjectives that were either consistent or sonal attainment, whereas collectivistic cul- 17. What cultural
inconsistent with their self-concept. Later, when tures such as those found in many parts of Asia, and gender
the students were asked to recall and identify Africa, and South America emphasize connect- differences have
the adjectives that had been attributed to them, edness between people and the achievement of been found in
self-concept
they showed greater recall for the consistent group goals (Cross & Markus, 1999; Triandis,
research?
adjectives, suggesting that people selectively 1989). What kinds of self-concept differences
attend to and recall self-consistent information would you predict in people from these two
(Suinn et al., 1962). types of cultures?
Self-verification needs are also expressed in In one study, American and Japanese uni-
people’s tendency to seek out self-confirming versity students were given a self-concept
questionnaire on which they listed their five especially prize interpersonal competencies,
most important attributes. The researchers then kindness, and helpfulness to others (Beyer,
classified each statement according to whether 1990; Brown, 1998; Marsh, 1990). In a sense,
it referred to a personal attribute (e.g., “I am men in Western cultures tend to develop more
honest”; “I am smart”), a social identity (e.g., “I of an individualistic self-concept, emphasiz-
am an oldest son”; “I am a student”), or some- ing achievement and separateness from oth-
thing else, such as a physical trait. As Figure ers, whereas women’s self-concepts tend to be
14.9 shows, the Americans were far more likely more collectivistic, emphasizing their social
than the Japanese to list personal traits, abilities, connectedness with others (Watkins et al., 2003;
or dispositions, whereas the Japanese more fre- Bresnahan et al., 2005). Nonetheless, we should
quently described themselves in social identity keep in mind that significant individual dif-
terms. Thus, the social embeddedness of the col- ferences exist within each gender group, with
lectivist Japanese culture was reflected in their many women being highly individualistic and
self-perceptions, as was cultural individualism many men collectivistic (Brown, 1998).
in the Americans’ self-concepts (Cousins, 1989).
Gender-role socialization provides us with Evaluating Humanistic Theories
gender schemas, organized mental structures Humanistic theorists focus on the individual’s
that contain our understanding of the attri- subjective experiences. What matters most
butes and behaviours that are appropriate and is how people view themselves and the world
expected for males and females (Bem, 1981). (Nye, 1996). Some critics believe that the human-
Within a given culture, gender schemas tell us istic view relies too much on individuals’ reports
what the typical man or woman “should” be like. of their personal experiences. For example, psy-
In Western cultures, men tend to prize attributes choanalytic theorists maintain that accepting
related to achievement, emotional strength, ath- what a person says at face value may easily lead
leticism, and self-sufficiency, whereas women to erroneous conclusions because of the always-
70 present influence of unconscious factors. Some
critics also believe that it is impossible to define
Participant group an individual’s actualizing tendency except in
60
American terms of the behaviour that it supposedly pro-
Japanese duces. This would be an example of circular
50 reasoning: “Why did the person achieve such
Proportion of responses
success? Because of self-actualization.” “How

do we know self-actualization was at work?
40
Because the person achieved great success.”
Though humanism may indeed seem nonsci-
30 entific to some, Carl Rogers (1959) dedicated
himself to developing a theory whose concepts
20
could be measured and whose laws could be
tested. One of his most notable contributions
was a series of groundbreaking studies on the
10 process of self-growth that can occur in psycho-
therapy. To assess the effectiveness of psycho-
0
therapy, Rogers and his colleagues measured
Personal Social/ the discrepancy between clients’ ideal selves
Relational (how they would like to be) and their perceived
Identity type selves (their perceptions of what they are actu-
ally like). The studies revealed that when clients
FIGURE 14.9 Cultural differences in the self-concept. first enter therapy, the discrepancy typically is
Percentages of personal identity and social/relational large, but it gets smaller as therapy proceeds,
self-attributes given by Japanese and American univer- suggesting that therapy may help the client to
sity students as key aspects of their self-concepts.
become more self-accepting and perhaps also
Source: Data from Cousins, S.D. (1989). “Culture and more realistic. Rogers and his colleagues also
Self-Perception in the United States and Japan,” Journal of
discovered important therapist characteristics
Personality and Social Psychology, 56, 124–131, Table 2
(adapted). Doi: 10.1037/0022-3514.56.1.124. Copyright ©
that either aid or impede the process of self-
1989 by the American Psychological Association. Reprinted actualization in therapy. This research will be
by permission of the author and the publisher. described in Chapter 17.
Personality 567
In Review
• Humanistic theories emphasize the subjec- • Carl Rogers’s theory attaches central importance
tive experiences of the individual and thus deal to the role of the self. Experiences that are incon-
with perceptual and cognitive processes. Self- gruous with the established self-concept produce
actualization is viewed as an innate positive threat and may result in a denial or distortion of
force that leads people to realize their positive reality. Conditional positive regard may result in
potential, if not thwarted by the environment. realistic conditions of worth that can conflict with
• George Kelley’s theory emphasizes the subjec- self-actualization. Rogers described a number of
tive experiences of the individual and how we characteristics of the fully functioning person.
make sense out of the world and find personal • Rogers’s theory helped to stimulate a great deal
meaning in it. He focused on the manner in of research on the self-concept, including studies
which people differ in their construction of reality on the origins and effects of differences in self-
by the personal constructs they use to catego- esteem, self-enhancement and self-verification
rize their experiences. motives, and cultural and gender contributions to
the self-concept.
Several recent developments have renewed Two major approaches have been taken to
define what Allport (1937) called “the building 18. In what
scientific interest in humanistic concepts. For
way is factor
example, work by Mark Baldwin of McGill blocks of personality.” One approach is to pro-
analysis based
University has contributed to our understand- pose traits (e.g., “dominance,” “friendliness,” or on correlation,
ing of the impact of implicit (nonconscious) “self-esteem”) on the basis of intuition or a the- and how is it
self-esteem (Sakellaropoulo & Baldwin, 2006) ory of personality. A more systematic approach used to identify
and the interactions between social threat, uses the statistical tool of factor analysis to personality
stress, and self-esteem (Dandeneau et al., 2007). identify clusters of specific behaviours that are traits?
Recent advances in measuring brain activity are correlated with one another so highly that they
enabling psychologists to study self-processes can be viewed as reflecting a basic dimension,
as they occur at the biological level, as we saw in or trait, on which people vary. For example, you
this chapter’s Focus on Neuroscience feature.). might find that most people who are socially
reserved also avoid parties, like quiet activities,
TRAIT AND BIOLOGICAL and enjoy being alone. At the other end of the
spectrum are people who are very talkative and
PERSPECTIVES sociable, like parties and excitement, dislike sol-
How do people differ in personality? The goals itary activities such as reading, and constantly
of trait theorists are to describe the basic classes seek out new acquaintances. These behavioural
of behaviour that define personality, to devise patterns define a general factor or dimension
ways of measuring individual differences in that we might label introversion-extraversion
personality traits, and to use these measures to (or simply extraversion). At one end of the
understand and predict a person’s behaviour. dimension are highly introverted behaviours,
The starting point for the trait researcher is and at the other end are highly extraverted
identifying the behaviours that define a particu- behaviours (Figure 14.10). Presumably, each
lar trait. But here we have an embarrassment of us could be placed at some point along this
of riches. Years ago, the trait theorist Gordon dimension in terms of our customary behaviour
Allport went through the English dictionary patterns. In fact, as we shall see, factor analytic
and painstakingly recorded all the words that studies have found introversion-extraversion to
could be used to describe personal traits. The be a major dimension of personality.
result was an imposing list of 17 953 words (All-
port & Odbert, 1936). Obviously, it would be
impractical if not impossible to describe people
Cattell’s Sixteen Personality
in terms of where they fall on each of nearly Factors
18 000 dimensions. The trait theorist’s goal is to If you were asked to describe and compare
condense all these behavioural descriptors into every person you know, how many different
a manageable number of basic traits that can traits would it take to do the job? It is in their
capture personal individuality. answers to this question that trait theorists
Introversion Extraversion
• Retiring Dimension • Outgoing and talkative

• Reserved (factor) • Wants many friends
• Likes solitary activities • Enjoys parties
• Does not attend parties • Dislikes solitary activities
• Dominates social situations
FIGURE 14.10 Factor analysis allows researchers to reduce many behaviours to a smaller number of basic
dimensions, or factors. A factor consists of behaviours that are highly correlated with one another and, therefore,
are assumed to have common psychological meaning. Here, we see the kinds of behaviours that might fall on the
two ends of the introversion-extraversion dimension. The two groups of behaviours are negatively correlated with
one another.
begin to part company. Because factor anal- able to develop personality profiles not only
ysis can be used and interpreted in different for individuals, but also for groups of people.
ways, trait theorists have cut up the personal- For example, Figure 14.11 compares average
ity pie into smaller or larger pieces. For exam- scores obtained by creative artists and Olym-
ple, the pioneering trait theorist Raymond B. pic athletes.
Cattell (1965, 1990) asked thousands of people
to rate themselves on numerous behavioural Eysenck’s Extraversion-Stability
characteristics and also obtained ratings from
people who knew the participants well. When
Model
he subjected this mass of data to factor analy- Among trait theorists, some, like Cattell, pro-
sis, he identified 16 basic behaviour clusters, posed a large number of basic traits. At the
or factors. These personality dimensions are other extreme was the British psychologist
shown in Figure 14.11. Using this information, Hans Eysenck (1916–1997), who proposed
Cattell developed a widely used personality surprisingly few basic traits (Figure 14.12a).
test called the 16 Personality Factor Question- In his original theory, Eysenck proposed only
naire (16PF) to measure individual differences two basic dimensions, although he later added
on each of the dimensions and provide a com- a third (Eysenck, 1967, 1991). Eysenck called
prehensive personality description. He was his original basic dimensions of personality
Factor
1. Reserved Artists Outgoing
2. Less intelligent Athletes More intelligent
3. Affected by feelings Emotionally stable
4. Submissive Dominant
5. Serious Happy-go-lucky
6. Expedient Conscientious
7. Timid Venturesome
8. Tough-minded Sensitive
9. Trusting Suspicious
10. Practical Imaginative
1 1. Forthright Shrewd
12. Self-assured Apprehensive
13. Conservative Experimenting
14. Group-dependent Self-sufficient
15. Uncontrolled Controlled
16. Relaxed Tense
1 2 3 4 5 6 7 8 9 10 11 12
Trait score
FIGURE 14.11 Cattell identified 16 basic personality traits through factor analysis. Here we see personality pro-
files (mean scores) for Olympic athletes and creative artists on the 16PF, the test developed by Cattell to measure
the traits.
Source: Based on data from Cattell, R.B. (1965). The scientific analysis of personality. Chicago, IL: Aldine.
Personality 569
stability and poise at the Stability end, to moodi-

ness, a tendency to worry excessively, eas-
ily provoked guilt feelings, and anxiety at the
Instability end.
Eysenck’s Extraversion-Stability model is
shown in Figure 14.12b. The two basic dimen-
sions, Extraversion-Introversion and Stability-
Instability, intersect at right angles, indicating
that these two dimensions are independent, or
uncorrelated. Thus, knowing how extraverted a
person is tells us nothing about her level of emo-
tional stability; she could fall anywhere along
the Stability-Instability continuum. The second-
ary traits shown around the periphery of the
circle reflect various combinations or mixtures
of the two primary dimensions. Thus, someone
(a) who scores high on emotional stability and high
on extraversion is a carefree, lively person who
Unstable tends to be well-adjusted and seek leadership
Moody Touchy roles. In contrast, someone who scores high on
Anxious Restless
Rigid Aggressive
instability (neuroticism) and high on extraver-
Sober Excitable sion tends to be touchy, aggressive, and rest-
Pessimistic Changeable less. With even subtle variations along one or
Reserved Impulsive both dimensions, different combinations of
Unsociable Optimistic these two basic dimensions can produce very
Quiet Active diverse personality patterns.
Introverted Extraverted Although Eysenck continued to emphasize
Passive Sociable these two “supertraits,” he added a third dimen-
Careful Outgoing sion to his theory of personality (Eysenck,
Thoughtful Talkative 1991, 1993). Eysenck called this third factor
Peaceful Responsive Psychoticism-Self Control. Unfortunately, the
Controlled Easygoing choice of the name Psychoticism evokes an
Reliable Lively
Even-tempered Carefree
image of pathology, but scoring high on this
Calm Leadership scale does not mean that someone is develop-
Stable ing some type of psychosis (Eysenck, 1993). By
Psychoticism, Eysenck meant someone who
(b)
was creative and had a tendency toward non-
FIGURE 14.12 According to Hans Eysenck (a), vari- conformity, impulsivity, and social deviance.
ous combinations of two major dimensions of person-
ality, Introversion-Extraversion and Stability-Instability,
combine to form the more specific traits shown in (b). The Five Factor Model
(a): © Randy J. Larsen, 1987.; (b): From H.J. Eysenck, The Other trait theorists argued that Cattell’s 16
Biological Basis of Personality, Figure 12, 1967. Courtesy of dimensions may be more than are needed and
Charles C Thomas, Publisher, Ltd., Springfield, Illinois.
that Eysenck’s two or three may be too few.
Their factor analytic studies suggest to them
Introversion-Extraversion and Stability-Insta- that five “higher-order” factors, each including
bility (which he first referred to as Stability- several of Cattell’s more specific factors, are all
Neuroticism). Eysenck argued that personality that are needed to capture the basic structure
within the normal range could be understood of personality (McCrae & Costa, 2003). These
with only these two basic dimensions. theorists also believe that these “Big Five” fac-
Extraversion reflects the tendency to be tors may be universal to the human species,
sociable, active, and willing to take risks; the since the same five factors have been found
Introversion end of the scale represents a ten- consistently in trait ratings within diverse North
dency toward social inhibition, passivity, and American, Asian, Hispanic, and European cul-
caution. The Stability-Instability dimension tures (e.g., Ispas, Iliescu, Ilie, & Johnson, 2014;
represents a continuum from high emotional John & Srivastava, 1999).
The Big Five factors are shown in Table 14.5, and Neuroticism—may help you remember
19. What does together with behaviours that express those them.) Two of the five factors, Extraversion and
OCEAN stand
traits. (The acronym OCEAN—for Openness, Neuroticism, overlap with Eysenck’s theory, and
for in the Five
Factor model? Conscientiousness, Extraversion, Agreeableness, two other factors, Conscientiousness and Agree-
ableness, are similar to Eysenck’s Psychoticism
TABLE 14.5 T
he Big Five Personality factor. Proponents of the Five Factor Model
Factors and Their Behaviours believe that when a person is placed at a spe-
(Facets) cific point on each of these five dimensions by
Big Five Factors Behaviours (Facets) means of a psychological test, behaviour ratings,
Openness Ideas (curious)
or direct observations of behaviour, the essence
of his or her personality is captured (McCrae &
Fantasy (imaginative)
Costa, 2008).
Aesthetics (artistic) What do you think about that conclusion?
Feelings (excitable) Your reaction may be one of skepticism, since
Values (unconventional) it seems that there must be more to individual-
Conscientiousness Competence (efficient) ity than can be captured by only five dimen-
Order (organized) sions. However, we should remember that, as
discussed in Chapter 5, the incredible num-
Dutifulness (not careless)
ber of colours that humans can discriminate
Achievement striving is based on the activity patterns of only three
(thorough)
types of cones. Thus, the many variations that
Self-discipline (not lazy) can occur from the blending of five personal-
Deliberation (not ity dimensions could account for enormous
impulsive) variation in the pattern of people’s behavioural
Extraversion Gregariousness tendencies.
(sociable)
Assertiveness (forceful)
Activity (energetic) Traits and Behaviour Prediction
Excitement-seeking Trait theorists try not only to describe the basic
(adventurous) structure of personality, but also to predict real-
Positive emotions/ life behaviour on the basis of a person’s traits.
cheerfulness Even if a limited number of general traits such
(enthusiastic) as the Big Five seem adequate to describe
Warmth (outgoing) important features of personality, it is entirely
Agreeableness Trust (forgiving) possible that a larger number of specific traits
Straightforwardness (not such as Cattell’s would be more likely to capture
demanding) nuances of behaviour within particular situa-
Altruism (warm)
tions and therefore would be better for predic-
tive purposes.
20. What are Compliance (not
the predictive Measurements of the Big Five factors and
stubborn)
advantages of real-life behavioural outcomes seldom show cor-
Modesty (not a show-off)
(a) broad general relations beyond 0.20 to 0.30 (e.g., Paunonen,
Tender-mindedness 2003). In recognition of these findings, the Big
traits and (b)
(sympathetic)
narrow, specific Five Model now includes six subcategories
ones? What’s Neuroticism Anxiety (tense) or facets under each of the five major factors
the research Angry hostility (irritable) (Table 14.5). The most important personality test
evidence? Depression (not to measure the Big Five is the NEO Personality
contented) Inventory (NEO-PI). The NEO-PI now provides
Self-consciousness (shy) scores on each of the facets as well as the cor-
Impulsiveness (moody) responding major factor. These more-specific
dimensions allow for more-accurate behavioural
Vulnerability (not self-
confident) predictions (McCrae & Costa, 2008). For exam-
ple, the Positive Emotions/Cheerfulness facet of
Source: Based on McCrae, R.R., and Costa, P.T., Personality
Extraversion is more highly related to life satis-
in Adulthood: A Five-Factor Theory Perspective. 2003, 2008,
New York: Guilford Press. Reprinted by permission of Guilford faction than is the total Extraversion score that
Publications, Inc. includes all six facets (Schimmack et al., 2004).
Personality 571
Research has found a powerful association brains of extreme extraverts are chronically
between the Big Five personality traits and underaroused, so they need powerful or fre-
health, with different personality traits associ- quent stimulation to achieve an optimal level of
ated with an increased or decreased risk of a cortical arousal and excitation. The extravert
number of serious health problems (Hampson, thus seeks social contact and physical arousal,
2012). For example, Weston, Hill, and Jackson likes parties, takes chances, is assertive, and
(2015) found that high levels of Conscientious- readily suffers from boredom.
ness lowered the risk of stroke, high blood Whereas Introversion-Extraversion reflects 21. In Eysenck’s
pressure, diabetes, and arthritis; Openness was a person’s customary level of cortical arousal, theory, what are
protective against stroke, heart disease, high Stability-Instability represents the suddenness the biological
blood pressure, and arthritis; while Neuroticism with which shifts in autonomic nervous system bases for
increased the risk of developing heart disease, arousal occur. Unstable people have hair-trigger individual
lung disease, high blood pressure, and arthri- nervous systems that show large and sudden differences in
tis. While personality traits clearly are risk or shifts in arousal, whereas stable people show Extraversion and
protective factors for a range of diseases, the smaller and more gradual shifts (Pickering & Stability?
mechanisms involved are not well understood. Gray, 1999). Eysenck also called this stability
The expectation is that different personality dimension Neuroticism because he found that
traits influence health by influencing lifestyle people with extremely unstable nervous sys-
choices and specific behaviours, such as com- tems are more likely to experience emotional
munication with health care professionals, and problems that require clinical attention.
these behaviours then have an impact on health Eysenck believed that the arousal patterns
(Hampson, 2012; Weston et al., 2015). that underlie Introversion-Extraversion and
Stability-Instability have genetic bases. As we
learned in Chapter 4, a growing body of evi-
Biological Foundations dence supports his view. Eysenck believed that,
of Personality Traits although personality is strongly influenced by
Both nature and nurture influence the develop- life experiences, the ways people respond to
ment of personality traits, but their contribu- those experiences may be at least partly pro-
tions differ depending on the trait in question grammed by biological factors.
(Plomin & Caspi, 1999). Biological explanations Other personality researchers continue to
for personality differences focus on three levels. link personality traits to biological founda-
Some researchers search for differences in the tions. For example, DeYoung (2013) has linked
functioning of the nervous system (Pickering & the neurotransmitter dopamine to both Extra-
Gray, 1999). As discussed in Chapter 4, version and Openness. Other researchers are
there is evidence that genes make an important exploring associations between brain activa-
contribution to personality (e.g., Munafo, 2009). tion, assessed using fMRI, and the Big Five per-
Some psychologists have also used evolution- sonality traits (e.g., Ikeda et al., 2014).
ary principles to explain why these traits exist
among humans (Buss, 1999; and see Chapter 4).
In considering the biological perspective for The Stability of Personality Traits
personality, keep in mind the role of behaviour Personality traits are defined as enduring behav-
genetics and the evolutionary explanations that ioural predispositions—they should thus show
we explored earlier. some degree of stability over time and across
Hans Eysenck (1967) was one of the first situations. As far as stability over time is con-
modern theorists to suggest a biological basis cerned, the research literature shows evidence
for major personality traits. He linked Intro- of both stability and change (Caspi & Roberts,
version-Extraversion and Stability-Instability 1999; Roberts et al., 2008). Some personality
to differences in individuals’ normal patterns dimensions tend to be more stable than others.
of arousal within the brain. He started with the For example, introversion-extraversion, as well
notion that there is an optimal, or preferred, as temperamental traits such as emotionality
level of biological arousal in the brain. Eysenck and activity level, tend to be quite stable from
believed that extreme introverts are chroni- childhood into adulthood and across the adult
cally overaroused; their brains are too electri- years (Eysenck, 1990; Zuckerman, 2005).
cally active, so they try to minimize stimulation Certain habits of thought may also be fairly
and reduce arousal to get down to their optimal stable. One is our tendency to think optimisti-
arousal level, or “comfort zone.” In contrast, the cally or pessimistically. Melanie Burns and
TABLE 14.6 S
ample Items from a Trait Three factors make it difficult to predict on
Measure of Optimism- the basis of personality traits how people will
Pessimism* behave in particular situations. First, person-
1. In uncertain times, I usually expect the best. ality traits interact with other traits as well
as with characteristics of different situations.
2. Overall, I expect more good things to happen
to me than bad. This melding accounts for the incredible rich-
ness we see in personality, but it also poses a
3. If something can go wrong for me, it will.
challenge to psychologists who want to pre-
4. I rarely count on good things happening to me.
dict behaviour. When two or more traits, such
*Items on the Life Orientation Test are answered on a 5-point as honesty, dominance, and agreeableness,
scale ranging from strongly disagree to strongly agree. influence a behaviour in a particular situation,
Source: M.F. Scheier, C.S. Carver & M.W. Bridges, 1994, our ability to predict on the basis of only one
Distinguishing Optimism from Neuroticism (and Trait of the traits is bound to be limited (Ahadi &
Anxiety, Self-Mastery, and Self-Esteem): A Reevaluation
Diener, 1989).
of the Life Orientation Test, Journal of Personality and
Social Psychology, 67, 1073, Table 6. Copyright © 1994 Second, the degree of consistency across sit-
by the American Psychological Association. Reprinted by uations is influenced by how important a given
permission of the author and the publisher. trait is for the person. A person for whom hon-
esty is a central component of the self-concept
Martin Seligman (1989) coded diaries and let- may show considerable stability across situa-
ters that elderly people had written approxi- tions in honest behaviours because feelings of
mately 50 years earlier for the tendency to self-worth may be linked to living up to moral
respond either optimistically or pessimistically standards regardless of the circumstances
to life events. The elderly people also completed (Kenrick & Funder, 1991).
a questionnaire that measured their current Third, people differ in their tendency to tai-
optimistic-pessimistic tendencies. Although lit- lor their behaviour to what is called for by the
tle consistency over time was shown for dealing situation. This personality trait is called self-
optimistically or pessimistically with positive monitoring (Table 14.7). People who are high
events, Burns and Seligman found a stable ten- in self-monitoring are very attentive to situ-
dency to respond with optimism or pessimism ational cues and adapt their behaviour to what
to negative life events. The authors suggested they think would be most appropriate. On the
that this tendency to be pessimistic might con- one hand, extreme self-monitors resemble
stitute an enduring risk factor for depression, behavioural chameleons who act very differ-
low achievement, and physical illness, and they ently in different situations. Low self-monitors,
are presently studying such linkages. Table 14.6 on the other hand, tend to act primarily in terms
contains items from the Life Orientation Test of their internal beliefs and attitudes rather than
(Scheier & Carver, 1985) used by personality the demands of the situation. The saying “What
researchers to measure the disposition to be you see is what you get” applies well to low
optimistic or pessimistic.
22. How does When it comes to stability of behaviour
research across situations, personality again shows TABLE 14.7 S
ample Items from the Self-
evidence bear on both a degree of stability and some capacity Monitoring Scale*
the assumption for change (Mischel & Shoda, 1999). Because 1. In different situations and with different
of stability behaviour always results from a person inter- people, I often act like very different
across time acting with a situation, we would be foolish to persons.
and across expect people to behave in the same manner 2. I am not always the person I appear to be.
situations? from situation to situation. Even on a trait as 3. I have trouble changing my behaviour to suit
central as honesty, people can show consider- different people and different situations.
23. What three able behavioural variability across situations. 4. I would not change my opinion (or the way I
factors make In a classic paper, Walter Mischel (1984) found do things) in order to please someone or win
it difficult to
that among university students the trait consci- their favour.
predict behaviour
on the basis entiousness varied across situations. A student
*Items 1 and 2 are keyed true and items 3 and 4 false for
of individual might be highly conscientious in one situation self-monitoring.
personality (e.g., coming to work on time) without being Source: Based on Snyder, M. (1987). Public appearances/
traits? conscientious in another (turning in class private realities: The psychology of self-monitoring. New
assignments on time). York, NY: W.H. Freeman.
Personality 573
self-monitors, and such people show greater behaviour with a trait name, not to explain the
consistency across situations than do high self- inner disposition and how it operates. Tradi-
monitors (Snyder, 1987). tionally, the trait perspective has been more
According to some trait theorists, the stabil- concerned with describing the structure of
ity and distinctiveness that we see in personality personality, measuring individual differences
do not come from the fact that we behave the in personality traits, and predicting behaviour
same way in every situation. Rather, they result than with understanding the psychological
from our exhibiting an average amount of extra- processes that produce the traits (McAdams,
version, emotional stability, agreeableness, 1992). Eysenck’s theory of brain arousal is a
honesty, and other traits across many differ- notable exception, since it attempts to explain
ent situations (Epstein, 1983; Kenrick & Funder, the biological bases for behavioural differ-
1988). Nonetheless, if they wish to understand ences produced by extraversion and stabil-
more about these interactions among personality. Research linking variations in personality
ity traits, situations, and behaviour, personality traits to differences in brain structure and
researchers need to define the relevant char- function continues and is adding to our knowl-
acteristics of both the person and the situation edge of personality traits (e.g., De Young, 2013;
(Shoda & Mischel, 2000). Karimizadeh et al., 2015).
Evaluating the Trait Approach SOCIAL COGNITIVE

Despite differences of opinion concerning the
nature and number of basic personality dimen-
THEORIES
sions, trait theorists have made an important The psychology of learning has great relevance
contribution by focusing attention on the value for understanding personality. Many behav-
of identifying, classifying, and measuring sta- iours ascribed to personality are acquired
ble, enduring personality dispositions. Several through classical conditioning, operant con-
challenges confront trait theorists, however. ditioning, and modelling (Bandura, 1999b).
More attention must be paid to how traits inter- However, the learner is not simply a passive
act with one another to affect various behav- reactor to environmental forces. Instead, as
iours if we are to capture the true complexity of the cognitive perspective tells us, the human 24. How does
personality (Ahadi & Diener, 1989; Choca et al., is a perceiver, thinker, and planner who men- the distinction
1992; Smith et al., 1990). tally interprets events, thinks about the past, between
explaining
In evaluating the trait perspective, we must anticipates the future, and decides how to
behaviour and
remember the distinction between descrip- behave. Whatever effects the environment has describing
tion and explanation. To say that someone is are filtered through these cognitive processes behaviour apply
outgoing and fun-loving because she is high and are influenced—even changed—by them. to trait theory?
in extraversion is merely to describe the Social cognitive theorists such as Julian
In Review
• Trait theorists try to identify and measure the over time. Individuals differ in their self-monitor-
basic dimensions of personality. They disagree ing tendencies, and this variable influences the
about the number of traits needed to ade- amount of cross-situational consistency they
quately describe personality. Cattell suggested exhibit in social situations. Traits interact not
16 basic traits; other theorists insist that as only with situations but also with one another,
few as five may be adequate. Eysenck posits thereby producing inconsistency.
three major dimensions, including extraversion • Biological perspectives on traits focus on differ-
and stability. Prediction studies indicate that ences in the nervous system, the contribution of
a larger number of more-specific traits may be genetic factors, and the possible role of evolu-
superior for prediction of behaviour in specific tion in the development of universal human traits
situations. and ways of perceiving behaviour. Introversion-
• Traits have not proved to be highly consistent Extraversion, for example, has been linked to a
across situations, and they also vary in stability person’s level of brain arousal.
Rotter (1954, 1966), Albert Bandura (1986, Julian Rotter: Expectancy,

1999a), and Walter Mischel (1973, 1999) have
combined the behavioural and cognitive per-
Reinforcement Value,
spectives into an approach to personality that and Locus of Control
stresses the interaction of a thinking human In 1954, Julian Rotter (whose name is pro-
25. How does with a social environment that provides learn- nounced so it would rhyme with “motor”) laid
reciprocal ing experiences. the foundation for today’s social cognitive
determinism To understand behaviour, psychodynamic, approaches. According to Rotter, the likelihood
apply to an humanistic, and trait theorists emphasize that we will engage in a particular behaviour in
individual’s internal, personal causes of behaviour, such a given situation is influenced by two factors:
personality as unconscious conflicts, self-actualization expectancy and reinforcement value. Expec-
pattern? Specify tendencies, and personality traits. In a sense, tancy is our perception of how likely it is that
the two-way they account for behaviour from “the inside certain consequences will occur if we engage
causal links.
out.” In contrast, radical behaviourists empha- in a particular behaviour within a specific situ-
size environmental causes and view humans ation. Reinforcement value is basically how
26. Define
as reactors to external events (Parker et al., much we desire or dread the outcome that we
Rotter’s
concepts of 1998). To them, behaviour is to be explained expect the behaviour to produce. Thus, a stu-
expectancy and from “the outside in.” Social-cognitive theorists dent who strongly values academic success and
reinforcement take an intermediate position, focusing on both expects that studying will result in high grades
value and internal and external factors. They believe is quite likely to study. Note that this approach
explain how they that the debate about whether behaviour is makes use of reinforcement, a central behav-
jointly influence more strongly influenced by personal factors iourist concept, but views its effects within a
behaviour. or by the person’s environment is basically cognitive framework that emphasizes how we
a meaningless one (Fleeson, 2004; Smith & think about our behaviour and its expected
27. Describe Shoda, 2009). Instead, according to the social outcomes.
Rotter’s concept cognitive principle of reciprocal determin-
of locus of Locus of Control
ism (Bandura, 1978), the person, the person’s
control and
behaviour, and the environment all influence One of Rotter’s most influential concepts
how it affects
behaviour. one another in a pattern of two-way causal is internal-external locus of control, an
links (Figure 14.13). expectancy concerning the degree of personal
Reciprocal Determinism
Environment Person
• Stimuli from social or • Personality characteristics

physical environment • Cognitive processes
• Reinforcement • Self-regulation skills
contingencies
Behaviour
• Type
• Frequency
• Intensity
FIGURE 14.13 The social cognitive concept of reciprocal determinism states that the characteristics of the
person, the person’s behaviour, and the environment all affect one another in reciprocal, or two-way, causal
relations.
Personality 575
control we have in our lives. People with an TABLE 14.8 S

ample Items from Rotter’s
internal locus of control believe that life out- Internal-External Scale*
comes are largely under personal control and
Choose statement a or b.
depend on their own behaviour (Figure 14.14).
1a. Many times I feel that I have little influence
In contrast, people with an external locus of
over the things that happen to me.
control believe that their fate has less to do
1b. It is impossible for me to believe that chance
with their own efforts than with the influence
or luck plays an important part in my life.
of external factors, such as luck, chance, and
2a. The average citizen can have an influence in
powerful others. Table 14.8 contains items from
government decisions.
Rotter’s (1966) Internal-External (I-E) Scale,
2b. The world is run by the few people in power
used to measure individual differences in locus
and there isn’t much the little guy can do
of control. about it.
Locus of control is a highly researched per-
3a. In the long run, people get the respect they
sonality variable (Steptoe & Wardle, 2001). Quite deserve in this world.
consistently, people with an internal locus of
3b. Unfortunately, an individual’s worth often
control behave in a more self-determined fash- passes unrecognized, no matter how hard
ion (Burger, 2000). Internal university students one tries.
achieve better grades than do external students
of equal academic ability, probably because *1b, 2a, and 3a are the internal alternatives.
they link their studying to degree of success Source: Adapted from Rotter, Julian B. (1966), Generalized
and work harder. Internals are more likely to expectancies for internal versus external control of
reinforcement, Psychological Monographs: General &
actively seek out the information needed to suc- Applied, 80(1), No. 609, 1–28. Table 1, pp. 11–12.
ceed in a given situation (Ingold, 1989). Inter- Copyright © 1966 by the American Psychological
personally, internals tend to be independent but Association. Adapted with permission of the author and
the publisher. No further reproduction or distribution is
cooperative in their dealings with others and
permitted without written permission from the American
are more resistant to social influence, whereas Psychological Association.
externals tend to give in to high-status people
whom they see as powerful others. Internals are
more likely than externals to engage in health- Internal locus of control is positively related
promoting behaviours, such as exercising reg- to self-esteem and feelings of personal effec-
ularly, maintaining a healthy diet, using seat tiveness, and internals tend to cope with stress
belts, and abstaining from smoking (Steptoe & in a more active and problem-focused man-
Wardle, 2001; Wallston, 1993). ner than do externals (Jennings, 1990). They
are also less likely to experience psychologi-
cal maladjustment in the form of depression
or anxiety (Hoffart & Martinson, 1991). Locus
of control is called a generalized expectancy
because it is thought to apply across many life
domains.
Albert Bandura: The Social

Cognitive Perspective
and Self-Efficacy
Albert Bandura has made major contribu-
tions to the development of the social cogni-
tive approach. His early studies of modelling,
described in Chapter 7, helped to meld the
psychology of learning with the cognitive per-
spective. Bandura’s social learning analyses of
aggression, moral behaviour, and behavioural
self-control demonstrated the wide applicability
Geoff Howe/The Canadian Press of the social cognitive approach (Bandura, 1973,
FIGURE 14.14 Research shows that people with an 1988, 1991). His concept of human agency is
internal locus of control are more likely to take an active central to the social cognitive perspective (see
role in social change movements. this chapter’s Research Foundations feature).
Research
Foundations
ALBERT BANDURA, HUMAN AGENCY, Bandura laid much of the foundation of the social cogni-
AND THE SOCIAL COGNITIVE tive perspective, and his research and theories about human
PERSPECTIVE agency, self-efficacy, observational learning (see Chapter 7),
and reciprocal determinism continue to be widely influen-
Introduction tial. Bandura began his career when behaviourism was the
Albert Bandura’s research and theory has been critical in dominant perspective in psychology. He argued, however,
establishing, popularizing, and expanding the social cogni- that our behaviour is not controlled simply by stimuli in
tive perspective in psychology. His research is known as our environment and the immediate consequences of our
rigorous and creative, his theoretical writing as clear, care- behaviour. Bandura wrote, “If actions were performed only
fully argued, and based on a solid empirical foundation. on behalf of anticipated external rewards and punishments,
Albert Bandura (Figure 14.15) is widely considered one of people would behave like weather vanes, constantly shift-
the most influential of all psychologists and was selected ing direction to conform to whatever influence happened to
as the most influential psychologist of the modern era by impinge upon them at the moment” (2001, p. 7).
the American Psychological Association. These are lofty In a classic study that laid some of the early foundation
heights for someone born in the small northern Alberta for Bandura’s agentic perspective (and was important for his
town of Mundare (population 715). Bandura received his work on observational learning), Bandura and Carol Kupers
undergraduate degree from the University of British Colum- tested seven- to nine-year-old children in a bowling game
bia and his graduate training at the University of Iowa. In (Bandura & Kupers, 1964).
1953, he joined the faculty of Stanford University in Califor-
nia and he has spent his academic career there. Method
Children, seven to nine years of age, played a bowling
game. They were told that they could reward themselves
with candy (M&Ms) for their performance, and it was left
to the child to decide when and how much candy he or she
should receive. Before their turn at the bowling game, some
of the children watched an adult or another nine-year-old
bowl and reward themselves verbally and with candy for
their performance. The models differed in the standard that
they used to determine if they should reward themselves
or not. Some children watched a model who made posi-
tive statements about self and took candy only when they
scored 20 points or more out of a possible 30 points. Other
children saw a model take candy as a reward for scores
as low as 10 points. The children were then allowed to
bowl and reward themselves when they thought it appropri-
ate. Scoring of the bowling game was fixed so that all the
children achieved the same pattern of scores across the
different bowling attempts. A final group of children were
assigned to a control condition; they bowled and rewarded
themselves without the experience of first watching a
model.
Results
If the children saw an adult or peer model, the criteria used
by the model had a powerful impact on the child’s own cri-
teria for self-reinforcement (Figure 14.16). Children who
© Linda A. Cicero/Stanford News Service
saw a model with a high performance standard themselves
FIGURE 14.15 The research and theories of Albert Bandura adopted a more stringent performance criterion for self-
have been instrumental in establishing the social cognitive per- reinforcement than did the children who watched a model with
spective in psychology. a low standard. Children in the control condition took candy
continued
Personality 577
100 challenge and followed this success with a night off from
Control, no model working, buying ourselves a treat, or some other act of
Percent of self-reinforced trials
80
Low criterion model self-reinforcement.
High criterion model We have also had the experience of not meeting our
performance standard and so not self-reinforcing. Indeed
60 when we fail to meet our own self-imposed standards we
may engage in some self-punitive behaviour such as neg-
40 ative verbal comments about self or denying ourselves
an activity (“I didn’t do well enough on that test to allow
myself a camping trip/shopping trip/movie night/party this
20
weekend”).
Children not only adopt performance criteria that they
0 have seen modelled, but models can also influence a par-
5 10–15 20–30
ticularly difficult decision: forgoing a reward that is avail-
Performance scores able now for a larger reward that will be available at some
time in the future. Bandura and Walter Mischel, his col-
FIGURE 14.16 Percentage of trials in which children took candy
as a reward for their performance in a bowling game. Children who
league at Stanford, found that children would sacrifice
previously watched a model with a high criterion for self-reinforce- a small but immediately available reward in favour of a
ment rewarded themselves only for similarly high levels of perfor- delayed but more valuable reward if they saw a model
mance (highest score obtained was 30 points). Children who had behave in this way (Bandura & Mischel, 1965). That is,
watched a model with a lower criterion for self-reward reinforced behaviour was controlled not by the immediacy of a reward
themselves for lower levels of performance. in front of the child but by the behaviour they saw mod-
Source: Adapted from Bandura, A., & Kupers, C.J. (1964). Transmission of elled by others, even when that meant delaying reward to
patterns of self-reinforcement through modeling. Journal of Abnormal and a future time. These early studies of the social origins of a
Social Psychology, 69, 1–9. child’s self-motivation and self-regulation provided new and
experimentally testable alternatives to older conditioning
explanations, to explanations based on the subconscious,
independently of their performance in the bowling game. and to personality trait theories. If a child is going to adopt
Based on these findings, Bandura and Kupers argued that specific performance criteria, even when doing so means
although externally applied reinforcements are clearly less reward, and is willing to sacrifice an immediate reward
important, self-administered reinforcement and punishment for a better reward sometime in the future, that child is
may be particularly important in governing behaviour. In acting in accordance with the concept of human agency as
the bowling experiment, children could set any criteria they outlined.
wanted, but they adopted a criterion that they had observed
and applied it to their own behaviour, even if doing so meant
that they received less candy. Design
Question: Will children adopt the performance
Discussion
criteria they see modelled, even if it means
Bandura and Kupers wrote, obtaining less reward?
. . . people typically make self-reinforcement contin- Type of Study: Experimental
gent on their performing certain classes of responses
which they have come to value as an index of per- Independent Variables
sonal merit. They often set themselves relatively Type of model child
explicit criteria of achievement, failure to meet which watched, three levels Dependent Variable
is considered undeserving of self-reward and may • low performance Number of trials on
criteria (self- which the child self-
elicit self-denial or even self-punitive responses; on
reinforcement for a reinforced
the other hand, they tend to reward themselves gen- low score)
erously on those occasions when they attain their • high performance
self-imposed standards. (1964, p. 1) criteria (self-
reinforcement for a
If you think about this, we are sure that you can iden- high score)
tify examples from your own life. All of us have had occa- • no model (control)
sions when we met our goal on a test, an exam, or another
A concept central to Bandura’s work, and to Bandura has argued that much of our behav-
28. What does social cognitive theory, is the idea of human iour, and especially our social behaviour, is
Bandura mean
agency, the idea that humans are active agents guided by the process of human agency, not by
by human
agency? What in their own lives. Bandura argued that we are the learning phenomenon explored by Pavlov,
are the four not just at the mercy of the environment— Watson, and Skinner, not by the repressed urges
components of we make plans and set goals, and then we of a Freudian subconscious, and not by person-
human agency? behave in ways that help us reach our goals. We ality type or trait. We plan, act with intention,
are self-reflective and self-regulatory. Human anticipate outcomes, set goals, actively choose
agency is a process, not a trait or a character- behaviours, and regulate our own actions. How
istic, and includes four aspects: intentionality, we engage in these processes is set in part by
forethought, self-reactiveness, and self-reflec- our learning history, including past models, and
tiveness. By intentionality, Bandura meant that by our reciprocal interactions with others in our
we plan, modify our plans, and act with inten- environment.
tion. We also show forethought; we anticipate
outcomes, set goals, and actively choose behav- Self-Efficacy
29. Define self-
efficacy. What iours relevant to those goals. Self-reactiveness According to Bandura (1997), a key factor in the
four sources refers to the process of motivating and regulat- way people regulate their lives is their sense of
of information ing our own actions, the processes that we use self-efficacy, their beliefs concerning their abil-
influence when we modify our goals, monitor our prog- ity to perform the behaviours needed to achieve
efficacy beliefs? ress toward those goals, and, when necessary, desired outcomes. People whose self-efficacy is
change strategies. With self-reflectiveness, we high have confidence in their ability to do what
think about and evaluate our own motivations, it takes to overcome obstacles and achieve their
values, and goals (Bandura, 2001). goals (see this chapter’s Applications feature).
Applications
INCREASING SELF-EFFICACY THROUGH certain kinds of goals encourage us to work harder,

SYSTEMATIC GOAL SETTING enjoy success, and increase self-efficacy.
Specific and fairly narrow goals have been shown to be far
Positive self-efficacy beliefs are consistently related to suc- more effective than general “do your best” goals (Locke &
cess in behaving effectively and achieving goals. This has led Latham, 2002). A goal such as “improving my tennis
Bandura and other social cognitive theorists to have a strong game” is less likely to be helpful than “increasing the
interest in practical measures for enhancing self-efficacy. percentage of serves I put in play by 20 percent.” The
When people are successful and when they attribute their latter goal refers to a specific behaviour that you can
success to their own competencies (internal locus of control), focus on and measure.
their self-efficacy increases and assists them in subsequent One of the most important aspects of goal setting
goal-directed efforts (Maddux, 1999). Moreover, successful is systematically measuring progress toward the goal.
people usually have mastered the skills involved in setting The importance of this aspect was shown in a study
challenging and realistic goals, figuring out what they need by Bandura and Daniel Cervone (1983) in which par-
to do on a day-by-day basis to achieve them and making the ticipants worked on a strenuous bicycle-pedalling task
commitment to do what is required. As they achieve each over a number of trials. Two independent variables were
goal they have set, they become more skilful and increase manipulated: (a) whether the participants were given
their sense of personal efficacy (Bandura, 1997). specific improvement goals, and (b) whether the partici-
Not all goal-setting procedures are created equal, and it pants were given feedback about their performance on
is important to apply research-based principles that make the previous trial. A control condition got neither goals
goal-setting programs most effective (Locke & Latham, nor feedback and provided a basis for evaluating the
2002). Here are some research-derived guidelines for effec- effects of goals and feedback, alone or in combination.
tive goal setting: The dependent variable was the speed and power with
1. Set specific, behavioural, and measurable goals. The which the participants pedalled.
first step in changing some aspect of your life is to set a As shown in Figure 14.17, simply having goals was
goal. The kind of goal you set is very important, because not enough, nor was feedback effective by itself. The
continued
Personality 579
60 constant feedback. Many people focus on outcome goals

Percentage increase in performance
and forget what has to be done on a day-to-day basis

50 to achieve them. It has been said that there are three
kinds of people in this world: those who make things hap-
40 pen, those who wait for things to happen, and those who
wonder what happened. Make sure you’re someone who
30 makes things happen.
3. Set difficult but realistic goals. Moderately difficult
20 goals challenge and motivate us and give us a sense of
hope. When reached, they increase self-efficacy. Easy
10 goals do not provide a sense of accomplishment, and
extremely difficult goals do not provide the success
0 experiences you need to increase self-efficacy.
Control Feedback Goals Goals plus
(no goals or only only feedback 4. Set positive, not negative, goals. Chapter 7 discussed
feedback) the advantages of positive reinforcement over punish-
ment. Working toward positive goals, such as “getting a
FIGURE 14.17 The effects of improvement goals and performance B,” is better than avoiding a negative consequence, as in
feedback on performance improvement on a grueling bicycling task. “not flunking.” Again, positive goals keep you focused on
Clearly, the combination of explicit goals and performance feedback
the positive steps that you need to take to achieve them.
resulted in the greatest improvement in performance.
5. Set short-range as well as long-term goals. Short-range
Source: Data from Bandura, A., & Cervone, D. (1983) Self-evaluative
and self-efficacy mechanisms governing the motivational effects of goals are important because they provide the opportu-
goal systems. Journal of Personality and Social Psychology, 45(5), Nov nity for immediate mastery experiences, and they keep
1983, 1017–1028. Copyright © 1983 by the American Psychological you working positively. A long-term goal such as “gradu-
Association. Reproduced with permission. The use of APA information ating with honours” can easily be broken into a series
does not imply endorsement by APA. of subgoals that you can be working toward right now.
Short-term goals are like the steps on a staircase lead-
participants who had both goals and feedback showed ing to the long-term goal. As they are accomplished, they
by far the greatest improvement. This result shows how not only provide mastery experiences, but also lead you
important it is to find a way to measure your progress toward your ultimate goal. In reaching any goal, “divide
toward the goal so that you get performance feedback and conquer” is a cliché that works.
and can see your improvement. Visible movement toward 6. Set definite time spans for achievement. It is said that
realistic goals builds self-efficacy. the road to hell is paved with good intentions. To keep a
goal-setting program on track, it is important to specify
2. Set performance, not outcome, goals. Many of our goals
the dates by which specific performance goals or sub-
relate to outcomes in the future, such as “getting an A in
goals will be met, together with the behaviours needed
this course.” You are more likely to achieve such goals if
to attain them in that time span.
you use the means-ends heuristic discussed in Chapter 9
and think about the specific things you must do to achieve Goal setting is a motivational technique that has resulted
that outcome goal. Performance goals (what one has to in remarkable improvement in productivity in many work,
do) work better than outcome goals because they keep social, and academic settings (Locke & Latham, 2002).
the focus on the necessary behaviours. A performance Moreover, for purposes of increasing self-efficacy, it has
goal might be “read the book and outline the lecture notes the added advantage of providing the repeated mastery
for one hour each day.” Achieving this performance goal experiences that are the most powerful sources of efficacy
can also be measured quickly and repeatedly, giving you information.
A good deal of research has been done on the mastered the martial arts and emotional con-
factors that create differences in self-efficacy trol skills taught in a physical self-defence train-
(Figure 14.18). Four important determinants ing program showed dramatic increases in their
have been identified (Bandura, 1997; Maddux, belief that they could escape from or disable
1999). The most important is our previous per- a potential assailant or rapist (Weitlauf et al.,
formance attainments in similar situations. Such 2000). Bandura stresses that self-efficacy beliefs
experiences shape our beliefs about our capa- are always specific to particular situations.
bilities. For example, as shown in Figure 14.19, Thus, we may have high self-efficacy in some
university women who felt that they had situations and low self-efficacy in others. For
Performance Observational
experiences learning
Previous success and Observation of the

failure experiences behaviours and
on similar tasks consequences to similar
models in similar situations
Self-Efficacy
Beliefs
Verbal Emotional
persuasion arousal
Encouraging or Arousal that can be

discouraging messages interpreted as
received from others enthusiasm or anxiety
FIGURE 14.18 Four classes of information that affect self-efficacy beliefs.

Source: Based on Bandura, A. (1997). Self-efficacy: The exercise of control. New York, NY: W.H. Freeman.
example, the women who mastered the physical powerful such expectations can be comes from
self-defence skills did not feel more generally the world of sports. At one time, physiologists
capable in all areas of their lives, despite their insisted that it was physically impossible for a
enhanced self-defence efficacy. human being to run a mile in less than four min-
A second source of information comes from utes, and no one in the history of track and field
observational learning—that is, observing had ever done it. When the Englishman Roger
others’ behaviours and their outcomes. If you Bannister broke the four-minute barrier in 1954,
observe a person similar to yourself accomplish that limiting belief was shattered. The impact
a particular goal, then you are likely to believe on other runners’ performance was immediate
that if you perform those same behaviours, you and dramatic. In the year following Bannister’s
will also succeed. A striking example of how accomplishment, 37 other runners broke the
60
Trained women
Untrained controls
50
Self-defence efficacy
40
30
20
10
0
Before After 6-month
training training follow-up
(a) (b)
FIGURE 14.19 Physical self-defence training (a) has dramatic effects on women’s self-efficacy to perform the behaviours
needed to defend themselves. (b) The physical defence self-efficacy scores in this study could extend from 6 to 60.
(a): © William Thomas Cain/Getty Images; (b): Based on data from Weitlauf, J., Smith, R.E., & Cervone, D. (2000). Generalization
effects of coping skills training: Influences of self-defense training on women’s efficacy beliefs, assertiveness, and aggression.
Journal of Applied Psychology, 85, 625–633.
Personality 581
barrier, and the year after that, nearly 300 run- the consistency was much less than expected.
ners did the “impossible.” Apparently, a great A student may be highly conscientious in one
many people came to believe that “if he can do situation without being conscientious in another
it, so can I.” situation. Other studies revealed similar incon-
Third, self-efficacy can be increased or sistencies in behaviour. So although we expect
decreased by verbal persuasion. The mes- and perceive a high level of consistency in peo-
sages we get from other people who affirm ple’s behaviour, the actual level of consistency
our abilities or downgrade them affect our effi- is surprisingly low. This has been referred to as
cacy beliefs. Thus, inspirational teachers who the consistency paradox. For some, this lack of
convey high standards and a “you can do it” consistency called the very idea of personality
conviction can inspire their students to great traits into question. One reaction was the argu-
accomplishments. ment that if personality traits were so unimport-
Finally, high emotional arousal that is inter- ant, perhaps only the situation mattered and we
preted as anxiety or fatigue tends to decrease might not even need a concept of personality to
self-efficacy. Then again, if we find ourselves account for behaviour (Mischel & Shoda, 1998,
able to control negative arousal, it may enhance 1999). Mischel argued, however, that both per-
efficacy beliefs and subsequent performance. sonality and the situation are important.
For example, test-anxious students who mas- Mischel has formulated a personality theory,
tered relaxation skills showed increases in called the cognitive-affective personality sys-
their belief that they could remain relaxed and tem (CAPS), in which both the person and the
focused during tests, and their performance on situation matter (Mischel, 1999, 2004; Mischel &
tests increased as well (Smith, 1989). Shoda, 1998). According to this view, there is
Efficacy beliefs are strong predictors of a dynamic interplay between the characteris-
future performance and accomplishment tics that a person brings to the situation (e.g.,
(Bandura, 1997). They become a kind of self- encoding strategies, expectancies, beliefs, goals,
fulfilling prophesy. In the words of Henry Ford, emotion, self-regulatory processes) and the char-
“Whether you believe you can do something or acteristics of the situation. It is this interaction
you believe you can’t, you’re probably right.” that accounts for behaviour. That is, behaviour
results from relatively stable personal disposi-
Walter Mischel: The Consistency tions and with cognitive-affective processes that
interact with a specific situation. This view pro-
Paradox and If . . . Then . . . poses what have been referred to as if . . . then
Behaviour Consistencies . . . behaviour consistencies, which suggests
Walter Mischel is a third key figure in the devel- that there is consistency in behaviour, but it is
opment of modern social cognitive theory. found within similar situations. For example,
Mischel, along with Bandura, became part of if Mark gets angry at his partner, then he will
the “cognitive revolution” that occurred dur- shout and become aggressive; however, once the
ing the 1960s. Mischel argued that a more if changes, so does the then: If Mark becomes
cognitive approach to personality was required, angry with his boss, then he will withdraw and
one that takes into account not only the power of sulk. Behaviour, Mischel argues, is consistent,
situational factors, but also how people charac- but we should not expect some form of global
teristically deal mentally and emotionally with consistency. We expect, and find, consistency
experience. He has argued for the importance of within similar situations. Mischel’s interpretation
personal constructs, individual ways of perceiv- does make sense of our experiences; how you
ing and understanding events, in behaviour. behave with your friends, for example, is con-
In 1984, Walter Mischel triggered an upheaval sistent, but it is different from how you behave
in the study of personality. We expect people when you visit your grandmother (for the sake
to behave in a consistent way over time and of your friends, we hope it is different).
across situations. Indeed, if someone we know
behaves in a way that is inconsistent with his
or her past behaviour, we tend to make excuses
Evaluating Social Cognitive
for the person’s atypical behaviour (e.g., “She Theories
must be tired,” “He’s feeling really stressed”). As A strength of the social cognitive approach is
mentioned earlier in this chapter, Mischel (1984) its strong scientific base. It brings together two
studied the personality trait of conscientious- perspectives, the behavioural and the cogni-
ness among university students and found that tive, that have strong research traditions. The
In Review
• Social cognitive theories are concerned with how • Bandura’s concept of self-efficacy relates to
social relationships, learning mechanisms, and our self-perceived ability to carry out the behav-
cognitive processes jointly contribute to behaviours necessary to achieve goals in a particular
iour. A key concept is reciprocal determinism, situation.
relating to two-way causal relations among per- • According to Walter Mischel, behaviour results
sonal characteristics, behaviour, and environment. from relatively stable personal characteristics
• Rotter’s theory viewed behaviour as influenced interacting with specific situational cues. Hence,
by expectancies and the reinforcement value of a person’s behaviour is consistent in similar situ-
potential outcomes. His concept of locus of con- ations but may not be consistent across differ-
trol is a generalized belief in the extent to which ent situations.
we can control the outcomes in our life.
constructs of social cognitive theory can be you want to know how the woman customar-
defined, measured, and researched with consid- ily feels and responds in various situations?
erable precision. As a result, the social cognitive Your answers to these questions and your other
approach has advanced our understanding of assessment decisions would in some sense
how processes within the person and character- reflect your own theory of what is important in
istics of the situation interact with each other to describing personality.
influence behaviour. Another strength is its abil- You probably would not be content simply to
ity to translate insights derived from other per- interview the woman. You may also decide to
spectives into cognitive-behavioural concepts interview other people who know her well and
(Carver & Scheier, 2000; Mischel et al., 2004). get their views of what she is like. You might
Social cognitive theory also helps to resolve even ask them to rate her on a variety of traits,
an apparent contradiction between the central such as those found in Cattell’s model of person-
assumption that personality produces stability ality or in the Five Factor model, and you could
in behaviour and research findings that people’s ask the person you are studying to rate herself
behaviour is not very consistent across differ- on the same measures to see if her self-concept
ent situations. Social cognitive theory suggests agrees with how others see her.
that the inconsistency of a person’s behaviour Finally, you may decide that it would be use-
across situations is actually a manifestation of ful to actually observe how the woman behaves
a stable underlying cognitive-affective personal- in a variety of situations. You would want to
ity structure that reacts to certain features of observe her in such a way that you got as “natu-
situations. ral” and characteristic a sample of her behav-
iour as possible. This information, together with
that obtained from the person and those who
PERSONALITY know her best, may provide a reasonable basis
for a personality description.
ASSESSMENT Figure 14.20 shows some of the major meth-
If we were to introduce you to a woman you ods that psychologists use to assess personality
have never met and give you one week to pro- characteristics. As you can see, they use some
vide a complete personality description of her, of the same methods you might have chosen: the
30. Cite six
what would you do? Chances are, you would interview; trait ratings and behaviour reports;
methods that
can be used seek information in a variety of ways. You might and behavioural assessment, or direct observa-
to measure start by interviewing the woman and finding out tion, and measurement of the person’s behav-
personality as much as you could about her. Based on your iour. In addition, they have developed several
variables. knowledge of the theories we have discussed, types of psychological tests, including objective
what questions would you ask her? Would you self-report measures and “projective” tests that
ask about early childhood experiences and ask respondents to interpret ambiguous stimuli,
dreams? About how she sees herself and oth- such as inkblots or pictures. Finally, physiologi-
ers? Would you be interested in the kinds of cal measures can be used to measure various
traits embodied in the Big Five or in Eysenck’s aspects of personality, such as emotional reac-
dimension of Introversion-Extraversion? Would tivity or levels of cortical arousal.
Personality 583
Personality
scales and Thinking critically
self-ratings
CRIMINAL PROFILING: ANALYZING THE
Responses CRIMINAL MIND
Interview
on
data Television shows such as Criminal Minds and CSI:
projective tests
Crime Scene Investigation depict special agents
Personality who help solve crimes by creating personality pro-
description files of likely perpetrators. But what is the scien-
tific verdict on the usefulness of criminal profiling?
Reports,
Physiological Does it help solve crimes?
ratings by
measures
other people Think about it, and then see the Answers section at
the end of the book.
Behavioural
assessment
FIGURE 14.20 Measurement approaches used to The task of devising valid and useful per-
assess personality. sonality measures is anything but simple, and
it has taxed the ingenuity of psychologists for
nearly a century. To be useful from either a
scientific or practical perspective, personality
An interesting and novel approach to assess-
tests must conform to the standards of reliabil-
ing personality is only beginning to be explored:
ity and validity discussed in Chapter 10. Reli-
the use of personal websites. According to Sta-
ability, or consistency of measurement, takes
tistics Canada, 80 percent of Canadians aged 16
several forms. A test that measures a stable
or older used the Internet in 2010, and Canadi-
personality trait should yield similar scores
ans are often online—76 percent of Canadians
when administered to the same individuals at
use the Internet at least once a day. The use of
different times (test-retest reliability). Another
personal websites has grown rapidly in recent
aspect of reliability is that different profession-
years and although the exact number of per-
als should score and interpret the test in the
sonal websites is not known, they have become
same way (interjudge or inter-rater reliability).
an increasingly common and popular medium
Validity refers to the most important question
for self-expression (Vazire & Gosling, 2004).
of all: Is the test actually measuring the person-
We make identity claims by how we dress, by
ality variable that it is intended to measure? A
how we decorate our homes and offices, and
valid test allows us to predict behaviour that
by which logo we have on our backpacks. We
is influenced by the personality variable being
make judgments about others people’s person-
measured. Research on test reliability and
ality based on these identity claims, such as
validity is an important activity of personality
how they look (Naumann et al., 2009). Identity
psychologists, and good measures of personal-
claims made in a personal website allow even
ity are an absolute must for scientific research
greater control and even greater chance for
on personality and for ethical clinical applica-
self-expression since virtually every detail is
tion (Domino & Domino, 2006).
the result of a decision by the website author.
This control allows the website author to be
much more deliberate and calculating in creat- Interviews
ing his or her online identity than is possible Interviews are one of the oldest methods of
in other areas. Personality impressions based assessment. Long before the invention of writ-
on personal websites show surprisingly good ing, people undoubtedly made judgments about
agreement with personality assessment based others by observing them and talking with them.
on more traditional measurements, such as Interviewers can obtain information about a
31. What is
the BFI (Big Five Inventory; Vazire & Gosling, person’s thoughts, feelings, and other internal
a structured
2004). Vazire and Gosling concluded, “When states, as well as information about current and interview?
viewing a website, observers form clear, coher- past relationships, experiences, and behaviour. What are its
ent impressions of the author, and they tend to Structured interviews, frequently used to advantages
agree about what the author is like. Further- collect research data or make a psychiatric diag- over informal
more, their impressions are largely correct” nosis, contain a set of specific questions that are approaches?
(2004, p. 130). administered to every participant. An attempt is
made to create a standardized situation so that conditions certain classes of behaviour occur
interviewees’ responses to more-or-less identical (Haynes, 2000). For example, this method was
stimuli can be interpreted and compared. used by social cognitive researchers to measure
Good interviewers do not limit their attention the “behavioural signatures” of verbally aggres-
to what an interviewee says; they also look at how sive children in summer camp environments
she or he says it. They note interviewees’ general (Shoda et al., 1994).
appearance and grooming, their voice and speech Behavioural assessment requires precision in
patterns, the content of their statements, and defining the behaviours of interest and the con-
their facial expressions and posture. Sometimes, ditions under which they occur. For example,
attitudes that are not expressed verbally can be observers studying a young child who is hav-
inferred from behaviour, as in this instance: ing problems in school do not simply say “Jerry
is disruptive.” Instead, they try to answer the
During the interview she held her small
question, “What, specifically, does Jerry do that
son on her lap. The child began to play with
causes disruption?” Once they have identified
his genitals. The mother, without look-
Jerry’s specific behaviours, the next questions
ing directly at the child, moved his hand
are “How often and under what conditions does
away and held it securely for a while. . . .
the disruptive behaviour occur?” and “What
Later in the interview the mother was
kinds of outcomes do the behaviours produce?”
asked what she ordinarily did when the
Answers to these questions can be particularly
child masturbated. She replied that he
important, not only in measuring differences in
never did this—he was a very “good” boy.
people’s personality characteristics, but also in
She was evidently entirely unconscious of
identifying potential situational causes of their
what had transpired in the very presence
behaviour (Greene & Ollendick, 2000).
of the interviewer. (Maccoby & Maccoby,
1954, p. 484)
The interview is valuable for the direct per- Remote Behaviour Sampling
sonal contact it provides, but it has some limi- It is not practical or possible for behavioural
tations. First, characteristics of the interviewer assessors to follow people around from situa-
may affect how the person responds in ways that tion to situation on a daily basis. In addition,
can affect the validity of the information. The assessors are frequently interested in unob-
validity of information obtained in an interview servable events, such as emotional reactions
also depends on the interviewee’s desire to coop- and thinking patterns, that may shed consider-
erate, respond honestly, and report accurately able light on personality functioning. Through
what the interviewer is trying to assess. Some remote behaviour sampling, researchers and
interview data may be valid, others invalid. clinicians can collect samples of behaviour
Despite its limitations, the face-to-face inter- from respondents as they live their daily lives
view is essential for certain purposes. A clini- (Figure 14.21). A tiny computerized device car-
cal psychologist needs to observe and converse ried by respondents pages them at randomly
with someone who is being considered for determined times of the day. When the “beeper”
32. How are admission to a mental hospital. Interviews are sounds, respondents record their current
behavioural often used in research. thoughts, feelings, or behaviours, depending
assessments on what the researcher or therapist is assess-
designed, and ing (Csikszentmihalyi, 1990; Singer, 1988; Stone
what three Behavioural Assessment et al., 2000). Respondents also may report on the
questions are Personality psychologists sometimes can kind of situation they are in so that situation-
they designed to observe the behaviours they are interested behaviour interactions can be examined. The
answer? in rather than asking people about them. In data can either be stored in the computer or
behavioural assessment, psychologists devise transmitted directly to the assessor.
33. Describe an explicit coding system that contains the Remote sampling procedures can be used
remote behaviour behavioural categories of interest. Then they over weeks or even months to collect a large
sampling
train observers until they show high levels of behaviour sample across many situations. This
procedures and
the types of agreement (interjudge reliability) in using the approach to personality assessment holds great
reports that can categories to record behaviour. Behavioural promise, since it enables researchers and clini-
be collected. assessment can provide valuable informa- cians to detect patterns of personal functioning
tion about how frequently and under what that might not be revealed by other methods.
Personality 585
items are based on the theorist’s conception

of the personality trait to be measured. For 34. Contrast
the rational
example, to develop a measure of introversion-
and empirical
extraversion, we might ask ourselves what approaches to
introverts and extraverts would be likely to say personality test
about themselves, then write items that capture development.
those kinds of self-descriptions (e.g., “I love to Give an example
be at large social gatherings” or “I’m very con- of a test
tent to spend time by myself”). One frequently developed by
used measure developed by using the rational each approach.
approach is the NEO-PI, which measures the
Big Five personality traits of Openness, Consci-
entiousness, Extraversion, Agreeableness, and
Neuroticism (Costa & McCrae, 1992).
In a second approach to personality
test development, known as the empirical
approach, items are chosen not because their
content seems relevant to the trait on rational
grounds, but because previous research has
shown that the items were answered differently
by groups of people known to differ in the per-
sonality characteristic of interest. The empirical
approach was used to develop the Minnesota
Multiphasic Personality Inventory (MMPI;
Hathaway & McKinley, 1983), the most widely
used personality inventory. Developed in the
© Wei Yan/Masterfile 1940s, the MMPI was originally designed to pro-
vide an objective basis for psychiatric diagno-
FIGURE 14.21 In remote behaviour sampling, a com-
sis. Its 567 true-false items consist of statements
puterized device resembling a cellphone is used to collect
responses from participants—such as ratings of their that were answered differently by groups of
mood at a certain time—as they live their daily lives. patients who were diagnosed as having specific
psychiatric disorders (e.g., hysteria, paranoia,
and schizophrenia) than they were by a non-
Personality Scales psychiatric comparison sample of “normal” peo-
Personality scales, or inventories, are widely ple. The items vary widely in content; some are
used for assessing personality in both research concerned with attitudes and emotions, others
and clinical work. Personality scales are termed relate to overt behaviour and symptoms, and
objective measures because they include stan- still others refer to the person’s life history.
dard sets of questions, usually in a true-false or The revised MMPI-2, like the original, has ten
rating scale format, that are scored by using an clinical scales and three validity scales (Table
agreed-upon scoring key (Nezami & Butcher, 14.9). The validity scales are used to detect
2000). Their advantages include the ability to tendencies to either present an overly positive
collect data from many people at the same time, picture or exaggerate the degree of psychologi-
the fact that all people respond to the same cal disturbance. The clinical scales were origi-
items, and ease of scoring. Their major disad- nally intended to measure severe personality
vantage is the possibility that some people will deviations such as schizophrenia, depression,
choose not to answer the items truthfully, in and psychopathic personality, and they do. In
which case their scores will not be valid reflec- addition, however, the pattern or configura-
tions of the trait being measured. To combat this tion of scores obtained on the various scales
threat to validity, some widely used tests have also reveals important aspects of personality
special validity scales that detect tendencies functioning in people who do not display such
to respond in a socially desirable manner or to disorders. The MMPI-2 is used not only for per-
present an overly negative image of oneself. sonality description and as an aid to psychiat-
The items on personality scales are developed ric diagnosis, but also as a screening device in
in two major ways. In the rational approach, industrial and military settings.
TABLE 14.9 T
he Validity and Clinical Scales of the Minnesota Multiphasic Personality
Inventory-2 (MMPI-2) and the Behavioural Characteristics Associated with
High Scores on the Scales
Scale Abbreviation Behavioural Correlates
Validity scales
Lie L Lies or is highly conventional
Frequency F Exaggerates complaints, answers haphazardly
Correction K Denies problems
Clinical scales
Hypochondriasis Hs Expresses bodily concerns and complaints
Depression D Is depressed, pessimistic, guilty
Hysteria Hy Reacts to stress with physical symptoms, lacks
insight into negative feelings
Psychopathic Deviate Pd Is impulsive, in conflict with the law, involved in
stormy relationships
Masculinity-Femininity Mf Has interests characteristic of the opposite sex
Paranoia Pa Is suspicious, resentful
Psychasthenia Pt Is anxious, worried, high-strung
Schizophrenia Sc Is confused, disorganized, disoriented, and
withdrawing from others
Hypomania Ma Is energetic, active, restless
Social Introversion Si Is introverted, with little social contact
Responses on the MMPI-2 are scored and of mass murderer Jeffrey Dahmer, who muti-
then plotted on a graph, or profile sheet, that lated and dismembered his victims, sometimes
reflects the degree to which the individual’s eating their body parts. According to MMPI
responses resemble those of the psychiatric expert Alex B. Caldwell (1994), several aspects
groups. Figure 14.22 shows the MMPI profile of this profile are consistent with his bizarre
and destructive behaviour. The extraordinarily
Jeffery Dahmer’s Profile high score on the Psychopathic Deviate scale
reflects an extreme antisocial impulsiveness
MMPI Scale
coupled with a total lack of capacity for com-
Hypochondriasis
passion and empathy. His victims in all likeli-
Depression hood were regarded as little more than objects
Hysteria to satisfy his perverse needs. Caldwell viewed
Psychopathic Deviate the profile as reflecting Dahmer’s sense of being
Masculinity-Femininity fated or doomed to repeat his acts until he was
Paranoia caught (the high Depression score), together
Psychasthenia
with an absence of fear that, in normal people,
might inhibit murderous behaviour (the low
Schizophrenia
Psychasthenia [anxiety] score). Although the
Hypomania
Score of 65 is profile clearly indicates his high level of psy-
Social Introversion clinically significant
chological disturbance (a normal score on each
40 60 80 100 scale is 50), it also reflects an ability to mask his
Scale score pathology and put up the normal façade that for
years fooled law enforcement officials.
FIGURE 14.22 The MMPI profile of convicted mass
murderer Jeffrey Dahmer reflects his severe psycho-
logical disturbance and is consistent with his pattern of Projective Tests
unrestrained and vicious victimization of others. Scores
greater than the dotted line are considered clinically Freud and other psychodynamic theorists
significant. emphasized the importance of unconscious fac-
Source: Caldwell, A.B. (1994). The profile of Jeffrey Dahmer tors in understanding behaviour. By definition,
(videotape). Los Angeles, CA: Caldwell Report, Inc. however, people are unaware of unconscious
Personality 587
dynamics, so they cannot report them to inter- A problem is that different examiners may inter-
viewers or on questionnaires such as the NEO- pret the same response very differently, pro- 35. What is the
assumption
PI or the MMPI. Therefore, other methods were ducing unreliability between examiners. In an
underlying
needed to assess them. The assumption under- attempt to minimize clinician subjectivity in projective tests?
lying projective tests is that, when a person interpreting Rorschach responses, John Exner Describe two
is presented with an ambiguous stimulus whose (Exner & Erdberg, 2005) developed a Compre- widely used
meaning is not clear, the interpretation attached hensive System with specific coding categories projective tests.
to the stimulus will have to come partly from and scoring criteria. Although this system cre-
within. Thus, the person’s interpretation may ated greater uniformity in scoring, the usefulness
reflect the “projection” of inner needs, feelings, of the test for predicting behaviour is still hotly
and ways of viewing the world onto the stimulus. debated (e.g., Dawes, 1994; Wood, Nezworski,
Lilienfield, & Garb, 2003). A recent meta-analysis,
Rorschach Inkblots however, did find good test-retest stability when
The Rorschach test consists of ten inkblots, five the Comprehensive System scoring was used
in black and white and five in colour. The person (Gronnerod, 2003), and others, such as the Uni-
being tested is shown each one in succession and versity of Windsor’s Stephen Hibbard, have pre-
asked, “What does this look like? What might it sented evidence that the Rorschach is clinically
be?” (Figure 14.23). After responding, the person useful (Hibbard, 2003). Many psychodynamic cli-
is asked what specific feature of the inkblot (e.g., nicians maintain their faith in the usefulness of
its shape or its colour) caused it to be seen in that the Rorschach, insisting that they find it useful
manner. Examiners write down the responses for gaining insight into unconscious processes.
word for word. They also carefully note subjects’
behaviour during testing, including gestures, Thematic Apperception Test
mannerisms, and expressed attitudes. They The Thematic Apperception Test (TAT) consists
categorize and score responses in terms of the of a series of pictures derived from paintings,
kinds of objects reported, the features attended drawings, and magazine illustrations. Although
to (e.g., the whole blot, coloured portions, tiny the pictures are more ambiguous than most pho-
details), and the emotional tone associated with tographs (Figure 14.24), they are less ambiguous
particular types of responses (Erdberg, 2000).
Interpretations made by Rorschach examin-
ers are often based on what the responses seem
to symbolize. For example, people who see peer-
ing eyes and threatening figures in the inkblots
are likely to be viewed as projecting their own
paranoid fears and suspicions onto the stimuli.
© Science Museum/SSPL/The Image Works Photo Researchers, Inc./Alamy Stock Photo
FIGURE 14.23 During a Rorschach test administra- FIGURE 14.24 A picture from the Thematic Apperception
tion, the person being tested is shown a series of ink- Test. Subjects are asked to make up a story about the pic-
blots similar to this one and is asked to indicate what ture, covering specific questions such as those listed in the
each resembles and what feature of the stimulus (e.g., text. These stories are analyzed for recurrent themes that
its shape or its colour) makes it appear that way. are assumed to reflect significant aspects of personality.
than the Rorschach inkblots. Respondents are The TAT, like the Rorschach, has the problem
asked to describe what is going on in each of non-standardized or subjective interpretation
scene, what has led up to the current situation, of responses, which can result in different inter-
what the characters are thinking and feeling, pretations of the same stories. Since not every-
and what the outcome of the situation will be. one can be right, the possibility of erroneous
The stories are analyzed for recurrent themes interpretations is obvious. Hibbard (2003) and
that are assumed to reflect important aspects Bram (2014) have found that when specific sys-
of the respondent’s personality. These might tems have been developed to score stories, the
include the kinds of relationships depicted in TAT has proven to be a useful and valid test. As
the stories, the types of motives and feelings discussed in Chapter 11, this method is used by
that are attributed to the characters, whether researchers to measure motivational variables
positive or negative outcomes occur, and fac- such as achievement needs. The TAT appears to
tors that produce such outcomes, such as per- provide a more valid measure of these needs
sonal weakness or forces in the environment. than do objective self-report measures of the
Conceptions of Personality
Levels of Analysis
As we have now seen, diverse conceptions of personality have focused
on different aspects and mechanisms of personality functioning. ENVIRONMENTAL
An understanding of how personality accounts for individual • Early relationships with parents and
differences in behaviour requires analysis at biological, other significant figures dating back to
psychological, and environmental levels of analysis. infancy underlie personality differences and
working models of the world (psychoanalytic,
neoanalytic, and object relations theorists).
• Environmental factors can support or interfere
with the natural tendency toward self-actualization
(humanistic theorists).
BIOLOGICAL • Shared and (especially) unshared environment
interact with genetic predispositions, including
• Global personality dispositions are temperament (biological theorists).
shaped by evolutionary forces, and
individual differences in these dispositions • Past social learning experiences, cultural
occur because they interact with environmental learning, and current situational factors
forces that require particular adaptations, including interact with personal factors to create
cultural factors (evolutionary psychology theory). behavioural signatures (social
cognitive theorists).
• Genetic factors account for significant amounts
of group variance on most personality variables
(behaviour genetics).
• Individual differences exist in customary levels PSYCHOLOGICAL
of cortical arousal and the speed with which
• Psychodynamic processes involving impulses,
arousal shifts occur (Eysenck).
defences, unconscious conflicts, and psychosexual
• Temperamental differences present developmental factors shape adult personality (Freud).
from birth form a foundation for
• Differences in object relations and attachment styles
the development of personality
develop during development.
traits.
• The self-concept and drive toward self-actualization
influence how we behave. Self-verification and self-enhance-
ment processes are self-related motives (Rogers).
• Individual differences in behaviour are attributed to
presumably stable personality traits (trait theorists).
• Cognitive-affective personality factors interact
with situational and social learning factors to
How would we expect a physically abusive childhood create person-situation interactions that
environment to affect children who are high and low constitute behavioural signatures
in Eysenck’s dimension of Stability? (social cognitive theorists).
FIGURE 14.25
Personality 589
same motives, showing stronger relations with responses to tests such as the Rorschach and
motivated behaviour (Ferguson, 2000; McClel- TAT reveal unconscious processes. Humanis-
land, 1989). Despite such exceptions, however, tic theorists favour self-report measures of the
objective measures of personality have gener- self-concept and personal aspirations (Wylie,
ally been found to have better reliability and 1989). Social cognitive researchers use behav-
validity than projective measures (Nezami & ioural assessments and ask people to rate their
Butcher, 2000; Groth-Marnat, 2003). expectations about what will happen in the
future and how well they will do in particular
situations. Remote behaviour sampling is also
Personality Theory and useful in studying interactions between the per-
Personality Assessment son and the situation. Paper-and-pencil inven-
Personality assessment is intimately related tories such as the MMPI and the NEO-PI are
to theory. Theories provide us with a frame- favoured by trait theorists who want to mea-
work that specifies how thoughts, feelings, sure specific personality traits and by behav-
and bodily processes relate to one another and iour geneticists who want to estimate genetic
behaviour (Figure 14.25). Assessment provides contributions to traits through twin or adoption
tools for measuring personality variables and studies. Researchers interested in biological
testing the theory. A clinician’s or researcher’s processes that underlie personality functioning,
theoretical perspective therefore influences such as emotional reactivity or brain processes,
which assessment approach he or she is likely use physiological measures. All these assess-
to use. ment methods have their place in studying per-
Projective techniques are favoured by psy- sonality and can help to illuminate important
chodynamic theorists who believe that people’s aspects of individuality.
In Review
• Methods used by psychologists to assess • The MMPI-2 is the best-known test developed
personality include the interview, behavioural with the empirical approach. The NEO-PI, devel-
assessment, remote behaviour sampling, physi- oped via the rational approach, measures indi-
ological measures, objective personality scales, vidual differences in the Big Five factors.
and projective tests. • Projective tests present ambiguous stimuli to
• The major approaches to constructing person- subjects. It is assumed that interpretations of
ality scales are the rational approach, in which such stimuli give clues to important internal pro-
items are written on an intuitive basis, and the cesses. The Rorschach inkblot test and the The-
empirical approach, in which items that discrimi- matic Apperception Test are the most commonly
nate between groups known to differ on the trait used projective tests.
of interest are chosen.
Gaining Direction
How can you assess personality? We are faced it would seem that personality is the result of What are the
with such assessments in the media all the interacting with a demanding environment, issues?
time—horoscopes are readily available in the using the resources that nature has given us.
daily paper. But how can a horoscope capture But just how does this result in a stable set of
personality? For that matter, what is person- characteristics that we call personality? Is it
ality anyway? Some theories discuss crisis or really determined by the stars . . . or might there
decision points required for “proper” develop- be other forces (which we may or may not be
ment. Others focus on the achievement of devel- aware of) at work?
opmental goals for particular purposes. Thus,
What do What is personality? What happens when a person fails to develop

we need to How is personality acquired? personality in a “normal” fashion?
How do we measure personality? Is personality stable across the lifespan?
know?
Is there any evidence for consistent personality
traits?
Where can Look back at the compass icons in this chap- How would you explain a particular personality
we find the ter. There are many theories of personality type? Note how we measure personality (e.g.,
information to (e.g., Freud’s psychodynamic theory, Rogers’s by using a scale) and compare this to how a
self theory, the trait approach), and you should horoscope is constructed. Which method has
answer these
be familiar with each of them. What do each of more validity?
questions? these theories say about “normal” development?
CHAPTER

CHAPTER THE NATURE OF STRESS COPING WITH STRESS
OUTLINE Stressors Effectiveness of Coping Strategies
The Stress Response Research Foundations: Stress, Physical Contact,
Chronic Stress and the GAS and Health: I Wanna Hold Your Hand
STRESS AND HEALTH Frontiers: Mindfulness and the Stresses of Teaching
Bottling Up Feelings: The Costs of Constraint
Stress and Psychological Well-Being
Gender, Culture, and Coping
Post-Traumatic Stress Disorder (PTSD)
Stress and Illness HEALTH PROMOTION AND ILLNESS
PREVENTION
VULNERABILITY AND PROTECTIVE FACTORS
How People Change: The Transtheoretical Model
Social Support Increasing Behaviours That Enhance Health
Focus on Neuroscience: The Neuroscience Reducing Behaviours That Impair Health
of Social Support
Hardiness COMBATTING SUBSTANCE ABUSE
Coping Self-Efficacy Psychological Approaches to Treatment
Optimism and Prevention
Personality Factors
Finding Meaning in Stressful Life Events POSITIVE PSYCHOLOGY
Applications: How to Be Happy
Life is largely a process of adaptation to the circumstances in which we exist.

—Hans Selye
It was looking like a relaxing weekend for

Koby Soto in January of 2016. He was taking
What are the
a break from his law-school studies and had issues here?
planned to meet his partner later that day. Then around
noon, he received a call out of the blue—his partner
was breaking up with him. Koby was stunned. He had What do we need
thought that everything was going well, but the call indi- to know?
cated that it was not.
Koby tried to focus on other things, but was pretty Where can
upset all day. Later that night as he tossed around in we find the
bed, he noticed that his heart rate was elevated. So he information
decided to launch his Fitbit app. It was then that he saw Jeffrey Blackler/Alamy Stock Photo to answer the
the results of the break-up call. His heart rate jumped to 88 beats per minute (BPM) at the exact questions?
time of the call and remained high for the rest of the day, peaking at 118 BPM. It looked like he
spent the entire day at the gym.
The Fitbit has also been credited with predicting a pregnancy and saving the life of a teacher
whose heart rate had soared to 190 BPM following a seizure.
592 CHAPTER FIFTEEN
S THE NATURE OF STRESS

ome people are exposed to extraordinarily
stressful environments and thrive, while
others develop a range of stress-related Psychologists have viewed stress in three dif-
disorders while living in what many would con- ferent ways: as a stimulus, a response, and an
sider relatively benign circumstances. What organism-environment interaction. Some define
allows some people to function at a high level stress in terms of eliciting stimuli, or events that
despite stress when others in the same situation place strong demands on us. These situations
would be devastated? The answer will show us are termed stressors. We use the term stress
that our psychological and physical well-being in this “stimulus” fashion when we make state-
depends on complex interactions among envi- ments such as “There’s all kinds of stress in my
ronmental demands, the personal and envi- life right now. I have three exams next week,
ronmental resources that we have to deal with I lost my backpack, and my car just broke down.”
them, the individual vulnerabilities that make Stress also has been viewed as a response
us susceptible to certain kinds of problems, and that has cognitive, physiological, and behav-
protective factors that help to shield us from the ioural components. Thus, a person might say,
ravages of stress. “I’m feeling all stressed out. I’m tensed up, I can’t
We experience a high level of stress in our concentrate because I’m really worried, and I’ve
daily lives. Among Canadians aged 15 and been flying off the handle all week.” The pres-
older, 23 percent agreed that most days they ence of negative emotions is an important fea-
felt “quite a bit” or “extremely” stressed (Statis- ture of the stress response and links the study of
tics Canada, 2015a). A third of Canadian adults stress with the field of emotion (Zautra, 2003).
show symptoms of chronic stress (Canadian A third way of thinking about stress combines
Mental Health Association, 2009). Of course, the stimulus and response definitions into a
university students do not need to be reminded more inclusive model. Here stress is viewed as a
that there are many sources of stress in their person-situation interaction, or, more formally,
lives. Considering how commonly we experi- as a transaction between the organism and the
ence stressors of various types, it is important environment (Lazarus, 1991, 1998). The transac-
to understand the impact of stress, and those tional conception of stress forms the basis for
factors that can either lessen or worsen the the model shown in Figure 15.1 and will guide
impact of that stress. our discussion of stress. From this perspective,
Stressor
characteristics
Internal processes
Intensity/
Severity
Cognitive appraisal Physiological
responses
Duration Situation
demands/ • of demands (primary) • sympathetic arousal
• of resources (secondary) • stress hormones Coping and
Predictability resources task
(stressor) • of consequences
• of meaning of behaviours
Controllability consequences
Chronicity
• Worry • Muscle tension • Task-irrelevant

• Racing thoughts • Elevated heart rate responses
Effects • Low self-confidence • Shortness of breath • Behavioural rigidity
• Expecting the worst • Increased susceptibility or disorganization
• Feeling hopeless to illness • Self-destructive
behaviours (e.g.,
substance abuse,
alcoholism)
FIGURE 15.1 Stress involves complex interactions among situational factors, cognitive appraisal processes, physiological responses,
and behavioural attempts to cope with the situational demands. Stressor characteristics that increase stress responses are shown. The
lower panels show potential cognitive, physiological, and behavioural stress responses that can interfere with well-being.
stress is a pattern of cognitive appraisals, physi- Measuring Stressful Life Events

ological responses, and behavioural tendencies Sometimes it is possible to verify the life events
that occurs in response to a perceived imbalance a person has experienced. We may know that
between situational demands and the resources a person has lived through a natural disaster
needed to cope with them. You will recognize or lost a loved one to death. In other cases,
this as an adaptation of the general model of researchers must rely on people’s self-reports.
emotion presented in Chapter 11. To study linkages between life events and well-
being, researchers have devised life event
Stressors scales to quantify the amount of life stress that
Stressors are specific kinds of eliciting stimuli. a person has experienced over a given period
of time (e.g., the last six months or the past two 1. Describe
Whether physical or psychological, they place
years). The life event scale shown in Table 15.1 three ways that
demands on us that endanger well-being, requir-
asks people to indicate not only whether a par- theorists have
ing us to adapt in some manner. The greater the defined the term
imbalance between demands and resources, the ticular event occurred, but also their appraisal of
stress.
more stressful a situation is likely to be. Stress- whether the event was positive or negative, and
ors can range in severity from microstressors— whether it was a major event (defined as having
the daily hassles and everyday annoyances a significant and long-term impact on the per-
we encounter at school, on the job, and in our son’s life) or a “day-to-day” event (Smith et al.,
family relations—to very severe stressors. 1990). Moreover, additional information can be
Catastrophic events often occur unexpectedly obtained. For example, respondents might be
and typically affect large numbers of people. asked to rate the predictability, controllability,
They include such events as natural disasters, and duration of each event they experienced,
acts of war, and concentration camp confine- permitting an analysis of these factors as well.
ment (Figure 15.2). Major negative events such Life event scales have been widely used in life
as being the victim of a major crime or sexual stress research. Like other self-report measures,
abuse, the death or loss of a loved one, an aca- however, they are subject to possible distortion
demic or career failure, or a major illness, also and failures of recall.
require major adaptation. As we shall see, all Some early theorists believed that any life
three classes of stressors can have a significant event that requires adaptation, whether nega-
negative impact on psychological and physical tive or positive in nature, is a stressor (Holmes &
well-being (Aldwin, 2007; Zautra, 2003). Rahe, 1967; Selye, 1956). Because later research
In addition to intensity or severity, several showed that only negative life changes consis-
other characteristics of stressors have been tently predicted adverse health and behavioural
identified as important and are listed in outcomes, most modern researchers now define
Figure 15.1. In general, events that occur sud- stress in terms of negative life changes only
denly and unpredictably, and that affect a (Cohen et al., 1995; Lazarus, 1998). Indeed, posi-
person over a long period of time seem to take tive life events sometimes counter or even can-
the greatest toll on physical and psychological cel out the negative impact of negative events
well-being (Taylor, 2009). (Thoits, 1983).
(left): © Shaul Schwarz/Getty Images; (right): Mario Beauregard/The Canadian Press
FIGURE 15.2 Stressful life events can vary from catastrophic ones to microstressors, or “daily hassles.” Both
classes of stressor take their toll on physical and psychological well-being.
594 CHAPTER FIFTEEN
TABLE 15.1 Sample Items from a Self-Report Measure of Positive and Negative Life Events
Happened in
Experience Last Six Months? Good or Bad? “Day-to-Day” or “Major”
Parents discover something you didn’t want them No Yes Good Bad Day-to-day Major
to know
Pressures or expectation by parents No Yes Good Bad Day-to-day Major
Receiving a gift No Yes Good Bad Day-to-day Major
Having plans fall through (not going on a trip, etc.) No Yes Good Bad Day-to-day Major
Losing job (quitting, getting fired, getting laid off, etc.) No Yes Good Bad Day-to-day Major
Making honour roll or other school achievement No Yes Good Bad Day-to-day Major
Making love or sexual intercourse No Yes Good Bad Day-to-day Major
Something good happens to a friend No Yes Good Bad Day-to-day Major
Work hassles (rude customers, unpleasant jobs, etc.) No Yes Good Bad Day-to-day Major
Death of a friend or family member No Yes Good Bad Day-to-day Major
Source: Scale used in Smith, R.E., Smoll, F.L., & Schutz, R.W. (1990). Measurement and correlates of sport-specific cognitive and somat-ic trait anxiety:
The Sport Anxiety Scale. Anxiety Research, 2, 263–280.
interview greatly exceed your resources, you

The Stress Response
will likely experience stress.
2. What four We respond to situations as we perceive them. You will also take into account the potential
types of The starting point for the stress response is, consequences of failing to cope successfully
appraisal occur therefore, our appraisal of the situation and its with the situation, including both the serious-
in response implications for us. As Figure 15.1 indicates, ness of the consequences and the likelihood that
to a potential four aspects of the appraisal process are of par- they will occur. Will you be able to pay your
stressor? ticular significance: tuition if you perform poorly and don’t get the
How do these
job? How likely is it that you will fail? Apprais-
correspond to 1. appraisal of the demands of the situation
primary and ing the consequences of failing as very costly
(primary appraisal);
secondary and very likely to occur increases the perceived
2. appraisal of the resources available to cope stressfulness of the situation.
appraisal?
with it (secondary appraisal); Finally, the psychological meaning of the con-
3. judgments of what the consequences of the sequences may be related to your basic beliefs
situation could be; and about yourself or the world. Certain beliefs or
4. appraisal of the personal meaning, that is, personal standards can make people vulnerable
what the outcome might imply about us. to particular types of situational demands. For
example, if your feelings of self-worth depend on
Let us apply these appraisal steps to a real- how successful you are in situations like this one,
life situation. You are about to have an impor- you may regard doing poorly during the inter-
tant job interview. According to Richard view as evidence that you are a worthless failure.
Lazarus (1991), you will first engage in a pri- Distortions and mistaken appraisals can
mary appraisal of this situation as being either occur at any of the four points in the appraisal
benign, neutral/irrelevant, or threatening in process, causing inappropriate stress responses.
terms of its demands (how difficult an interview People may overestimate the seriousness of the
it will be) and its significance for your well- situation, they may underestimate their own
being (how badly you want or need the job). At resources, they may exaggerate the serious-
the same time, you will be appraising your per- ness of the consequences and the likelihood
ceived ability to cope with the situation, that is, that they will occur, or they may have irrational
the resources available to deal with it. Lazarus self-beliefs that confer inappropriate meaning
calls this resource appraisal step second- on the consequences (e.g., “If I don’t succeed at
ary appraisal. Coping resources include your this, it means I am and always will be a total
knowledge and abilities, your verbal skills, and loser”). The fact that appraisal patterns can
your social resources, such as people who will differ from person to person in so many ways
give you emotional support and encourage- helps us understand why there can be so much
ment. If you believe that the demands of the individual variation in the way people respond
to the same event or situation, and it also helps in physiological arousal. This alarm reaction
us understand why some people are particularly occurs because of the sudden activation of the
vulnerable to certain types of demands. sympathetic nervous system and the release of
As soon as we make appraisals, the body stress hormones by the endocrine system. The
responds to them (Kemeny, 2004; Taylor, sympathetic nervous system has an activating
2009). Although appraisals begin the pro- effect on the smooth muscles, organs, and glands
cess, appraisals and physiological responses of the body. Sympathetic nervous system activa-
mutually affect one another (Sun, 2005). tion, for example, leads to an increase in heart
Autonomic and somatic feedback can affect rate and respiration, dilates the pupils, and slows
our reappraisals of how stressful a situation digestion. This alarm reaction helps the body
is and whether our resources are sufficient deal with the source of the stress. The slowing of
to cope with it. Thus, if you find yourself digestion leads to blood being diverted from the
trembling as you enter the interview room, digestive system to muscle. The increased heart
you may appraise the situation as even more rate and respiration means that the extra blood
threatening as you did initially. arriving at your skeletal muscles contains extra
oxygen. Pupil dilation makes our eyes more sen-
Chronic Stress and the GAS sitive to light and enhances vision.
Endocrinologist Hans Selye, of the University of There is also an endocrine, or hormonal,
Montreal, was a pioneer in studying the body’s stress response (Miller et al., 2007). Perception
response to stress (Selye, 1976). He described of a threat leads a cascade of messages from
a physiological response pattern to strong and the hypothalamus within the brain to the pitu-
prolonged stressors that he called the general itary gland at the base of the brain, and then
adaptation syndrome (GAS). The GAS con- from the pituitary gland to the adrenal glands.
sists of three phases: alarm reaction, resistance, The adrenal glands produce a number of dif-
and exhaustion (Figure 15.3). ferent hormones, but during a period of stress
In response to a physical or psychologi- the most important is cortisol. Cortisol triggers 3. Describe the
cal stressor, animals exhibit a rapid increase an increase in blood sugars, in part by acting three stages of
Selye’s GAS.
Normal level of
resistance to stress
Resistance to stress
Stage 1 Stage 2 Stage 3

Alarm reaction Resistance Exhaustion
The shift to The adrenal glands release The adrenal
sympathetic epinephrine, nonepinephrine, glands lose their
dominance and cortisol to maintain ability to function
causes increased arousal. normally.
increased
arousal.
Time
FIGURE 15.3 Hans Selye described the general adaptation syndrome. When a person is exposed to a stressor,
the alarm reaction mobilizes the body’s resources. During the stage of resistance, stress hormones maintain the
body’s defensive changes, and the body signs characteristic of the alarm reaction virtually disappear. But, if the
stress persists over a long time, the body’s resources become depleted and exhaustion occurs; the organism can
no longer cope and is highly vulnerable to breakdown.
Source: Figure, “Hans Selye’s General Adaptation Syndrome,” from The Stress of Life, 2nd ed., by Hans Selye, p. 476, 1976. New
York: McGraw-Hill. Reprinted by permission of The McGraw-Hill Companies, Inc.
596 CHAPTER FIFTEEN
on the liver. Thus, the extra blood arriving at system activity. The parasympathetic nervous
your skeletal muscles contains additional sugar, system functions to reduce arousal. Despite
along with the additional oxygen. Cortisol also attempts to return to homeostasis, if the stressor
suppresses the immune system (Chiappelli, continues, the stress response also continues,
2000). If you are injured, this action of cortisol although sympathetic nervous system activity
suppresses inflammation so that injured tissues is partially muted by the opposing parasympa-
do not swell. The powerful anti-inflammatory thetic nervous system. With continued exposure
effects of cortisol are well demonstrated by the to stress, the body remains on red alert and
use of cortisone, which the body converts to enters the second stage, resistance.
cortisol, to treat the joint inflammation of ten- During the stage of resistance, the body’s
nis elbow, bursitis, and some cases of arthritis. resources continue to be mobilized so that the
The stress hormones are especially important person can function despite the presence of the
for your ability to function despite the presence stressor. Resistance can last for a relatively long
of a stressor; but, persistent secretion of cortisol time, but the body’s resources are being depleted.
is associated with a number of serious clinical How long the stage of resistance can last depends
conditions, such as depression and anxiety dis- on the severity of the stress, the individual’s gen-
orders (Holsboer & Ising, 2010). eral health, available support (such as social sup-
Sympathetic nervous system activation and port), and other factors. Elevation of heart rate
the hormonal response help you deal with the and respiration, suppression of digestion, sup-
stressor. The stress response has been charac- pression of the immune system, and changes in
terized as the “fight-or-flight” response, and in blood sugar levels cannot continue indefinitely
many ways that is an apt description. Your abil- without exhausting the body. Eventually, remain-
ity to confront the source of stress (“fight”) or ing bodily resources are no longer sufficient and
retreat from it (“flight”) is enhanced by the stress the stage of resistance comes to an end.
response. You are more sensitive to visual stim- If the stressor is intense and persists for too
uli, movement is faster and stronger, and injury is long, the body may reach the stage of exhaus-
less likely to generate movement-limiting swell- tion, in which the body’s resources are dan-
ing; your body is primed and ready to act. gerously depleted. It is during the stage of
The alarm reaction stage cannot last indefi- exhaustion that there is increased vulnerabil-
nitely, however, and the body’s natural ten- ity to disease and, in extreme cases, collapse
dency to maintain the stable internal state of and even death (Hancock & Desmond, 2000;
homeostasis results in parasympathetic nervous Holsboer & Ising, 2010). When a person leaves
In Review
• Stress has been viewed by various theorists as a People appraise the nature of the demands, the
stimulus; as a response that has cognitive, phys- resources available to deal with them, their pos-
iological, and behavioural components; and as a sible consequences, and the personal meaning
person-situation interaction—that is, a transac- of these consequences. Distortions at any of
tion between the person and the environment. these levels can result in inappropriate stress
• A transactional model of stress specifies inter- responses.
actions among situational factors, cognitive • The physiological response to stressors is medi-
appraisal processes, physiological responses, ated by the autonomic and endocrine systems,
and behavioural attempts to cope. This model and involves a pattern of arousal that mobilizes
by its nature predicts individual differences in the body to deal with the stressor.
response to stressors. • Selye described a general adaptation syn-
• Stressors are events that place physical or psy- drome (GAS) that describes the changes that
chological demands on organisms. The stress- occur during chronic stress. The changes prog-
fulness of a situation is defined by the balance ress through the three stages: alarm reaction,
between demands and resources. Life events can during which the stress response is activated;
vary in terms of how positive or negative they are, resistance, during which bodily resources are
as well as in predictability, controllability, chronic- mobilized to allow you to function despite
ity, and other dimensions that affect their impact. the stress; and exhaustion, during which
• Cognitive appraisal processes play an essen- resources are depleted and stress-induced ill-
tial role in people’s responses to stressors. ness occurs.
the stage of resistance and enters the stage of impact (Resick, 2005). Several decades after the
exhaustion is again determined by a number of horror of the Holocaust, psychological scars
factors, especially the severity of the stress, the remain for Jewish survivors of the Nazi concentra-
person’s ability to cope with stress, and his or her tion camps (Nadler & Ben-Shushan, 1989; Valent,
general health. The more severe the stress, how- 2000a; Zahava & Ginzburg, 1998). Many survi-
ever, the sooner the body will reach the stage of vors are still troubled by high levels of anxiety
exhaustion. Selye argued that whichever system and recurrent nightmares about their traumatic
of the body is the weakest will be the first to be experiences. Children who lost their parents and
affected during the exhaustion stage. If, on the siblings continue to experience sudden fears that
one hand, because of maturational, genetic, or something terrible will happen to their spouses or
experiential factors, a person’s cardiovascular children whenever they are out of sight. Depres-
system is at risk, then that will be the first system sion and crying spells are also common, as are
to break down during the stage of exhaustion. feelings of insecurity and difficulties in forming
If, on the other hand, a person’s immune system close relationships. As one researcher reported,
is weak, then that person may develop diseases “child survivors (now in their 50s and 60s) . . .
related to immune system dysfunction or show despite their outward normalcy, remain entrapped
evidence of weakened immune function. in this survival mode” (Valent, 1998, p. 751).
A mild form of this process is familiar to stu- Long-lasting psychological symptoms have
dents who deal with periods of stress, such as dur- also been found among soldiers who experi-
ing the end of an academic term. You continue to enced the trauma of combat. Twenty years after
function despite the stress of term-end deadlines the 1982 Lebanon war, Israeli soldiers who had
and final exams (resistance), only to become ill experienced combat reported more psycho-
when the stressors end and the vacation begins. logical, social, and health problems than did a
matched group of veterans who had not experi-
enced combat (Zahava et al., 2006).
STRESS AND HEALTH Women who experience the trauma of rape
sometimes find that its aftermath can be almost 4. What are the
Selye’s work inspired a generation of medical characteristics of
and psychological researchers to explore the as stressful as the incident itself. Many vic-
the rape trauma
effects of stress on both physical and psycho- tims experience a reaction known as the rape syndrome?
logical well-being. As we will now see, stress can trauma syndrome (Burgess & Holmstrom,
result in physical and psychological deteriora- 1974). For months or even years after the rape,
tion. One conclusion is that a physical mobili- victims may feel nervous and fear another
zation system sculpted by evolution to help attack by the rapist. Many victims change their
organisms deal with life-threatening physical place of residence but continue to have night-
stressors may not be as adaptive for dealing with mares and be frightened when they are alone,
the psychological stressors we face in modern outdoors, or in crowds. Victims frequently report
life. As noted by one medical authority, “Stone decreased enjoyment of sexual activity long
Age physiological and biochemical responses to after the rape, even when their ability to have
emotion have become inappropriate in a Space orgasms is not affected (Feeny & Foa, 2000;
Age setting, and can pave the way to psychoso- Holmes & St. Lawrence, 1983). In one long-term
matic diseases” (Carruthers, 1981, p. 239). study of rape victims, a quarter of the women
felt that they had not recovered psychologically
six years after the rape (Meyer & Taylor, 1986).
Stress and Psychological Fortunately, the majority of stressors that
Well-Being people experience are not as severe as con- 5. Describe
Effects of stress on psychological well-being three possible
centration camp confinement, combat, or rape.
causal paths
are clearest and most dramatic among people How do more typical but less serious stressors
between self-
who have experienced catastrophic life events. affect psychological well-being? To answer reported stress
Anthony Rubonis and Leonard Bickman (1991) this question, researchers have examined the and distress.
surveyed the results of 52 studies of cata- relation between self-reported life events and
strophic floods, hurricanes, and fires. In the measures of psychological well-being. Findings
wake of natural disasters, they found an aver- consistently show that the more negative life
age increase of 17 percent in rates of psycholog- events people report on measures such as the
ical disorders such as anxiety and depression. one shown in Table 15.1, the more likely they
Some stressors are so traumatic that they can are also to report symptoms of psychological
have a strong and long-lasting psychological distress (Holahan & Moos, 1990; Holsboer &
598 CHAPTER FIFTEEN
Ising, 2010). We might therefore be tempted

to conclude that “stress causes distress.” This Thinking critically
causal interpretation is shown in path 1 in Fig-
ure 15.4, but it may not be accurate because DO STRESSFUL LIFE EVENTS CAUSE
the data are correlational in nature and other PSYCHOLOGICAL DISTRESS?
causal interpretations are possible. For exam- A consistent statistical relation has been shown
ple, path 2 reverses the first causal interpreta- between stressful life events and psychologi-
tion, suggesting that people’s levels of distress cal distress; the greater the number of stressful
may influence their reporting of negative life events people have experienced, the more distress
they are likely to report. Based on these results,
events. That is, distressed people may be more are you willing to accept the conclusion that life
likely to remember negative things that have stress causes distress, or can you think of other
happened to them. Or they may tend to view possible reasons for this relation?
more events as negative, resulting in higher Think about it, and then see the Answers section at
negative life change scores. Psychological dis- the end of the book.
tress also might cause more negative events
to occur in people’s lives because of their own
behaviour. For example, distressed people tend
to evoke negative reactions from others (Coyne Post-Traumatic Stress Disorder
et al., 1991; Joiner et al., 1992). (PTSD)
A third causal possibility, shown in path 3, is
Post-traumatic stress disorder (PTSD) rep-
6. Describe that a third variable causes both negative life
resents what can happen to victims of extreme
four common events and psychological distress. The personal-
stress and trauma. PTSD is a severe anxiety dis-
features of ity trait of neuroticism might be one such fac-
PTSD. order that is caused by exposure to traumatic
tor. People who are high in neuroticism have a
life events—that is, to severe stress. Four major
heightened tendency to experience negative emo-
groups of symptoms occur with PTSD:
tions and get themselves into stressful situations
through their maladaptive behaviours (Eysenck, • severe anxiety, physiological arousal (the
1989; Suls et al., 1998). In one longitudinal study of stress response), and distress;
Dutch adults, Johan Ormel and Tamar Wohlfarth • painful, uncontrollable reliving of the event(s)
(1991) found that initial scores on a neuroticism in flashbacks, dreams, and fantasies (Pitman
scale were related positively to both the number of et al., 2000);
stressful events and the amount of psychological
• emotional numbing and avoidance of stimuli
distress reported over the next six years. Thus, we
associated with the trauma; and
are again reminded that stressful life events are
part of a network of causal relations that involve • intense “survivor guilt” in instances where
ongoing transactions between people and situa- others were killed but the individual survived
tions. It appears that stressful life events can func- (Valent, 2000b).
tion as both cause and effect (Cohen & Edwards, Some individuals with PTSD also show self-
1989; Suls et al., 1998). destructive and impulsive behaviour.
The study of PTSD arose in part from stud-
(1) Psychological
ies of soldiers who had witnessed the horrors
Negative life distress scores of an active war zone. One study found that the
event scores
(2) (e.g., depression) incidence of PTSD was seven times greater for
Vietnam veterans who had spent significant
time in combat and were wounded than it was
(3)
for other Vietnam-era veterans (Centers for Dis-
Possible ease Control [CDC], 1988). Another study found
third factor that within 12 months of combat exposure,
(e.g., neuroticism)
27.8 percent of veterans developed PTSD
(Prigerson et al., 2002). Civilian victims of war
FIGURE 15.4 Statistical relations between stressful are even more likely to develop PTSD than are
life events and psychological distress may reflect a
soldiers. Amy Ai and colleagues (2002) found that
number of different causal relations: (1) stressful life
events may cause distress; (2) distress may cause 60.5 percent of the refugees from the bloody civil
higher stressful life event scores; or (3) a third factor, war in Kosovo showed signs of PTSD. Traumas
such as neuroticism, may cause both distress and high caused by human perpetrators, such as war, rape,
negative life change scores. assault, and torture, tend to cause more severe
PTSD, the severity of PTSD, and the ensu-

ing problems caused by PTSD all highlight the
importance of prompt and careful post-trauma
intervention (Sorenson, 2002; Kaysen et al.,
2013). If post-trauma intervention is available for
the victims of rape or torture, they can be spared
one of the most severe stress-related disorders.
Between the 1870s and 1990s it is estimated
that 150 000 Aboriginal children attended residen-
tial schools across Canada (Joseph, 2014). The
intention of the residential school program was to
educate Aboriginal children and assimilate them
Prakash Singh/AFP/Getty Images into the dominant Canadian culture. Children,
FIGURE 15.5 The devastation and loss of life caused some as young as four years old, were removed
by the 2004 Indian Ocean tsunami traumatized millions from their families, communities, and culture and
of people in 11 countries. One effect of the trauma was sent to live at a residential school (Joseph, 2014).
the development of post-traumatic stress disorder in A significant number of residential school chil-
many people, particularly those who were personally dren alleged psychological, physical, and sexual
affected by the destruction.
abuse (Brasfield, 2001; Joseph, 2014). Most resi-
dential schools had closed by the mid-1980s, but
PTSD than do natural disasters (Figure 15.5; it was not until 1996 that the last federally funded
O’Donohue & Elliot, 1992). Following exposure residential school was closed.
to a severe trauma, women are more likely to For most Aboriginal children who attended
develop PTSD than are men. Although anyone a residential school there was no lasting impact
can develop PTSD if they are exposed to a suf- other than what is experienced by many chil-
ficiently severe trauma, the likelihood of devel- dren who attend a boarding school for an
oping PTSD is influenced by the victim’s social extended period of time (Brasfield, 2001). For
support, the presence of significant childhood a significant minority of residential school stu-
stresses, personality factors, coping strategies, dents, however, there were lasting problems.
and pre-existing psychological conditions (Amer- The symptoms experienced by these individu-
ican Psychiatric Association, 1994). However, als include recurrent intrusive memories, night-
if the trauma is sufficiently severe, such as the mares, flashbacks, avoidance of anything that
trauma suffered by the victims of violent rape, might remind them of the residential school
the likelihood of developing PTSD is high regard- experience, increased risk of alcohol and drug
less of the presence of mitigating factors. abuse starting at a very young age, emotional
Terrorist acts can be a powerful trigger for detachment, relationship difficulties, loss of
the development of PTSD. Interviews with more and avoidance of cultural knowledge, and
than a thousand adult residents of Manhattan anger management problems (Brasfield, 2001).
found that 7.5 percent manifested symptoms This set of symptoms is similar to PTSD and has
consistent with PTSD in the five to eight weeks been called the residential school syndrome
following the September 11, 2001, destruction (Brasfield, 2001). The most important differ-
of the World Trade Center. Among those living ences between PTSD and residential school
closest to the World Trade Center, the rate of syndrome are the significant cultural impact
PTSD was 20 percent (Galea et al., 2002). PTSD and the outbursts of violent anger associated
does not necessarily develop immediately after with alcohol and drug abuse that occur with
the trauma. Although PTSD usually develops residential school syndrome (Brasfield, 2001).
within three months, in some cases it can be
many months or even years before PTSD fully Stress and Illness
emerges (American Psychiatric Association, Stress can combine with other physical and psy-
1994; Meyer & Taylor, 1986). chological factors to influence the entire spec-
The severe problems caused by PTSD can also trum of physical illness, from the common cold
increase later vulnerability to other disorders. to cancer, heart disease, diabetes, and sudden 7. What are
One study found that women who had developed death (Lovallo, 2005; Marsland et al., 2002; Seger- some of the
PTSD had double the risk of developing alcohol- strom & Miller, 2004). Sometimes the effects are delayed effects
related problems in the future (Breslau et al., immediate. On the day of the 1994 Los Angeles of stress?
1997). The unpredictability of who will develop earthquake, the number of sudden deaths due to
600 CHAPTER FIFTEEN
heart attacks in that city increased from an aver- Linkages between long-term stress and illness
8. By what
age of 35.7 per day during the 7 previous days to are not surprising, for physiological responses
physiological
and behavioural
101 fatalities (Leor et al., 1996). to stressors can directly harm other body sys-
mechanisms can Other effects of major stressors on physical tems. For example, the secretion of stress hor-
stress contribute well-being are less immediate but no less severe. mones by the adrenal gland is an important part
to illness? Within a month following the death of a spouse, of the stress response. These hormones affect
bereaved widowers and widows begin to show a the activity of the heart, and excessive secre-
higher mortality rate than married people of the tions can damage the lining of the arteries. By
same age who have not lost a spouse (Kaprio et al., reducing fat metabolism, the stress hormones
1987). People who experience the chronic stress also can contribute to the fatty blockages in
of caring for a spouse suffering from Alzheimer’s arteries that cause heart attacks and strokes
disease have a significantly increased risk of (Kimble, 1992; Willenberg et al., 2000).
developing their own health problems (Vitaliano Stress also can trigger illness by causing
et al., 2004). Sklar and Anisman (1981) at Carleton a breakdown in immune system functioning
University found that stressful life events also (Segerstrom & Miller, 2004; Taylor, 2009). Janice
increased the risk of developing cancer. Kiecolt-Glaser and her colleagues (1998; Kiecolt-
Statistics Canada (Health Reports, February Glaser et al., 2002) have shown that stress-induced
2004) reported that adults who experienced weakening of the immune system is one possible
high stress during 1994–95 were at increased reason for increased risk of illness. For example,
risk of developing chronic health conditions by in one study, Kiecolt-Glaser and colleagues (1998)
2000–01. The chronic health conditions included brought 90 newly married couples into a labora-
arthritis and rheumatism, bronchitis or emphy- tory and asked them to discuss areas of conflict in
sema, and stomach or intestinal ulcers. For men, their relationship. They coded the couples’ behav-
the risk of heart disease was also increased; for iour during the discussions and measured their
women, the risk of asthma and migraines was physiological and immune responses. Among
increased. Each additional stressor reported those couples whose interactions became hos-
during 1994–95 increased the chance of report- tile during the conflict discussions, measurable
ing a chronic health problem six years later by decreases in immune function occurred within
6 percent among men and by 8 percent among 24 hours (Figure 15.6). Similar results were
women. For someone experiencing several dif- observed in an older sample of 31 couples who
ferent stressors, the increased risk of develop- had been married an average of 42 years. In this
ing a chronic health problem quickly becomes older sample, one of the immune functions that
substantial. For example, experiencing just decreased after hostile interchanges helps to pro-
three lasting stressors—such as financial wor- tect against influenza and pneumonia, leading
ries, difficulties in a relationship, and problems causes of death in elderly people.
at work or school—increase the risk of devel- Stress also can contribute to health break-
oping a chronic health condition by 18 percent down by causing people to behave in ways that
among males and by 24 percent among females. increase the risk of illness. For example, people
A traumatic life event can worsen an with adult-onset diabetes frequently can control
already existing medical condition, as in the
case of a seven-year-old African-American girl
with sickle-cell anemia:
This little girl was bused to a new elemen-

tary school in a white neighborhood. . . .
She and other black children were met
with cries by angry whites to “go back to
where you belong!” The little girl was quite
upset by the incident. After some time
at the school she went to the principal’s
office crying and complaining of chest
pains. She died later that day in the hos-
pital, apparently from a sickle-cell crisis Monkey Business Images/Shutterstock
brought on by stress. As she died, she kept FIGURE 15.6 Research has shown that the stress
repeating “go back where you belong.” produced by marital conflict can produce a decrease in
(Friedman & DiMatteo, 1989, p. 169) immune function.
their disease by means of medication and diet. Justus, Schatzberg, & Lyons, 2005). That is,
When under stress, however, diabetics are less mild stresses early in life may serve to inocu-
likely to regulate their diets and take their medi- late the individual against subsequent stressors.
cation, resulting in an increased risk of serious Recent research has found that the additional
medical consequences (Brantley & Garrett, stimulation can be applied by the mother, not
1993). People are more likely to quit exercising just imposed by an experimenter. Subtle dif-
when under stress, even if the primary reason ferences in maternal behaviour, such as differ-
they began exercising in the first place was to ences in grooming, can lead to enhanced ability
reduce stress (Stetson et al., 1997). Stress may to recover from stress when that animal reaches
also lead to smoking, alcohol and drug use, sleep adulthood (Bagot et al., 2009; Caldji, Diorio, &
loss, undereating and overeating, and other Meaney, 2000; Meaney, 2003). Interestingly,
health-compromising behaviours (Taylor, 2009). female rat pups who received the additional
The stress hormones, such as cortisol, have an early stimulation themselves show differences
important effect on the brain and cognitive func- in maternal behaviour when they eventually
tion (Holsboer & Ising, 2010). The hippocampus, become mothers, and the differences are such
important for learning and memory (as discussed that their pups also grow to recover from stress
in Chapter 3), is especially sensitive to cortisol more efficiently and behave differently as moth-
(Vouimba et al., 2007). Prolonged exposure of the ers (Bredy, Weaver, Champagne, & Meaney,
hippocampus to elevated stress hormone levels 2001; Zhang & Meaney, 2010). That is, once an
leads to deterioration of the hippocampus simi- animal has received the type of early stimula-
lar to that seen in old animals (Landfield et al., tion that enhances their stress-recovery, con-
1978, 1981). Michael Meaney and his colleagues comitant changes in maternal behaviour allow
at McGill University have found that elevated this to be passed from generation to generation.
levels of this stress hormone are associated not Are there comparable phenomena among
only with physical deterioration of the hippocam- humans? Although this research is in an early
pus, but also with memory impairment. A history stage, results indicate that experiences humans
of efficient stress recovery, and so less exposure have when they are young have a lasting impact
of the brain to stress-related hormones, is associ- on stress hormone levels and the efficiency with
ated with preservation of the hippocampus and which a person recovers from stress (Lupien
memory in old age (Bagot et al., 2009; Meaney et al., 2001; Meaney, 2003). Prolonged elevation
et al., 1991). That is, high levels of this stress hor- of stress hormone levels is associated with a num-
mone lead to deterioration of the hippocampus ber of clinical conditions, including depression
and memory function, but a history of low expo- and anxiety disorders (Holsboer & Ising, 2010).
sure can leave an old animal relatively unscathed There is evidence that childhood abuse interferes
by the passage of time. with the ability of the hippocampus to control the
If high levels of stress-related hormones are stress response and this is then associated with an
detrimental, can anything protect us from the increased risk of suicide (McGown et al., 2009).
inevitable stresses of life? Michael Meaney and
colleagues found that if rat pups were given VULNERABILITY AND 9. Differentiate
additional stimulation (daily handling) during
the first week of life, they showed faster recov-
PROTECTIVE FACTORS between
vulnerability
ery from stress during adulthood (Meaney et al., Some individuals seem able to tolerate
and protective
1988). Similarly, work with nonhuman primates extremely demanding stressors over a long
factors, and give
has found that mild early life stress strengthens period of time; others appear to quickly fall examples of
emotional, cognitive, and hormonal resistance prey to even relatively minor stressors. Vulner- each.
to stressors later in life (Parker, Buckmaster, ability factors increase people’s susceptibility
In Review
• Measures of both major negative life events and • Life stress can decrease immune function,
microstressors are associated with negative psy- worsen pre-existing medical conditions, and
chological outcomes. Causal links may be dif- increase the risk of illness and death.
ficult to identify in the relation between negative
life events and psychological distress.
602 CHAPTER FIFTEEN
to stressful events. They include lack of a sup- 16

High support
port network, poor coping skills, tendencies to Low support
High support
become anxious or pessimistic, and other fac- 14
Strength of immune response

tors that reduce stress resistance. In contrast,
12
protective factors are environmental or per-
sonal resources that help people cope more 10
effectively with stressful events. They include
social support, coping skills, and personality 8
factors, such as optimism.
6
Social Support 4
10. What Social support is one of the most important envi-
2
evidence exists ronmental resources (Wills & Shinar, 2000; Suls &
that social Wallston, 2003). The knowledge that we can 0
support is rely on others for help and support in a time of 0.75 1.5 3.0
a protective crisis helps to blunt the impact that stress has Antigen concentration
factor? In what
(Figure 15.7). In contrast, social isolation is an
ways can it FIGURE 15.8 Relation of social support to immune
important vulnerability factor. Studies carried out
protect against function in spouses of cancer patients. Immune cell
stressful events? in the United States, Finland, and Sweden care- activity in response to antigens was greater in spouses
fully tracked the well-being of some 37 000 people high in social support, particularly at high antigen
for up to 12 years. Even after taking into account levels that place people at increased risk.
medical risk factors such as age, smoking, high Source: Data from Baron, R.S., Cutrona, C.E., Hicklin, D.,
blood pressure, high cholesterol levels, obesity, Russell, D.W., & Lubaroff, D.M. (1990). Social support and
and lack of physical exercise, the researchers immune responses among spouses of cancer patients.
Journal of Personality and Social Psychology, 59, 344–352.
found that people with weak social ties were twice
as likely to die during the period of the study as
those with strong ties (House et al., 1988). The support produced more immune cells, particu-
relation between social isolation and poor health larly at high levels of the antigens, than did the
was stronger for men than for women. immune systems of those who indicated lower
One way that social support protects against social support in their lives. These results may
stress is by enhancing immune system function- help to explain why people who have high lev-
ing. Robert Baron and his colleagues (1990) els of social support are more disease-resistant
studied distressed people whose spouses were when they are under stress (Hampson &
being treated for cancer. The participants Friedman, 2008).
agreed to be injected with an antigen so that Social support has a number of stress-
their immune responses could be measured (an buffering benefits apart from enhancing
antigen will trigger an immune reaction). As immune function. First, people who feel that
Figure 15.8 shows, the immune systems of the they are part of a social system experience a
spouses who rated themselves high in social greater sense of identity and meaning in their
lives, which in turn results in greater psycho-
logical well-being (Cohen, 1988; Tix & Frazier,
1998). Second, social networks reduce exposure
to other risk factors, such as loneliness, and
having the backing of others can increase feel-
ings of control over stressors. Finally, friends
can apply social pressure to prevent people
from coping with stressors in maladaptive ways
(e.g., through alcohol or drug use). Any of these
buffering effects can help to counteract the
11. What impact of stressful life events. Social support is
environmental
also explored in this chapter’s Focus on Neuro-
factors make
science feature.
some children
highly resistant Studies of children who have experi-
© Purestock/Getty Images
to stressful enced traumatic events have repeatedly high-
environments? FIGURE 15.7 Social support is one of the strongest lighted the role of social support in helping
protective factors against stress. blunt the impact of the terrible stressors they
Focus on
Neuroscience
THE NEUROSCIENCE control shapes while brain activity was assessed using an
OF SOCIAL SUPPORT fMRI. The researchers found a significant negative correla-
tion between social support and activity in the left amygdala
One of the most consistent findings in the study of phys- when participants viewed threatening facial expressions.
ical and psychological well-being is the profound impact That is, the higher the level of social support the cancer sur-
of social support. Research has consistently found that vivor had, the less activation occurred in their left amygdala
individuals living under stressful conditions benefit from when processing a potential threat. These results support
social support, including profound benefits to their physi- the first suggestion: that those with good social support
cal health. For example, stress can activate the immune appraise situations as less threatening, and they implicate
system and increase the release of substances that lead the amygdala in this. It is worth noting that these are the
to inflammation. With prolonged exposure, these inflamma- same participants referred to earlier who also showed lower
tory substances are known to endanger health. Notably, blood levels of dangerous inflammatory substances. The
they may increase many of the processes involved in the impact of social support on threat-induced activity in the
development and spread of cancer (Muscatell et al., 2016). amygdala is thought to be responsible, at least in part, for
Among breast cancer patients, inflammation is associated the difference in immune system activation.
with a recurrence of the cancer and with increased mortal- Thus, it would appear that one way that social support may
ity. Muscatell and colleagues found that among women who alter the impact of stress is to decrease activity in the amyg-
had been treated for breast cancer there was a significant dala when we process a potentially threatening situation, lead-
negative correlation between social support and the pres- ing to lessened reactivity to that situation. That is, those with
ence of inflammatory substances in their blood (Muscatell good social support process situations as less threatening.
et al., 2016). That is, the higher the level of social support The other explanation, that those with good social sup-
that these cancer survivors had, the lower their levels of port are better able to recover from stress, suggests that
dangerous inflammatory agents and, one would predict, the social support would be associated with changes in brain
better their long-term chance of staying cancer-free. areas that regulate and control the stress response once
Those with good social support live longer, healthier, it is activated. Among the brain areas that can regulate
happier lives. But how does having a friend that you can the stress response, the prefrontal cortex (PFC) is a prime
talk to or someone to give you a hug when you need it candidate. Areas within the PFC help to regulate emotional-
affect your physical health? What is the link between social ity and provide powerful feedback control over the stress
support and how your body and brain function? response helping to shut down the stress response once
Social support may alter our reaction to potential stress- the stress is over (Romeo & McEwen, 2006; Urry et al.,
ors in at least two different ways. Social support may 2006). Thus, social support could be associated with bet-
limit what we consider a threat and hence lead to fewer ter health by acting to modulate activity within brain areas
situations in which we generate a stress response. That is, such as the PFC that allow individuals to control the stress
those with good social support may feel less threatened, response and better recover after the stress.
so they are less likely to interpret a situation as stressful In an interesting study, Naomi Eisenberger and col-
(Cohen & Wills, 1985). Alternatively, social support could leagues (Eisneberger et al., 2007) investigated the role of
lessen the stress response after it has been generated by brain areas, including the PFC, in the association between
allowing more effective coping and recovery (Eisenberger social support and stress. To obtain a measure of social
et al., 2007). That is, individuals with greater social support support, they signalled participants at random times dur-
may respond normally to stress but be better able to then ing the day for 10 days. When signalled, participants were
cope with and recover from that stress. These two explana- to answer a set of questions about the nature of support
tions are not mutually exclusive. Social support could allow received in their most recent social interaction. Partici-
both a more benign appraisal of one’s life and the ability to pants then had brain activity measured using fMRI scans
recover from stress more effectively. while they played “Cyberball.” Cyberball is a game of catch
These two explanations suggest the involvement of dif- played on a computer with three players. Unbeknownst to
ferent brain areas. The first, that those with good social the participant, two of the players were actually controlled
support are less likely to appraise a situation as stressful, by a computer program and the participant being scanned
suggests an involvement of the amygdala. As we saw in was the only real (i.e., human) player. One scan was done
Chapters 3 and 11, the amygdala is well known to play an while all three players (the real player and two computer-
important role in appraising and mediating the response controlled players) played a cooperative game of Cyberball
to threats (LeDoux, 2006). Muscatell et al. (2016) also in which approximately half of the throws went to the human
assessed brain activity in response to a potential threat. participant. In an immediately following game, the human
Participants viewed either threatening facial expressions or
continued
604 CHAPTER FIFTEEN
player received seven throws early in the game and then judges. Participants’ speeches and math performance are
the two computer players stopped throwing the ball to the videotaped and they are told the recordings will be scored.
human player. Participants reported that being excluded As you can imagine, giving a speech with little time to pre-
from the game by the other players generated feelings pare and doing difficult mental arithmetic aloud in front of
of social distress, anxiety, frustration, and irritation. The a panel of evaluators is very stressful. Interestingly, those
researchers found areas within the PFC in which increased who wrote the supportive letter showed significantly less
activity was associated with lower levels of past social sup- sympathetic nervous system activation to the TSST. That is,
port and increased cortisol secretion to the stress of social those who had just engaged in providing social support to a
exclusion. That is, low levels of past social support were close friend were less stressed by the situation.
associated with both a larger stress response and a change Both giving and receiving social support help us deal
in activity in the PFC. These results are consistent with with stress and contribute to our health and well-being (Fig-
the second suggestion, that past social support limits the ure 15.9). We are beginning to understand how receiving
stress response and helps us recover from the stress, and support influences brain activity and how that may then
suggests involvement of the PFC. change the hormonal stress response and activation of
Taken together these studies indicate that receiving the sympathetic nervous system. Both helping others and
social support protects our health by both decreasing our being helped is good for your health.
reaction to potential threats and by improving our recovery
once we are stressed. The brain areas implicated in these
functions include the amygdala and the prefrontal cortex.
In a recent study, Inagaki and Eisenberger (2016) asked
what is in some ways the opposite question: We know that
receiving social support contributes to physical and emo-
tional health, but what about giving social support? Does
giving social support have an impact on how we respond
to stress? In this study, the researchers had participants
either hand-write a letter to a close friend who they thought
needed support or, in the control condition, write about the
route they take to get to school or work. Participants who
wrote the letter of support were instructed to write what they
thought would be the most helpful for their friend, whether SpeedKingz/Shutterstock
that was advice, comfort, emotional support, or some com-
bination of these. After the letters or route descriptions FIGURE 15.9 Research has found that receiving
social support influences functioning of brain areas
were complete, participants were stressed using the Trier
such as the amygdala and frontal cortex, and this
Social Stress Test (TSST). Briefly, in the TSST participants helps to limit and control the stress response. Recent
are given five minutes to prepare a five-minute speech that research has found evidence that giving social support
they then deliver to a panel of judges. Immediately after giv- also decreases the stress response. That is, in the
ing their speech, participants are asked to count backwards interaction shown here there are benefits to both the
from 2083 by 13s, again in front of the non-supportive person being hugged and the hugger.
experienced (Garbarino, 1995; Garmezy, 1983; jobs. She found that some of them responded to
Masten & Coatsworth, 1998; Werner & Smith, their circumstances with psychological distress
1982; see Table 15.2). Summarizing the findings and physical illness, whereas others continued
of her 30-year longitudinal study of such chil- to function well both physically and psycho-
dren, psychologist Emmy Werner noted, “With- logically. How did the two groups differ? The
out exception, all of the children who thrived answer came in the form of three beliefs that
had at least one person that provided them with constituted a stress-protective factor that she
consistent emotional support—a grandmother, termed hardiness. The “three Cs” of hardiness
an older sister, a teacher or a neighbor” (New are commitment, control, and challenge.
York Times, October 13, 1987, p. C11). Hardy people are committed to their work,
12. What three C
their families, and their other involvements,
beliefs underlie Hardiness and they believe that what they are doing is
the protective
factor called In the 1970s, Suzanne Kobasa of the Univer- important. Second, they view themselves as
hardiness? sity of Chicago began an intensive study of having control over outcomes, as opposed to
200 executives who worked in highly stressful feeling powerless to influence events. Finally,
TABLE 15.2 P
ersonal and Environmental simply recovering from distress and adversity;
Factors That Contribute to resilient individuals recover from trauma more
Stress-Resilience in Children quickly and effectively than expected and, in
Source Characteristic some cases, the experience triggers a period of
Individual Good intellectual functioning
positive personal growth (Bonanno et al., 2007).
Resilient individuals use humour, positive emo-
Appealing, sociable, easygoing
disposition
tions, social support, optimism, and positive
thinking to recover (Southwick et al., 2005; and
Self-efficacy, self-confidence,
see Table 15.2 for the characteristics of resilient
high self-esteem
children). Once considered rare, recent research
Talents suggests that resilience is much more com-
Faith mon than expected following trauma and loss
Family Close relationship to caring (Mancici & Bonanno, 2012).
parent figure
Authoritative parenting: warmth, Coping Self-Efficacy
structure, high expectations
When confronted by a stressor, one of the 13. What
Socioeconomic advantages most significant appraisals we make is four types of
Connections to extended whether or not we have sufficient resources information
supportive family networks to cope with the demands (Bandura, 1997; increase coping
Extrafamilial Bonds to prosocial adults Bandura, 2000). Small wonder, then, that self-efficacy?
context outside the family coping self-efficacy—the conviction that
Connections to prosocial we can perform the behaviours necessary to
organizations cope successfully—is an important protective
Attending effective schools factor (Bandura, 1989). Even events that are
appraised as extremely demanding may gener-
Source: Masten, A.S., & Coatsworth, J.D. (1998). The ate little stress if we believe that we have the
development of competence in favorable and unfavorable
environments: Lessons from research on successful skills needed to deal with them.
children. American Psychologist, 53, 205–220, p. 212. Self-efficacy is always specific to the particu-
lar situation: Can I handle these demands? Pre-
vious successes in similar situations increase
they appraise the demands of the situations
efficacy; failures undermine it (Bandura, 1997).
as challenges, or opportunities, rather than as
People also can increase efficacy expectan-
threats. As a result, demanding situations not
cies by observing others cope successfully and
only become less stressful, but they can actually
through social persuasion and encouragement
stimulate higher levels of performance (Kobasa
from others. Finally, experiencing a low level
et al., 1985).
of physiological arousal in the face of a stressor
Of these three hardiness components, con-
can convey a sense of strength and ability to
trol apparently is the strongest active ingredient
cope, demonstrating another way in which
in buffering stress (Funk, 1992; Steptoe, 2000;
arousal can affect appraisal.
Taylor, 2009). A five-year longitudinal study
Feelings of self-efficacy may fortify our bod-
showed that women who felt in control of their
ies as well as our minds against stressful events.
lives did not show increases in future illness
An intriguing finding is that when people experi-
when stress increased, whereas those low in
ence an increase in self-efficacy while confront-
perceived control did (Lawler & Schmeid, 1992).
ing a stressful situation, their immune system
A concept related to hardiness and some-
actually begins to function more effectively
times confused with it is resilience. Whereas
(Wiedenfeld et al., 1992).
hardiness refers to characteristics that help one
cope with stress, resilience refers to unexpect-
edly good recovery, or even positive growth, fol- Optimism
lowing stress, including after extreme adversity Positive affect is linked to better health and 14. What
(Bonanno et al., 2007). A child who grows up in longer life (Pressman & Cohen, 2005), and a evidence is there
critical aspect of positive affect is our view of that optimism
poverty in an abusive family but who becomes
or pessimism
a healthy, successful adult shows resilience. A the future. Our beliefs about how things are
affects the
parent who loses a child and from that experi- likely to turn out also play an important role in response to
ence starts a foundation to help others suffering stress. Optimists have a rosy view of the future, stress?
from a similar tragedy shows resilience. It is not expecting that in the long run, things will work
606 CHAPTER FIFTEEN
out well. Pessimists tend to focus on the black great pressure and are demanding of them-
cloud surrounding any silver lining. Pessimistic selves and others (Shaw, 2000). Their behav-
people are at greater risk for helplessness and iours include rapid talking, moving, walking,
depression when they confront stressful events and eating. They have an exaggerated sense
(Peterson & Park, 1998). Edward Chang (1998) of time urgency and become very irritated at
found that optimists appraised themselves as delays or failures to meet their deadlines (Fig-
being less helpless in the face of stress and ure 15.10). Type A people are also characterized
adjusted better to negative life events than did by high levels of competitiveness and ambition,
pessimists. Recent research indicates that opti- as well as aggressiveness and hostility when
mism is good for your health as well as your things get in their way. They stand in sharp con-
happiness (Peterson & Park, 1998; Carver & trast to those with Type B personality, who
Scheier, 2000). In one study, infectious illnesses are more relaxed, more agreeable, and have far
and number of doctor visits were counted over less sense of time urgency (Strube, 1989). Sev-
a one-year period for optimistic and pessimistic eral large-scale studies suggest that even when
university students. Pessimists had about twice other physical risk factors, such as obesity and
as many illnesses and visits to doctors as did smoking, are taken into account, Type A men
optimists (Peterson & Seligman, 1987). and women have about double the risk for coro-
Another study followed women receiv- nary heart disease (CHD; Haynes et al., 1980;
ing breast cancer treatment for five years. On Rosenman et al., 1975).
average, pessimists died sooner than optimists,
even when the physical severity of the disease
experienced by both groups was the same at
the beginning of the five-year period (Levy FRIDAY
10
MAY JULY
et al., 1989). S M T W T F S S M T W T F S
1 2 3 4 5 6 7 1 2
The increased vulnerability to disease and 8 9 10 11 12 13 14
15 16 17 18 1920 21
3 4 5 6 7 8 9
10 11 12 13 14 15 16
death may lie in a link between pessimism
JUNE
22 23 24 25 262728 17 18 19 20 2122 23
2930 31 24 2526 27 282930
31
and reduced immune functioning in the face
APPOINTMENTS
of stress. A study of law students during the
stressful first year of law school revealed that 8:00
optimists had higher levels of immune system 8:30
functioning (Segerstrom et al., 1998). 9:00
9:30
Longitudinal studies suggest that pessimists
10:00
may suffer more illnesses over their lifetimes
10:30
and may die at younger ages from both natural
11:00
and accidental causes. At age 25, members of the 11:30
Harvard classes of 1939–1944 completed ques- 12:00
tionnaires from which a measure of optimism– 12:30
pessimism was later derived. Since that time, 1:00
they have been studied and have had periodic 1:30
physical checkups. The researchers found that 2:00
pessimism at age 25 predicted poorer health 2:30
beginning at about age 45, perhaps because pes- 3:00
simists (who tend to expect the worst) were less 3:30
likely to engage in self-protective patterns of 4:00
healthy behaviour, such as regular exercise and 4:30
good dietary habits (Peterson et al., 1988). 5:00
5:30
Personality Factors
Can your personality make you more or less FIGURE 15.10 The Type A personality experiences
a constant sense of time urgency as well as irritable
vulnerable to illnesses such as coronary heart
impatience and hostility. The owner of this appointment
disease and cancer? There is increasing evi- book died of a heart attack shortly after the date on
15. Describe dence that the answer is yes. this schedule.
Type A and Type Consider, for example, a personality style
Source: Based on Carver, C.S. & Schler, M.F., Perspectives on
B personalities. known as the Type A personality. Those Personality EDTN 1st Ed. © 1988. Reprinted by permission of
with Type A personality tend to live under Pearson Education, Inc., New York, New York. p. 119.
Not all components of the Type A pattern carefree and careless add up during one’s life
increase vulnerability to CHD. The fast-paced, and can be quite harmful in the end. 16. What is it
about Type A
time-conscious lifestyle and high ambition Considerable evidence exists that personality
patterns that
apparently are not the culprits. Rather, the cru- plays a role in health and longevity (Contrada et increase an
cial component seems to be negative emotions, al., 1999). Researchers continue to explore links individual’s
especially hostile or aggressive feelings. The between personality and health, and their find- risk for health
Type A behaviour pattern virtually guarantees ings may shed important light on psychological problems?
that these people will encounter many stressful processes that can affect physical well-being.
situations, such as time pressures of their own
making and barriers that anger them (Booth- Finding Meaning in Stressful
Kewley & Friedman, 1987; Friedman, 1991).
Life Events
A cynical hostility marked by suspiciousness,
resentment, frequent anger, distrust, and antag- Humanistic theorists emphasize the human
onism seems particularly important (Barefoot need to find meaning in one’s life, and the psy-
et al., 1989; Miller, 2000). This aspect of the chological benefits of doing so (May, 1961;
Type A pattern is likely to alienate others, pro- Watson & Greenberg, 1998; Yalom, 1980). Some
duce conflict, and reduce the amount of social people find personal meaning through spiritual
support they receive. As we discussed earlier, beliefs, which can be a great source of comfort
social support is powerfully related to physical in the face of crises (Mascaro & Rosen, 2006).
and emotional health, so anything that acts to Researchers have studied people who recently
decrease social support is a powerful risk fac- lost a family member to death. In following up
tor for illness. Adding to the risk equation is the with the survivors over a period of 18 months,
tendency of Type A people to overreact physi- the researchers discovered that people who
ologically to events that arouse anger, a biologi- were able to find meaning in the loss experi-
cal factor that may contribute to their tendency enced less distress during the first year. Find-
to develop heart disease (Fichera & Andreassi, ing a sense of meaning from their own process
1998; Taylor, 1999). of coping with the loss (e.g., by growing spiri-
Among the Big Five personality factors tually) had even longer-term positive effects 17. Which
that we discussed in Chapter 14, conscien- (Davis et al., 1998). personality
tiousness seems to have the strongest links to Religious beliefs can be a double-edged factor is most
physical health and longevity. In one study, a sword, however. They can either decrease or strongly linked
large group of children were followed for over increase stress, depending on their nature and to good health?
70 years. Those children who were judged by the type of stressor to which they are applied.
their parents and teachers to be highly consci- In one study of medically ill elderly adults, 18. In what
poorer physical and psychological adjustment ways do spiritual
entious at age 11 have lived significantly longer
occurred in patients who viewed God as pun- and religious
and are about 30 percent less likely to die in any beliefs affect
given year (Friedman et al., 1995). Conscien- ishing them, saw themselves as the victims of
the response to
tious people were less likely to engage in risky demonic forces, expressed anger toward God,
stressful events?
behaviours, and therefore less likely to die from clergy, or church members, or questioned their
violent deaths in accidents or fights. They were faith (Koenig et al., 1998). Religious beliefs may
also less likely to smoke and drink to excess and have positive effects in dealing with some types
more likely to exercise regularly, eat a balanced of stressors but not others. Such beliefs seem to
diet, have regular physicals, and follow medical help people cope more effectively with losses,
prescriptions when ill. Thus, the effects of being illnesses, and personal setbacks. In contrast,
In Review
• Social support is an important protective factor tendency to perceive stressful situations as a
for people who are confronting stressors. Such challenge.
support has both direct and buffering effects • Other protective factors are self-efficacy and
that help people cope with stress. optimism. Spiritual beliefs often help people
• Hardiness is a protective factor against stress. cope more effectively with stressful life events,
Hardy individuals are characterized by com- but cer tain religious beliefs are negatively
mitment, feelings of personal control, and a related to adjustment.
608 CHAPTER FIFTEEN
Stress and Coping

Levels of Analysis
Stress involves complex interactions among environmental, cognitive,
physiological, and behavioural processes. As such, its study occurs at ENVIRONMENTAL
all the levels of analysis that characterize psychological research. • Situational events that exceed an
individual’s resources become stressors.
• Among the situational factors that influence
how stressful an environmental event is likely
to be are severity, predictability, duration,
controllability, and chonicity.
• Social support can increase the ability to withstand
stressors.
BIOLOGICAL
• The autonomic nervous system
and the endocrine system respond to
situational stressors.
• Activation of the stress response allows us
to meet the demands of the stressor.
• Prolonged activation of the stress response can
lead to health problems, including suppression of
the immune system.
PSYCHOLOGICAL
• Cognitive appraisal of demands, resources,
potential consequences, and personal meaning
determine whether a life event becomes a stressor.
• Personality factors such as optimism, self-efficacy,
coping strategies, and social support influence how
resilient to stress a person is.
• Experience, including early experience, can have a lasting
impact on our ability to cope with stress.
Consider a possible interaction between the psychological factor

of optimism and the environmental factor of an uncontrollable
stressor, such as a natural disaster. How would the interaction
of these two factors influence how the person would respond
when the disaster occurred?
FIGURE 15.11
they can increase the negative impact of other I would not be capable of remaining more
stressors such as marital problems and abuse, than a few minutes. . . . I took one pace for-
perhaps by inducing guilt or placing internal ward and stopped abruptly. My voice had
pressures on individuals to remain in the stress- started to fade, my throat closed up and
ful relationship (Strawbridge et al., 1998). the audience was beginning to go giddily
As we now have seen, a variety of biological, round. (Aaron, 1986, p. 24)
cognitive, and environmental factors influences
This account of stage fright was given not by
stress and its effects on us. Figure 15.11 summa-
a novice actor in his first play, but by Sir Lau-
rizes these important influences.
rence Olivier, considered by many to be the
greatest actor of his generation. Few people
COPING WITH STRESS were aware that for most of his career, Olivier
experienced a private hell before every perfor-
My courage sank, and with each succeed- mance. His audiences saw only what happened
ing minute it became less possible to resist once he stepped onto the stage: another flaw-
this horror. My cue came, and on I went to less performance. Olivier had a remarkable
that stage where I knew with grim certainty ability to purge the terror from his mind, relax
his body, and concentrate fully on his role once feature in this chapter). Thus, the man with the
showtime arrived (Aaron, 1986). terminal illness might choose to join a support
Although there are countless ways people group for the terminally ill, and the student 19. Define and
might respond to a stressor, coping strategies might seek help in preparing for the test. give an example
can be divided into the three broad classes of the three
shown in Figure 15.12. (Carver et al., 1989; Effectiveness of Coping major classes
Folkman & Lazarus, 1988; Smith et al., 1999). of coping
Strategies strategies.
Problem-focused coping strategies attempt to
confront and deal directly with the demands of Which of the three general classes of coping
the situation, or to change the situation so that it strategies would you expect to be most gener-
is no longer stressful. Examples include study- ally effective? Whenever we ask this question
ing for a test, going directly to another person in our classes, the majority of students vote
to work out a misunderstanding, and signing up for problem-focused coping. This response is
for a course in time management to deal with understandable, since many people approach
time pressures. problems with the attitude that if something
Rather than dealing directly with the stress- needs fixing, we should fix it.
ful situation, emotion-focused coping strate- What does the research literature say?
gies attempt to manage the emotional responses Charles Holahan and Rudolf Moos (1990) stud-
that result from it. As Figure 15.12 shows, ied coping patterns and psychological out-
some forms of emotion-focused coping involve comes in more than 400 adults over a one-year
appraising the situation in a manner that mini- period. They found that problem-focused coping
mizes its emotional impact. A person might deal methods and seeking social support were asso-
with the stress from an interpersonal conflict by ciated with favourable adjustment to stressors.
denying that any problem exists. Other forms In contrast, emotion-focused strategies that
involve avoidance or acceptance of the stress- involved avoiding feelings or taking things out
ful situation. Thus, a student might decide to on other people predicted depression and poor
deal with anxiety about an upcoming test by adjustment. Other studies have yielded similar
going to a party and forgetting about it. Or, results. Among both children and adults, and
informed that he has a terminal illness, a man across many different types of stressors, emo-
might simply accept grim reality, realizing that tion-focused strategies that involve avoidance,
there is nothing that can be done to change the denial, and wishful thinking seem to be related to
situation. less effective adaptation (Aldwin, 2007; Ben-Zur,
A third class of coping strategies involves 2009). There are, however, adaptive emotion-
seeking social support—that is, turning to focused strategies, such as identifying and
others for assistance and emotional support in changing irrational negative thinking and learn-
times of stress (see the Research Foundations ing relaxation skills to control arousal. Physical
Coping Strategies
Problem-focused Emotion-focused Seeking social

coping coping support
• Planning • Positive reinterpre- • Help and guidance

• Active coping and tation • Emotional support
problem-solving • Acceptance • Affirmation of
• Suppressing • Denial worth
competing activities • Repression • Tangible aid (e.g.,
• Exercising restraint • Escape–avoidance money)
• Assertive • Wishful thinking
confrontation • Controlling feelings
FIGURE 15.12 Coping strategies fall into three general categories: (1) problem-focused coping, consisting of
active attempts to respond to situational demands; (2) emotion-focused coping, directed at minimizing emotional
distress; and (3) seeking or accepting social support.
610 CHAPTER FIFTEEN
Research
Foundations
STRESS, PHYSICAL CONTACT, AND experimental conditions in random order (as compared with
HEALTH: I WANNA HOLD YOUR HAND a between-groups design in which participants are randomly
assigned to only one experimental condition). At the end of
Introduction each trial block, the woman rated how unpleasant the situa-
Social isolation has emerged as a major health risk. Among tion was and how much fear arousal she was experiencing.
married people, higher marital quality is associated with
Results
lower rates of infectious illness, faster recovery from injury,
and a lower rate of mortality (Robles & Kiecolt-Glaser, Two sets of dependent variables were measured. One was
2003). A likely mechanism for the protective effects of sup- the women’s ratings of unpleasantness and fear arousal.
portive relationships is their effect on emotional respond- The innovative feature of this study was that the research-
ing. Good marital relationships provide security and support ers also scanned the brain to measure how much activity
that reduce negative emotional responding in the face of occurred in 17 cortical and subcortical areas known to be
threat. In this study, the effects of a spouse’s physical involved in fear and emotional control. They compared brain
expression of support (in this case, hand-holding) on both activity on threat and safety trials during the three experi-
self-report and neural responses to a threatening situation mental periods.
were assessed. As shown in Figure 15.13, the women’s subjective experi-
ences of threat and fear-arousal differed in the experimen-
Method tal conditions. When spouses were holding their hands,
Sixteen highly satisfied married couples agreed to take part they found the situation less unpleasant than when their
in the study and received payment for their participation. hands were being held by a stranger or not at all. They
The couples were told that, as part of the study, the wife also reported less physiological arousal when their spouses
would receive a number of electric shocks while her brain held their hands, but having one’s hand held by a stranger
responses were monitored. Functional MRI (fMRI) was used also reduced arousal somewhat.
to provide an ongoing measure of the brain’s response to As expected, the brain’s emotional response was signifi-
the experimental procedures. After being acclimated to the cantly lower during the safety trials than during the threat
scanning device in a first session and completing measures trials. More important, the fMRI recordings of brain activa-
of marital satisfaction, the couples returned for a second tion yielded dramatic proof that social support, particularly
session in which the experiment was conducted. from a spouse, reduces the brain’s response to threat. In
As the woman lay in the scanner, shock electrodes were all, eight areas of the brain showed significant differences
attached to her ankle and the woman watched a black panel during the experimental conditions, and in all instances,
on which either of two visual displays occurred. If a red X the spouse’s hand-holding was associated with the lowest
appeared (the threat cue), the woman knew that there was a activation. However, hand-holding by a stranger was also
20 percent chance that she would receive a painful electric associated with less activation.
shock at the end of a ten-second waiting period. If a blue O One other important finding occurred. Despite the fact
occurred (the safety cue), she knew that she would not be that all the couples were in satisfying marriages, the
shocked on that trial. Each woman received a shock on ran- researchers found that even in this restricted marital-satis-
dom trials after 20 percent of the threat cues. faction group, satisfaction scores were significantly corre-
In random order, 12 threat cues and 12 safety cues lated with reduced brain activation on the threat trials when
occurred within each of three blocks of trials that made up the woman was holding the spouse’s hand. This relation did
the experimental conditions. Support occurred in the form not occur when the woman held a stranger’s hand.
of having one’s hand held during the procedure, a behav-
Discussion
iour that is used to express soothing and support in both
humans and primates under conditions of threat. In one The stress-buffering role of social support is well estab-
block of trials, the wife held the hand of her spouse. In a lished, but how and where in the brain it produces its pro-
second block of trials, an anonymous and unseen male tective effects is largely unknown. This study not only
experimental assistant held the woman’s hand. In the third supports the stress-buffering effects of a quality marital
block, no one held the woman’s hand. The order of expo- relationship, but also points to places in the brain where the
sure to the three experimental conditions was systemati- effect is manifested, thereby increasing our understanding
cally varied (i.e., counterbalanced) to control for potential of brain mechanisms of emotion and emotional control. One
order effects. In this within-par ticipants experimental structure that was sensitive to marital quality was the hypo-
design, each woman was therefore exposed to all three thalamus, which plays a major and widespread role in the
continued
3 3
Mean unpleasantness rating
Mean bodily arousal

2.5 2.5
2 2
1.5 1.5
No Hand Spouse Stranger No Hand Spouse Stranger
Condition Condition
(a) (b)
FIGURE 15.13 Mean ratings of unpleasantness (a) and bodily arousal (b) when the participant’s hand was not being held
(No Hand) or being held by a spouse or a stranger.
Source: Adapted from Coan, J.A., Schafer, H.S., & Davidson, R.J. (2006). Lending a hand: Social regulation of the neural response to threat.
Psychological Science, 17, 1032-1039. Reprinted by permission of SAGE Publications.
release of stress hormones that adversely affect immune

function and emotional arousal. The finding that spousal
Design
hand-holding depressed hypothalamic activation may help Question: When women face a threatening
to explain links found in other research between marital situation, does physical contact with a loved one
quality and health. reduce their stress response?
Like many important studies, this research raises addi-
tional questions. Would the same findings occur if the
husband were being shocked and the wife was doing the
hand-holding? What would occur in couples who had less- Independent
Variables Dependent
happy marriages than the participants in this study? Would
Support condition, Variables
other, nonmarital intimate relationships and friendships pro-
three types 1. S
ubjective rating
duce similar effects? Another question arises from our dis- of unpleasantness
• hand held by a
cussion of adult attachment styles in Chapter 14. Given the spouse 2. S
ubjective rating
high levels of marital satisfaction in the couples who were • hand held by a of bodily arousal
studied, we might assume that most of them had secure stranger 3. B
rain activation
• hand not held patterns measured
attachment styles. Therefore, the buffering effect of spou-
during a threatening by using fMRI
sal soothing and support could well vary according to the
situation
attachment styles of the participants, which are known to
produce individual differences in how people relate to oth-
ers while under stress (Mikulincer & Shaver, 2009).
These and other questions await further investigation. which the stress-buffering and health-enhancing effects
In the meantime, this study provides important informa- of social soothing and high-quality attachment relation-
tion about the neural systems and processes through ships occur.
Source: Coan, J.A., Schaefer, H.S., & Davidson, R.J. (2006). Lending a hand: Social regulation of the neural response to threat. Psychological
Science, 17, 1032–1039.
exercise is also well-established for effectively Despite the evidence generally favouring
reducing stress (Aldwin, 2007). These emotion- problem-focused coping strategies, attempts to
focused methods can reduce stress responses change the situation are not always the most
without avoiding or distorting reality, and adaptive way to cope with a stressor. When we
can be effective ways of dealing with stress cannot change the situation, problem-focused
(Chiauzzi et al., 2008). coping may do us little good and could even
612 CHAPTER FIFTEEN
Frontiers
MINDFULNESS AND THE STRESSES Although rewarding in many ways, teaching has been
OF TEACHING found to be a particularly stressful occupation (Johnson
et al., 2005). The high social, cognitive, and emotional
As we have seen, stress can exact a devastating toll on demands of working with up to 30 children or youth at
a person’s physical and psychological well-being. A wide one time, having to maintain high levels of attention for
range of techniques for protecting oneself from the rav- prolonged periods, the need for flexibility and creativ-
ages of stress have been explored. One approach, mindful- ity, the workload, and management of difficult students
ness, has received increasing attention in recent years. Jon are among the factors that contribute to high levels of
Kabat-Zinn, a pioneer in this approach, defined mindfulness stress and the risk of burnout among teachers (Roeser
as “Paying attention in a particular way: on purpose, in the et al., 2012).
present moment, and nonjudgmentally” (Kabat-Zinn, 1994, In an interesting recent study, Robert Roeser and col-
p. 4). That is, mindfulness has three interrelated compo- leagues assessed the impact of mindfulness training on
nents (Roeser et al., 2013). The first is to be fully and delib- elementary and secondary school teachers in western
erately aware of your environment, emotions, thoughts, and Canada and the United States (Roeser et al., 2013). The
actions—no running on auto-pilot. The second is to focus mindfulness training program lasted 11 sessions spread
your attention on the current moment rather than ruminat- over eight weeks, and included guided mindfulness and
ing on the past or anticipating the future. Finally, it includes yoga practice, group discussions of mindfulness, small
experiencing each moment as it is without judgment or bias group practice sessions, two lectures about mindful-
based on expectations, wishes, or fears. Mindfulness train- ness, and a series of homework assignments in which the
ing has similarities to some forms of Buddhist meditation, participants applied some aspect of mindfulness train-
but is independent of any religious context. ing to their teaching each week. Teachers were randomly
Mindfulness has been found to be useful in helping assigned to either mindfulness training or a wait-list con-
reduce stress, regulate emotions, and improve health and trol; 54 teachers were assigned to the mindfulness group
well-being (Carmody & Baer, 2008; Khoury et al., 2013). For and 59 to a wait-list control. At the start of the study, the
example, Tavis Campbell, Linda Carlson, and colleagues at two groups did not differ significantly in age, teaching
the University of Calgary tested the effects of mindfulness- experience, or any of the stress-related measures. The
based therapy with female cancer patients. They found that impact of mindfulness training was assessed immediately
mindfulness-based therapy led to fewer recurrent, past-ori- after the training was completed and again at a three-
ented negative thoughts about oneself (i.e., less rumination), month follow-up.
and lower blood pressure for those whose blood pressure The researchers found that mindfulness training resulted
had been high (Campbell et al., 2012). Mindfulness training in a decrease in self-reported job stress, and in fewer symp-
is starting to be used with many different groups, including toms of anxiety and depression both post-training and at the
those who experience high levels of work-related stress. three-month follow-up (Figure 15.14). Teachers who received
Occupational Stress Anxiety Depression

3.75 32
50
Self-reported job stress
3.5
Statte-Trait Anxiety
Beck Depression
Inventory score
45 28
Inventory score
3.25
40
3
24
2.75 35
2.5 30 20
Pretest Posttest Follow-up Pretest Posttest Follow-up Pretest Posttest Follow-up
Mindfulness training Wait-list control
FIGURE 15.14 The impact of mindfulness training on elementary and secondary school teachers in Canada and the United
States. Mindfulness training had a beneficial impact on occupational stress, and on symptoms of anxiety and depression; all three
were lower among teachers who received mindfulness training than among teachers in a wait-list control group. The graphs show
mean pretest, post-training, and three month follow-up scores for each group.
Source: Data from Data from Roeser, R.W., Schonert-Reichl, K.A., Jha, A., Cullen, M., Wallace, L., Wilensky, R., Oberle, E., Thomson, K., Taylor, C., &
Harrison, J. (2013). Mindfulness training and reductions in teacher stress and burnout: Results from two randomized, waitlist-control field trials.
Journal of Educational Psychology, 105, 787–804.
continued
mindfulness training also reported fewer symptoms of burn- improvement in the teachers’ well-being is not only a ben-
out such as emotional exhaustion, depersonalization, and efit to them, but you would expect that it will also benefit
an absence of feeling of accomplishment. There was also their students. As a result of mindfulness training, the
a small but significant positive impact of mindfulness train- teachers experienced less occupational stress and fewer
ing on a measure of focused attention and working memory symptoms of burnout, anxiety, and depression, and can
capacity. The researchers did not find an effect on resting thus better meet the cognitive, emotional, and social
heart rate or blood pressure. demands of teaching (Roeser et al., 2013). This should
Mindfulness training helped teachers deal more lead to a better learning environment for the students, and
effectively with the stresses of their occupation. The a healthier one for the teachers.
Source: Roeser, R. W., Schonert-Reichl, K. A., Jha, A., Cullen, M., et al. (2013). Mindfulness training and reductions in teacher stress and burnout:
Results from two randomized, waitlist-control field trials. Journal of Educational Psychology, 105, 787–804.
make things worse. In such cases, emotion- Another concerning maladaptive cop-
focused coping may be the most adaptive ing strategy is self-injury. Self-injury, also
approach we can take; if we cannot master the called self-harm, is deliberately harming one-
situation, we can prevent or control maladap- self without suicidal intention. Cutting is the
tive emotional responses to it (Auerbach, 1989; most common form of self-injury, but burning,
Taylor, 1991; and see the Frontiers feature in scratching or preventing wounds from heal-
this chapter). Of course, reliance on emotion- ing, hitting, hair pulling, and ingesting toxic or
focused coping is likely to be maladaptive if it inedible substances also occur (Muehlenkamp,
prevents us from acting to change situations in 2005; Nixon, 2008). Self-injury is often asso-
which we actually do have control. ciated with a history of emotional or sexual
The important principle is that no coping abuse (Moskowitz et al., 2013). It can occur at
strategy or technique is equally effective in all any age but is most common among adoles-
situations. Instead, effectiveness depends on cents (Nixon et al., 2008). Although the reasons
the characteristics of the situation, the appro- for self-injury are complex and not fully under-
priateness of the technique, and the skill with stood, in some cases self-injury is used as a
which it is applied. People are likely to adapt coping mechanism to provide temporary relief
most effectively to the stresses of life if they from intense feelings of anxiety and stress
have mastered a variety of coping techniques (Nixon et al., 2008).
and know how and when to use them most
effectively.
There are some coping strategies that are not
Bottling Up Feelings: The Costs
only ineffective, but dangerous. One too com- of Constraint
mon means of dealing with stress is to use a Is there any truth to the popular wisdom that
20. Can disclosing
drug, often alcohol, to regulate negative stress- when we are stressed out and upset, it’s good to
upsetting
induced emotions (Gottfredson & Hussong, talk with someone about it? Denise Sloan and experiences to
2013). Such use of an unprescribed drug to Brian Marx (2004) studied college students who others enhance
alleviate stress, anxiety, or other symptoms is had experienced traumatic life events. The stu- well-being? Cite
referred to as self-medication. The image of a dents completed measures of stress symptoms relevant data.
person returning from a stressful workday and and depression, and reported the number of
immediately pouring a glass of whiskey, grab- days that they had been sick since the begin-
bing a beer, or preparing a martini to “unwind” ning of the school term. In an experimental con-
is so common that it is a standard scene in mov- dition, participants were then asked to write
ies, plays, and television shows—and in many about the traumatic event, whereas participants
peoples’ lives. Alcohol, a depressant, lessens the in a control condition did an unrelated task.
emotional impact of stress, including symptoms Physiological arousal was recorded while par-
of PTSD (Kaysen et al., 2013). This promotes ticipants performed their respective tasks.
future self-medication with alcohol because of One month later, the students again com-
negative reinforcement (Miranda et al., 2002) pleted the measures of psychological symptoms
and can lead to increasing alcohol consumption, and sick days. Although students had not dif-
with all of the associated health risks. fered from one another initially, they did differ
614 CHAPTER FIFTEEN
40 9
30 Disclosure 8 Disclosure
Control Control
Mean percentage change

20 7
10 6
Mean sick days

0 5
–10 4
–20 3
–30 2
–40 1
0
Stress Depression Baseline Follow-up
(a) Symptoms (b) Time
FIGURE 15.15 Does disclosure help? These data show the effects of written disclosure concerning a previous
traumatic life event on (a) subsequent stress symptoms, depression, and (b) number of self-reported sick days.
Source: Based on Sloan, D.M., & Marx, D. (2004). A closer examination of the structured written disclosure procedure. Journal of
Consulting and Clinical Psychology, 72, 165–175.
at the one-month follow-up. Those who had writ- strategies (Suls & Wallston, 2003; Taylor, 2009).
ten about their trauma showed significantly In one recent study, suppressing one’s emotions
lowered stress and depression scores, and they was associated with poorer self-reported health
also had missed fewer classes during that month and greater stress among women with breast
(Figure 15.15). Sloan and Marx (2004) concluded cancer (Tamagawa et al., 2013).
that cues that accompanied the trauma became
conditioned stimuli that trigger distress. Writing Gender, Culture, and Coping
21. How do or talking about the traumatic event provides Many factors, including gender roles and culture,
gender and exposure to these cues and the exposure allows influence our tendency to favour one coping strat-
cultural factors extinction to occur (see discussions of exposure egy over another. Although men and women both
affect the therapy in Chapter 17). Recent research, how- use problem-focused coping, men are more likely
tendency to use ever, suggests that the impact of disclosure less- to favour it as the first strategy they use when
particular coping ens over time (Sloan, Fienstein, & Marx, 2009). they confront a stressor (Matud, 2004; Tamres,
strategies?
If expressing one’s emotions can have benefits, Janicki, & Helgeson, 2002). Women, who tend to
what is the impact of keeping one’s feelings bot- have larger support networks and higher needs
tled up? While constantly venting strong negative for affiliation than men, are more likely than men
feelings is not a good way to make friends and to seek social support (Billings & Moos, 1984;
influence people, an inability to express nega- Schwarzer, 1998). Women also are somewhat
tive feelings can also have its costs. Some studies more likely than men to report using emotion-
have reported relations between cancer develop- focused coping (Carver et al., 1989; Pearlin &
ment and the use of denial or repressive coping Schooler, 1978). This general pattern of coping
In Review
• Three major ways of coping with stressors are • The ability to appropriately express one’s emo-
problem-focused coping, emotion-focused cop- tions is associated with healthier stress man-
ing, and seeking social support. agement, while bottling up ones’ emotions may
• Problem-focused coping and seeking social sup- present a health risk.
port generally relate better to adjustment than • Both gender and culture influence coping strate-
emotion-focused coping. However, the outcome gies. Men tend to use problem-focused coping
of a coping strategy depends on its appropriate- more while women tend to use social support
ness to the situation and the skill with which it is and emotion-focused coping. Those in collectiv-
carried out. In situations involving low personal ist cultures tend to favour social support and
control, emotion-focused coping may be the emotion-focused coping.
most appropriate and effective strategy.
preferences is consistent with the socialization During the 1960s and 1970s, evidence began
that boys and girls traditionally experience. In to accumulate that psychological factors were
most cultures, boys are pushed to be more inde- critically involved in physical health. By the
pendent, assertive, and self-sufficient, whereas late 1970s, research had been published on
girls are expected to be more emotionally expres- the behavioural treatment or management of
sive, supportive, and dependent (Chaplin, Cole, & pain, enuresis, migraine headaches, sexual dys-
Zahn-Waxler, 2005; Tsai et al., 2007). function, essential hypertension, presurgery
Cultural differences in coping have also apprehension and postsurgery recovery, alco-
been found. North Americans and Europeans hol abuse, and obesity. Evidence supporting
show a tendency to use problem-focused cop- the importance of psychological factors in the
ing more than do Asian and Hispanic peoples development of coronary heart disease, hyper-
(Essau & Trommsdorff, 1996; Tsai, Levenson, & tension, and a variety of stress-related medi-
McCoy, 2007). The latter two groups tend to cal disorders had also appeared (Matarazzo,
favour greater use of emotion-focused coping 1980). In 1979, the Surgeon General of the
and social support. Asians also show a greater United States issued a report that concluded
tendency to avoid the stressful situation, par- that improvements in health are more likely to
ticularly interpersonal stressors, reflecting their result from efforts to prevent disease and pro-
culture’s emphasis on interpersonal harmony mote health than from new drugs and medical
(Elliot, Chirkov, Kim, & Sheldon, 2001). technologies (U.S. Public Health Service, 1979).
That conclusion is borne out by comparing 22. What
HEALTH PROMOTION the leading modern causes of death in North changes have
AND ILLNESS America to those in 1900. As Figure 15.16 indi- occurred in the
major causes of
cates, the leading culprits in Canada have
PREVENTION changed from influenza, pneumonia, tubercu- death since the
beginning of the
Over 99 per cent of us are born healthy losis, and gastroenteritis to cancer, heart dis-
20th century?
and made sick as a result of personal mis- ease, and stroke. The major killers of the early How do these
behavior and environmental conditions. 1900s have been largely controlled by medi- changes suggest
(Knowles, 1977, p. 58) cal advances. In contrast, the death rate has the potential
Death rates per 100000 contributions
of health
psychology?
202.2 Influenza and pneumonia 210.9 Cancer
194.4 Tuberculosis, all forms 146.1 Cardiovascular diseases
142.7 Gastroenteritis/diarrhea 41.8 Stroke
137.4 Diseases of the heart 32.2 Respiratory diseases
106.9 Stroke 30.4 Accident
81.0 Liver disease 20.5 Diabetes mellitus
72.3 All accidents 18.6 Alzheimer’s disease
64.0 Cancer 17.3 Pneumonia, influenza
62.6 Certain diseases of early infancy 11.5 Suicide
40.3 Diphtheria 10.7 Kidney disorders
0 100 200 300 0 100 200 300

1900 2012
(a) (b)
FIGURE 15.16 The top 10 leading causes of death in North America in 1900 (a) and in 21st-century Canada (b).
Modern causes of death are more attributable to health-endangering behaviours, whereas in the past, infectious
diseases were the leading causes of death.
Sources: Based on data from Sexton, M.M. (1979). Behavioral epidemiology. In O.F. Pomerleau & J.P. Brady (Eds.), Behavioral
Medicine: Theory and Practice. Baltimore, MD: Williams & Wilkins.; Murphy, S.L. (2000). Deaths: Final data for 1998. National Vital
Statistics Reports (NCHS), 26, 73.; Centers for Disease Control and Prevention. (2002). Statistics on addictive behaviors. Atlanta,
GA; Statistics Canada (2015), Leading causes of death, total population, by age group and sex, Canada. CANSIM table 102-0561.
616 CHAPTER FIFTEEN
TABLE 15.3 Behavioural Risk Factors for the Leading Causes of Death in North America
Disease Risk Factors
Heart disease Tobacco, obesity, elevated blood pressure, cholesterol, sedentary lifestyle
Cancer Tobacco, improper diet, alcohol, environmental exposure
Cerebrovascular disease (stroke) Tobacco, elevated blood pressure, cholesterol, sedentary lifestyle
Accidental injuries Safety belt non-use, alcohol, home hazards
Chronic lung disease Tobacco, environmental exposure
Source: Based on McGinnis, M. (1994). The role of behavioral research in national health policy. In S.J. Blumenthal, K.
Matthews, & S.M. Weiss (Eds.), New research frontiers in behavioral medicine: Proceedings of the national conference.
Washington, DC: NIH Publications.
doubled for heart disease and tripled for can- serve to maintain or increase health. Such behav-
23. What are
cer since 1900. As shown in Table 15.3, these iours include exercise, healthy dietary habits,
the two major
categories of diseases and today’s other killers are strongly safe sexual practices, regular medical check-
health-related influenced by behavioural factors. Health ups, and breast and testicular self-examination.
behaviours? Give authorities estimate that half the early mortal- Health-compromising behaviours are those
an example of ity (deaths occurring prior to the life expec- that promote the development of illness. They
each type. tancy age within a culture) from the ten include smoking, fatty diets, a sedentary life-
leading causes of death can be traced to ciga- style, and unprotected sexual activity. Psycholo-
rette smoking, excessive alcohol consumption, gists have developed programs that are focused
insufficient exercise, poor dietary habits, use on both categories.
of illicit drugs, failure to adhere to doctors’
instructions, and other self-defeating behav-
iours, such as risky sex practices and failure
How People Change:
to wear auto seat belts (Centers for Disease The Transtheoretical Model
Control, 1994; Taylor, 2009). To increase health-enhancing behaviours
24. Describe the Recognition of the crucial role that behaviour and reduce health-impairing ones, we need to
transtheoretical
plays in health maintenance has added impetus understand the processes that underlie behav-
model and the
rationale for to the field of health psychology, which stud- iour change in general. In the 1980s, psycholo-
stage-matched ies psychological and behavioural factors in the gists James Prochaska and Carlo DiClemente
interventions. prevention and treatment of illness and in the began to study the process that occurs as peo-
maintenance of health (Elovainio & Kivimaki, ple modify their thoughts, feelings, and behav-
2009). Research by psychologists has helped to iours in positive ways, either on their own or
identify many of the psychological and social with professional help. Their research resulted
causes of risky health behaviours, and the clear in a transtheoretical model that identi-
need for lifestyle interventions has spurred fied six major stages in the change process
attempts around the world to promote positive (DiClemente, 2003; Prochaska & DiClemente,
changes in such behaviours (Suls & Wallston, 1984). The model, shown in Figure 15.17, does
2003; Taylor, 2009). This effort is also driven by not assume that people go through the stages in
attempts to contain rising medical costs. Total a smooth sequence. Longitudinal studies have
health care costs in Canada have risen from $37 shown that many people move forward and
billion in 1984 to over $137 billion in 2009 (Cana- backwards through the stages as they try to
dian Institutes for Health Information, 2009). change their behaviour over time, and many
That equates to $4089 per person for health care people make repeated efforts to change before
costs in Canada in 2009. With Canada’s aging they finally succeed (Davidson, 1998; Burk-
population, health care costs are expected to holder, Evers, Burbank, & Riebe, 2002). It is
continue to increase. Prevention of illness by assumed, however, that failure at a given stage
modifying people’s health behaviour before is likely to occur if the previous stages have not
they ever become ill has the potential to result been mastered.
in both financial savings and the avoidance of The first stage is precontemplation. In this
illness-produced human distress. stage, people have no desire to change their
Health-related behaviours fall into two main behaviour. Often, they don’t perceive them-
categories. Health-enhancing behaviours selves as having a problem, or they deny that
Stages of Change or effort involved, contemplators will not take

action.
Precontemplation
In the preparation stage, people have
Problem unrecognized or decided that they want to change their behav-
unacknowledged iour but have not actively begun to do so. Typi-
cally, they are developing a plan to take action
within the next month to accomplish the change.
Contemplation People in this stage have often begun making
Recognition of problem; small changes, such as reducing the number
contemplating change of cigarettes they are smoking or identifying
conditions that affect the behaviour they want
to change.
Preparation In the action stage, people actively begin to
modify their behaviour and their environment.
Preparing to try to change behaviour
For example, they stop smoking altogether.
Success at this stage hinges on the behaviour
control skills necessary to carry out the plan of
Action
action. The action stage requires the greatest
Implementing change strategies commitment of effort and energy.
If the person has been successful in avoiding
relapse and has controlled the target behaviour
Maintenance for six months, he or she is in the stage of main-
tenance. This does not mean that the struggle is
Behaviour change is being maintained
over. Many people lapse back into their former
behaviour pattern at various times, as would be
expected when one is trying to change deeply
Termination
ingrained habits. The big challenge is not to give
Permanent change; no maintenance up when a lapse occurs and abandon the change
efforts required program. It typically takes smokers three to
five cycles through the action stage before they
FIGURE 15.17 The transtheoretical model identifies finally beat the habit, and New Year’s resolu-
a series of phases through which people pass as they tions are typically made for five or more consec-
modify their behaviour. People may move up and down utive years before they are finally carried out
through the stages several times before they reach the
successfully (Prochaska et al., 1994; Schachter,
final stage of termination.
1982). The message is clear: If at first you don’t
Source: Prochaska, J.O., Johnson, S., & Lee, P. (1998). “The succeed, don’t give up. Instead, acquire the
transtheoretical model of behavior change.” In S.A. Shumaker &
E.B. Schron (Eds.), The handbook of health behavior change behavioural skills you need to succeed.
(2nd ed.). New York, NY: Springer. The final stage, termination, occurs when
the change in behaviour is so ingrained and
their behaviour has negative consequences. under personal control that the original problem
For example, public opinion polls suggest that behaviour will never return. It is the ultimate
there may be as many as 10 million people in goal for all people who seek change.
the United States who still refuse to believe that The transtheoretical model is important
smoking leads to premature death (Prochaska because it helps us understand how people
et al., 1994). Some precontemplators who do change and it has important applied implications.
perceive a problem feel powerless to change For example, we know that different interven-
their behaviour, so they have no inclination tion procedures are needed for people at various
to try. stages. Psychologists have therefore developed
Some precontemplators move on to the ways of determining what stage people are in so
stage of contemplation. Here the person per- that they can apply stage-matched interventions
ceives a problem or the desirability of a behav- designed to move the person toward the action,
iour change but has not yet decided to take maintenance, and termination stages. Precon-
action. Thus, some smokers are well aware of templators need consciousness-raising informa-
the health risks of their habit, yet they are not tion that finally convinces them that there is a
ready to make a decision to quit. Until the per- problem, as well as social support to change
ceived benefits of changing outweigh the costs (DeVries et al., 1998). Contemplators often need
618 CHAPTER FIFTEEN
a “wake-up” emotional experience that increases between 55 and 64 (Belloc, 1973). Let’s examine
their motivation to change or causes them to some of these health-enhancing behaviours and
re-evaluate themselves in relation to the behav- what can be done to encourage them.
iour. For example, a serious auto accident while
intoxicated may finally convince a problem Exercise
drinker that this behaviour has to change. In the The couch potato lives! (But apparently, not
preparation stage, the person needs to develop a very long.) A sedentary lifestyle is a significant
specific plan (ideally based on the goal-setting risk factor for a variety of health problems,
procedures described in Chapter 14) and have including coronary heart disease, diabetes, and
the skills to carry it out before action is likely to obesity (Taylor, 2009). Despite this widely pub-
be successful. Only when the person is ready for licized fact, only about a third of adult North
the action stage are change techniques, however Americans engage in regular physical activity
powerful, likely to have their intended effect. (Ehrman, 2003; National Center for Health Sta-
tistics, 2008). Inactivity has helped to double the
Increasing Behaviours rate of obesity since 1900, despite a 10 percent
decrease in daily caloric intake over the same
That Enhance Health period (Friedman & DiMatteo, 1989).
During the 1970s, the role of behaviour in main- Aerobic exercise is sustained activity,
25. What
taining health and living longer became evi- such as jogging, swimming, and bicycling,
is aerobic
exercise? What dent as researchers began to study the effects that elevates the heart rate and increases the
evidence is there of lifestyle. Figure 15.18 shows the results of body’s need for oxygen. This kind of exercise
that it promotes one longitudinal study of nearly 7000 adults. has many physiological benefits. In a well-
health and The researchers studied the relation of seven conditioned person, the heart beats more slowly
longevity? good-health practices to life expectancy. These and efficiently, oxygen is better utilized, choles-
included sleeping seven to eight hours per day, terol levels may be reduced, faster adaptation to
eating breakfast, not smoking, rarely eating stressors occurs, and more calories are burned
between meals, being at or near one’s prescribed (Baum & Posluszny, 1999; de Geus, 2000).
body weight, engaging in regular physical Exercise is associated with both physi-
activity, and drinking only small to moder- cal health and longevity (Figures 15.18 and
ate amounts of alcohol. For men and women 15.19). A study that followed 17 000 Harvard
alike, these behaviours predicted a longer undergraduates into middle age revealed that
life. A higher mortality rate among those with death rates were one-quarter to one-third lower
poor health practices began to appear in men among moderate exercisers than among those
between the ages of 45 and 64 and in women in a less active group. Surprisingly, perhaps,
1.0
Male Female
0.9
Proportion dying in 5.5 years
0.8 Total number of

health practices
0.7
0–3
0.6 4–5
0.5 6–7
0.4
0.3
0.2
0.1
0.0
Under 45– 55– 65– 75– 85+ Under 45– 55– 65– 75– 85+
45 54 64 74 84 45 54 64 74 84
Age (years)
FIGURE 15.18 Relation between the number of positive health practices and longevity in men and women. Those
who adhered to few of the health practices experienced earlier mortality, with the pattern appearing earlier for men
than for women.
Source: Adapted from Belloc, N.B. (1973). Relationship of health practices and mortality. Preventive Medicine, 2, 67–81.
70 a short period. When employers offer exer-

Men 26. How large
cise programs to their employees, it is uncom-
Women are exercise
60 mon for more than 30 percent of employees to
dropout rates?
participate. On the one hand, dropout rates of What factors
Death rate (per 10 000 population)
50 percent within six months are quite typical predict dropout

50
in virtually all the exercise programs that have and compliance?
been studied (Dishman, 1988; Chenoweth, 2002).
40 On the other hand, people who are able to per-
sist for three to six months are likely to con-
30 tinue, since exercise becomes a healthy habit
(McAuley, 1992).
20 What factors predict dropout? This research
question is important because, once the risk
10 factors are identified, measures can be taken
to counteract them. Research has shown that
general attitudes toward physical fitness do not
Low Medium High
predict adherence or dropout; the attitudes of
Fitness category
dropouts and people who adhere to their exer-
cise programs are equally favourable (Suls &
FIGURE 15.19 Aerobic exercise is an important Wallston, 2003). However, low self-efficacy
health-enhancing behaviour that contributes to physi- for success in exercising regularly (“I can’t do
cal well-being. Significantly higher death rates occur for this”), Type A personality (“Sorry, too busy to
both men and women who are low in physical fitness. exercise”), inflated estimates of current physi-
Source: Based on Blair, S.N., Kohl, H.W., III, Paffenbarger, cal fitness (“I’m already in great shape from
R.S., Jr., Clark, D.G., Cooper, K.H., & Gibbons, L.W. (1989). walking from my couch to the refrigerator”),
Physical fitness and all-cause mortality: A prospective study
of healthy men and women. Journal of the American Medical and inactive leisure-time pursuits (such as
Association, 262, 2395–2401. watching TV and walking to the refrigerator)
all predict dropout (Martin & Dubbert, 1985;
very high levels of exercise were not associated Wilcox & Storandt, 1996). The strongest social-
with enhanced health; instead, moderate exer- environmental factor related to dropout is lack
cise (burning 2000 to 3500 calories per week) of social support from friends, family, or other
on a regular basis produced the best health exercisers (Ehrman, 2003).
benefits (Paffenbarger et al., 1986). Perform- Psychologists have been able to increase
ing at 70 to 85 percent of maximal heart rate compliance by helping exercisers identify these
nonstop for 15 minutes three times a week is impediments and prepare specific strategies to
related to reduced risk for coronary heart dis- deal with them before they occur (Rosen, 2000;
ease (Dishman, 1982). Most experts suggest that Simkin & Gross, 1994). For example, people
a regular (three times per week) program of who anticipate feeling “too tired” to work out
aerobic exercise performed at 60 to 85 percent at the end of the day might prepare a set of self-
maximal heart rate for 20 to 60 minutes per ses- statements about how much better they will
sion has a host of health benefits. feel after exercising. If people are not receiving
Findings like these have inspired behavioural social support and encouragement from others,
interventions designed to promote regular exer- they could also arrange for a pleasurable activ-
cise. Typically, these programs have an edu- ity after exercise so as to positively reinforce
cational component that provides information their exercising (Courneya, 1995).
on the benefits of regular exercise and the best
ways to exercise. They may also include other Weight Control
components of behaviour change, such as goal In 2014, 20 percent of Canadians aged 18 and 27. Why is
setting, writing explicit contracts that specify older were obese and a total of 54 percent of yo-yo dieting
an exercise regimen, monitoring one’s exer- adult Canadians were either overweight or an undesirable
cise behaviour on a daily basis, and increasing obese (Statistics Canada, 2015b). The rate of practice?
social support by choosing an exercise partner being overweight or obese has more than dou-
or group. bled among adults and tripled among children
Despite the demonstrated benefits of regu- in the past 25 years (Figure 15.20). Obesity is
lar exercise, people have a strong tendency a risk factor for a variety of chronic diseases,
either to avoid doing it or to discontinue it after such as cardiovascular disease, kidney disease,
620 CHAPTER FIFTEEN
identify situational factors (antecedents) that

28. What are the affect their eating. They then are taught to
major behaviour-
take control of those antecedents. For exam-
change
techniques used ple, they make low-calorie foods, such as raw
in behavioural vegetables, freely available, while limiting
weight control high-calorie foods in the house. Stimulus con-
programs? trol techniques are then used, such as confining
eating to one location in the house and eating
only at certain times of the day. Because over-
eaters tend to wolf down their food and over-
© RGB Ventures LLC/SuperStock/Alamy Stock Photo load their stomachs, clients also learn to slow
down their eating by putting down eating uten-
FIGURE 15.20 An alarmingly large percentage of sils until the food is chewed and swallowed, and
North American adults and children are overweight,
increasing health risks. Family-based interventions
by pausing between mouthfuls. These behav-
are directed at modifying bad dietary habits, such as iours reduce food intake and allow clients to
high-fat diets. pay attention to how full they are. They are told
to savour each mouthful of food. The goal is to
eat less but enjoy the food more. Finally, they
and diabetes (Baum & Posluszny, 1999). Women chart the amount of food they eat to provide
who are 30 percent or more above their recom- constant feedback, and they arrange to rein-
mended weight are more than three times more force themselves for successful performance.
likely to develop heart disease than normal- These behavioural practices are combined with
weight women (Manson et al., 1990). For rea- nutritional and attitudinal guidelines. Table 15.4
sons yet unknown, fat that is localized in the shows specific guidelines from a highly suc-
abdomen is a far greater risk factor for car- cessful weight-reduction program developed by
diovascular disease, diabetes, and cancer than Yale psychologist Kelly Brownell (1994).
is excessive fat in the hips, thighs, or buttocks Research shows that the addition of an exer-
(Taylor, 2009). The accumulation of abdominal cise program increases the positive effects of
fat is increased by yo-yo dieting that results in the behavioural eating control program (Jef-
big up-and-down weight fluctuations. Such diet- fery & Wing, 1995; Wadden et al., 1997). High
ing markedly increases the risk of dying from levels of physical activity are associated with
cardiovascular disease, an excellent reason initial weight loss and maintenance of the
to avoid this practice (Hafen & Hoeger, 1998; weight loss, and physical activity adds to the
Rodin et al., 1990). effectiveness of other weight loss methods,
Behavioural intervention for weight loss such as dietary change. Many people are able
usually begins with a period of self-monitor- to attain gradual weight loss of about one kilo-
ing in which clients keep careful records of gram per week for up to 20 weeks, and to keep
what they eat, how much they eat, and under the weight off over two years, whereas oth-
what circumstances. This is designed to make ers are less successful (Jackson et al., 1999;
them more aware of their eating habits and to Taylor, 2009).
TABLE 15.4 A Sample of Effective Behavioural Weight Control Techniques

Keep an eating diary. Keep problem foods out of sight.
Examine your eating patterns. Serve and eat one portion at a time.
Prevent automatic eating. Use gradual shaping for behaviour change.
Examine triggers for eating. Distinguish hunger from cravings.
Do nothing else while eating. Focus on behaviour, not weight loss.
Eat in one place. Cope positively with slips, lapses.
Put fork down between bites. Keep an exercise diary.
Pause during the meal. Understand benefits of exercise.
Shop on a full stomach. Know calorie values of various exercise activities.
Buy foods that require preparation. Program exercise activity.
Source: Adapted from Brownell, K.D. (1994). The LEARN program for weight control. Dallas, TX: American Health.
Reducing Behaviours That the virus. In this respect, AIDS is as much a

psychological problem as a medical one. In
Impair Health recent years, principles derived from educa-
We now turn our attention to several types of tional psychology, social psychology, and the
health-impairing behaviours. We begin with a psychology of learning have been applied in
class of behaviours that prior to the 1980s was designing and carrying out prevention pro-
not considered a major health threat. Although grams. Such programs typically are designed
a number of serious diseases can be transmit- to (1) educate people concerning the risks that
ted through sexual contact, the majority of them attend certain behaviours, such as having sex
can be successfully treated. In the early 1980s, without using a condom; (2) motivate people
however, a mysterious and lethal sexually trans- to change their behaviour and convince them
mitted disease emerged. that they can do so; (3) provide specific guide-
On June 5, 1981, the Centers for Disease Con- lines for changing the risky behaviours and 29. What is the
trol reported the first case of acquired immune teach the skills needed for change; and (4) give scope of the
deficiency syndrome (AIDS). In the decades that support and encouragement for the desired worldwide AIDS
followed, AIDS grew from an unknown disease changes (O’Leary et al., 2001). crisis?
into a devastating worldwide epidemic for which Early AIDS interventions were directed at
there is currently no medical cure, although there homosexual men, who were originally the major
has been progress in treatment. According to the at-risk group. In this population, a major mech-
World Health Organization (2016), almost 71 mil- anism of HIV transmission is anal intercourse
lion people have been infected with the HIV virus without use of a condom. In one early preven-
and about 34 million have died. The number of tion study (Kelly et al., 1989), 42 homosexual
AIDS-related deaths peaked in 2005 and has since men went through a program that provided them
declined, but in 2014 there were still more than with information about the risks accompanying
a million people worldwide who died of AIDS- unprotected intercourse, helped them develop
related illnesses. In Canada there were 2570 new and rehearse strategies for avoiding high-risk
HIV infections in 2014, again a lower rate than situations (such as sexual relations with strang-
the peak infection rates of the 1990s and early ers), and taught them how to be more assertive in
2000s (Public Health Agency of Canada, 2015). refusing to engage in high-risk behaviours such
An estimated 75 500 Canadians were living with as sexual relations without a condom. Another
HIV/AIDS at the end of 2014. The AIDS epidemic group of 43 homosexual men also completed the
threatens to overwhelm the world’s health-care program after serving as an initial control group.
financing and delivery systems. Both groups were assessed before and after
AIDS is caused by the human immunodefi- the first group went through the program,
ciency virus (HIV), which cripples the immune and then were followed for eight months after
system by killing cells that coordinate the completion of the program to assess long-term
body’s attack against invading viruses, bacte- behaviour changes. As shown in Figure 15.21,
ria, and tumours, which become the actual kill- the intervention program resulted in substan-
ers. Because the AIDS virus changes rapidly, tial and lasting changes in the use of condoms
vaccines at present are ineffective in prevent- during sexual activity. Similar programs are
ing its spread. Moreover, the incubation period now being conducted with adolescent popula-
between initial infection and the appearance of tions, in which unprotected heterosexual inter-
the disease may be as long as ten years, mean- course is resulting in a surge of new infections
ing that an infected person unknowingly may (Jemmott et al., 1998). A more recent study done
pass on the virus to many other people. The with homeless HIV-positive adults resulted in 30. Summarize
major modes of transmission are direct expo- 34 percent fewer risky sexual acts and 72 per- the four features
sure to infected semen, vaginal fluids, and blood cent fewer sexual encounters with partners of most AIDS
through either homosexual or heterosexual con- who were HIV-negative or of unknown status prevention
tact, the sharing of infected needles in intrave- compared with an untreated control group projects, and the
nous drug use, and exposure to infected blood (Rotheram-Borus et al., 2008). Another target outcomes of a
through transfusion or in the womb. for intervention is heterosexual women, who program directed
not only are the fastest-rising segment of the at homosexual
Prevention Programs men. How do
HIV population, but who also have the potential
cultural factors
In the absence of a vaccine, the only exist- to infect their babies (Stevens & Bogart, 1999). influence
ing means of controlling the AIDS epidemic is Even when something as urgent as AIDS pre- outcomes?
changing the high-risk behaviours that transmit vention is involved, research has shown that the
622 CHAPTER FIFTEEN
90 Organization, alcohol causes 2.5 million deaths

HIV/AIDS prevention program
Percentage of intercourse occasions when

a year worldwide (CBC, 2011). Most alcohol-
Control group
condoms were used (4-month period)

75 related deaths are from accidents, alcoholic
liver cirrhosis, cancer, cardiovascular disease,
and alcohol-related suicide. According to recent
60
statistics 23 percent of adult men and 18 per-
cent of adult women in Canada meet the crite-
45 ria to be classified as heavy drinkers (Statistics
Canada, 2016). Alcohol abuse affects not just
30 the drinker: For every person who has a prob-
lem with alcohol, an average of four other peo-
ple’s lives are adversely affected on a daily basis
15
(Levinthal, 2005).
Other varieties of substance abuse also
0
have adverse effects. Tobacco use damages
Pretraining Post-training 8-month
follow-up both smokers and those who breathe their
second-hand smoke. Smoking tobacco is the
FIGURE 15.21 Effects of an HIV/AIDS prevention most important risk factor for the four lead-
program for homosexual men on their use of condoms ing causes of death in Canada (cancer, heart
during sexual activity. The program educated the men disease, stroke, and lung disease) and about
on the risks involved in sexual behaviours (especially
unprotected sex), promoted use of condoms, and taught
37 000 Canadians die each year as a result of
them coping skills to deal with high-risk situations. smoking tobacco (Canadian Cancer Society,
2016). According to Health Canada, 18 per-
Source: Data from Kelly, J.A., St. Lawrence, J.S., Hood, H.V., &
Brasfield, T.L. (1989). Behavioral intervention to reduce AIDS
cent of adult Canadians smoked either daily or
risk activities. Journal of Consulting and Clinical Psychology, occasionally in 2014 (Statistics Canada, 2016b).
57, 60–67. This represents a decrease from previous years
and is the lowest smoking rate reported. Peo-
ple typically begin smoking during their teen-
success of prevention programs depends on the age years, and among those 12 to 19 years of
extent to which the individual’s social system age, 7.7 percent of males and 8.3 percent of
supports the desired changes. When the use of females smoked in 2014; these are the lowest
condoms runs contrary to the values of an indi- rates of teen smoking that Health Canada has
vidual or a cultural group, people may continue reported (Statistics Canada, 2016b). This low
to engage in high-risk behaviours even though rate of teenage smoking may forecast a lower
they have been informed of the dangers involved smoking rate among adults as that generation
(Herdt & Lindenbaum, 1992; Huff & Kline, 1999). ages. Currently, however, the smoking rate
Interventions, like the social-cognitive learning jumps dramatically among young adults and
theory-based approach we discussed in Chapter 7, is higher among 20- to 34-year-olds than any
that take social and cultural factors into account other age group. Among young adults, almost
have a greater likelihood of succeeding. Likewise, 30 percent of males and 19 percent of females
within both homosexual and heterosexual popu- smoked in 2014.
lations, and particularly among adolescents and The total cost of substance abuse in Can-
young adults, many individuals continue to have ada for 2002 was estimated to be $39.8 billion;
an irrational sense of invulnerability to infection, tobacco accounted for $17 billion, alcohol for
and this belief contributes to a failure to engage $14.6 billion, and illegal drugs for $8.2 billion
in safe sexual practices (Kelly, 2001). Counteract- (Rehm et al., 2006). Together with the eco-
ing these barriers to safe sexual behaviour is a nomic costs, alcohol and drug use has a social
major challenge for health psychologists. cost (Figure 15.22). In approximately half of
physical assaults and half of sexual assaults
COMBATTING there is evidence that alcohol or illicit drugs
had been used by the perpetrator (Statistis
SUBSTANCE ABUSE Canada, 2004). Moreover, substance abuse is
Substance abuse exacts a fearsome toll on highly associated with psychological disor-
society. There were 1082 Canadians killed in ders, often being part of a larger pattern of
alcohol-related traffic accidents in 2010 (Pitel & maladjustment in both adolescents and adults
Solomon, 2013). According to the World Health (Miller, 1997).
Client: I really don’t believe I have a drinking

On-the-job
accidents
75 problem.
Drowning 70 Counsellor: You’re the best judge of that. May
Murders 60
I ask how many drinks you have a day?
Client: Oh, it varies. Probably five or six.
Suicide 55
Highway Counsellor: Is that about what you’d like to
50
fatalities be drinking?
Rape 48
Client: Well, I’d probably be better off if I cut
Child abuse 49 down a little—maybe to three or four.
Pedestrian Counsellor: How would that be helpful to you?
40
fatalities
Client: Well, I could study better and reduce
0 20 40 60 80 100
the arguments with my roommate. I can get
Percentage alcohol-related
pretty nasty when I’m buzzed. I hate being
FIGURE 15.22 Societal costs of alcohol abuse, nasty. I’m not that kind of person. Our rela-
showing the percentage of common negative events tionship is going downhill, and I’d hate to
that are alcohol-related. lose a friend.
Source: Data from Carroll, C.R. (1993). Drugs in modern Counsellor: Well, you know, you don’t have to
society. Madison, WI: Brown & Benchmark.
have a big problem in order to want to make
a change. I’m sure you could do so if you
Psychological Approaches really want to.
to Treatment and Prevention Client: I can see that I’d be more the person I
A variety of psychological principles dis- want to be if I worked on this.
cussed in earlier chapters has been applied Counsellor: And I’d be happy to help you
to the treatment of substance abuse (Cadet, make your change.
2016; Marlatt & Witkiewitz, 2002; Taylor,
2009). Disappointing results from traditional Following a client’s decision to pursue behav-
psychotherapy, such as long-term psychody- iour change, the counsellor helps the client set
namic approaches, and limited effectiveness specific goals and select from a menu of behaviour-
of biological treatments, pointed the way to change strategies the ones he or she would like to
cognitive-behavioural approaches, which employ. Thereafter, the counsellor provides feed-
have proven to be more cost-effective and back and support for the client’s efforts.
successful in reducing abuse (Institute of Motivational interviewing has proven to be
Medicine, 1990; Marlatt et al., 1998; Miller & an effective and low-cost treatment approach for
Leukefeld, 1995). substance abusers (Miller & Rollnick, 2002). In
one large-scale study of alcohol abuse patients,
Motivational Interviewing a four-session motivational interviewing inter-
vention proved to be as effective as a 12-session
If smokers, problem drinkers, drug abusers, 31. What are
program modelled on Alcoholics Anonymous the major goals
and others who practise self-defeating behav-
(AA; Project MATCH Research Group, 1997). and techniques
iours are to change, they must increase their
More than 20 other studies have demonstrated of motivational
awareness of their problems, have a desire to
the effectiveness of motivational interviewing interviewing?
take action, and believe that they can change
with problem drinkers (Vasilaki et al., 2006).
(Miller & Rose, 2009). Rather than confront-
ing people with their problems (which often
drives away people who need help), the tech- Multimodal Treatment Approaches
nique of motivational interviewing leads All substance-abuse behaviours are resistant
people to their own conclusions by asking ques- to change, and for good reason. Some people
tions that focus on discrepancies between the may be more vulnerable than others because of
current state of affairs and individuals’ ideal genetic factors (Ducci & Goldman, 2008). Crav-
self-images, desired behaviours, and desired ing, caused by either psychological need or
outcomes. Focusing on these discrepancies may physical dependence, is a huge barrier to over-
help to motivate change. Consider the following come. Negative emotions, such as anxiety, irri-
exchange: tability, or depression, which are the temporary
624 CHAPTER FIFTEEN
results of abstinence, cause many people who after treatment. The best outcome occurred in
successfully quit to have relapses. Past con- cases where urges to drink had been eliminated
ditioning may create stimuli that trigger the (presumably by aversion therapy) and alter-
behaviour in certain common situations. For nate coping skills were increased through the
example, coffee drinking or social situations use of cognitive-behavioural techniques such as
are linked with smoking for many individuals, those just described (Smith & Frawley, 1993).
thus encouraging lapses in behavioural control Despite these encouraging results, typical treat-
when those stimuli are present. The numerous ment results are less favourable: Long-term
factors that encourage smoking, drinking, or maintenance of behaviour changes often occurs
drug abuse make these behaviours very hard in fewer than 30 percent of treated individuals,
to change. whether the target behaviour is smoking, drink-
32. What kinds Psychologists are therefore willing to coming, or some other substance abuse (Ockene
of behaviour- bine anything that has proven effective into what et al., 2001). The goal of many researchers is
change they hope will be a more powerful behaviour- therefore to develop increasingly more effective
procedures change “package” to apply when people are treatment packages.
are employed ready to make a change. These multimodal
in multimodal treatments often include biological mea- Relapse Prevention
treatments
sures (e.g., the use of nicotine patches to help High dropout rates are a major problem in
for substance
abuse? smokers who are trying to quit), together with treating substance abuse. For example, the
psychological measures such as the following: AA program seems to be moderately effec-
33. How severe tive in reducing drinking if people remain
• aversion therapy, in which the undesired
is the problem in the program and adhere to its procedures
behaviour is associated with an aversive
of relapse in (Morgenstern et al., 1997). Yet only 10 percent
stimulus, such as electric shock or a nausea-
substance abuse of those who begin the AA program remain in
producing drug, in an attempt to create a
treatment? it, become abstinent, and remain abstinent for
negative emotional response to the currently
a year (Tonigan et al., 1996). Aversion therapy
pleasurable substance;
programs, such as Antabuse treatment, suffer
• relaxation and stress-management training, from the same dropout problem. Overall, fewer
which help the person adapt to and deal with than 30 percent of treated alcoholics remain
stressful situations. A procedure called mind- improved one year after treatment, and 80 per-
fulness meditation has become an important cent of people who quit smoking relapse within
tool in the treatment of addictive behaviours a year (Baker et al., 1987; Baum et al., 1997).
(McCown & Reibel, 2010); Virtually every behaviour change program has
• self-monitoring procedures that help the the same problem, even New Year’s resolutions.
person identify the antecedents and conse- These self-initiated change attempts are main-
quences of the abuse behaviours; tained for more than four months by only 40 to
• coping and social skills training for dealing 45 percent of people (Marlatt & Kaplan, 1972;
with high-risk situations that trigger abuse; Norcross et al., 1989).
34. What is Why do people relapse into their problem
• marital and family counselling to reduce
the difference behaviours, and what can be done to pre-
between a lapse conflicts and increase social support for
change; and vent relapse? Research on these questions
and a relapse? led G. Alan Marlatt and Judith Gordon (1985)
How does the • positive reinforcement procedures to to develop the model of relapse shown in
abstinence strengthen change.
violation effect Figure 15.23, together with an intervention
contribute to This broad-based multimodal approach known as relapse prevention. Research with
relapse? appears to produce favourable outcomes substance abusers showed that most relapses
for many people who have substance addic- (a return to the undesirable behaviour pat-
tions. For example, in one of the more suc- tern) tended to occur after the person had
cessful multimodal treatment outcome studies, suffered a lapse (a one-time “slip”) when con-
427 alcoholic patients were followed for 12 to fronted with a high-risk situation. High-risk
20 months after completing an in-patient pro- situations included stressful events, interper-
gram that included aversion therapy (using a sonal conflicts, social pressure to perform the
drug that produces nausea when alcohol is con- undesirable behaviour, being in the company
sumed), personal counselling, and coping skills of other individuals using the substance, and
training. Follow-up assessments revealed that experiencing negative emotions (Lijffijt, Hu, &
65 percent were totally abstinent for one year Swann, 2014; Marlatt, 1996).
Decreased
Coping Increased
probability
response self-efficacy
of relapse
Person encounters
high-risk situation
Decreased
self-efficacy
Abstinence
violation
No Positive Initial effect Increased
coping outcome use of + probability
response expectancies substance Perceived of relapse
(for initial effects of
effects of substance
substance)
FIGURE 15.23 A model of relapse prevention. Relapse is most likely to occur as a result of inadequate coping skills for dealing with
high-risk situations, a focus on anticipated positive effects of substance use, and a resulting abstinence violation effect that causes the
person to feel incapable of successful change and to abandon attempts at behaviour control.
Source: Based on G.A. Marlatt & J.R. Gordon, 1985, Relapse Prevention: Maintenance Strategies in the Treatment of Addiction, p. 38, Figure 1-4. New York:
Guilford Press. Reprinted by permission of Guilford Publications, Inc.
Increased likelihood of relapse occurred to resist high-risk situations. Attention is then

when people had not developed strong enough directed at learning and practising the required
coping skills to deal successfully with the high- skills so that self-efficacy improves. The con-
risk situation. Consequently, they felt a lack tinuing focus is on “progress, not perfection.”
of self-efficacy for resisting the temptation, or Relapse prevention, which was developed
they allowed expected positive benefits (such as from a research-based theory of why people
enjoyment of the substance or anticipated stress relapse, is increasingly being incorporated into
reduction) to prompt their decision to perform many behaviour change programs (Marlatt,
the undesirable behaviour. A lapse would then 1996). It is an important addition to the trans-
occur, followed by a critically important reac- theoretical model, since being prepared for
tion called the abstinence violation effect: occasional lapses helps people move more
The person became upset and self-blaming over smoothly from the preparation stage to the
the failure to remain abstinent and viewed the action and maintenance stages (DiClemente,
lapse as proof that he or she would never be 2003). Building in relapse prevention training
35. How
strong enough to resist temptation. This self- appears to increase the effectiveness of many does relapse
blaming sense of hopelessness placed people at behaviour change programs (Taylor, 2009). As a prevention
great risk of abandoning all attempts to change, stand-alone approach to alcohol abuse, studies treatment
and in many cases, a total relapse would occur. have shown relapse prevention to have an over- attempt to keep
In contrast, people with sufficient coping skills all effectiveness equal to AA programs, even lapses from
who confront high-risk situations feel confident though it is usually a much briefer intervention becoming a
in their ability to handle them and are far less (Ouimette et al., 1997). relapse? How
likely to relapse, even if they slip once in a while. effective is this
Relapse prevention strategies involve teach- Harm Reduction Approaches approach?
ing people that a lapse means nothing more than to Prevention
the fact that they have encountered a situation Substance abuse not only has negative effects 36. What is a
harm reduction
that exceeded their current coping skills. More- on physical well-being, but often results in other
approach, and
over, the episode has given them valuable infor- severe consequences, such as self-defeating sex-
how does it
mation about the specific situational, cognitive, ual and aggressive behaviours. Harm reduc- differ from an
and emotional antecedents that they must learn tion is a prevention strategy that is designed abstinence-
to handle more effectively. When they mas- not to eliminate a behaviour, but rather to based one?
ter the needed skills, they will be better able reduce the harmful effects of a behaviour when
626 CHAPTER FIFTEEN
it occurs (MacCoun, 1998; Weingardt & Marlatt, the police. At schools with the highest alcohol
1998). In the area of drug abuse, harm reduc- consumption rates, non-drinkers and moderate
tion approaches include needle and syringe drinkers were two to three times more likely
exchange programs to reduce the spread of to report physical assault, sexual harassment,
HIV infections. Another example is methadone destruction of their property, and interruption
maintenance programs for heroin addicts that of their sleep and studying by heavy drink-
are targeted at reducing their need to engage in ers. Some university women (obviously, sound
criminal activity to feed their heroin habit. The sleepers) complained that they woke up Sunday
reasoning is that, even if an addictive behaviour after Saturday night to find a strange man in
cannot be eliminated, it is possible to modify bed with their roommate (and all too frequently,
how often and under what conditions it occurs, the heavy-drinking roommate didn’t know
and thereby to minimize its harmful effects on him either).
the person and society. Previous attempts to convince heavy-
Many university students fail to realize drinking university students to abstain from
37. How
the extent to which they place themselves alcohol have met with limited success (Marlatt,
serious are the
consequences of in harm’s way through their use of alcohol. 1998). Typically, it seems, problem drink-
heavy drinking In one national study carried out by the Har- ers laugh all the way to the liquor store after
among university vard School of Public Health, binge drink- being told to simply stop drinking. As a result,
students? ing was defined as having more than four (for a new generation of intervention programs is
women) or five (for men) drinks at a time on focused on helping drinkers control how much
38. What at least three occasions during the previous and under what conditions they drink so as to
methods and two weeks (Wechsler et al., 1994). Data from reduce harmful consequences to themselves and
outcomes 18 000 students at 140 U.S. universities revealed others. In one harm-reduction project carried
occurred in that 50 percent of the males and 40 percent out at a large U.S. university, incoming fresh-
Marlatt et al.’s of the women met this bingeing criterion; yet, men were screened for alcohol problems before
alcohol harm less than 1 percent saw themselves as having they arrived on campus (Marlatt et al., 1998).
reduction study
an alcohol problem. However, the dangerous Once on campus, those identified as problem
with high-risk
university consequences of their drinking became clear drinkers were randomly assigned to either an
students? when binge drinkers were asked about alcohol- intervention condition or to a no-treatment con-
related problems (Table 15.5). Frequent binge trol condition. Over the next two years, the stu-
drinkers were seven to ten times more likely dents in both conditions regularly reported on
than moderate drinkers to engage in unplanned their alcohol consumption and alcohol-related
and unprotected intercourse, to suffer inju- problems. People who knew them well also fur-
ries, to drive under the influence of alcohol, to nished reports, and high agreement between the
damage property, and to get into trouble with two sources of data indicated that the students
were being truthful and accurate. Students’
degree of alcohol dependence (craving for alco-
TABLE 15.5 P
ercentage of Binge-Drinking hol and withdrawal symptoms when not drink-
University Students Who ing) was assessed through psychological tests
Reported Drinking-Related and interviews.
Problems The brief intervention, occurring in the win-
Missed a class 61% ter of the freshman year, was based on the
Forgot where they were or what they did 54% motivational interviewing approach described
earlier. The goal was to prevent or reduce harm-
Engaged in unplanned sex 41%
ful consequences of drinking by increasing
Got hurt 23%
motivation to make constructive changes rather
Had unprotected sex 22% than to stop students’ drinking. Clinical psy-
Damaged property 22% chologists met with each student individually
Got into trouble with campus or local police 11% for one session. The interviewer reviewed the
drinking data submitted by the student over the
Had five or more alcohol-related problems 47%
in school year previous academic term and gave individualized
feedback in graphic form. The graph compared
Source: Data from Wechsler, H., Davenport, A., Dowdall, G., the student’s drinking rates with university stu-
Hoeykins, B., & Castillo, S. (1994). Health and behavioral dent averages, which were invariably much
consequences of binge drinking in college: A national survey
of students at 140 campuses. Journal of the American
lower. This feedback actually surprised many
Medical Association, 272, 1672–1677. students. Because most of their friends drank
as much as they did, they thought the same was 1.6

High-risk controls
true for university students in general. Potential 1.4 High-risk intervention group
risks for heavy drinkers (such as those shown in Randomly selected students
Table 15.5) were pointed out. The psychologists 1.2
Drinking problem score

also told the students about the physiological 1
effects of alcohol, including the biphasic effect
0.8
described in Chapter 6 (an initial stimulating
effect followed by a depressive one) to show 0.6
that the expectation that “drinking more will 0.4
make me feel better” is incorrect. Environmen-
0.2
tal risk factors, such as being in a fraternity or
sorority, or having heavy-drinking friends, were 0
also discussed when relevant. –0.2
The interviewers were never confrontational Baseline 6 Months 1 Year 2 Years
but instead helped students evaluate their situ-
ation (“What do you make of this? Are you sur- FIGURE 15.24 Effects of a brief harm-reduction
intervention based on motivational interviewing. One
prised?”), to think about present and possible
year and two years after the intervention, high-risk
future problems (“Would you be worried about drinkers who underwent the program still reported more
something like this happening to you? What alcohol-related problems than the average university
impact would it have on your life?”), and to con- student, but fewer than the high-risk drinkers in the
sider the possibility of change. Specific goals of control group.
behaviour change were left to the student and Source: Data from Marlatt, G.A., Baer, J.S., Kivlahan, D.R.,
not imposed by the interviewer. Later, during Dimeff, L.A., Larimer, M.E., Quigley, L.A.,…Williams, E.
the winter of their second year in university, stu- (1998). Screening and brief intervention for high-risk college
student drinkers: Results from a 2-year follow-up assessment.
dents in the intervention condition were mailed Journal of Consulting and Clinical Psychology, 66(4), Aug
individualized feedback on their self-reported 1998, 604–615. Copyright © 1998 by the American
drinking data and alcohol-related problems over Psychological Association. Reproduced with permission. The
use of APA information does not imply endorsement by APA.
the previous year so that they could evaluate
possible changes in their situations.
Did this very brief program have positive better. Moreover, given the widespread nature
effects on the at-risk students? At the end of of health-endangering behaviours, even mod-
two years, the students in the intervention est increases in success are socially significant.
group were drinking less than were the stu- For example, an estimated 18 million people try
dents in the control condition, but still nearly to quit smoking each year (Wetter et al., 1998).
80 percent more than the average university Even if an improved intervention results in an
student. However, only 11 percent of the inter- increase of only 10 percent in the success rate,
vention students were judged to be alcohol- this translates into 1.8 million additional peo-
dependent, compared with 27 percent in the ple (plus those affected by their second-hand
control group. Although they continued to have smoke) whose health and life expectancy are
more alcohol-related problems than did a com- positively affected.
parison group of average university students,
the intervention group had far fewer alcohol-
related problems than did the untreated high-
POSITIVE PSYCHOLOGY
risk group (Figure 15.24). Thus, despite the lack Although the term “positive psychology” was
of an explicit focus on reducing drinking, the first used by the humanistic psychologist
brief one-session intervention had significant Abraham Maslow (1954), current usage and
positive effects. In particular, students learned meaning is based on Martin Seligman’s inaugu-
to moderate their drinking when in potentially ral address when he became president of the
hazardous situations, thereby reducing harmful American Psychological Association in 1998
consequences. (Seligman, 1999). Seligman continues to be
Changing health-related and substance abuse one of the leading proponents of positive
behaviours is challenging. That is why advances psychology. He has argued that since the
from theory development and research are 1950s psychology has focused too strongly on
such important foundations for interven- pathology—on treating illness and repairing
tions, and why program evaluations provide the harm caused by inadequate parenting, past
important information on how to make them traumas, unresolved conflicts, inappropriate
628 CHAPTER FIFTEEN
Applications
HOW TO BE HAPPY • Make time for enjoyable activities. One of the benefits of
time-management skills is the ability to schedule every-
As research has accumulated on factors that relate to hap- day activities that provide pleasure around school, work,
piness, psychologists have been able to offer advice based and other obligations. Make time for a hobby, reading,
on data rather than intuition (Seligman, 2002; Snyder & and recreational activities. If time management is an
Lopez, 2007). Most psychologists believe that happiness, issue for you, see Student Services at your university;
like a successful romantic relationship, is something that most have time management workshops.
one must work at (Diener & Biswas-Diener, 2008). Here are
• Nurture physical well-being. Many studies show that even
some psychological research-derived suggestions that may
moderate physical exercise contributes to emotional
help you maintain and enhance personal happiness:
well-being (Morgan, 1997). Exercise provides a tempo-
• Spend time with other people, and work to develop close rela- rary respite from life’s stressors. When done in a social
tionships. Research consistently suggests that good relation- context, it adds the benefits of social interaction as well.
ships provide the strongest basis for life satisfaction. Even if People who exercise, get sufficient sleep, and practise
you tend to be introverted, form at least a few close relation- good dietary habits tend to be more stress resistant and
ships, and nurture them. Make time for social interactions. satisfied with themselves and their lives (Taylor, 2009).
• Look for ways to be helpful to others, and reach out to the less • Be open to new experiences. Some of our most pleasur-
fortunate. Try to make a positive difference in the lives of able experiences occur when we try new things. It is
others. Doing so will increase your sense of self-worth, add easy to fall into a rut, so whether it is travelling, develop-
meaning to your life, and deepen relationships with those ing a new hobby, or taking a course on a new subject, be
whose lives you touch. It will also help put your own prob- open to doing something you haven’t done before.
lems in perspective and direct your energies away from self- • Cultivate optimism, and count your blessings. As we have
absorption. There is a lot to be said for the proposition that seen, cognitive appraisals influence emotions and the
we receive by giving. In one five-year longitudinal study of stress response. An upbeat, optimistic approach to life is
elderly people, Stephanie Brown and her colleagues (2003) linked with subjective well-being. Try to look on the posi-
found that those who gave help and support to friends, relative side of things, to see demanding events as chal-
tives, and family members had lower mortality rates than lenges and opportunities rather than threats. Learn
those who did not, even when health and other quality-of- to appreciate and be grateful for even the mundane,
life variables were statistically controlled. Likewise, highly average day in which nothing bad happens to you. There
sociable people are more resistant to infectious diseases, is a Buddhist saying: “Happiness is a day without a tooth-
despite their greater exposure to other people who might be ache.” All of us have much to be happy about and thankful
contagious (Cohen et al., 2003). Martin Seligman (2002) for, but that we tend to take for granted. Focus more often
believes that truly authentic and lasting happiness awaits on these typically ignored aspects of good fortune.
those who utilize their virtues and strengths (i.e., your kind-
ness, integrity, enthusiasm, perseverance) “in the service
of something larger to obtain meaning” (p. 263).
• Seek meaning and challenge in work. Enjoying one’s work
is a prime ingredient of happiness. If you feel stuck doing
something that provides little gratification, be it your job or
your major, consider looking for something more satisfying.
Everyone has to make a living, but many people spend their
lives doing things they do not derive satisfaction or mean-
ing from—hardly a recipe for a happy life. Even if you love
your work, strive for balance between work and personal
pursuits. People on their deathbeds rarely if ever express
the wish that they had spent more time at the office.
• Set meaningful personal goals for yourself, and make prog-
ress toward them. Whether in work, school, or relationships,
engaging in goal-directed activity and seeing yourself mov-
© Fancy/Alamy Stock Photo
ing toward your goals will provide a basis for life satisfac-
tion and foster feelings of being in greater control of your FIGURE 15.25 Two of the keys to happiness are to spend
life. Many people find that spiritual development (religiously time with others, and to make a positive difference in the lives
based or not) confers meaning in their lives. of others.
learning, biological factors, and various per- should ignore negative experience and illness.
sonal characteristics. The goal of positive It is important to study and treat psychological
psychology is to shift some of the focus away disorders. The argument made by Seligman and
from a disease model and towards a science others is that the treatment of illness should be
that concentrates on positive human experi- one goal of psychology, but not the only goal.
ence (Seligman & Csikszentmihalyi, 2000). By studying positive experiences, positive indi-
Positive psychology attempts to improve well- vidual traits, and positive social institutions, this
being not by treating illness, but by exploring perspective explores what makes one healthy
those things that make life worth living. rather than what makes one sick. This is in
Positive psychology is not simply encour- many ways a shift from the treatment of illness
agement to be happy, or a collection of pop to the prevention of illness by promoting psy-
psychology self-help books (see this chapter’s chological health.
Applications feature). Like the other areas of Positive psychology focuses on happi-
psychology we have explored in this book, posi- ness, well-being and life satisfaction, personal
tive psychology is a science. Positive psychol- strengths, wisdom, creativity, imagination,
ogy uses the scientific method and the research and the characteristics of positive groups and
tools that psychologists have developed to positive institutions (Hefferon & Boniwell,
study human behaviour. It is also worth not- 2011). Positive psychology, for example, con-
ing that the emphasis on positive experience siders happiness to be a mix of hedonic and
and well-being does not mean that psychology eudaimonic well-being (Hefferon & Boniwell,
In Review
• The transtheoretical model identifies six stages conflict with safe sex practices, increasing
through which people may move during the the challenges of reducing health-endangering
process of successful long-term behavioural behaviours.
change: precontemplation, contemplation, prepa- • Substance abuse is highly associated with other
ration, action, maintenance, and termination. The disorders and is often part of a larger pattern
model has inspired stage-matched interventions of maladjustment. Multimodal treatments com-
focused on the individual’s current stage, with bine a number of techniques, including aversion
the intent of moving the person to the action, training, stress-management and coping-skills
maintenance, and termination stages. training, and positive reinforcement for change.
• Exercise is an important health-enhancing behav- A promising new approach is motivational
iour that affects both physical and psychological interviewing, a nonconfrontational procedure
well-being. Numerous behavioural interventions designed to engage the person’s own motivation
have been developed to promote exercise, but to change self-defeating behaviours.
many people fail to adhere to exercise programs. • Relapse prevention is designed to keep lapses
One factor that influences adherence is social from becoming relapses by building effective
support. People who are able to stick with it coping skills to deal with high-risk situations
for three to six months have a better chance of and countering the abstinence violation effect
adhering thereafter. when lapses occur. This approach enhances the
• About a third of the North American population effects of many behaviour-change programs.
is obese. Behavioural weight-control programs • Harm-reduction approaches attempt to reduce
feature self-monitoring, stimulus control proce- the negative consequences that a behaviour
dures, and eating procedures designed to help produces rather than to focus on stopping
people eat less but enjoy it more. The addition of the behaviour itself. Examples include needle
an exercise program to weight-control procedures exchange programs for drug addicts and pro-
enhances weight loss. grams designed to reduce the destructive conse-
• Because HIV infection is caused by high-risk quences of binge drinking in university students.
sexual and drug-abuse behaviours (e.g., shar- • Positive psychology involves the study of posi-
ing needles), a prevention approach is essential. tive experiences, positive individual traits, and
Behavioural changes have been accomplished positive social institutions to understand what
in homosexual populations, and effor ts are makes one healthy, happy, creative, and satis-
centring on high-risk heterosexual populations, fied with one’s life.
such as teenagers. Cultural factors sometimes
630 CHAPTER FIFTEEN
2011), although this view is not universally held damage; it is also the study of strength and vir-
(Biswas-Diener et al., 2009). Hedonic well-being tue. Treatment is not just fixing what is broken;
includes high levels of positive affect and low it is nurturing what is best” (2000, p. 7). Posi-
levels of negative affect. Eudaimonic well-being tive psychology can be viewed as the scientific
is a feeling of meaning and purpose in life, often study of health and well-being. Much of what we
derived from helping others. have discussed in this chapter—hardiness, resil-
Seligman and Csikszentmihalyi wrote, “our ience, optimism, coping, promotion of healthy
message is to remind our field that psychology behaviours, and so on—fit within the new con-
is not just the study of pathology, weakness, and text of positive psychology.
Gaining Direction
What are the We all get stressed out from time to time. But of stress is complicated and we need to under-
issues? what does this really mean? What does stress stand why we get stressed and how we can
do to the body? Is there some way to detect cope with it.
any changes we might experience? The nature
What do What is stress? What if experience prolonged stress?

we need to What changes happen to the body? Can stress result in psychological disorders?
know? Are these changes good or bad for you? How does a tracking device like Fitbit work?
Can we control our stress response? What is a safe level of arousal?
Where can We need to start by looking the stress response. Also look at the section on stress and health.
we find the What are stressors and what do they do? What does prolonged stress do to the body?
information to Examine the model by Hans Selye in Figure 15.3. Finally, there are protective factors for stress.
Each stage produces a different stress response. Did Koby Soto have these available?
answer these
Are these detectable by something like a Fitbit?
questions?
CHAPTER
CHAPTER THE SCOPE AND NATURE OF PSYCHOLOGICAL Prevalence and Course of Mood Disorders
OUTLINE DISORDERS Causal Factors in Mood Disorders
What Is “Abnormal”? Applications: Understanding and Preventing Suicide
HISTORICAL PERSPECTIVES ON DEVIANT SOMATIC SYMPTOM DISORDERS

BEHAVIOUR DISSOCIATIVE DISORDERS
DIAGNOSING PSYCHOLOGICAL DISORDERS What Causes Dissociative Identity Disorder?
The DSM-5: Integrating Categorical and Dimensional Frontiers: Dissociative Identity Disorder: A Clinical
Approaches and Scientific Puzzle
Critical Issues in Diagnostic Labelling
SCHIZOPHRENIA
Research Foundations: On Being Sane in Insane Places
Characteristics of Schizophrenia
ANXIETY DISORDERS Subtypes of Schizophrenia
Phobic Disorder Causal Factors in Schizophrenia
Generalized Anxiety Disorder PERSONALITY DISORDERS
Panic Disorder
Antisocial Personality Disorder
Obsessive-Compulsive Disorder (OCD)
Borderline Personality Disorder
Causal Factors in Anxiety Disorders and OCD
Focus on Neuroscience: The Neuroscience of DISORDERS OF CHILDHOOD AND OLD AGE
Obsessive-Compulsive Disorder Childhood Disorders
Eating Disorders Dementia in Old Age
MOOD (AFFECTIVE) DISORDERS A CLOSING THOUGHT
Depression
Bipolar Disorder
How come when we talk to God we’re praying, but when God talks to us we’re schizophrenic?
—Lily Tomlin
Kingston, Ontario’s Tony Rosato is an excep-

What are the
tional comedian. He has been a cast member issues here?
on both SCTV and Saturday Night Live, and
has appeared in several movies. But Tony’s
What do we need
career and life started to fall apart in 2005. He began
to know?
complaining to the police that his wife Leah and family
were missing and that they had been replaced by
imposters. Whenever he saw Leah he would demand Where can
we find the
to know what she had done with his wife and daughter.
information
Leah fled their home and filed for sole custody of their Steve Russell/ZUMApress/Newscom to answer the
daughter. The interactions became so intense that Tony questions?
was eventually charged with criminal harassment. He refused to plead insanity (he did not believe
that he had a mental problem) and spent the next two years in jail awaiting trial. The average sen-
tence for such a criminal harassment conviction is one day in jail with two years’ probation.
Tony’s case was heard in 2007. The judge refused to give Tony a criminal record, but he remained
on three years’ probation. Since that time, Tony has returned to Toronto. Both he and Leah are try-
ing to re-establish their marriage.
Tony was diagnosed with Capgras syndrome. Other people with Capgras believe that their pets
or even appliances have been replaced by imposters.
THE SCOPE • In developed economies such as Canada and

the United States, psychological disorders
AND NATURE account for over 15 percent of the finan-
OF PSYCHOLOGICAL cial burden of illness, more than the burden
DISORDERS caused by all cancers.
Psychological disorders have a major impact These cold statistics, startling though they
on individual and societal well-being. Consider may be, cannot possibly capture the intense
these recent statistics from government reports suffering that they reflect. They cannot com-
(Canadian Mental Health Association, 2016; municate the confusion and terror felt by the
Mental Health Commission of Canada, 2012; schizophrenic patient whose psychological
National Institute of Mental Health, 2008): world is disintegrating, the intense personal
misery of a depressed person who is sinking
• At any given point in time, one in five Cana- into a quagmire of hopelessness, or the suffer-
dians suffers from a diagnosable mental ing endured by the families and friends of those
disorder. who have psychological disorders.
• Nearly half of all North Americans between This chapter is therefore not just about the
the ages of 15 and 54 will experience a psy- problems of “someone else.” Even if you do not at
chological disorder at some time in their lives. some point in your life experience a psychologi-
• Psychological disorders are the second lead- cal disorder, statistics suggest that a family mem-
ing cause of disability, exceeding physical ill- ber, friend, or acquaintance almost surely will.
nesses and accidents.
• Medications used to treat anxiety and depres- What Is “Abnormal”?
sion are among the most frequently prescribed Defining what is normal and what is abnormal
drugs in North America. is no easy matter, as there are many measures
• One adolescent commits suicide every 90 sec- we could apply. Here are several possibilities
onds in North America. (Bassett & Baker, 2015; Leising et al., 2009;
Wakefield, 2006; 2013):
• Four thousand Canadians commit suicide
every year; 90 percent of these were diag- 1. The personal values of a given diagnostician
nosed with a mental disorder. 2. The expectations of the culture in which a
• Twenty-four percent of all deaths among person currently lives
15- to 24-year-olds are due to suicide. 3. The expectations of the person’s culture of
• Each year, more than a million students with- origin
draw from universities in North America 4. General assumptions about human nature
because of emotional problems.
5. Statistical deviation from the norm
• One in four North Americans will have a
6. Harmfulness, suffering, and impairment
substance abuse disorder during his or her
lifetime. The loss to North American busi- Most people would not find criteria 1 and 5
nesses is over $120 billion annually, much satisfactory bases for judging a person to be
of which stems from the sharp decline in job disordered. Where criterion 1 is concerned, the
productivity. diagnosis could depend on arbitrary and unusual
beliefs of the person making the judgments, such excessively anxious, depressed, dissatisfied, or
as a conviction that women should never work. otherwise seriously upset about themselves or
Where deviation from the norm (criterion 5) is about life circumstances may be viewed as dis-
concerned, an extremely well-adjusted or highly turbed, particularly if they seem to have little
intelligent person would be judged abnormal. control over these reactions. On the other hand,
Criteria 2 through 4 reflect cultural or even personal distress is neither necessary nor suf-
more widespread beliefs about what is appro- ficient to define abnormality. Some seriously
priate, so that judgments about what is normal disturbed mental patients are so out of touch
and what is abnormal can differ depending on with reality that they seem to experience little
the time and the culture. For example, cannibal- distress, and yet their bizarre thought processes
ism has been practised in many cultures around and behaviours are considered very abnormal.
the world (Walker, 2001). In contemporary West- And although all of us experience suffering as a
ern culture, however, such behaviour would be part of our lives, our distress is not likely to be
viewed as extraordinarily pathological. To cite a judged abnormal unless it is disproportionately
more realistic example, until December 15, 1973, intense or long-lasting relative to the situation.
homosexuality was officially considered a form Second, most behaviours judged abnormal
of mental illness. On that day, however, the trust- are dysfunctional either for the individual or for
ees of the American Psychiatric Association voted society. Behaviours that interfere with a person’s
to remove homosexuality from the psychiatric ability to work or to experience satisfying rela-
classification system—surely, the quickest and tionships with other people are likely to be seen
most widespread cure in the history of psychia- as maladaptive and self-defeating, especially if
try. Despite this formal change in the psychiatric the person seems unable to control such behav-
status of this sexual orientation, some people in iours. Some behaviours are labelled as abnor-
our society continue to view homosexuality as an mal because they interfere with the well-being of
indicator of psychological disturbance, illustrat- society. But even here, the standards are not cut-
ing to some the arbitrary nature of abnormality and-dried. For example, is a suicide bomber who
judgments (Herek, 2002). detonates a bomb in a public market a psychologi-
Despite the arbitrariness of time, place, and cally disturbed individual, a criminal, or a patriot?
value judgments, three criteria inherent in cri- The third criterion for abnormality is soci- 1. Cite the
“three Ds” that
terion 6—distress, dysfunction, and deviance— ety’s judgments concerning the deviance of a
typically underlie
seem to govern decisions about abnormality, given behaviour. Conduct within every society judgments that
and one or more of them seem to apply to is regulated by norms—behavioural rules that behaviour is
virtually any behaviour regarded as abnormal specify how people are expected to think, feel, abnormal.
(Wakefield, 2006; 2013). First, as shown in and behave. Some norms are explicitly codified
Figure 16.1, we are likely to label behaviours as laws, and violation of these norms defines
as abnormal if they are intensely distressing to criminal behaviour. Other norms, however, are
the individual. On the one hand, people who are far less explicit. For example, it is generally
expected in our culture that one should not carry
on animated conversations with people who are
Distressing to
self or others not present, nor should one face the rear of an
elevator and stare intently into the eyes of a
fellow passenger (don’t try this unless you want
to see an elevator empty out quickly). People are
Judgment likely to be viewed as psychologically disturbed
of if they violate these unstated norms, especially
abnormality
if the violations make others uncomfortable and
cannot be attributed to environmental causes.
To summarize, both personal and social judg-
ments of behaviour enter into considerations
Dysfunctional for Deviant: violates
person or society social norms of what is abnormal. Thus, we may define
abnormal behaviour as behaviour that is
FIGURE 16.1 Abnormality as a social construct. personally distressing, personally dysfunctional,
Whether a behaviour is considered abnormal involves and/or so culturally deviant that other people
a social judgment made on the basis of the three D’s: judge it to be inappropriate or maladaptive.
distress, dysfunction, and deviance. There is great variety in the behaviours that are
634 CHAPTER SIXTEEN
TABLE 16.1 A Sample of Major Diagnostic Categories in the DSM-5
1. Anxiety disorders: Intense, frequent, or inappropriate anxiety, but no loss of reality contact; includes phobias, generalized anxiety
reactions, and panic disorders.
2. Mood (affective) disorders: Marked disturbances of mood, including depression and mania (extreme elation and excitement).
3. Somatic symptom disorders: Physical symptoms, such as blindness, paralysis, or pain, that have no physical basis and are
assumed to be caused by psychological factors.
4. Dissociative disorders: Psychologically caused problems of consciousness and self-identification, including amnesia and multiple
personalities (dissociative identity disorder).
5. Schizophrenic and other psychotic disorders: Severe disorders of thinking, perception, and emotion that involve loss of contact
with reality and disordered behaviour.
6. Substance-related and addictive disorders: Personal and social problems associated with the use of psychoactive substances,
such as alcohol, heroin, or other drugs. Also includes behavioural dependencies such as gambling disorder.
7. Neurodevelopmental disorders: Disorders that begin in childhood such as autism spectrum disorder and attention-deficit/
hyperactivity disorder.
8. Eating disorders: Include anorexia nervosa (self-starvation) and bulimia nervosa (patterns of bingeing and purging).
9. Personality disorders: Rigid, stable, and maladaptive personality patterns, such as antisocial, borderline, and narcissistic disorders.
Source: Based on American Psychiatric Association, 2013. Diagnostic and statistical manual of mental disorders (5th ed.). Arlington, VA: American
Psychiatric Publishing.
judged to be abnormal in contemporary society. from psychological disorders (Figure 16.2).

Indeed, well over 300 disorders are included in The Bible describes King Saul’s mad rages and
the current manual of the American Psychiatric terrors. Tamerlane, the 14th-century Mongol
Association—the Diagnostic and Statistical conqueror of much of Europe and Asia, delighted
Manual of Mental Disorders, Fifth Edition, in constructing pyramids made up of as many
(DSM-5). Table 16.1 shows some of the major as 40 000 human skulls. The composer Mozart
categories. developed marked paranoid symptoms and was
convinced he was being poisoned during the
time he was composing his Requiem. Abraham
HISTORICAL Lincoln suffered recurrent bouts of depression
PERSPECTIVES ON throughout his life and was, on one occasion,
DEVIANT BEHAVIOUR so depressed that he failed to show up for his
own wedding. Winston Churchill also periodi-
Psychological disorders are not just a modern cally suffered from severe depression, referring
problem. The pages of history are filled with to it as his “black dog.” Contemporary celeb-
accounts of prominent people who suffered rities Howie Mandel and Cameron Diaz both
(left): © Stephen Lovekin/Getty Images; (middle): © Bettmann/Corbis; (right): Frank Arcuri/The Canadian Press
FIGURE 16.2 Winston Churchill suffered from severe depression during his lifetime. Celebrities Cameron Diaz
and Howie Mandel have reported obsessive-compulsive issues involving germ contamination.
have publicly discussed their obsession with

germs, which causes Mandel to avoid pushing
elevator buttons or shaking hands and compels
Diaz to wash her hands many times a day and
open doors with her elbows.
Throughout history, human societies have
explained and responded to abnormal behaviour
in different ways at different times, based on
their values and assumptions about human life
and behaviour. The belief that abnormal behav-
iour is caused by supernatural forces goes back
to the ancient Chinese, Egyptians, and Hebrews,
all of whom attributed deviance to the work of
the devil. One ancient treatment was based on
the notion that bizarre behaviour reflected an
evil spirit’s attempt to escape from a person’s
body. To release the spirit, a procedure called
trephination was carried out. A sharp tool was
used to chisel a hole about 2 centimetres in
diameter in the skull (Figure 16.3). It seems likely
that in many cases trephination successfully
eliminated abnormal behaviour by putting an
end to the patient’s life. Witches’ Sabbath: The He-Goat. 1798 Museo Lazaro Galdiano,
In medieval Europe, the demonological Madrid Spain. Giraudon/Art Resource, NY
2. Describe the
model of abnormality held that disturbed people
FIGURE 16.4 This painting by Francisco de Goya demonological
either were possessed involuntarily by the devil
reflects the widespread belief that disordered people perspective
or had voluntarily made a pact with the forces were possessed by the devil. Sabbath portrays the on abnormal
of darkness (Figure 16.4). The killing of witches weekly gathering of Satan and the witches he possessed. behaviour and
was justified on theological grounds, and its implications
various “diagnostic” tests were devised. One for dealing
was to bind a woman’s hands and feet and throw with deviant
who sank and drowned could be posthumously behaviour.
her into a lake or a pond. Based on the notion
declared pure (a pronouncement that must
that impurities float to the surface, a woman
have been enormously comforting to her loved
ones). Of course, a woman who floated was in
real trouble. During the 16th and 17th centuries,
more than 100 000 people with psychological
disorders were identified as witches, hunted
down, and executed.
Centuries earlier, about the 5th century B.C.,
the Greek physician Hippocrates suggested that 3. What was
the historical
mental illnesses were diseases just like physical
importance of
disorders. Anticipating the modern viewpoint,
discovering the
Hippocrates believed that the site of mental cause of general
illness was the brain. By the 1800s, Western paresis?
medicine had returned to viewing mental
disorders as biologically based and was
attempting to extend medical diagnoses to
them. The biological emphasis was given
impetus by the discovery that general paresis,
a disorder characterized in its advanced stages
© Kjell Sandved/Visuals Unlimited, Inc. by mental deterioration and bizarre behaviour,
resulted from massive brain deterioration
FIGURE 16.3 An early treatment for disordered
behaviour was trephination, in which a hole was chis-
caused by the sexually transmitted disease
elled through the skull to release the evil spirit thought syphilis. This was a breakthrough—the first
to be causing the abnormal behaviour. Some people demonstration that a psychological disorder
survived the operation, but many died from it. was caused by an underlying physical malady.
636 CHAPTER SIXTEEN
Vulnerability factors Stressors
• Genetic factors • Economic adversity

• Biological characteristics • Environmental trauma
• Psychological traits • Interpersonal stresses
• Previous maladaptive or losses
learning • Occupational setbacks
• Low social support or demands
Current vulnerability Currently experienced stress
Psychological
disorders
FIGURE 16.5 The vulnerability-stress model. This popular conception attributes behaviour disorders to interac-
tions between personal vulnerability factors and life stressors. Personal vulnerability factors contribute to maladap-
tive efforts to cope with life’s challenges.
In the early 1900s, Sigmund Freud’s theory current event that requires a person to cope—
of psychoanalysis ushered in psychological combines with the vulnerability to trigger the
interpretations of disordered behaviour. As we disorder (Calvete et al., 2015; van Praag, 2004).
shall see, psychodynamic theories of abnormal Thus, a person who has a genetic predisposition
behaviour were soon joined by other models to depression or who suffered a traumatic loss of
based on behavioural, cognitive, and humanis- a parent early in life may be primed to develop
tic concepts. These various conceptions focus a depressive disorder if faced with the stress of
on different classes of causal factors and help to a significant loss later in life. As we shall see,
capture the complex determinants of abnormal the biological, psychological, and environmental
behaviour. The importance of cultural factors levels of analysis have all contributed to the vul-
has also received increasing attention. Although nerability-stress model and our understanding of
many questions remain, these perspectives have behaviour disorders and how they develop.
given us a deeper understanding of how biologi-
cal, psychological, and environmental factors
can combine to cause psychological disorders. DIAGNOSING
4. How does
Today, many psychologists find it useful to PSYCHOLOGICAL
incorporate these factors into a more general
the vulnerability-
framework. According to the vulnerability-
DISORDERS
stress model
illustrate stress model (sometimes called the diathesis- Classification is a necessary first step toward
person-situation stress model; Figure 16.5), each of us has some introducing order into discussions of the nature,
interactions? degree of vulnerability (ranging from very low to causes, and treatment of psychological disor-
very high) for developing a psychological disorders. To be scientifically and practically useful,
der, given sufficient stress. The vulnerability, or however, a classification system has to meet
predisposition, can have a biological basis, such standards of reliability and validity. Reliability
as our genotype, over- or under-activity of a neu- means that clinicians using the system should
5. What is meant rotransmitter system in the brain, a hair-trigger show high levels of agreement in their diagnos-
by reliability
autonomic nervous system, or a hormonal fac- tic decisions. Because professionals with differ-
and validity
tor. It could also be due to a personality factor, ent types and amounts of training—including
of diagnostic
classification such as low self-esteem or extreme pessimism, psychologists, psychiatrists, social workers,
systems? or to previous environmental factors, such as and general physicians—make diagnostic deci-
poverty or a severe trauma or loss earlier in sions, the system should be couched in terms
life. Likewise, cultural factors can create vulner- of observable behaviours that can be reliably
ability to certain kinds of disorders (Johnson & detected and should minimize subjective judg-
Johnson, 2014; Tinsley-Li & Jenkins, 2007). ments (American Psychiatric Association, 2000).
But vulnerability is only part of the equation. Validity means that the diagnostic categories
In most instances, a predisposition creates a should accurately capture the essential features
disorder only when a stressor—some recent or of the various disorders. Thus, if research and
clinical observations show that a given disorder nor can it capture symptoms that are adaptively
has four behavioural characteristics, the diag- important but not severe enough to meet the
nostic category for that disorder should also behavioural criteria for the disorder.
have those four features. Moreover, the diagnos- An alternative (or supplement) to the cat-
tic categories should allow us to differentiate egorical system is a dimensional system, in
one psychological disorder from another. which relevant behaviours are rated along a
The DSM-5 (and the DSM-IV-TR prior to severity measure. Such a system is based on
May 2013) is the most widely used diagnostic the assumption that psychological disorders are
classification system in North America (although extensions different in degree, rather than kind,
in much of Europe, a different classification from normal personality functioning. As an
system—the International Statistical Classifi- example, consider the dimension of behaviour
cation of Diseases—is often used. The current that extends from normal, adaptive conscien-
version is ICD 11). For each of its more than tiousness to the maladaptive extremes seen in a
350 diagnostic categories, the DSM-5 contains person with a compulsive disorder (Table 16.2).
detailed lists of observable behaviours that must The maladaptive exaggeration of what is a
be present in order for a diagnosis to be made. normally adaptive personality style, or inabil-
ity to engage in the adaptive behaviours, can
The DSM-5: Integrating be applied to virtually all disorders (Brown &
Barlow, 2009). Likewise, it appears that much of
Categorical and Dimensional the comorbidity that exists among current diag-
Approaches nostic categories, such as anxiety and depres-
The American Psychiatric Association has revised sion, reflects variations in the same underlying
the diagnostic system for assessing mental dis- factors, such as activity in the behavioural inhi-
orders and it was released as the DSM-5 in 2013. bition system or the personality trait of neu-
Panels of experts on each disorder studied the roticism (Brown, 2007; Widiger & Smith, 2008).
research literature and suggested revisions to the Representing individuals along basic personal-
system (American Psychiatric Association, 2010). ity or symptom dimensions was attractive to the
The DSM-IV-TR was a categorical system, in experts on the DSM-5 revision panels because
which people were placed within specific diag- they believed that such a system may better
nostic categories. The highly specific behav- represent the uniqueness of each individual
ioural criteria in the DSM-IV-TR diagnostic and avoid the one-size-fits-all disadvantages of
categories clearly have improved reliability over being assigned to a particular diagnostic cat-
earlier versions (Brown et al., 2001; Nathan & egory (American Psychiatric Association, 2010).
Lagenbucher, 1999). One trade-off, however, is In May 2013, the American Psychiatric Asso-
that the criteria are so detailed and specific that ciation released the DSM-5. Although diag-
many people—as many as 50 percent—don’t fit nostic categories are retained, the proposed
neatly into the categories (Westen et al., 2004). system incorporates, as mentioned, dimensional
Moreover, people who receive the same diagno- scales that are used to rate the presence and
sis may share only certain symptoms and look severity of specific symptoms and personality
very different from one another. Finally, the characteristics. A prime example is in the per-
categorical system does not provide a way of sonality disorders, where six basic dimensions
capturing the severity of the person’s disorder, of disordered personality functioning—Negative
TABLE 16.2 F
rom Conscientious Personality to Obsessive-Compulsive Personality
Disorder: A Dimensional View
Adaptive
Conscientiousness Subclinical Disordered Severely Disordered
“I do what I’m “I feel as if I need to “I can’t put “I check and recheck
supposed to do. I have work on things until something aside my work until I’m sure
a strong work ethic, I get them right so until it’s perfect, that no one could
and I take pride in my that others will not even if it’s plenty find fault with what
work. I like to take my disapprove of me if they good enough to meet I’ve done. I can’t stop
time and do things find even one small my obligations and worrying that it’s not
right.” mistake.” needs.” perfect.”
Source: Adapted from Millon, T., & Davis, R. (2000). Personality disorders in modern life. New York, NY: Wiley.
638 CHAPTER SIXTEEN
Emotionality, Schizotypy (odd thinking and helping clinicians develop an effective treatment
behaviour), Disinhibition, Introversion, Antag- strategy (Paris, 2013; Skodol & Bender, 2009).
onism, and Compulsivity—are rated by clini-
cians to define a set of six personality disorders. Critical Issues in Diagnostic
Figure 16.6 shows how different combina- Labelling
tions of the personality dimensions (and their Beyond their clinical and scientific utility,
more specific behavioural facets) give rise to diagnostic labels can have important personal,
antisocial and borderline personality disorders social, and legal consequences for the people
(described later in this chapter). Some of the who receive them.
basic personality dimensions clearly reflect
the maladaptive extremes of the traits in the Social and Personal Implications
Five Factor Model of normal personality Once a diagnostic label is attached to a person,
6. What effects described in Chapter 14 (Widiger et al., 2009). it becomes all too easy to accept the label as an
does psychiatric
These factors—Extraversion, Agreeableness, accurate description of the individual rather than
labelling have on
social- and self- Conscientiousness, Neuroticism, and Open- of the behaviour. It then becomes difficult to look
perceptions? ness to experience—are thought by propo- at the person’s behaviour objectively, without pre-
nents to be universal dimensions of personality. conceptions about how he or she will act. It also
One beneficial consequence of the proposed is likely to affect how we will interact with that
DSM-5 approach to the diagnosis of personality person. Consider for a moment what your reaction
disorders is that it helps to link normal and might be if you were informed that your new next-
abnormal personality functioning. Moreover, door neighbour had been diagnosed as a “sexual
the dimensional severity ratings that clini- psychopath.” It would be surprising indeed if this
cians will give to the behaviours involved in label did not influence your perceptions and inter-
each diagnostic category in the DSM-5 will actions with that person, whether or not the label
result in a fine-grained description that better was accurate. We discuss these implications in
reflects each person’s individuality while also this chapter’s Research Foundations feature.
Personality Personality
Trait Dimensions Disorder
Negative Emotionality
distress, anxiety, depression high
Schizotypy high
Borderline Type
odd, unusual thinking
Disinhibition high
impulsivity, irresponsibility,
acting out high
Introversion
Antisocial/
social withdrawal, Psychopathic Type
intimacy avoidance
Antagonism high
callousness, manipulation,
hostility/aggression
Compulsivity
perfectionism, rigidity
FIGURE 16.6 The DSM-5 Task Force proposed six basic personality dimensions, with high ratings indicating
greater psychological impairment. Here we see which of these personality trait dimensions are most prominently
involved in borderline and antisocial/psychopathic personality types.
Research
Foundations
ON BEING SANE IN INSANE PLACES demonstration. The staff at a large teaching and research
hospital was told that sometime during the next three
Introduction months, one or more pseudopatients would present them-
How do we come to know when someone is “insane”? For selves at the admission desk. The staff members were
that matter, can we tell when someone is “normal”? Of asked to rate each new patient during this time frame and
course, we could administer a battery of tests and use the indicate the likelihood that the patient was a fake. During
classification system from the DSM-5. But what if someone the three-month period, 193 patients were admitted. Of
were to simply walk into a treatment facility complaining these, 41 were determined with a high degree of confi-
of hearing voices? Would he or she perhaps be viewed as dence by at least one staff member to be pseudopatients.
suffering from a mental disorder? The implications of such Nineteen were rated as suspect by at least one staff mem-
behaviour were examined in this classic study by Davis ber and a psychiatrist. Not a single person was, in fact, a
Rosenhan (1973). pseudopatient—all were real.
Beyond the issues of simply failing to detect both san-
Method ity and insanity, it is interesting to note how the staff
responded to the pseudopatients. Once the individuals were
Rosenhan arranged for eight “pseudopatients” (five men
labelled as “schizophrenic,” every behaviour performed by
and three women) to present themselves at the admissions
these individuals was viewed as consistent with this label.
desk of 12 mental hospitals across the United States.
For example, the pseudopatients kept journals during their
Most were older, and they came from a variety of back-
stay. This journal writing was interpreted as symptomatic of
grounds (three psychologists, a psychiatrist, a pediatrician,
paranoid delusions. Details of family history were reinter-
a painter, and a housewife, plus Rosenhan himself). All
preted in a manner consistent with the diagnosis. Rosenhan
were sane. The pseudopatient arrived at admissions com-
concludes that we must be cautious in both using and inter-
plaining of hearing voices. If asked about the voices, the
preting the labels we place on others.
pseudopatient indicated that the message was unclear, but
contained the words hollow, empty, and thud. The voice was
not familiar but was of the same sex as the pseudopatient. Discussion
Nothing further was ever said about the symptoms or about
Although the results of this experiment are compelling,
hearing voices. If questioned by any member of the staff,
we must remember that the staff members at the various
the pseudopatients gave accurate details from their own
hospitals were responding with the best interests of the
life history and indicated that they no longer heard voices.
pseudopatients in mind. As Spitzer (1975) has noted,
They participated in all aspects of the hospital environment
it would have been unprofessional of them to respond
as directed by the staff. Each person was to appear as “nor-
in any other fashion. Nonetheless, Rosenhan’s demon-
mal” as possible and to convince the staff that they should
stration points out the difficulty of deciding just what is
be released.
“normal.” It should be noted that the Canadian Mental
Health Act would prohibit the lengthy institutional stays
Results repor ted by Rosenhan (1973). If a psychiatrist deter-
All eight pseudopatients were admitted to the hospital with mines upon interview that you are a danger to yourself or
a diagnosis of schizophrenia, and upon discharge the diag- society, you may be held involuntarily for up to 72 hours.
nosis of “schizophrenia in remission” was indicated. Not a You must be reassessed within that time. If the psychia-
single member of the staff at any of the hospitals realized trist still believes that you are a threat, you can be held
that these patients were, in fact, perfectly sane. Interest- for an additional two weeks, after which there must be
ingly, many of the patients at the various hospitals did see another assessment. The pseudopatients in the Rosen-
through the ruse, often commenting that the pseudopatient han study would likely have been discharged within the
was not a real patient—that he or she was probably a jour- first three days.
nalist or a professor. The average stay at the hospital was Diagnostic labels may also add to the burden of psycho-
19 days, with a range from 7 to 52 days. logical disorders if the person with the disorder or others
After hearing about some of these results, many hos- react negatively to the labels (Corrigan, 2005). When peo-
pitals claimed that such an error would never happen at ple become aware that a psychiatric label has been applied
their institution. So Rosenhan arranged the following to them, they may accept the new identity implied by the
continued
640 CHAPTER SIXTEEN
label and develop the expected role and outlook. Because

psychiatric labels often carry degrading and stigmatizing
Design
implications, the effects on morale and self-esteem can be Question: Will ordinary people be admitted to a mental
devastating. Moreover, a person may despair of ever chang- institution if they simply demonstrate symptoms?
ing and therefore give up trying to deal with life circum-
Type of Study: Participant observation
stances that may be responsible for the problems. In this
way, the expectations that accompany a label may result
in a self-fulfilling prophecy, in which expectation becomes Variable X
Whether the Variable Y
reality. Because of the stigma attached to “mental illness,”
pseudopatient was Presenting symptoms
many people with psychological disorders do not seek treat- (hollow voices,
admitted and for
ment. Of course, a psychiatric label can be a double-edged how long thud sounds)
sword, and the other side of this stigmatizing concern is
that the label will evoke sympathy, understanding, and sup-
port from others (Lilienfeld et al., 2010).
Legal Consequences Justice, 2010) and that in most cases the Crown/
Psychiatric diagnoses also have important legal prosecution agrees that the person was indeed
consequences (Schlesinger, 2007). Individuals insane, it has become more difficult to plead
judged to be dangerous to themselves or others insanity successfully. Until two decades ago in
may be involuntarily committed to mental the United States, the prosecution was required
7. Differentiate institutions under certain circumstances. When to prove that the defendant was not insane when
between the the crime was committed. Today, the burden has
so committed, they lose some of their civil
legal concepts shifted to the defence to prove that the client
of competency
rights and may be detained indefinitely if their
behaviour does not improve. was too impaired at the time of the crime to be
and insanity.
The law tries to take into account the mental held accountable for it. A recent U.S. Supreme
What is the
status of individuals accused of crimes. Two Court decision (Clark v. Arizona, 2006) gave the
current burden of
proof in insanity particularly important legal concepts are com- option of not considering mental illness as evi-
hearings? petency and insanity. Competency refers to a dence in criminal trials, further increasing the
defendant’s state of mind at the time of a judicial difficulty of mounting an insanity defence.
hearing (not at the time the crime was commit- To balance punishment for crimes with con-
ted). A defendant judged to be too disturbed to cerns about a defendant’s mental status and
understand the nature of the legal proceedings possible need for treatment, Canada and an
may be labelled as “not competent to stand trial” increasing number of U.S. jurisdictions have
and institutionalized until judged competent. adopted a verdict of “guilty but mentally ill.”
Insanity, a far more controversial issue,
relates to the presumed state of mind of the
defendant at the time the crime was committed.
Defendants may be declared “not guilty by rea-
Thinking critically
son of insanity” if they are judged to have been
so severely impaired during the commission of “DO I HAVE THAT DISORDER?”
a crime that they lacked the capacity either to When people read descriptions of disorders,
appreciate the wrongfulness of their acts or to whether physical or psychological, they often see
some of those symptoms or characteristics in
control their conduct. In 1992, Canada officially themselves. In medical education, this is some-
changed this verdict to “not criminally respon- times termed “medical students’ disease.” If you
sible on account of mental disorder (NCRMD).” experience such concerns as you read about the
It is important to understand that insanity is a various psychological disorders in this chapter,
legal term, not a psychological one. how should you decide whether you have a prob-
lem worthy of professional attention?
The insanity defence has long been hotly
debated. Despite the fact that the insanity plea Think about it, and then see the Answers section
is entered in only one of every 500 felony cases
in North America (Canadian Department of
In Review
• Abnormality is largely a social judgment. Behav- • Among the important issues in psychiatric diag-
iour that is judged to reflect a psychological dis- nosis are the potential negative effects of label-
order typically is (1) distressing to the person or ling on social perceptions and self-perceptions.
other people; (2) dysfunctional, maladaptive, or Legal implications of competency and insanity
self-defeating; and/or (3) socially deviant in a judgments are also receiving attention. Compe-
way that arouses discomfort in others and can- tency to stand trial means that the individual is
not be attributed to environmental causes. in sufficient contact with reality to understand
• The major psychiatric classification system in the legal proceedings. Insanity refers to an
North America is the DSM-5. Reliability (diagnos- inability to appreciate the wrongfulness of one’s
tic agreement) and validity are important issues act and to control one’s behaviour at the time
in diagnostic classification systems. the crime was committed.
This verdict imposes a normal sentence for a (2) a cognitive component, including subjective
crime but sends the defendant to a mental hos- feelings of apprehension, a sense of impend-
pital for treatment. Defendants who are consid- ing danger, and a feeling of inability to cope;
ered to have recovered before serving all their (3) physiological responses, including increased
time are then sent to prison for the remainder heart rate and blood pressure, muscle tension,
of the sentence. However, Canada’s new Crimi- rapid breathing, nausea, dry mouth, diarrhea,
nal Insanity Bill would make it more difficult for and frequent urination; and (4) behavioural
high-risk offenders to leave a psychiatric facil- responses, such as avoidance of certain situa-
ity in the first place. tions and impaired task performance (Barlow,
2002; Simms et al., 2012; Figure 16.7).
Anxiety disorders take a number of different
ANXIETY DISORDERS forms, including phobic disorders, generalized
All of us have experienced anxiety, the state anxiety disorders, and panic disorders. Post-
of tension and apprehension that is a natural traumatic stress disorder (PTSD; discussed in
response to perceived threat. But in anxiety Chapter 15) and obsessive-compulsive disorder
disorders, the frequency and intensity of were considered anxiety disorders in the DSM-
anxiety responses are out of proportion to the IV-TR, but the DSM-5 considers them separate
situations that trigger them, and the anxiety disorders. Two statistics are commonly used in
interferes with daily life. epidemiological research. Incidence refers to 8. Describe the
Anxiety responses have four components: the number of new cases that occur during a four components
(1) a subjective-emotional component, includ- given period. Prevalence refers to the number of of anxiety.
ing feelings of tension and apprehension; people who have a disorder during a specified
Emotional symptoms Cognitive symptoms

• feelings of tension • worry
• apprehension • thoughts about inability to cope
Anxiety
Physiological symptoms Behavioural symptoms

• increased heart rate • avoidance of feared situations
• muscle tension • decreased task performance
• other autonomic arousal symptoms • increased startle response
FIGURE 16.7 Anxiety consists of subjective-emotional, cognitive, physiological, and behavioural components.
642 CHAPTER SIXTEEN
period of time (i.e., both new and previously one of her own childhood friends had drowned
existing cases). Large-scale population stud- at a school picnic. Laura’s fear of water intensi-
ies indicate that anxiety disorders are the most fied after she breathed in some water and pan-
prevalent of all psychological disorders in North icked when she was “dunked” by a playmate at a
America, affecting 18.6 percent of the popula- swimming pool. She floundered and was sure she
tion during their lifetimes (Kessler et al., 2005). was going to drown until a lifeguard pulled her to
Figure 16.8 shows lifetime prevalence rates for safety. For the past 15 years, Laura has avoided
various anxiety disorders (based on DSM-IV- outings that would take her into deep water.
TR classification). All of the anxiety disorders Although she knows how to swim, she dreads the
tend to occur more frequently in females than thought of going swimming. She makes excuses
in males (16 percent versus 9 percent in Canada to avoid boating trips and once turned down a
respectively). In more than 70 percent of cases, free trip to Hawaii because of the anxiety she
anxiety disorders interfere significantly with life knew she would experience flying over the ocean.
functions or cause the person to seek medical or Phobias are strong and irrational fears of
9. What is a psychological treatment (Narrow et al., 2002). certain objects or situations. The word was
phobia, and what
originally derived from Phobos, the Greek god
are the three
major types? Phobic Disorder of fear, whose likeness was painted on masks
and shields to frighten enemies in battle. Today’s
Laura’s fear of the water dates back to her child-
phobic fights a different kind of battle, with fears
hood. She recalled her mother, who had a simi-
of a less realistic, but no less intense nature.
lar fear, vividly describing an incident in which
People with phobias realize that their fears
are out of all proportion to the danger involved,
but they feel helpless to deal with these fears.
Specific
Instead, they make strenuous efforts to avoid
phobia
the phobic situation or object. Among the
most common phobias in Western society are
Social
phobia agoraphobia, a fear of open and public places;
social anxiety disorder (formerly known as
social phobia), excessive fear of situations in
Panic
disorder which the person might be evaluated and pos-
sibly embarrassed; and specific phobias, such
as fears of dogs, snakes, spiders, airplanes,
Agoraphobia
elevators, enclosed spaces, water, injections, ill-
ness, or death. Animal fears are common among
Obsessive- women, and fear of heights, among men (Curtis
compulsive Males
disorder
et al., 1998). Phobias can develop at any point
Females in life, but many of them develop during child-
Generalized hood, adolescence, and early adulthood. Many
anxiety
disorder social phobias evolve out of extreme shyness
during childhood (Beidel & Turner, 2007). Once
Post-traumatic
phobias develop, they seldom go away on their
stress disorder
(PTSD)* own, and they may broaden and intensify over
time (Stein & Hollander, 2002).
0 5 10 15 20 The degree of impairment produced by a
Estimated lifetime prevalence (percentage) phobia depends in part on how often the phobic
stimulus is encountered in the individual’s
*Prevalence of PTSD is much higher in
samples of individuals who have experienced normal round of activities. For example, fear
traumatic events such as rape or combat. of flying (aviophobia) is a common phobia that
occurs in some 25 million North Americans
FIGURE 16.8 Lifetime prevalence rates for the
(Kessler et al., 2005). An airplane phobia may
anxiety disorders in men and women. All the disorders
occur more frequently in women. be a relatively minor inconvenience for a person
who never needs to travel by air, but it may be a
Source: Based on Kessler, R.C., Berglund, P., Demler, O.,
debilitating condition for an executive who has
Jin, R., Merikangas, K.R, & Walters, E.E. (2005). Lifetime
prevalence and age-of-onset distributions of DSM-IV disorders to travel frequently. Some people simply refuse
in the National Comorbidity Survey replication. Archives of to fly even at great personal inconvenience
General Psychiatry, 62, 593–602. (Figure 16.9).
the six months required for a formal diagnosis

(Kessler & Wittchen, 2002). The person may
find it hard to concentrate, make decisions, and
remember commitments. One large-scale study
found that 5 percent of people between the ages
of 15 and 45 reported having experienced the
symptoms of generalized anxiety and worry
disorder. In fact, our beliefs about worrying
and control are highly correlated with the
development GAD (Koerner et al., 2015). Onset
tends to occur in childhood and adolescence
(Wittchen et al., 1994).
© G. Paul Burnette/AP Photo/The Canadian Press

Panic Disorder
FIGURE 16.9 Many people suffer from a fear of fly- In contrast to generalized anxiety disorder,
ing. One famous figure is John Madden, formerly a which involves chronic tension and anxiety,
professional football coach and currently a TV analyst,
panic disorders occur suddenly and unpre-
who travels to his weekly assignments (sometimes
separated by thousands of kilometres) in a specially dictably, and they are much more intense. The
equipped motor home. symptoms of panic attacks can be terrifying. It
is not unusual for victims to feel that they are
dying (Ballenger, 2000).
Generalized Anxiety Disorder In most cases, panic attacks occur out of
the blue and in the absence of any identifiable
On initial assessment, Dr. N, who is mani-
stimulus. It is this unpredictable quality that
festly tense, complains of never being
makes panic attacks so mysterious and terri-
entirely free of a sense of impending disas-
fying to their victims. Many people with panic
ter, although he cannot further specify
attacks develop agoraphobia, a fear of public
the nature of this anticipated catastrophe.
places, because of their fear that they will have
He notes a number of signs of autonomic
an attack in public. In extreme cases, they may
hyperarousal that he experiences on virtu-
fear leaving the familiar setting of the home,
ally a daily basis, emphasizing in particular
and agoraphobics have been known to be house-
excessive sweating, which has become a
bound for years at a time because of their “fear
source of embarrassment. He is medicating
of fear” (Milrod et al., 1997). This case shows the
himself for persistent attacks of diarrhea.
development of an agoraphobic pattern:
He complains of an inability to attain a
refreshing level of sleep even on those rare As the attacks continued, Ms. Watson
occasions when he can count on a few unin- began to dread going out of the house
terrupted off-duty hours, and his very few alone. She feared that while out she would
waking “leisure” hours are filled with rest- have an attack and would be stranded and
less irritability. (Carson et al., 1988, p. 195) helpless. She stopped riding the subway to 10. How does
work out of fear she might be trapped in a a generalized
Dr. N is suffering from a generalized anxiety disorder
car between stops when an attack struck,
anxiety and worry disorder (GAD), a chronic differ from a
preferring instead to walk the 20 blocks
state of diffuse, or “free-floating,” anxiety that is phobic disorder?
between her home and work. Social and
not attached to specific situations or objects. In How does it
recreational activities, previously frequent
such cases, the anxiety may last for months on differ from a
and enjoyed, were severely curtailed panic disorder?
end, with the signs almost continuously present.
because an attack might occur. (Adapted
Emotionally, Dr. N feels jittery, tense, and
from Spitzer et al., 1983) 11. What occurs
constantly on edge. Cognitively, he expects
something awful to happen but doesn’t know Formal diagnosis of a panic disorder requires in a panic
what. Physically, he experiences a mild chronic recurrent attacks that do not seem tied to envi- disorder, and
how do these
emergency reaction. Dr. N sweats, his stomach is ronmental stimuli, followed by psychological or
experiences
usually upset, he has diarrhea, and so forth. behavioural problems. These typically involve frequently result
As we might expect, this disorder can inter- persistent fear of future attacks or agorapho- in development
fere markedly with daily functioning, even if bic responses. Panic disorders with or without of agoraphobia?
the symptoms are not continually present for agoraphobia tend to appear in late adolescence
644 CHAPTER SIXTEEN
or early adulthood and affect about 6 percent In this case, the woman’s germ obsession
of the population over their lifetimes (Kessler clearly interfered with her life, as well as her
et al., 2005). Even more common are occasional daughter’s. One man’s obsession resulted in a
panic attacks. In one survey of Canadian stu- far more favourable outcome: Louis Pasteur’s
dents, 34 percent reported having had at least discovery of a process for eliminating destruc-
one unexpected panic attack within the previous tive micro-organisms and limiting fermentation
year, usually during periods of extreme stress in milk, beer, and other liquids. His tireless work
(Norton et al., 1985). Under DSM-5 criteria, these on this invention was fuelled in part by his own
students would not be diagnosed as having obsession about contamination and infection.
a panic disorder unless they developed an Pasteur refused to shake hands with others and
inordinate fear of having future attacks. had a ritual of vigorously wiping his plate and
glass before dining (Asimov, 1997).
Obsessive-Compulsive Behavioural compulsions are extremely dif-
Disorder (OCD) ficult to control. They often involve checking
things repeatedly, cleaning, and repeating tasks
A thirty-eight-year-old mother of one child endlessly. If the person does not perform the
had been obsessed by fears of contamina- compulsive act, he or she may experience tre-
tion during her entire adult life. Literally mendous anxiety, perhaps even a panic attack.
hundreds of times a day, thoughts of being Like phobic avoidance responses, compulsions
infected by germs would occur to her. Once appear to reduce anxiety and be strengthened
she began to think that either she or her through a process of negative reinforcement
child might become infected, she could not because they allow a person to avoid anxiety
dismiss the thought. The constant concern (Jenike, 1998).
about infection resulted in a series of wash- In the DSM-5, specific types of OCD have
ing and cleaning rituals that took up most been included such as hoarding disorder, hair-
of her day. Her child was confined to one pulling disorder (trichotillomania), and skin-
room only, which the woman tried to keep picking disorder (exoriation).
entirely free of germs by scrubbing it— Recent studies have found the lifetime
floor to ceiling—several times a day. More- prevalence of OCD in the United States and
over, she opened and closed all doors with Canada to be about 1.6 per 100 people. Onset
her feet, in order to avoid contaminating typically occurs in the 20s (Kessler et al., 2005).
her own hands. (Rachman & Hodgson, 1980) We examine some of the brain mechanisms
This woman was diagnosed as having an involved in OCD in this chapter’s Focus on
12. Differentiate obsessive-compulsive disorder (OCD). OCD Neuroscience feature.
between
and related disorders are considered separate
obsessions and
compulsions.
in the DSM-5, but we will discuss them in this Causal Factors in Anxiety
section because of their relation to anxiety.
How are they
Such disorders usually consist of two compo-
Disorders and OCD
typically related
to each other? nents, one cognitive and the other behavioural, Anxiety is a complex phenomenon with
although either can occur alone. Obsessions biological, psychological, and environmental
are repetitive and unwelcome thoughts, images, causes, and all three levels of analysis have
or impulses that invade consciousness, are provided major insights into the development
often abhorrent to the person, and are very dif- and maintenance of anxiety disorders. Within
ficult to dismiss or control. This mother was the vulnerability-stress model presented earlier,
tyrannized by thoughts and images of con- any of these factors can create predispositions
tamination. Compulsions are repetitive behav- to respond to stressors with an anxiety disorder
ioural responses—such as the woman’s cleaning (Beidel et al., 2007; Velotis, 2006).
13. What rituals—that can be resisted only with great
evidence is there difficulty. Compulsions are often responses to Biological Factors
for a genetic obsessive thoughts and function to reduce the Genetic factors may create a vulnerability to
predisposition anxiety disorders (Blackwood, 2000; Jang,
anxiety associated with the thoughts (Clark &
to anxiety
O’Conner, 2005; De Silva & Rachman, 1998). 2005). Where clinical levels of anxiety are con-
disorders? What
form might the Once the mother had performed her compulsive cerned, identical twins have a concordance rate
vulnerability cleanliness acts, she was relatively free (i.e., if one twin has it, so does the other) of about
factor take? from anxiety, at least until the thoughts of 40 percent for anxiety disorders, compared with
contamination intruded once more. a 4 percent concordance rate in fraternal twins
Focus on
Neuroscience
THE NEUROSCIENCE OF OBSESSIVE- (toward the middle) prefrontal cortex. Beucke et al. (2013)
COMPULSIVE DISORDER have shown a heightened degree of activity in these brain
circuits. These areas have been implicated in the control
Obsessive-compulsive disorder (OCD) can be debilitating. of socially appropriate behaviours and motivation. If these
The behavioural compulsions are difficult to control and areas do not function properly, the individual may display
may result in physical damage to the individual. For exam- a variety of inappropriate, impulsive behaviours, and may
ple, excessive handwashing may result in severe skin abra- fixate on one aspect of the environment. Friedlander and
sions. Why do people engage in such potentially damaging Desrocher (2006) suggest that dysfunction in the orbito-
behaviours? frontal cortex and associated areas may be responsible for
Neuroimaging (fMRI, PET, and CT) has helped to shed the generation and persistence of obsessive thought. Abnor-
light on two underlying neural circuits involved in OCD. In malities were also observed in the cingulate gyrus, which is
a recent review, Friedlander and Desrocher (2006) exam- connected to both the frontal lobes and the limbic system.
ined the data on both models. The executive dysfunction These imaging studies suggest the involvement of two
model (e.g., Rapoport, 1991) suggests that the underlying separate pathways contributing to OCD. Friedlander and
problem lies in impulse control and behavioural inhibition. Desrocher (2006) argue that the executive dysfunction
The modulatory control model (e.g., Saxena et al., 1998) model is best equipped to explain compulsions and that
posits a different mechanism, reflecting lack of control of the neural wiring should be found in the prefrontal-caudate-
socially appropriate behaviours. According to the execu- thalamus circuit (Figure 16.10). The modulatory control
tive dysfunction model, the problem is an inability to inhibit model is focused on obsessions, and the underlying path-
behaviours viewed as inappropriate for a particular situa- way involves the orbitofrontal cortex and the cingulate. Early
tion. Friedlander and Desrocher (2006) suggest that this identification of abnormalities in either route may help with
model would predict altered activity in the prefrontal cortex the timing of effective treatment for OCD.
(in particular, regions to the back and the side of the pre-
frontal cortex). However, they also suggest that the caudate
Cingulate Caudate nucleus
nucleus (a major structure in the basal ganglia) should be
involved, since it is richly connected to the prefrontal cortex
and helps to regulate limbic system activity, especially with
respect to the completion of behaviours. However, the find-
ings seem to be mixed, with several showing increased vol-
ume of the caudate, and others showing a decrease or no
difference (e.g., Baxter et al., 1988; Robinson et al., 1995;
Szeszeko et al., 2004). Furthermore, the involvement of the
prefrontal cortex is more likely to be seen in adults than in
children. The data are more consistent regarding activity Prefrontal
in the thalamus, which serves as a major relay station for cortex
incoming information. For example, using PET scans, Perani Orbitofrontal
cortex
et al. (1995) report that thalamic abnormality is directly
related to OCD symptom severity.
More compelling support is found for the modulatory FIGURE 16.10 Areas involved in OCD. Research indicates
control model. In general, the evidence (e.g., Sawle et al., that obsessions are likely generated through an orbitofrontal-
1991) supports increased metabolism in the orbitofrontal cingulate pathway, while compulsions involve a prefrontal-
(the prefrontal lobe directly behind the eyes) and medial caudate-thalamus circuit.
(Carey & Gottesman, 1981). Recent research David Barlow (2002) suggests that such vul-
indicates that as much as 61 percent of the pop- nerability may take the form of an autonomic
ulation variance in panic disorder and 44 per- nervous system that overreacts to perceived
cent of the agoraphobia variance is genetically threat, creating high levels of physiological
influenced (Gelernter & Stein, 2009). Although arousal. Larson and colleagues (2006) found,
such findings indicate a genetic predisposition, for example, that the amygdala play a threat-
the concordance rate even in identical twins is detection role in phobias, resulting in a brief
far from 100 percent, indicating the significance but strong response to feared objects that is
of psychological and environmental factors. not present in response to nonphobic stimuli or
646 CHAPTER SIXTEEN
among nonphobic individuals. Hereditary fac- fear certain types of stimuli that might have had
tors may cause overreactivity of neurotrans- survival significance in the past, such as snakes,
mitter systems involved in emotional responses spiders, storms, and heights. As discussed in
(Brown & Barlow, 2009; Mineka et al., 1998). Chapter 7, evolutionary theorists believe that
Exposure to stress early in life is also associ- biological preparedness makes it easier for us
ated with changes in various neurotransmitter to learn to fear certain stimuli, and may explain
systems, resulting in increased responsiveness why phobias seem to centre on certain classes
to stress (Heim & Nemeroff, 2001). of “primal” stimuli and not on more dangerous
The search for biological processes associ- modern ones, such as guns and electrical power
14. How might ated with anxiety disorders has focused on sev- stations (Ohman & Soares, 1993).
GABA be related
eral neurotransmitters in the brain. One such
to anxiety Psychological Factors
disorders? transmitter is GABA (gamma-aminobutyric
How might the acid). As mentioned in Chapter 3, GABA is an Psychodynamic theories. Anxiety is a central
biochemical inhibitory transmitter that reduces neural activ- feature of psychoanalytic conceptions of abnor-
factor in panic ity in the amygdala and other brain structures mal behaviour. According to Freud, neurotic
disorder be that stimulate physiological arousal. Some anxiety occurs when unacceptable impulses
different? researchers believe that abnormally low levels threaten to overwhelm the ego’s defences and
of inhibitory GABA activity in these arousal explode into action. How the ego’s defence
areas may cause some people to have highly mechanisms deal with neurotic anxiety deter-
reactive nervous systems that quickly produce mines the form of the anxiety disorder. Freud
anxiety responses in response to stressors believed that in phobic disorders, neurotic
(Bremner, 2000). Such people might also be anxiety is displaced onto some external stimu-
more susceptible to classically conditioned lus that has symbolic significance in relation
phobias because they already have a strong to the underlying conflict. For example, in
unconditioned arousal response in place, ready one of Freud’s most celebrated cases, a little
to be conditioned to new stimuli. In support boy named Hans suddenly developed a fear of
of this hypothesis, brain scans showed that horses and the possibility of being bitten. To
patients with a history of panic attacks had a Freud, the phobia resulted from the boy’s unre-
22 percent lower concentration of GABA in the solved Oedipus complex. The powerful horse
occipital cortex than age-matched controls represented Hans’s father, and the fear of being
without panic disorder (Goddard et al., 2001). bitten symbolized Hans’s unconscious fear of
Other transmitter systems, par ticularly being castrated by his father if he acted on his
serotonin, may also be involved in the anxiety sexual desire for his mother.
disorders (Akimova et al., 2009). Obsessions and compulsions are also ways
As noted earlier, women exhibit anxiety of handling anxiety. According to Freud, the
disorders more often than men do (Leibenluft, obsession is symbolically related to, but less
1999). In a large epidemiological study of ado- terrifying than, the underlying impulse. A
lescents, Peter Lewinsohn and colleagues (1998) compulsion is a way of “taking back,” or
found that this sex difference emerges as early undoing, one’s unacceptable urges, as when
as seven years of age. The contributing role of obsessive thoughts about dirt and compulsive
biological factors is suggested by Lewinsohn’s handwashing are used to deal with one’s “dirty”
finding that, even when 11 psychosocial factors sexual impulses. Finally, generalized anxiety
15. What (including negative life events, self-esteem, and and panic attacks are thought to occur when
factors might social support) that differentiated males from one’s defences are not strong enough to control
produce the sex females were controlled for statistically, the or contain anxiety, but are strong enough to
difference seen large sex difference remained. hide the underlying conflict.
in the prevalence Such findings suggest a sex-linked biological Although psychoanalytic theory has stimu-
of anxiety predisposition for anxiety disorders, but social lated considerable thinking about the causes
disorders? conditions that give women less power and per- and treatment of anxiety disorders, the notion
sonal control may also contribute (Kessler et al., of anxiety disorder symptoms as symbolic
16. How does
1994; Craske, 2003). As in other instances of sex expressions of underlying conflicts has not
psychoanalytic
differences, it seems likely that biological, psy- received much research support (Fisher &
theory explain
the development chological, and environmental factors combine Greenberg, 1996). Cognitive and behavioural
of anxiety in complex ways. approaches are far more influential today in
disorders? Finally, we should recall the possible role of guiding research on anxiety disorders and their
evolutionary factors in predisposing people to treatment.
Cognitive factors. Cognitive theorists stress the that produce a classically conditioned fear
response (Waters et al., 2009). For example, a 17. How do
role of maladaptive thought patterns and beliefs
cognitive factors
in anxiety disorders (Brown & Barlow, 2009). person who has a traumatic fall from a high
enter into anxiety
Anxiety-disordered people “catastrophize” place may develop a fear of heights (a CR) disorders,
about demands and magnify them into threats. because the high place (CS) was associated particularly
They anticipate that the worst will happen and with the pain and trauma of the fall (UCS). panic disorder?
feel powerless to cope effectively (Clark, 1988; Classical conditioning cannot be the whole What research
Mineka et al., 1998). Attentional processes story, however, because many phobics have supports these
are especially sensitive to threatening stimuli never had a traumatic experience with the phobic explanations?
(Bar-Haim et al., 2007). Edna Foa and colleagues object or situation that they now fear (Bruce &
(1995) asked social phobics (1) how likely it Sanderson, 1998; Menzies & Clarke, 1995). Most
was that they would embarrass themselves in a people who are afraid to fly have never been in
social situation and (2) how serious and costly an air crash themselves. So how did they learn
the consequences of performing poorly would their fear? Clearly, phobias also can be acquired
be for them. Compared with non-phobics, the through observational learning. For example,
social phobics judged both the likelihood and televised images of air crashes can evoke high
the costs to be much higher. Interestingly, these levels of fear in some people. Yet most people do
judgments were restricted to social situations. not develop phobias under these conditions, so
The social phobics did not differ in their likeli- there must be still more going on. It may be that
hood and cost judgments in nonsocial situations. biological dispositions and cognitive factors help
Cognitive processes also play an important to determine whether a person develops a phobia
role in panic disorders. According to David Bar- by observing a traumatic event. Thus, if a person
low (2002), panic attacks are triggered by exag- has a biological disposition toward intense fear,
gerated misinterpretations of normal anxiety and if the person comes to believe that “sooner
symptoms, such as heart palpitations, dizziness, or later, the same thing will happen to me,” the
and breathlessness. The panic-disordered person likelihood of developing a phobia on the basis of
appraises these as signs that a heart attack or a observational learning may increase.
psychological loss of control is about to occur, Once anxiety is learned, it may be triggered
and these catastrophic appraisals create even either by cues from the environment or by inter-
more anxiety until the process spirals out of nal cues, such as thoughts and images (Pitman
control, producing a full-blown state of panic et al., 2000). In the case of phobic reactions, the
(Figure 16.11). Helping panic patients to replace cues tend to be external ones relating to the
such “mortal danger” appraisals with more feared object or situation. In panic disorders, on
benign interpretations of their bodily symp- the other hand, the anxiety-arousing cues tend
toms (e.g., “It’s only a bit of anxiety, not a heart to be internal ones, such as bodily sensations
attack”) results in a marked reduction in panic (e.g., one’s heart rate) or mental images (such
attacks (Barlow, 1997; Craske, 1999). as the image of collapsing and having a seizure
in a public place; Craske, 1999).
Anxiety as a learned response. From the People are highly motivated to avoid or 18. Explain
behavioural perspective, anxiety disorders escape anxiety because it is such an unpleas- anxiety disorders
result from emotional conditioning (Öhman, ant emotional state. Here is where operant con- in terms of
2000; Mineka & Zinbarg, 2006). Some fears are ditioning enters the picture. Behaviours that classical
acquired as a result of traumatic experiences are successful in reducing anxiety, such as conditioning,
negative
reinforcement,
and
Catastrophic observational
Physiological
appraisals, e.g.: learning.
responses, e.g.:
Eliciting • “My God. I’m
stimuli • increased heart
rate,
losing it!” PANIC
(internal or • “I’m having a ATTACK
external) • dizziness,
heart attack!”
• breathlessness,
• “I’m going insane!”
• muscle tension
• “I’m going to die!”
FIGURE 16.11 Current cognitive explanations of panic attacks depict a process in which normal manifestations
of anxiety are appraised catastrophically, ultimately resulting in a full-blown panic attack.
648 CHAPTER SIXTEEN
compulsions or phobic avoidance responses, value of extreme interpersonal sensitivity and to

are strengthened through a process of negative cultural prohibitions against expressing negative
reinforcement. Thus, the obsessive-compulsive emotions (Kleinknecht et al., 1997; Russell, 1989;
mother’s scrubbing ritual reduces anxiety about Ono et al., 2001; Torwin et al., 2004).
contamination, and the water phobic’s avoidance Several culture-bound anxiety-based dis-
of swimming prevents her from experiencing orders occur in North America. Windigo is an
anxiety. In the case of agoraphobia, remaining anxiety disorder found among certain North
at home also serves as a safety signal, a place American Aboriginals. Persons with Windigo
where the person is unlikely to experience a are fearful of being possessed by monsters
panic attack (Brown & Barlow, 2009). Again, who will turn them into homicidal cannibals. A
anxiety reduction reinforces the response of more familiar culturally based anxiety occurs in
staying at home (Figure 16.12). Unfortunately, anorexia nervosa. Though formally classified
successful avoidance, while producing an imme- as an eating disorder, anorexia nervosa has a
diate positive benefit, prolongs the problem in strong phobic component, namely the fear of
the long run. It prevents the learned anxiety getting fat. This eating disorder is found almost
response from being extinguished, which would exclusively in developed countries, in which the
occur eventually if these people exposed them- emphasis on being thin has become a cultural
selves to the feared stimuli enough times without obsession (Becker et al., 1999).
experiencing the feared consequences.
Eating Disorders
Sociocultural Factors Victims of anorexia nervosa have an intense
Social and cultural factors also play a role in fear of being fat and severely restrict their food
19. Describe the development of anxiety disorders (Lopez & intake to the point of self-starvation. Despite
four culture-
Guarnaccia, 2000). The role of culture is most looking emaciated and weighing less than 85
bound disorders
dramatically shown in culture-bound disorders percent of what would be expected for their age
that involve
anxiety. that occur only in certain places. Koro is a South- and height, anorexics continue to view them-
east Asian anxiety disorder in which a man fears selves as fat (Figure 16.13). They often crave
that his penis is going to retract into his abdomen food but have what amounts to an eating phobia
and kill him. Another culture-specific disorder, that can be life-threatening. About 90 percent of
found in Japan, is a social phobia called Taijin anorexics are female, mostly adolescents and
20. Describe Kyofushu (Tanaka-Matsumi, 1979). People with young adults (Becker et al., 1999). Anorexia
some of the
this disorder are pathologically fearful of offend- causes menstruation to stop, strains the heart,
symptoms
and causes of
ing others by emitting offensive odours, blush- produces bone loss, and increases the risk of
anorexia and ing, staring inappropriately, or having a blemish death (Neumäker, 2000). In 1982, the death of a
bulimia. or improper facial expression. Taijin Kyofushu famous singer, Karen Carpenter, was attributed
has been attributed to the Japanese cultural to heart strain caused by her anorexia.
Panic attack occurs in department store Few panic attacks occur at home
Avoid department stores Home becomes a “safety signal”
Reduction in anxiety negatively Fear of panic attack is reduced;

reinforces avoidance negatively reinforces staying at home
Avoid department stores even more. Person increasingly remains at home

May generalize to other social settings
(a) (b)
FIGURE 16.12 Panic and agoraphobia. This diagram illustrates how panic disorders contribute to the develop-
ment of agoraphobia. Negative reinforcement through anxiety reduction fosters avoidance of feared situations
(a), as well as an attraction to safety signals, such as one’s own home (b), where panic does not occur.
(both): © Ed Quinn/Corbis
FIGURE 16.13 Anorexia nervosa is a potentially life-threatening disorder in which people virtually starve them-
selves to be thin. This anorexic woman returned to normal weight after therapy.
People who suffer from bulimia nervosa are also may help to explain why, in North Amer-
overly concerned with becoming fat, but instead ica, eating disorders are more common among
of self-starvation they binge eat and then purge Whites than Blacks (Zhang & Snowden, 1999).
the food, usually by inducing vomiting or using Consistent with objectification theory, a study
laxatives. Bulimics often consume 2000 to 4000 of 16- to 21-year-old female university students
calories during binges, and in some cases may suggests that a cultural emphasis on viewing
consume 20 000 calories per day (Crandall, 1989; one’s body as an object contributes to eating
Geracioti et al., 1995). About 90 percent of bulim- disorders (Noll & Fredrickson, 1998).
ics are female. A number of female celebrities Cultural norms alone cannot account for eat-
(e.g. Demi Lovato, Kesha, Lady Gaga) have been ing disorders, because only a small percentage of
very open about their struggle with bulimia. women within a particular culture are anorexic or
Although most bulimics are of normal body bulimic. Some researchers believe that personality
weight, repeated purging can produce severe factors are another piece of the puzzle. Anorexics
physical consequences, including gastric prob- often are perfectionists: high achievers who often
lems and badly eroded teeth. Some surveys indi- strive to live up to lofty self-standards, including
cate that up to 10 percent of university women distorted standards concerning an acceptably thin
exhibit symptoms of bulimia, although its general body (Garfinkel & Garner, 1982). In one study,
prevalence among North American women is Monique Smeets (1999) showed anorexic and
1 to 3 percent—compared with 0.5 percent for normal women a “morphing movie” in which a
anorexia (Becker et al., 1999; Hudson et al., 2007). woman’s thin body transforms into an obese one.
When asked to judge the transition points at which
Causes of Anorexia and Bulimia the body changes from “thin” to “normal,” “fat,”
What motivates people to develop such abnor- and “obese,” anorexics set harsher standards (e.g.,
mal eating patterns? The answer—as with lower weight levels to meet the transition point)
general eating regulation—seems to lie in a for their own and other women’s bodies.
combination of environmental, psychological, For anorexics, losing weight becomes a battle
and biological factors. Anorexia and bulimia for success and control: “Me versus food, and I’m
are more common in industrialized cultures in going to win.” Their perfectionism and need for
which beauty is equated with “thinness.” Indeed, control may stem partly from their upbringing
as found by Cheryl Thomas of the University of (Chan & Ma, 2002). Anorexics describe their par-
Windsor, many women who immigrate to West- ents as disapproving and as setting abnormally
ern countries are at risk of developing eating high achievement standards, and they report
disorders (Geller & Thomas, 1999). Variations more stressful events related to their parents
in beauty norms among different ethnic groups than do non-anorexics (Waller & Hartley, 1994).
650 CHAPTER SIXTEEN
A different pattern emerges for bulimics, have low fat mass, the amount of leptin circu-
who tend to be depressed and anxious, exhibit lating in their bloodstream is abnormally low
low impulse control, and seem to lack a stable (Mantzoros et al., 1997). But when anorexics
sense of personal identity and self-sufficiency begin to eat more, their leptin levels rebound
(Strober & Humphrey, 1987). Bingeing is often more quickly than their weight gain. Because
triggered by life stress, and guilt and self- leptin is a signal that reduces appetite, this
contempt follow it. The purging may be a leptin rebound may make it more difficult for
means of reducing depression and anxiety anorexics to keep gaining weight (Walsh &
triggered by the bingeing (Waters et al., 2001). Devlin, 1998). Similarly, stomach acids expelled
On the biological side, genetic factors may into the mouth during vomiting cause bulimics
create a predisposition toward eating disor- to lose taste sensitivity, making the normally
ders. Concordance rates for eating disorders unpleasant taste of vomit more tolerable (Rodin
are higher among identical twins than frater- et al., 1990). This helps to perpetuate bulimics’
nal twins, and higher among first-degree rela- willingness to keep purging in this manner.
tives than second- or third-degree relatives Treating eating disorders is difficult and may
(Kortegaard et al., 2001). Anorexics and bulim- take years, but with professional help about half
ics exhibit abnormal activity of serotonin and of anorexics and bulimics fully recover (Becker
other body chemicals that help to regulate eat- et al., 1999; Walsh & Devlin, 1998). Others are
ing (Bruch, 1973; Walsh & Devlin, 1998). How- able to eat more normally but maintain their
ever, because the findings are correlational, it is preoccupation with weight.
not clear whether these chemical abnormalities
help to cause eating disorders, or are a reaction MOOD (AFFECTIVE)
to self-starvation and binge-purge eating.
Many researchers believe that these physio-
DISORDERS
logical changes initially are a response to abnor- Another set of emotion-based disorders are the
mal eating patterns; but, once started, they mood disorders, which involve depression
perpetuate eating and digestive irregularities and mania (excessive excitement). Together
(Walsh & Devlin, 1998). For example, because with anxiety disorders, mood disorders are the
leptin is secreted by fat cells and anorexics most frequently experienced psychological
In Review
• Anxiety involves four components: (1) subjective- to deal with internal psychological conflicts. The
emotional feelings of tension and discomfort; cognitive perspective stresses the role of cognitive
(2) cognitive processes involving worry, perceptions distortions, including the tendencies to magnify
of threat, and lack of control; (3) excessive physi- the degree of threat and danger and, in the case of
ological arousal; and (4) behaviours that reflect the panic disorder, to misinterpret normal anxiety symp-
anxious state and often are designed to escape or toms in ways that can evoke panic.
avoid the feared object or situation. • The behavioural perspective views anxiety as a
• Anxiety disorders include phobic disorder (an irratio- learned response established through classical
nal fear of a specific object or situation), generalized conditioning or vicarious learning. The avoidance
anxiety disorder (recurrent anxiety reactions that are responses in phobias and compulsive disorders are
difficult to link to specific environmental stimuli), and seen as operant responses that are negatively rein-
panic disorder. forced through anxiety reduction.
• OCD, which involves uncontrollable and unwelcome • Sociocultural factors are also involved in anxiety
thoughts and repetitive behaviours, has an anxiety disorders, as illustrated by certain culture-bound
component, but is now a separate disorder in the anxiety disorders. The greater prevalence of anxiety
DSM-5. disorders in women has been explained in both bio-
logical and sociocultural terms.
• Biological factors in anxiety disorders include both
genetic and biochemical processes, possibly involv- • Anorexia and bulimia are eating disorders that have
ing the action of neurotransmitters, such as GABA, serious physical consequences, occur more often
within parts of the brain that control emotional in cultures that value thinness, and are associated
arousal. with different psychological profiles and childhood
patterns of family interaction.
• Psychoanalytic theorists believe that neurotic anxi-
ety results from the inability of the ego’s defences
disorders (Kessler et al., 1994; Robins & Regier, functioning. Dysthymia is, however, a more
1991). Anxiety and mood disorders have a high chronic and long-lasting form of misery, occur-
comorbidity (co-occurrence). About half of all ring for years on end with intervals of normal
depressed people also experience an anxiety dis- mood that never last more than a few weeks or
order (National Institute of Mental Health, 2008). months.
Although depression is primarily a disorder of
Depression mood, there are three other types of symptoms:
Almost everyone has experienced depression, cognitive symptoms, motivational symptoms,
at least in its milder and more temporary forms. 21. Differentiate
and somatic (physical) symptoms (Figure 16.14).
between major
Loss and pain are inevitable parts of life, and The negative mood state is the core feature of
depression and
when they occur, most of us feel blue, sad, dis- depression. When depressed people are asked dysthymia.
couraged, apathetic, and passive. The future how they feel, they most commonly report sad-
looks bleak, and some of the zest goes out of ness, misery, and loneliness. Whereas people 22. Describe the
living. Such reactions are normal; at any given with anxiety disorders retain their capacity to four classes of
point in time, 25 to 30 percent of university experience pleasure, depressed people lose it symptoms that
undergraduates are experiencing mild depres- (Mineka et al., 1998; Ruscio et al., 2007). Activi- characterize (a)
sion (Seligman, 1991). These feelings usually ties that used to bring satisfaction and happi- depression and
fade away after the event has passed or as the ness feel dull and flat. Even biological pleasures, (b) mania.
person becomes accustomed to the new situa- such as eating and sex, lose their appeal.
tion. In clinical depression, however, the fre- Cognitive symptoms are also a central part
quency, intensity, and duration of depressive of depression. Depressed people have difficulty
symptoms are out of proportion to the person’s concentrating and making decisions. They usu-
life situation (Oatley & Jenkins, 1992). Thus, ally have low self-esteem, believing that they
some people may respond to a minor setback are inferior, inadequate, and incompetent. When
or loss with an intense major depression that setbacks occur in their lives, depressed people
leaves them unable to function effectively in tend to blame themselves; when failure has
their lives. This disorder occurs in 16.6 percent of not yet occurred, they expect that it will and
Americans during their lifetimes (Kessler et al., that it will be caused by their own inadequa-
2005). In Canada, the rate is a little lower—about cies. Depressed people almost always view the
10 percent of those over the age of 18 will suffer future with great pessimism and hopelessness
from major depression in their lifetimes (Cana- (Clark et al., 1999).
dian Mental Health Association, 2010). Other Motivational symptoms in depression involve
people exhibit a less intense form of depres- an inability to get started and perform behav-
sion called chronic depressive disorder (known iours that might produce pleasure or accom-
as dysthymia in the DSM-IV-TR) that has less plishment. A depressed student may be unable
dramatic effects on personal and occupational to get out of bed in the morning, let alone go to
Emotional symptoms Cognitive symptoms
• Sadness • Negative cognitions

• Hopelessness about self, world,
• Anxiety and future
• Misery
• Inability to enjoy
DEPRESSION
Motivational symptoms Somatic symptoms
• Loss of interest • Loss of appetite

• Lack of drive • Lack of energy
• Difficulty starting • Sleep difficulties
anything • Weight loss/gain
FIGURE 16.14 Depression includes emotional, cognitive, motivational, and somatic features.
652 CHAPTER SIXTEEN
class or study. Everything seems too much of an two-chair practice to a 20-chair one, and
effort. In extreme depressive reactions, the per- his plan was to reconstruct his two dental
son may have to be prodded out of bed, clothed, offices into 20 booths so that he could
and fed. In some cases of severe depression, simultaneously attend to as many patients.
movements slow down and the person walks or That very day he drew up the plans for this
talks slowly and with excruciating effort. arrangement and telephoned a number of
Somatic (bodily) symptoms often include remodellers and invited them to submit
loss of appetite and weight loss in moderate bids for the work.
and severe depression. Sleep disturbances, Toward the end of that day he became
particularly insomnia, commonly occur. Sleep irritated with the “interminable delays”
disturbance and weight loss lead to fatigue and and, after he attended to his last patient,
weakness, which tend to add to the depressed rolled up his sleeves and began to knock
feelings. Depressed people also may lose sexual down the walls of his dental offices. When
desire and responsiveness. In mild depression, he discovered that he couldn’t manage this
weight gain sometimes occurs as a person eats chore with the sledgehammer he had pur-
compulsively. chased for this purpose earlier, he became
frustrated and proceeded to smash his
Bipolar Disorder more destructible tools, washbasins, and
X-ray equipment. He justified this behav-
When a person experiences only depression, iour in his own mind by saying, “This junk
the disorder is called unipolar depression. In is not suitable for the likes of me; it’ll have
bipolar disorder, depression (which is usu- to be replaced anyway.”
ally the dominant state) alternates with periods He was in perpetual motion and his
of mania, a state of highly excited mood and speech was “overexcited.” When Robert was
behaviour that is quite the opposite of depres- later admitted to a hospital, he could not sit
sion. In a manic state, mood is euphoric and cog- in his chair; instead he paced the office floor
nitions are grandiose. The person believes there like a caged animal. (Kleinmuntz, 1980,
are no limits to what can be accomplished and pp. 309–310)
does not recognize the negative consequences
that may ensue if grandiose plans are acted
on. At a motivational level, manic behaviour is Prevalence and Course
hyperactive. The manic person engages in fre- of Mood Disorders
netic activity, be it in work, in sexual relation-
Epidemiological studies suggest that, at this
ships, or elsewhere. The 19th-century composer
moment, about one in 20 North Americans is
Robert Schumann produced 27 works during
severely depressed (Satcher, 1999). Statistically,
one manic year, but his productivity ground to
your chances of having a depressive episode of
a halt when he sank back into the depressive
clinical proportions at least once in your life-
phase of his bipolar disorder (Jamison, 1995).
time is about one in five (Kessler et al., 2005).
Manic people can become very irritable and
No age group is exempt from depression. It
aggressive when their momentary goals are
appears in infants as young as six months who
frustrated in any way (Miklowitz, 2007).
have been separated from their mothers for pro-
In a manic state, speech is often rapid or
longed periods. The rate of depressive symp-
pressured, as if the person must say as many
toms in children and adolescents is as high as
words as possible in the time allotted. With all
the adult rate (Essau & Petermann, 1999).
this flurry of activity comes a greatly lessened
Data from numerous studies indicate that
need for sleep. Manic people may go for several
depression is on the rise in young groups,
days without sleeping, until exhaustion inevita-
with the onset of depression increasing dra-
bly sets in and the mania slows down. The fol-
matically in 15- to 19-year-olds (Burke et al.,
lowing case illustrates a manic episode:
1991; LeBrun, 2007). People born after 1960
Robert B, a 56-year-old dentist, awoke are ten times more likely to experience depres-
one morning with the idea that he was sion than are their grandparents, even though
the most gifted dental surgeon in his tri- their grandparents have lived much longer
state area; his mission then was to provide (Seligman, 1989). The reasons for this striking
service for as many persons as possible increase are not totally clear, but we will
so that they could benefit from his talents. consider one possible explanation later
Consequently, he decided to enlarge his (Costello et al., 2006; Lewinsohn et al., 1993).
25 Once a depressive episode has occurred,

Past year one of three patterns may follow. In perhaps half
Percentage with major depression
Lifetime of all cases, depression will never recur. Many

20
other cases show a second pattern: recovery
with recurrence. On average, these people will
15 remain symptom-free for perhaps three years
before experiencing another depressive episode
10 of about the same severity and duration. The
time interval between subsequent episodes of
depression tends to become shorter over the
5
years (Rubin, 2000). Finally, about 10 percent
of people who have a major depressive episode
0 will not recover and will remain chronically
Males Females depressed (Figure 16.16).
Manic episodes, though less common than
FIGURE 16.15 Prevalence rates for major depression depressive reactions, are far more likely to
in men and women.
recur. Fewer than 1 percent of the population
Source: Data from Kessler, R.C., Berglund, P., Demler, O., experience mania, but more than 90 percent of
Jin, R., Merikangas, K.R, & Walters, E.E. (2005). Lifetime those who do have a recurrence (American Psy-
prevalence and age-of-onset distributions of DSM-IV disorders
in the National Comorbidity Survey replication. Archives of
chiatric Association, 1994; Kessler et al., 1994).
General Psychiatry, 62, 593–602.
Causal Factors in Mood Disorders
Biological Factors
The prevalence of depressive disorders Both genetic and neurochemical factors have 23. How
been linked to depression (Donaldson, 1998). prevalent is
is similar across socioeconomic and ethnic
Genetic factors surface in both twin and adop- depression
groups, but there is a major sex difference in our in men and
culture. Though men and women do not differ in tion studies (McGuffin et al., 2005). Identical
twins have a concordance rate of about women? Why the
prevalence of bipolar disorder, women appear to difference? What
be about twice as likely as men to suffer unipolar 67 percent for experiencing clinical depression,
is its course if
depression (Figure 16.15). Women are most compared with a rate of only 15 percent for
left untreated,
likely to suffer their first episode of depression and its likelihood
in their 20s, men in their 40s (Keyes & Goodman, of recurrence?
2006). Biological theories suggest that genetic People who
factors, biochemical differences in the nervous suffer major
depression
system, or the monthly premenstrual depression
that many women experience could increase
vulnerability to depressive disorders (Donaldson,
1998). In contrast, environmental theories focus
on possible cultural causes. One suggestion
is that the traditional sex role expectation for
40%
females in Western cultures is to be passive Depression
and dependent in the face of stress or loss and 50% will never recur
Depression
to focus on their feelings, whereas men are after recovery
will recur
more likely to distract themselves through
activities such as physical activity and drinking
(Nolen-Hoeksema et al., 1994).
Most people who suffer depressive episodes
never seek treatment. What is likely to happen 10%
to such people? Perhaps the one positive thing No recovery;
that can be said about depression is that it usu- chronic depression
ally dissipates with time. After the initial epi-
FIGURE 16.16 Course of outcome following a major
sode, which typically comes on suddenly after a depressive episode. About 40 percent never have a
stressful experience, depression typically lasts recurrence, perhaps 50 percent do have a recurrence,
an average of five to ten months when untreated and about 10 percent suffer chronic (ever-present)
(Tollefson, 1993). depression.
654 CHAPTER SIXTEEN
fraternal twins (Gershon et al., 1989). Among depressed individuals showed a much stronger
adopted people who developed depression, pleasure response to the drug than did nonde-
biological relatives were found to be eight pressed people, supporting the hypothesis of
times more likely than adoptive relatives to also a “pleasure deficit” in the brain (Figure 16.17).
suffer from depression (Wender et al., 1986). Later research by Ian Gotlib and colleagues
What is likely inherited is a predisposition (2004a), using fMRI readings of emotion areas
to develop a depressive disorder, given of the brain, showed low levels of neuron
certain kinds of environmental factors such as responsiveness to both happy and sad scenes,
significant losses and low social support as if the emotion response systems had shut
(Brown & Barlow, 2009; Jang, 2005). down. This may account for the lack of positive
Two genetically based temperament systems emotionality and the “emptiness” of the depres-
24. What discussed in Chapter 11, the behavioural inhibi- sive emotional experience.
evidence exists
tion system (neuroticism) and the behavioural Bipolar disorder, in which depression alter-
for a genetic
activation system (extraversion) are heavily nates with less frequent periods of mania, has
factor in
depression? involved in the development of mood disorders been studied primarily at the biological level
(Brown, 2007). You’ll recall that the behavioural because it appears to have a stronger genetic
activation system (BAS) is reward-oriented and basis than does unipolar depression (Young &
activated by cues that predict future pleasure, Joffe, 1997). Among both men and women, the
whereas the behavioural inhibition system (BIS) lifetime risk of developing a bipolar disorder
is pain-avoidant and generates fear and anxi- is just below 1 percent. Yet about 50 percent
ety. Depression is predicted by high BIS sensi- of patients with bipolar disorder have a parent,
tivity and low BAS activity. Mania, on the other grandparent, or child with the disorder
hand, is linked to high reward-oriented BAS (Barondes, 1999; Rubin, 2000). The concordance
functioning, and scores on the personality vari- rate for bipolar disorder is five times higher in
able of extraversion (tied heavily to the BAS)
predicts the future development of bipolar
mania (Lonnqvist et al., 2009). Cues connoting
potential reward, achievement gratification,
and goal attainment trigger BAS activation,
leading to the manic person’s elevated posi-
tive emotions and expectations, high activity
level, and self-confidence. With clear failure,
however, BAS deactivation can cause a flip-flop
into feelings of depression (Alloy et al., 2009).
Increasingly, biological research has focused
25. What on the possible role of brain chemistry in
biochemical
depression. One influential theory holds that
processes
might underlie depression is a disorder of motivation caused
depression? by underactivity in a family of neurotransmit-
Mania? ters that include norepinephrine, dopamine,
and serotonin. These transmitters, which are
involved in the BAS, play important roles in
brain circuits that produce reward and plea-
sure. When neural transmission decreases in
these brain regions, the result is the lack of
pleasure and loss of motivation that character-
ize depression (Areán, 2007). Also in support of
this theory, several highly effective antidepres-
sant drugs operate by increasing the activity of
these neurotransmitters, thereby further stimu-
lating the neural systems that underlie positive © Purestock/Getty Images
mood and goal-directed behaviour. A study by
FIGURE 16.17 Women who suffer from postpartum
Lescia Tremblay and colleagues (2002) tested depression can lose the capacity to experience plea-
the amount of reward experienced by depressed sure while interacting with their babies. Reductions in
patients when these centres were activated by a depression can restore the brain’s capacity to generate
stimulant drug that produces pleasure. Severely normal levels of pleasure during maternal interactions.
identical twins than in fraternal twins, suggest- not only to the current event, but also to the
ing a genetic link. unresolved loss from the past.
Manic disorders may stem from an overpro- Were he alive today, Freud would surely
duction of the same neurotransmitters that are point to research by British sociologists George
underactive in depression. This might explain Brown and Terrill Harris (1978) to support his
the symptom picture that is quite the oppo- theory of early loss. Brown and Harris inter-
site of that seen in depression. Significantly, viewed women in London and found that the
lithium chloride, the drug most frequently used rate of depression among women who had lost
to calm manic disorders, works by decreasing their mothers before age 11 and who had also
the activity of these transmitters in the brain’s experienced a severe recent loss was almost
motivational/pleasure activation system three times higher than the rate of depression
(LeMoal, 1999; Robinson, 1997). among women who had experienced a simi-
lar recent loss but had not lost their mothers
Psychological Factors before age 11. Other research has shown that
Biological factors seem to increase vulner- death of the father while a child is young is
ability to certain types of psychological and also associated with a greatly increased risk
environmental events that then can trigger of later depression (Barnes & Prosen, 1985;
the disorders. Other perspectives specify what Bowlby, 2000a).
those events might be. The humanistic perspective also addresses
causes of depression. In attempting to
Personality-based vulnerability. Psychoana-
explain the dramatic increase in depression 26. What
lysts Karl Abraham (1911) and Sigmund Freud
among people born after 1960, Martin Selig- evidence is there
(1917) believed that early traumatic losses or
man (1989) has suggested that the “me” to support the
rejections create vulnerability for later depres- notion that early
generation, with its overemphasis on indi-
sion by triggering a grieving and rage process losses create
viduality and personal control, has sown the
that becomes part of the individual’s personality a risk factor for
seeds for its own depression. Because people
(Figure 16.18). Subsequent losses and rejection later depression?
define their self-worth in terms of individual
reactivate the original loss and cause a reaction
attainment and have lesser commitment to
27. How does
traditional values of family, religion, and the
Seligman explain
common good, they are likely to react much the dramatic
more strongly to failure, to view negative increase in
events as reflecting their own inadequacies, depression
and to experience a sense of meaninglessness among people
in their lives. born after 1960?
Cognitive processes. According to Aaron 28. Describe

Beck (1976), depressed people victimize them- (a) the cognitive
selves through their own beliefs that they are triad and (b)
defective, worthless, and inadequate. They the depressive
also believe that whatever happens to them attributional
pattern described
is bad, and that negative things will continue
by Beck.
happening because of their personal defects
(Clark et al., 1989). This depressive cognitive
triad of negative thoughts concerning (1) the
world, (2) oneself, and (3) the future seems
to pop into consciousness automatically, and
many depressed people report that they can-
not control or suppress the negative thoughts
(Wenzlaff et al., 1988). Depressed people also
tend to recall most of their failures and few of
their successes, and they tend to focus much
of their attention on their perceived inadequa-
© Alan Oddie/Photo Edit, Inc. cies (Haaga et al., 1991; Clark et al., 1999).
FIGURE 16.18 Early catastrophic losses are thought Depressed people also detect pictures of sad
by psychoanalysts to increase vulnerability to later faces at lower exposure times and remember
depressive disorders. them better than do nondepressed people
656 CHAPTER SIXTEEN
(Gotlib et al., 2004b), indicating a perceptual holds that depression occurs when people
and memory sensitivity to the negative, and expect that bad events will occur and that
they are more likely to distort their memo- there is nothing they can do to prevent or cope
ries of negative events. Such thoughts trigger with them (Abramson et al., 1978; Seligman &
depressed affect. Isaacowitz, 2000). The depressive attribu-
As noted in the discussion of self-enhance- tional pattern just described plays a central
ment tendencies in Chapter 11, most people tend role in the learned helplessness model; but
to take personal credit for the good outcomes learned helplessness theorists take it a step
in their lives and to blame their misfortunes on further by specifying what the negative attri-
factors outside of themselves, thereby maintain- butions for failure are like. They suggest that
ing and enhancing their self-esteem. According chronic and intense depression occurs as
to Beck, depressed people do exactly the oppo- the result of negative attributions for failure
site: They interpret successes or other positive that are personal (“It’s all my fault”), stable
events as being due to factors outside the self, (“I’ll always be this way”), and global (“I’m
while attributing negative outcomes to personal a total loser”). Thus, people who attribute
factors (Figure 16.19). Beck believes that this negative events in their lives to factors such
depressive attributional pattern of taking as low intelligence, physical repulsiveness, or
no credit for successes but blaming themselves an unlovable personality tend to believe that
for failures maintains depressed people’s low their personal defects will render them help-
self-esteem and their belief that they are worthless to avoid negative events in the future,
less failures. Quite literally, they can’t win, even and therefore they are at significantly greater
when they do! risk of depression.
Not surprisingly, low self-esteem operates Mania is dominated by quite another pat-
as a significant risk factor for later depression. tern of thinking. The person in a manic state is
This was established in two large-scale longi- expansive, optimistic, and excited—all emo-
tudinal studies in which over 4000 adults rang- tions linked with the behavioural activation
ing in age from 18 to 88 years were followed system. In a longitudinal study, Lauren
for four to nine years. At all age levels, low A lloy and colleagues (2009) compared
self-esteem predicted later depressive episodes 195 people with bipolar disorder with a
(Orth et al., 2009). demographically matched group of persons
Another prominent cognitive account of without bipolar disorder. They found that
29. According depression, learned helplessness theory, cognitions involving autonomy (a focus
to learned
on individualistic achievement and self-
helplessness
theory, what Depressive attributional pattern sufficiency), high performance standards
kinds of (“A person should do well at everything”),
Depressed people Depressed people
attributions and a tendency toward self-criticism when
attribute negative attribute positive
trigger outcomes to outcomes to factors goals are not obtained predicted not only
depression? themselves outside themselves bipolar group membership but also the
occurrence of future hypomanic episodes.
30. How does
Lewinsohn’s Interpretations Learning and environmental factors. Peter
learning theory of life Lewinsohn and his colleagues (1985) believe
explain the outcomes
that depression is usually triggered by a loss,
spiralling
some other punishing event, or by a drastic
downward
course that decrease in the amount of positive reinforce-
occurs in severe Nondepressed people Nondepressed people ment that the person receives from her or his
attribute positive attribute negative environment (Figure 16.20). As the depres-
depression? outcomes to outcomes to factors
themselves outside themselves sion begins to take hold, people stop per-
forming behaviours that previously provided
Self-enhancement attributional pattern reinforcement, such as hobbies and social-
(nondepressed people) izing. Depressed people also tend to generate
FIGURE 16.19 Cognitive theorists believe that the additional negative life events through their
attributional patterns of depressed people are the negative moods, pessimism, and reduced func-
opposite of the self-enhancing patterns that character- tioning (Harkness & Stewart, 2009). Moreover,
ize nondepressed people. depressed people tend to make those who come
and a positive self-concept. They therefore are

Inadequate Depression vulnerable later in life to stressful events that
positive can trigger depressive reactions. This conclu-
reinforcement
sion is supported by findings that children of
or many
punishers Decreased depressed parents exhibit a significantly higher
reward-seeking incidence of depression and other disorders as
behaviour, avoidance adolescents and young adults (Lieb et al., 2002;
of others
Halligan et al., 2007).
Deeper
depression
Sociocultural Factors
Increased Although depression is found in virtually all
depression cultures, its prevalence, symptom pattern,
Noxious behaviours
and causes reflect cultural variation (Lopez &
that alienate Guarnaccia, 2000). For example, compared
others and reduce with Western nations, the prevalence of depres-
social support sive disorders is far lower in Hong Kong and
Taiwan, where strong connections to family
FIGURE 16.20 Lewinsohn’s behavioural model of and other groups help to reduce the negative
depression focuses on the environmental causes
and effects of depression. Depression results from
impact of loss and disappointments and pro-
loss of positive reinforcement and produces further vide strong social support when they occur
decline in reinforcement and social suppor t in a (Tseng et al., 1990).
vicious cycle. Cultural factors also can affect the ways
in which depression is manifested. Feelings
of guilt and personal inadequacy seem to
in contact with them feel anxious, depressed, predominate in North American and western
and hostile (Joiner & Coyne, 1999). Eventually, European countries, whereas somatic symp-
these other people begin to lose patience, failing toms of fatigue, loss of appetite, and sleep
to understand why the person doesn’t “snap out difficulties are more often reported in Latin,
of it.” This diminishes social support still further Chinese, and African cultures (Manson, 1994).
and may eventually cause depressed people to Finally, cultural factors may influence
be abandoned by those who are most important who develops depression. As noted earlier,
to them (Nezlek et al., 2000). Longitudinal stud- women are about twice as likely as men to
ies show that reductions in social support are report feeling depressed in technologically
a good predictor of subsequent depression advanced countries such as Canada, the
(Burton et al., 2004). United States, and other Western nations 31. What is the
Behavioural theorists believe that to begin (Keyes & Goodman, 2006). Yet this sex dif- relation between
feeling better, depressed people must break ference is not found in developing countries depression and
(Culbertson, 1997; Nolen-Hoeksema, 1990). suicide? What
this vicious cycle by initially forcing them-
are the major
selves to engage in behaviours that are likely In the United States, White Americans are
motives and
to produce some degree of pleasure. Even- approximately 50 percent more likely than risk factors
tually, positive reinforcement produced by are Black Americans to suffer from depres- for suicide?
this process of behavioural activation will sion in their lifetimes, but Black Americans Describe
begin to counteract the depressive affect, typically experience more severe and dis- four practical
undermine the sense of hopelessness that abling symptoms than do White Americans guidelines for
characterizes depression, and increase feel- (Williams et al., 2007). At present, we do not helping a suicidal
ings of personal control over the environment know why these patterns occur, but attempts person.
(Martell et al., 2004). are under way to learn more about how the
Environmental factors may also help to cultural environment influences the develop- 32. How are
explain why depression tends to run in fami- ment of depression. cultural factors
At one time or another, many depressed related to the
lies. Constance Hammen (1991) studied the
prevalence,
family histories of depressed people and con- people consider suicide as a way to escape
manifestation,
cluded that children of depressed parents often from the unhappiness of their lives. This chap- and sex
experience poor parenting and many stress- ter’s Applications feature examines suicide, its differences in
ful experiences as they grow up. As a result, causes, and what can be done to prevent this depression?
they may fail to develop good coping skills tragic event.
658 CHAPTER SIXTEEN
Applications
UNDERSTANDING AND PREVENTING suicide attempts (Fergusson & Lynskey, 1997; Garnefski &
SUICIDE Arends, 1998).
Depression, whether unipolar or bipolar, is one of the
Suicide is defined as the willful taking of one’s own life. The strongest predictors of suicide (Goldston et al., 2006;
World Health Organization estimates that nearly 500000 people Ostacher & Eidelman, 2006). About 15 percent of clinically
worldwide commit suicide annually, about 1.4 per minute. depressed individuals eventually will kill themselves, a rate
Nearly 4000 suicides a year are recorded in Canada, and there that is 22 to 36 times higher than the suicide rate for the
are up to 100 times as many attempts. Suicide is the second general population. An estimated 80 percent of suicidal
most common cause of death, surpassed only by accidents, people are significantly depressed (Yen et al., 2003). It is
for those in the 15- to 24-year-old age bracket (Statistics noteworthy, however, that suicide does not usually occur
Canada, 2013). In North America, suicide rates for 15- to when depression is deepest. Instead, suicide often occurs
24-year-olds tripled between 1960 and 1992, but have fallen unexpectedly as a depressed (or bipolar) person seems to
off in recent years (National Center for Health Statistics, 2009; be emerging from depression and feeling better. The lifting
Figure 16.21). In Canada, the suicide rate for 15- to 19-year- of depression may provide the energy needed to complete
olds (11.5 per 100000 population) is somewhat lower than the suicidal act, without affecting the person’s underlying
the rate for adults (15.8 per 100000 population; Statistics sense of hopelessness and despair.
Canada, 2013). In a survey of students in Grades 7–12, a
British Columbia study found that 34 percent knew someone Motives for Suicide
who had attempted suicide and 7 percent had tried themselves
There appear to be two fundamental motivations for suicide:
(Mood Disorders Society of Canada, 2009).
the desire to end one’s life and the desire to manipulate
Women make about three times as many suicide
and coerce other people into doing what the suicidal person
attempts as men, but men are four times more likely to
wants (Beck et al., 1979). Those who wish to end their lives
actually kill themselves (Canadian Mental Health Asso-
basically have given up. They see no other way to deal with
ciation, 2016; National Institute of Mental Health, 2009).
intolerable emotional distress, and in death they see an
These differences may be due to (1) a higher incidence of
end to their problems. In one report, 56 percent of suicide
depression in women and (2) men’s choice of more lethal
attempts were classified as having been motivated by the
methods, such as shooting themselves or jumping off build-
desire to die (Beck, 1976). These attempts were accompa-
ings. The suicide rate for both men and women is higher
nied by high levels of depression and hopelessness, and
among those who have been divorced or widowed. Women
they tended to be more lethal than other suicide attempts.
who commit suicide have a relatively greater tendency to
The second primary motivation for suicide is manipula-
be motivated by failure in love relationships, whereas men
tion of others. Many parasuicides (suicide attempts that do
have a greater tendency to be motivated by failure in their
not end in death) are cries for help or attempts to coerce
occupations (Shneidman, 1976). A history of sexual or
people into meeting one’s needs. Trying to prevent a lover
physical abuse significantly increases the likelihood of later
from ending a relationship or trying to dramatize one’s suffer-
ing are manipulative motives. Manipulative suicide attempt-
16 ers tend to use less lethal means (such as drug overdoses
Suicides per 100,000 population,
14 or wrist-slashing) and to make sure help is available. In the

12 report cited earlier (Beck, 1976), 13 percent of the suicide
attempts were classified as manipulative. The remaining
10
ages 15–24
31 percent combined the two types of motivation. Other con-

8 tributors to suicidal ideation and behaviour are a desire to no
6 longer be a burden to others and a sense of social alienation
(Joiner et al., 2009). A small minority of suicides result from
4
altruistic decisions to sacrifice one’s life for the survival of oth-
2 ers. Examples are the soldier who dives on a hand grenade to
0 save comrades or a mother who elects to give birth rather than
1950 1960 1970 1980 1992 2003 2008 aborting her baby, knowing that she will die in the process.
Year
Warning Signs for Suicide
FIGURE 16.21 Suicide rate per 100 000 persons aged 15 to
24, from 1950 to 2008. The best predictor of suicide attempts in both men and
women is a verbal or behavioural threat to commit suicide,
Source: Data from National Center for Health Statistics. (2009). Health
and such threats should always be taken seriously. One of
in America, 2008. Hyattsville, MD: Author.
continued
the most destructive myths about suicide is that people who a potentially suicidal person, when in fact no one is (Kalafat
talk openly about suicide don’t actually carry out the act. Yet et al., 1993). Your ultimate goal should be to help the person
research shows that a high proportion of suicide attempts— to receive assistance from a qualified professional as soon
perhaps 80 percent—are preceded by some kind of warning as possible, not to treat the person yourself. Nonetheless,
(Bagley & Ramsay, 1997; Chiles & Strossahl, 1995). Some- you can take some immediate steps that may be helpful.
times the warning is an explicit statement of intent, such as Many suicidal people feel alone in their misery. It is impor-
“I don’t want to go on living” or “I won’t be a burden much tant to provide social support and empathy at this critical
longer.” Other times, the warnings are more subtle, as when juncture. An expression of genuine concern can pave the way
a person expresses hopelessness about the future, with- for other potentially helpful interventions (Barnett & Porter,
draws from others or favourite activities, gives away trea- 1998). For example, a frank discussion of the problem that
sured possessions, or takes unusual risks. Other important is foremost in the person’s life can be helpful. Suicidal people
risk factors are a history of previous suicide attempts and a often feel totally overwhelmed by life, and focusing on a spe-
detailed plan that involves a lethal method (Chiles & Strosahl, cific problem may help the person realize that it is not unsolv-
1995; Shneidman, 1998). Substance use and abuse also able and need not cloud his or her total perception of life.
increase suicide risk (Yen et al., 2003). When people are distressed and hopeless, their time
orientation tends to narrow, and they have difficulty seeing
Suicide Prevention beyond their current distress. Try to help the person see
Much has been learned about the dynamics and prevention his or her present situation within a wider time perspec-
of suicide as a result of scientific research. These findings tive and to consider positive possibilities that might exist in
provide guidelines for preventing this tragic answer to life’s the future. In particular, discuss reasons for continuing to
problems. For example, another myth about suicide is that live, and focus on any doubts the person might have about
broaching the topic with a potentially suicidal person may electing suicide. For example, if the person indicates that
prompt the person to carry out the act. In truth, the best his or her family will suffer greatly from the suicide, adopt
first step if you suspect that someone may be suicidal is this as one of your arguments for a different solution to the
to ask the person directly whether he or she is considering problem. Many suicidal people would like to feel that they
suicide: “Have you thought about hurting yourself or end- do not have to commit suicide. Capitalize on such feelings.
ing your life?” If the person responds affirmatively, try to If a person is suicidal, stay with him or her and seek pro-
find out whether or not he or she has a plan or a timetable fessional assistance. Most cities have suicide prevention
in mind. Do not be hesitant to approach the person. centres that offer 24-hour services, including telephone and
Diffusion of responsibility (discussed in Chapters 2 and 13) direct counselling. These centres usually are listed under
could result in your assuming that someone else is helping suicide or crisis in the phone book.
In Review
• Mood disorders include several depressive dis- rejections early in life that create a personality vul-
orders and bipolar disorder, in which intermittent nerability pattern.
periods of mania (intense mood and behaviour • Cognitive theorists emphasize the role of negative
activation) occur. Depression has four sets of beliefs about the self, the world, and the future
symptoms: emotional, cognitive, motivational, (the depressive triad) and describe a depressive
and somatic. The symptoms of negative emo- attributional pattern in which negative outcomes
tions and thoughts, loss of motivation, and are attributed to personal causes and successes
behavioural slowness are reversed in mania. to situational causes. Seligman’s theory of learned
• Both genetic and neurochemical factors have been helplessness suggests that attributing negative
linked to depression. One prominent biochemical outcomes to personal, stable, and global causes
theory links depression to an underactivity of neu- fosters depression.
rotransmitters (norepinephrine, dopamine, and sero- • The behavioural approach focuses on the vicious
tonin) that activate brain areas involved in pleasure cycle in which depression-induced inactivity and aver-
and positive motivation. Drugs that relieve depressive behaviours reduce reinforcement from the envi-
sion increase the activity of these transmitters. ronment and thereby increase depression still further.
Bipolar disorder seems to have an even stronger
genetic component than unipolar depression does. • Manipulation and a desire to escape distress are
the two major motives for suicide. The risk for sui-
• Psychoanalytic theorists view depression as a cide increases if the person is depressed and has
long-term consequence of traumatic losses and a lethal plan and a past history of parasuicide.
660 CHAPTER SIXTEEN
Anxiety and Mood Disorders

Levels of Analysis
Although the core emotions in the anxiety and mood disorders
seem quite different, they tend to co-occur in many people. Typical ENVIRONMENTAL
results were obtained in a study of 1127 outpatients who had either • Environmental life events that
anxiety or mood disorder diagnoses. Incidence results indicated involve traumatic conditioning of fear
that 55 percent of the patients had both anxiety and depression and anxiety and severe losses that trigger
depression prime people for later episodes of
symptoms at the time of assessment, a figure that rose to anxiety and depression.
76 percent when lifetime prevalence was • Another environmental vulnerability factor is growing
studied (Brown et al., 2001). This up with depressed parents or with parents who
high level of comorbidity has indoctrinate in children the message that the world is
BIOLOGICAL a dangerous place that one is powerless to cope with.
led some clinical scientists
• Negative life events that might not overwhelm a
to suspect that common • Biological vulnerability comes person without the triple vulnerability factors can
causal factors underlie from genetic factors that favour trigger an anxiety or affective disorder in a
both disorders, with ascendancy of the BIS over the BAS. vulnerable person.
There is a well-established heritability of
different combinations 0.30 to 0.50 percent in BIS sensitivity, priming
resulting in either BIS-sensitive people to experience anxiety
anxiety or depression, and depression in response to threat or loss.
or both. One such • An additional (and probably related) factor is a
highly reactive sympathetic nervous system
theory has been
that overreacts to threat and increases the ease PSYCHOLOGICAL
proposed by David with which conditioned anxiety responses
Barlow (2002; Suarez can be established. • Psychological vulnerability is related to
cognitive factors and coping strategies. The
et al., 2009). Termed development of irrational ideas that generate
the triple vulnerability depression or anxiety create a psychological world
model of emotional that primes people for emotional disorders.
disorders, it draws on the • Likewise, ineffective coping strategies such as
biological, psychological, and avoidance, blaming others, and wishful thinking,
combined with low levels of self-efficacy that
environmental levels of analysis. inhibits use of more adaptive problem-focused
and social-support coping, help to create negative
life events and interfere with acting adaptively.
The triple vulnerability model is promising because it
accounts for much of what we know about the causal
factors in anxiety. What implications does it have for
treating anxiety disorders? We will describe treatment
approaches to anxiety in Chapter 17.
FIGURE 16.22
SOMATIC SYMPTOM that either is out of proportion to whatever

medical condition they have or for which no
DISORDERS physical basis can be found. Somatic symptom
Somatic symptom disorders (formerly disorders differ from psychophysiological dis-
33. Describe known as somatoform disorders) involve orders, in which psychological factors cause or
the varieties
physical complaints or disabilities that suggest contribute to a real medical condition, such as
of somatic
a medical problem, but which have no known an ulcer, asthma, hypertension (chronic high
symptom
disorder. What biological cause and are not produced volun- blood pressure), or a cardiac problem. In peptic
causal factors tarily by the person (Kirmayer & Looper, 2007). ulcers, for example, a stress-produced outpour-
might be People who become unduly alarmed about any ing of peptic acid into the stomach produces an
involved in these physical symptom they detect and are con- actual lesion in the stomach wall. The resulting
disorders? vinced that they have or are about to have a pain is therefore caused by the actual physi-
serious illness used to diagnosed with hypo- cal damage. In a somatic symptom disorder, no
chondriasis, but in the DSM-5, the likely diag- physical basis for the pain would be found.
nosis would be illness anxiety disorder. People Perhaps the most fascinating of the somato-
with pain disorder experience intense pain form disorders is functional neurological
symptom disorder (known as conversion Beach, California. These survivors of the “kill-
disorder in the DSM-IV-TR), in which serious ing fields” of Cambodia were subjected to
neurological symptoms, such as paralysis, loss unspeakable horror at the hands of the Khmer
of sensation, or blindness suddenly occur. In Rouge in the years following the Vietnam War
such cases, electrophysiological recordings and (Cooke, 1991). More than 150 of them are func-
brain imaging indicate that sensory and motor tionally blind, even though their eyes appear
pathways in the brain are intact (Black et al., intact and electrophysiological monitoring
2004). People with conversion disorders often shows that visual stimuli “register” in their
exhibit la belle indifference, a strange lack of visual cortex (Figure 16.24). The doctors who
concern about their symptom and its implica- studied this remarkable group are convinced
tions (Pajer, 2000a). In some cases, the com- that they are not faking blindness. Many of the
plaint itself is physiologically impossible. An victims reported that their blindness occurred
example is the so-called “glove anaesthesia” in suddenly after witnessing traumatic scenes of
which a person loses all sensation below the murder. Were the sights from the outer world
wrist. As Figure 16.23 shows, the hand is served so painful that their visual systems shut down
by nerves that also provide sensory input above involuntarily? The following intriguing ques-
the hand, making glove anaesthesia anatomi- tion has yet to be answered: How might cultural
cally impossible. factors have affected the development of this
Functional neurological symptom disorders response to trauma?
are relatively rare, occurring in about three in To Freud, such symptoms were a symbolic
1000 North Americans during peacetime (Amer- expression of an underlying conflict that aroused
ican Psychiatric Association, 1994), but such so much anxiety that the ego kept the conflict in
disorders occur more frequently under war- the unconscious by converting the anxiety into
time conditions (Slavney, 1990). Thus, a soldier a physical symptom that in some way symbol-
about to return to the trauma of combat may ized the conflict. Contemporary psychodynamic
suddenly develop blindness or paralysis for theorists continue to accept this explanation
which no physical cause can be found. (Fisher & Greenberg, 1996). In one of Freud’s
Although “psychogenic blindness” is quite cases, a young woman who was forced to take
rare in the general population, researchers have care of her hostile, verbally abusive, and unap-
discovered the largest known civilian group preciative father suddenly developed paralysis
of people in the world having trauma-induced in her arm. According to Freud, this occurred
blindness. They are Cambodian refugees who when her repressed hostile impulses threatened
escaped from their country and settled in Long to break through and cause her to strike him by
using that arm (Freud, 1935).
A predisposition to somatic symptom dis-
orders may involve a combination of biologi-
cal and psychological vulnerabilities (e.g.,
smaller pituitary gland volume, Atmaca et al.,
2016). Somatic symptom disorders tend to run
© Steve Smith
FIGURE 16.23 Glove anaesthesia is a conversion FIGURE 16.24 A physician examines one of the
disorder in which all feeling is lost below the wrist. Cambodian refugees who appear to be suffering from
The skin areas served by nerves in the arm make this psychologically induced blindness. There is nothing
symptom physiologically impossible. wrong with their eyes, but they cannot see.
662 CHAPTER SIXTEEN
in families, though it is not clear whether this his or her customary life, wanders to a new far-
reflects the role of genetic factors or environ- away location, and establishes a new identity. In
mental learning and social reinforcement for fact, fugue is so rare that the DSM-5 considers
bodily symptoms, or both (Trimble, 2003). Other this a subcategory of dissociative amnesia. Usu-
theorists have suggested that some people ally, the fugue is triggered by a highly stress-
may experience internal sensations more viv- ful event or trauma, and it may last from a few
idly than others or may focus more attention hours or days to several years. Some adolescent
on them (Barsky, 1992). If this results in a per- runaways have been found to be in a fugue state,
son being self-absorbed in his or her own body and married fugue victims may wed someone
sensations, it could set the stage for increased else and start a new career (Loewenstein, 1991).
apprehension about the body. Somatic symp- Typically, the fugue ends when the person sud-
tom disorder patients are also very suggestible denly recovers his or her original identity and
(Roelofs et al., 2002). The incidence of somatic “wakes up,” mystified and distressed at being
symptom disorders tends to be much higher in a strange place under strange circumstances.
in cultures that discourage open discussion of Dissociative identity disorder (DID),
emotions or that stigmatize psychological dis- formerly called multiple personality disor-
orders (Tanaka-Matsumi & Draguns, 1997). der, is the most striking and widely publicized
Within Western cultures, there are subgroups, of the dissociative disorders; it is also the most
such as the police and military, in which open controversial. Several celebrated cases of DID
discussion of feelings and self-disclosure of psy- have been dramatized in books and movies,
chological problems are frowned on. In such such as Sybil and The Three Faces of Eve. In
settings, somatic symptoms may be the only this disorder, two or more separate personalities
acceptable outlet for emotional distress. The coexist in the same person. A primary, or host
same may occur in people who are so emotion- personality appears more often than the oth-
ally constricted that they cannot acknowledge ers (called alters), but each personality has its
their emotions or verbally communicate them to own integrated set of memories and behaviours.
others (Dell & O’Neil, 2009). The personalities may or may not know about
the existence of the others. They also can differ
in age and gender, with one being male, another
DISSOCIATIVE female. The personalities can differ not only men-
tally and behaviourally but also physiologically.
DISORDERS Mental health workers and researchers have
Ordinarily, personality has unity and coherence, reported dramatic differences among the alter-
and the many facets of the self are integrated so nate personalities of DID patients, including
34. What is the that people act, think, and feel with some degree physical health differences, voice changes, and
central feature even changes in right- and left-handedness. Some
of consistency. Memory plays a critical role in
of dissociative patients have severe allergies when one personal-
this integration, for it connects past with pres-
disorders?
ent and provides a sense of personal identity ity is present but no allergies when the others are
Describe the
that extends over time. Dissociative disorders active. One patient nearly died of a violent aller-
three major
types of involve a breakdown of this normal integration, gic reaction to a bee sting. A week later, when
dissociative resulting in significant alterations in memory an alternate personality was active, another
disorders. or identity. Three forms that such disorders sting produced no reaction. Female patients fre-
can take are dissociative amnesia, dissociative quently have different menstrual cycles for each
fugue, and dissociative identity disorder (van female personality; one patient had three periods
der Hart & Nijenhuis, 2009; Spiegel et al., 2013). per month. Other patients need eyeglasses with
In dissociative amnesia, a person responds different prescriptions for different personali-
to a stressful event with extensive but selec- ties; one may be farsighted, another nearsighted
tive memory loss. Some people can remember (Miller et al., 1991). Epileptic patients with DID
nothing about their pasts. Others can no longer often have their seizures in one personality but
35. How does recall specific events, people, places, or objects, not another (Drake et al., 1988).
the trauma-
although other contents of memory, such as
dissociation
language and cognitive or motor skills remain
theory account
intact.
What Causes Dissociative
for the
Dissociative fugue is a more profound and Identity Disorder?
development of
DID? very rare dissociative disorder in which a per- According to Frank Putnam’s trauma-
son loses all sense of personal identity, gives up dissociation theory, the development of new
personalities occurs in response to severe stress. cultures, including Japan (Takahashi, 1990).
For the vast majority of patients, this begins in But after the disorder was highly publicized in
early childhood, frequently in response to physi- popular books and movies, many additional
cal or sexual abuse. Putnam (1989) studied the cases began to be reported by therapists, until
life histories of 100 diagnosed DID cases and they numbered in the tens of thousands by the
found that 97 of them reported severe abuse and mid-1990s. The number of alternate personali-
trauma in early and middle childhood, a time ties also had increased from two or three to an
when children’s identities are not well estab- average of about 15 (Spanos, 1994). Could this
lished and it is quite easy for them to dissociate. dramatic increase in the prevalence of DID and
Putnam believes that in response to the trauma number of alters be the result of publicity and
and their helplessness to resist it, children may patient or therapist expectations? Additionally,
engage in something akin to self-hypnosis and critics wonder why children with DID are rarely
dissociate from reality. They create an alternate reported. Is it because children do not yet have
identity to detach themselves from the trauma, adult conceptions of DID (Piper & Merskey,
to transfer what is happening to someone else 2004)? As we noted in our discussion of hypnosis
who can handle it, and to blunt the pain. Over in Chapter 6, people can become so immersed in
time, it is theorized, the protective functions an imagined role (such as an alter personality)
served by the new personality remain separate that it becomes quite real to them, and they act
in the form of an alternate personality rather accordingly (Dorahy et al., 2014; Spanos, 1996).
than being integrated into the host personality Proponents of the trauma-dissociation theory
(Dalenberg et al., 2012; Putnam, 2000). reject this criticism of DID, insisting that it is a 36. On what
DID has become a controversial diagno- valid psychiatric disorder (Spiegel et al., 2013; grounds have
sis. Some critics question how often it actu- Ross, 2009). The controversy that swirls around critics questioned
the validity of
ally occurs, and others question its very DID is inspiring research that may advance
DID, and what
existence (Lynn et al., 2012; Piper & Merskey, our understanding of factors that can produce explanations
2004; Spanos, 1994). Prior to 1970, only about alterations in memory, physiological responses, do they offer
100 cases had been reported worldwide, and and behaviour. We consider some of these new instead?
even today DID is virtually unknown in many developments in this chapter’s Frontiers feature.
Frontiers
DISSOCIATIVE IDENTITY DISORDER: were quite distinct from one another (Putnam, 1984). Using
A CLINICAL AND SCIENTIFIC PUZZLE electrical recording and brain-scanning techniques to study
brain differences associated with alternate personalities,
Scientists at the National Institute of Mental Health (NIMH) Frank Putnam (1984) found that cerebral blood-flow patterns
in Washington, D.C., have studied more than 150 cases of differed among the personalities. Moreover, Putnam found
DID (Putnam, 1989, 1998). In many cases, they were able shifts in EEG measures of hemispheric dominance when the
to study the physiological responses of the patients when individual had right-handed and left-handed personalities.
different personalities were active. The results of these When a left-handed personality appeared, the right hemi-
studies suggest that the alternate selves may be different sphere became more active. In another study, ophthalmolo-
in both mind and body. If Eve had three faces, she may also gists found shifts in visual acuity and eye-muscle balance
have had three voices, three memory systems, and, in a as DID patients shifted from one personality to another.
limited sense, three biological response systems. Such changes did not occur among control subjects who
Physiological studies of DID patients under controlled were asked to simulate another personality (Miller et al.,
laboratory conditions have also shown differences between 1991). More recently, Markowitsch and colleagues (Brand
the various personalities (Atchison & McFarlane, 1994). et al., 2009) have reported decreased activation in the right
Indeed, the responses of the various personalities frequently prefrontal cortex for patients suffering from dissociative
appear as different as if they had come from different people amnesia, supporting the notion of memory loss for a dis-
(Figure 16.25). For example, Christine Ludlow did computer- sociative state. The memory loss tends to be retrograde
ized spectral analyses (“voice prints”) of audio recordings and mainly involves episodic and autobiographical
made by alternate personalities, and found that the voices memory (Staniloiu & Markowitsch, 2014). Astonishingly,
continued
664 CHAPTER SIXTEEN
Strasburger and Waldvogel (2015) report that a blind woman players have been unable to produce the responses shown
spontaneously regained her eyesight when she switched by DID patients. In addition, a recent study by Reinders
into one of her alters. Visual areas in the cortex remained et al. (2012) demonstrates that role-playing controls could
inactive when she was blind and then recovered when she not mimic differences in fMRI patterns or in cerebral blood
could see. flow exhibited by individuals with DID. Nor are they able to
As dramatic as these physiological differences between “fake” the personality profiles of patients with DID (Brand &
DID alters might appear, they are not universally accepted Chasson, 2015). Nonetheless, it is clear that additional
by critics, who correctly point out that many of the obser- controlled studies of physiological alterations are needed.
vations are based on uncontrolled case studies. Could the Some critics consider the notion of multiple personalities
average person asked to role-play separate personalities to be nothing more than science fiction, and they dispute
exhibit such differences as well? Indeed, there is some the existence of DID as a valid clinical disorder (Beahrs,
evidence that EEG differences can be produced by such 1994; Spanos, 1994; Piper & Mersky, 2004). Troubling to
role-playing in normal individuals (Coons et al., 1982), but many psychologists and legal experts is a tendency for
so far none of the other more exotic physiological phe- some people who have committed serious crimes to dis-
nomena just described have been shown in role-playing claim personal responsibility on the grounds that they are
controls (Gleaves, 1996). In some studies, such as the DID victims and that one of the alternative personalities
visual acuity and eye muscle study just described, role committed the crime (Beahrs, 1994). Other critics wonder if
DID is, in reality, a therapist-produced phenomenon, as sug-
Visual evoked potentials gested earlier in this chapter.
Average of five separate trials In some instances, clients have filed lawsuits against
Normal Multiple personality therapists, charging them with creating the disorder in them.
In one bizarre case, a Wisconsin woman and her insurance
company successfully sued a psychiatrist who used hypno-
1 sis to allegedly unearth 120 different personalities in her,
including Satan and a duck, and then billed the insurance
company at the higher group therapy rate on the grounds
that he was treating multiple people! The woman charged
2 the therapist with implanting false memories of sexual
Light intensity
abuse, rape, being pushed into an open grave, and aborting

a baby. She maintained that she had never had any of the
memories before beginning therapy and that the false mem-
3 ories caused nightmares, flashbacks, suicidal impulses,
and, eventually, the need for hospitalization (Associated
Press, December 12, 1997). Such extreme instances, which
by no means typify the efforts of ethical therapists to help
4 their clients, serve to fuel the concerns of critics.
Is DID real? Suppose it were to be convincingly demon-
strated in experimental studies that role playing by aver-
Simulated personalities Alternate personalities age people can produce all the DID phenomena described
Julie Ann at the beginning of this feature. Would this prove that true
Clair Megan dissociation does not occur in any of the cases seen by
mental-health workers? Not at all, supporters maintain, any
FIGURE 16.25 Comparisons of evoked potentials of a DID more than a compelling depiction of a schizophrenic person
patient (Ann and her alternate personality, Megan) and a con- by a skilled actor such as Jack Nicholson would prove that
trol participant (Julie) simulating a second personality (Clair) to all cases of schizophrenia involve nothing more than acting.
four levels of visual stimulation. The DID patient’s EEG records The controversy that swirls around DID may help to fuel con-
differed more from each other. tinued investigation of the cognitive and physiological phe-
Source: Adapted from Putnam, F.W. (1984). The psychophysiologic nomena that are seen in DID. Such research may advance
investigation of multiple personality disorder: A review. Psychiatric our understanding of factors that can produce dramatic alter-
Clinics of North America, 7, 31–39. ations in memory, physiological responses, and behaviour.
In Review
• Somatic symptom disorders involve physical com- • Dissociative disorders involve losses of memory
plaints that do not have a physiological explana- and personal identity. The major dissociative
tion. They include pain disorders, and conversion disorders are dissociative amnesia, dissociative
disorders in which a physical symptom or disability fugue, and dissociative identity disorder (DID).
occurs in the absence of physical pathology. • The trauma-dissociation theory holds that DID
• Familial similarities in somatic symptom disorders emerges when children dissociate to defend
may have a biological basis, or they may be the themselves from severe physical or sexual abuse.
result of environmental shaping through attention This model has been challenged by other theorists
and sympathy. Patients with somatic symptom who believe that multiple personalities result
disorder may be highly vigilant and reactive to from role immersion and therapist suggestion.
somatic symptoms. Such disorders tend to occur
with greater frequency in cultures that discourage
open expression of negative emotions.
SCHIZOPHRENIA behaviour may become disorganized (American

Psychiatric Association, 2000, 2013; Paris, 2013).
Of all the psychological disorders, schizophre-
The schizophrenic thought disorder some-
nia is the most serious and, in many ways, the
times includes delusions (Nadelson & Rein-
most puzzling and difficult to treat (Hogarty,
burg, 1999). Delusions are false beliefs that
2003; McKenna, 2007). Despite many theories of
are sustained in the face of evidence that nor-
schizophrenia and thousands of research stud-
mally would be sufficient to destroy them. A
ies, a complete understanding of this disorder
schizophrenic person may believe that his brain
continues to elude us.
is being turned to glass by ray guns operated
Schizophrenia is a psychotic disorder that
by his enemies from outer space or that Jesus 37. What
involves severe disturbances in thinking,
Christ is a special agent of his. The first is a is meant
speech, perception, emotion, and behaviour
delusion of persecution, the second a delusion by the term
(Herz & Marder, 2002). The term schizophrenia schizophrenia?
of grandeur.
was introduced by the Swiss psychiatrist What are the
Several aspects of thought disorder were
Eugen Bleuler in 1911. Literally, the term major cognitive,
described by a schizophrenic during a period of
means “split mind,” which often has led people behavioural,
recovery:
to confuse schizophrenia with DID or with emotional,
a Dr. Jekyll–Mr. Hyde phenomenon. But The most wearing aspect of schizophrenia and perceptual
multiple personality is not what Bleuler had in is the fierce battle that goes on inside my features of these
mind when he coined the term. Instead, Bleuler head in which conflicts become unresolv- disorders?
intended to suggest that certain psychological able. I am so ambivalent that my mind can
functions, such as thought, language, and divide on a subject, and those two parts
emotion, which are joined together in normal subdivide over and over until my mind
people, are somehow split apart or discon- feels like it is in pieces, and I am totally dis-
nected in schizophrenia. Schizophrenia affects organized. At other times, I feel like I am
approximately 1 percent of the population in trapped inside my head, banging against
Canada (Schizophrenia Society of Canada, its walls, trying desperately to escape
2013)—slightly higher than reported for some while my lips can utter only nonsense.
other countries (Dealberto, 2013). (New York Times, March 18, 1986, p. C12)
Perceptual disorganization and disor-
Characteristics of Schizophrenia dered thought become more pronounced as
A diagnosis of schizophrenia requires evidence people progress into a schizophrenic condition
that a person misinterprets reality and exhibits (McKenna & Oh, 2003). Unwanted thoughts
disordered attention, thought, or perception. In constantly intrude into consciousness
addition, withdrawal from social interaction is (Morrison, 2006). What the world might come
common, communication is strange or inappro- to look like from inside the schizophrenic mind
priate, personal grooming may be neglected, and is illustrated in art by patients during periods
666 CHAPTER SIXTEEN
(left): © Tom and Dee Ann McCarthy/Corbis; (right): © Bettman/Corbis
FIGURE 16.26 (a) Patients diagnosed with schizophrenia are tormented by bizarre and intrusive thoughts and
images. (b) This picture, drawn by a patient diagnosed with schizophrenia, may offer insights into his subjective world.
of disturbance (Figure 16.26). Some experi- After two weeks, the psychologist said to
ence hallucinations—false perceptions that him: “As you say, you are wired precisely
have a compelling sense of reality. Auditory wrong. But why won’t you let me see the dia-
hallucinations (typically voices speaking to gram?” Carl answered: “Never, ever will you
the patient) are most common, although visual find the lever, the eternalever that will sever
and tactile hallucinations may also occur. This me forever with my real, seal, deal, heel. It is
patient describes his hallucinations: not on my shoe, not even on the sole. It walks
away.” (Rosenhan & Seligman, 1989, p. 369)
Recently, my mind has played tricks on me,
creating The People inside my head who Emotions can be affected in a number of ways.
sometimes come out to haunt me and torment Many people with schizophrenia have blunted
me. They surround me in rooms, hide behind affect, manifesting less sadness, joy, and anger
trees and under the snow outside. They taunt than most people. Others have flat affect, show-
me and scream at me and devise plans to ing almost no emotion at all. Their voices are
break my spirit. The voices come and go, but monotonous, their faces impassive. Inappropri-
The People are always there, always real. ate affect can also occur, as in the following case:
(New York Times, March 18, 1986, p. C12)
The psychologist noted that Carl “smiles
The language of schizophrenic patients is when he is uncomfortable, and smiles more
often disorganized and can contain strange when in pain. He cries during television
words: comedies. He seems angry when justice is
done, frightened when someone compli-
I am here from a foreign university . . . and
ments him, and roars with laughter on read-
you have to have a “plausity” of all acts of
ing that a young child was burned in a tragic
amendment to go through for the children’s
fire. (Rosenhan & Seligman, 1989, p. 369)
code . . . and it is no mental disturbance or
“putenance”. . . it is an “amorition” law . . . it is
like their “privatilinia.” (Vetter, 1969, p. 189) Subtypes of Schizophrenia
Patients’ language sometimes contains word Schizophrenia has cognitive, emotional, and behav-
associations that are based on rhymes or other ioural facets that can vary widely from case to
associations rather than meaning. Consider the case. The DSM-IV-TR differentiated among four
following conversation between a psychologist major subtypes of schizophrenia: paranoid, disor-
and a hospitalized schizophrenic: ganized, catatonic, and undifferentiated. However,
these subtypes have been eliminated in the DSM-5, one. Researchers have found differences in brain
due to lack of reliability in validity in diagnosis. function between schizophrenics having positive
A diagnosis of catatonia may still be given, symptoms and those with primarily negative
but it may be in the context of schizophrenia, symptoms (Gur et al., 1998; Zakzanis, 1998). Neg-
depression, bipolar disorder, or some other dis- ative symptoms are likely to be associated with
order. Individuals with catatonia show striking a long history of poor functioning prior to hos-
motor disturbances, ranging from muscular pitalization and with a poor outcome following
rigidity to random or repetitive movements. treatment (McGlaskan & Fenton, 1992). In
Catatonics sometimes alternate between stupor- contrast, positive symptoms are associated with
ousstates in which they seem oblivious to reality good functioning prior to breakdown and a
and agitated excitement during which they can better prognosis for eventual recovery, particu-
be dangerous to others. While in a stuporous larly if the symptoms came on suddenly and
state, they may exhibit a waxy flexibility in were preceded by a history of relatively good
which their limbs can be moulded by another adjustment (Fenton & McGlaskan, 1991a, 1991b).
person into grotesque positions that they will then Schizophrenia afflicts only 1 to 2 percent of
maintain for hours (Figure 16.27). the population worldwide, yet schizophrenic
In addition to a formal DSM-5 classification patients occupy about half of all psychiatric hos-
of schizophrenia, many mental-health workers pital beds (Satcher, 1999). Many others barely 38. Distinguish
between Type
and researchers categorize schizophrenic reac- function as homeless “street people” in large cit-
I and Type II
tions into two main categories on the basis of ies (Herman et al., 1998). About 10 percent of
schizophrenia.
two classes of symptoms. Type I schizophrenia people with schizophrenia remain permanently How are positive
is characterized by a predominance of positive impaired, and 65 percent show intermittent peri- and negative
symptoms, such as delusions, hallucinations, and ods of normal functioning. The other 25 percent symptoms
disordered speech and thinking. These symptoms recover from the disorder (American Psychiatric related to past
are called positive because they represent added Association, 2000). Schizophrenia affects equal history and
pathological extremes of normal processes. numbers of males and females, but it appears future prognosis?
Type II schizophrenia features negative earlier in males, frequently between the ages of
symptoms—an absence of normal reactions— 15 and 30 (Jeste & Heaton, 1994). The estimated
such as lack of emotional expression, loss of cost (both direct and indirect) to the Canadian
motivation, and an absence of normal speech economy from schizophrenia is about $6.85 billion
(Herz & Marder, 2002). per year (Mood Disorders Society of Canada, 2009).
The distinction between positive and negative
symptom subtypes seems to be an important Causal Factors in Schizophrenia
Because of the seriousness of the disorder and
the many years of anguish and incapacitation
that its victims are likely to experience, schizo-
phrenia is perhaps the most widely researched
of the psychological disorders. There is a grow-
ing consensus that schizophrenia results from
a biologically based vulnerability factor that is
set into motion by psychological and environ-
mental events (Gottesman, 1991; Herz & Marder,
2002; McGuffin et al., 2005).
Biological Factors
Biological factors are prominently involved in
schizophrenia (Abi-Dargham & Guillin, 2007).
Genetic, biochemical, and brain factors have
been investigated.
Genetic predisposition. Strong evidence 39. Describe

the evidence
exists for a genetic predisposition to schizo-
for genetic and
© Grunnitus/Photo Researchers, Inc. phrenia, though the specific genes involved neurological
FIGURE 16.27 The woman pictured here exhibits and their roles in creating the disposition are factors in
catatonic rigidity. She might hold this position for several still unknown (Benes, 2010; Hall et al., 2007; schizophrenia
hours. McGuffin et al., 2005). As Figure 16.28 shows,
668 CHAPTER SIXTEEN
Genetic
Relationship relatedness
Unrelated person in the
0% 1%
general population
Nephew or niece 25% 3%
Sibling 50% 10%
Offspring of one
50% 13%
schizophrenic patient
Fraternal twin 50% 17%
Offspring of two 50% with

46%
schizophrenic patients each parent
Identical twin 100% 48%
10 20 30 40 50 60
Lifetime risk
FIGURE 16.28 The degree of risk for developing schizophrenia in one’s lifetime correlates highly with the degree
of genetic relationship with someone who has that disorder. These data summarize the results of 40 concordance
studies conducted in many countries.
Source: Based on data from Gottesman, I.I. (1991). Schizophrenia genesis: The origins of madness. New York, NY: W.H. Freeman.
the closer the biological relationship to a person Brain abnormalities. Brain scans have indi-
diagnosed with schizophrenia, the greater the cated a number of structural abnormalities in the
risk for developing the disorder during one’s brains of schizophrenic patients (Figure 16.29).
lifetime (Gottesman, 1991). Twin studies show According to the neurodegenerative hypothesis,
that identical twins have higher concordance destruction of neural tissue can cause schizo-
rates than fraternal twins, and adoption stud- phrenia (Weinberger & McClure, 2002). MRI stud-
ies show much higher concordance with biologi- ies have shown mild to moderate brain atrophy,
cal parents than with adoptive parents (Jang, a general loss or deterioration of neurons in
2005; Kety, 1988). But, again, genetics do not the cerebral cortex and limbic system, together
by themselves account for the development with enlarged ventricles (cavities that contain
of schizophrenia. If they did, the concordance cerebrospinal fluid; Figure 16.29). The atrophy
rate in identical twins would be 100 percent, not is centred in brain regions that influence cogni-
48 percent (Ingraham & Kety, 2000). tive processes and emotion, which may help to
(both): © Nancy C. Andreason/The National Institute of Mental Health
FIGURE 16.29 Schizophrenia and the brain. One difference between the brains of schizophrenics and non-schizo-
phrenics is enlarged ventricles (the butterfly-shaped spaces seen in the middle of the MRIs) in the schizophrenic
brain (bottom). Findings like these support the position that brain abnormalities play a role in schizophrenia.
explain the thought disorders and inappropriate mechanism of regression, in which a person
emotions that are seen in such patients. Likewise, retreats to an earlier and more secure (even
MRI images of the thalamus, which collects and infantile) stage of psychosocial development in
routes sensory input to various parts of the brain, the face of overwhelming anxiety. Other psy-
reveal abnormalities (Williamson, 2006). This chodynamic thinkers, focusing on the interper-
may help to account for the disordered atten- sonal withdrawal that is an important feature
tion and perception reported by schizophrenic of schizophrenia, view the disorder as a retreat
patients whose cerebral cortex may be getting from an interpersonal world that has become
garbled or unfiltered information from the thala- too stressful to deal with. Although Freud’s
mus (Andreason et al., 1994). All these structural regression explanation has not received much
differences are more common in patients who direct research support (Fisher & Greenberg,
exhibit the negative-symptom pattern (Herz & 1996), the belief that life stress is a causal fac-
Marder, 2002). As we have seen, these patients tor is generally accepted today (Airey & Sodhi,
have a poorer chance of recovery than those 2007; Crook & Copolov, 2000).
with the positive-symptom pattern. In addition, Some cognitive theorists believe that schizo-
cannabis use by males during adolescence can phrenics have a defect in the attentional mecha-
increase the risk for schizophrenia through nism that filters out irrelevant stimuli, so that
a mechanism that effectively thins cortical they are overwhelmed by both internal and
tissue (French et al., 2015). external stimuli. Thus, sensory input becomes
a chaotic flood, and irrelevant thoughts and
Biochemical factors. Dopamine, a major excit-
images flash into consciousness. The stimu- 40. What is
atory transmitter substance, may play a key role
lus overload produces distractibility, thought the dopamine
in schizophrenia. The dopamine hypothesis
disorganization, and the sense of being over- hypothesis?
states that the symptoms of schizophrenia— What evidence
whelmed by disconnected thoughts and ideas.
particularly positive symptoms—are produced supports it?
As one schizophrenic noted, “Everything seems
by overactivity of the dopamine system in areas
to come pouring in at once . . . I can’t seem to
of the brain that regulate emotional expression,
keep anything out” (Carson et al., 1988, p. 329).
motivated behaviour, and cognitive functioning
The recent MRI findings of thalamic abnormali-
(Heinrichs, 2001; Howes & Kapur, 2009). People
ties just described may help to explain how this
diagnosed with schizophrenia have more dopa-
stimulus overload could occur through mal-
mine receptors on neuron membranes than do
function of the brain’s “switchboard.” Schizo-
non-schizophrenics, and these receptors seem to
phrenic thought processes may be linked to
be overreactive to dopamine stimulation (Black
deficits in the executive functions of the frontal
et al., 1988; Wong et al., 1986). Additional support
lobe (Kerns & Berenbaum, 2002, 2003). In one
comes from the finding that the effectiveness of
study, schizophrenic patients pressed a key to
antipsychotic drugs used to treat schizophrenia
signal the experimenter when they were hear-
is directly related to their effectiveness in reduc-
ing voices or experiencing a strange visual
ing dopamine-produced synaptic activity (Creese
experience. PET scans performed at these times
et al., 1976; Green, 1997). Other neurotransmitter
showed that the auditory or visual areas of the
systems are probably involved in this complex dis-
cortex were highly active, but there was no
order as well. But dopamine is not the whole story,
activity in the prefrontal cortex, whose func-
and recent research has shown that the dopamine
tioning helps us distinguish reality from fantasy
system is part of a much larger and complex net-
(Silbersweig et al., 1995).
work in which a deficiency of neural input from
cortical areas also plays a role (Benes, 2009).
The biological findings concerning schizo- Environmental Factors
phrenia are intriguing. What is not clear is Stressful life events seem to play an important
whether they cause the disorder or are caused role in the emergence of schizophrenic behav-
by it. Future research is almost certain to reveal iour (McKenna, 2007). These events tend to
other biological bases for the complex disorders cluster in the two or three weeks preceding the 41. What
of schizophrenia. “break” when the acute signs of the disorder concepts do (a)
psychoanalytic
appear (Day et al., 1987). Stressful life events
Psychological Factors and (b) cognitive
seem to interact with biological or personality
theorists use
Freud and other psychoanalytic thinkers viewed vulnerability factors. A highly vulnerable per- to explain the
schizophrenia as a retreat from unbearable son may require little in the way of life stress symptoms of
stress and conflict. For Freud, schizophrenia to reach the breaking point (Fowles, 1992; schizophrenia?
represented an extreme example of the defence van Praag, 2004). In one study, psychotic
670 CHAPTER SIXTEEN
and nonpsychotic people rated their emo- consistent finding is that previously hospitalized
tional responses as they encountered stressful schizophrenics are more likely to relapse if they
events in their daily lives. Psychotic individu- return to a home environment that is high in a
als reacted to their stressors with more intense factor called expressed emotion (Vaughn &
negative emotions, suggesting that emotional Leff, 1976). Expressed emotion involves high
overreactivity may be a vulnerability factor levels of criticism (“All you do is sit in front
(Myin-Germeys et al., 2001). In a longitudinal of that TV”), hostility (“We’re getting sick and
study, Nancy Docherty and colleagues (2009) tired of your craziness”), and overinvolvement
tested schizophrenic patients and matched (“You’re not going out unless I go with you”).
normal controls for emotional reactivity, and One review of 26 studies showed that within 9
then followed the two groups for nine months. to 12 months of their return home, an average
They found that, as a group, the schizophrenic relapse rate of 48 percent occurred in patients
patients were more emotionally reactive and whose families were high in expressed
that the more reactive the patients were, the emotion, compared with a relapse rate of
more likely they were to respond to stress- 21 percent when families were low in this
ful life events with an increase in psychotic factor (Kavanagh, 1992). Before we conclude
symptoms. that high expressed emotion causes patients
Family dynamics have long been a prime to relapse, however, we should note a find-
42. How suspect in the origins of schizophrenia, but ing from another study in which researchers
successful have
the search for parent or family characteristics videotaped actual interactions involving
researchers
been in that might cause the disorder has been largely patients and their families (Rosenfarb et al.,
identifying unsuccessful. Significantly, children of bio- 1995). Analyses of the videotapes revealed that
family factors logically normal parents who are raised by families high in expressed emotion did indeed
that cause schizophrenic adoptive parents do not show make more negative comments to patients
schizophrenia? an increased risk of developing schizophrenia when they engaged in strange behaviours, but
What role does (Kety, 1988). Although persons with schizophre- they also showed that the patients in these
expressed nia often come from families with problems, the families engaged in about four times as many
emotion play nature and seriousness of those problems are strange and disruptive behaviours, clouding the
as a family not different from those of families in which issue of what causes what. Thus, high expressed
variable? non-schizophrenics are raised. There is evi- emotion may be either a cause of or a response
dence that early childhood trauma increases to patients’ disordered behaviours.
one’s risk of schizophrenia, but more research
is needed before firm conclusions can be drawn Sociocultural Factors
(Morgan & Fisher, 2007). Sociocultural factors are undoubtedly linked
43. Contrast the This does not mean that family dynamics are to schizophrenia (Murray et al., 2003). Many
social causation
not important; rather, it may mean that a bio- studies have found that the prevalence of
and social drift
logical vulnerability factor must be present if schizophrenia is highest in lower socioeco-
hypotheses
concerning stressful familial events are to cause their dam- nomic populations (Figure 16.30). Why is this?
social class and age. Indeed, there is evidence that this vulner- Is poverty a cause of schizophrenia, or is it an
the prevalence of ability factor may appear early in life. In one effect of the disorder? Two theories give oppo-
schizophrenia study, researchers analyzed home movies show- site answers. The social causation hypothesis
ing children who were later to develop schizo- attributes the higher prevalence of schizophre-
phrenic behaviours, as well as movies of their nia to the higher levels of stress that low-income
non-schizophrenic brothers and sisters. Even at people experience, particularly within urban
these early ages—sometimes as young as two environments. In contrast, the social drift
years of age—preschizophrenic children tended hypothesis proposes that, as people develop
to show more odd and uncoordinated move- schizophrenia, their personal and occupational
ments and less emotional expressiveness, espe- functioning deteriorates, so that they drift down
cially for positive emotions (Grimes & Walker, the socioeconomic ladder into poverty and
1994). These behavioural oddities may not only migrate to low-cost urban environments. Per-
reflect a vulnerability factor, but also help to haps social causation and social drift are both at
create environmental stress by evoking nega- work, since the factors that link poverty, social
tive reactions from others. and environmental stressors, and schizophrenia
Although researchers have had difficulty are undoubtedly complex.
pinpointing family factors that contribute to In contrast to most of the disorders we
the initial appearance of schizophrenia, one have described so far, schizophrenia may
In Review
• Schizophrenia is a psychotic disorder featuring • Psychoanalytic theorists regard schizophrenia
disordered thinking and language; poor contact as a profound regression to a primitive stage
with reality; flat, blunted, or inappropriate emo- of psychosocial development in response to
tion; and disordered behaviour. The cognitive por- unbearable stress, particularly within the family.
tion of the disorder can involve delusions (false Stressful life events do often precede a schizo-
beliefs) or hallucinations (false perceptions). phrenic episode, but researchers have not been
successful in identifying a family pattern related
• Mental-health workers often categorize individu-
to the onset of schizophrenia. However, negative
als with schizophrenia based on the nature of
expressed emotion is a family variable related
the symptoms: positive versus negative. Positive
to relapse among formerly hospitalized schizo-
symptoms, such as delusions or hallucinations,
phrenic individuals.
predict a better outcome than negative symp-
toms, such as lack of emotional expression. • Cognitive theorists focus on the thought disorder
that is central to schizophrenia. One idea is that
• There is strong evidence for a genetic predisposi-
people with schizophrenia have a defect in their
tion to schizophrenia that makes some people
attentional filters, so that they are overwhelmed
particularly vulnerable to stressful life events.
by internal and external stimuli and become
The dopamine hypothesis states that schizophre-
disorganized. Deficiencies may also exist in the
nia involves overactivity of the dopamine sys-
executive functions needed to organize behaviour.
tem, resulting in too much stimulation.
2.00 in prevalence, researchers have found that the

likelihood of recovery is greater in developing
Schizophrenia prevalance (percentage)
countries than in developed nations such as the

1.50 United States and Canada. This may reflect a
stronger community orientation and greater
social support extended to disturbed people
in developing countries (Tanaka-Matsumi &
1.00 Draguns, 1997).
PERSONALITY
0.50
DISORDERS
People diagnosed with personality disorders
exhibit stable, ingrained, inflexible, and mal-
Lower Middle Upper
adaptive ways of thinking, feeling, and behaving.
When they encounter situations in which their
Economic class
typical behaviour patterns do not work, unre-
FIGURE 16.30 Relation between economic status solved conflicts tend to re-emerge, they are likely
and the prevalence of schizophrenia. Is economic status to intensify their inappropriate ways of coping,
a cause or an effect of schizophrenia? and their emotional controls may break down
Source: Based on data from Keith, S.J., Regier, D.A., & Rae, D.S. (Lenzenweger & Clarkin, 2005; Millon et al., 2004).
(1991). “Schizophrenic disorders.” In L.N. Robins & D.A. Regier Table 16.3 briefly describes the six person-
(Eds.), Psychiatric disorders in America: The Epidemiological ality disorders included in the DSM-5. As many
Catchment Area Study. New York, NY: Free Press. as 10 to 15 percent of adults in the United
States, Canada, and European countries may
be a “culture-free” disorder. A worldwide have personality disorders. A study in Nor-
epidemiological study sponsored by the World wayfound a prevalence rate of 13.4 percent,
Health Organization indicated that the preva- equally distributed among men and women.
lence of schizophrenia is not dramatically dif- The most frequently encountered were avoid-
ferent throughout the world (Jablensky et ant and obsessive-compulsive personality
al., 1992). Other researchers, however, have disorders (Torgerson et al., 2001).
reported striking differences in rates (e.g., Among the personality disorders, the
McGrath, 2006). Whatever the actual difference most destructive to society is the antisocial
672 CHAPTER SIXTEEN
TABLE 16.3 DSM-5 Personality Disorders and Their Major Features

Antisocial personality disorder: Severe irresponsible and antisocial behaviour beginning in childhood
and continuing past age 18; impulsive need gratification and lack of empathy for others; often highly
manipulative and seem to lack conscience
Narcissistic personality disorder: Grandiose fantasies or behaviour, lack of empathy, and oversensitivity to
evaluation; constant need for admiration from others; proud self-display
Borderline personality disorder: Pattern of severe instability of self-image, interpersonal relationships, and
emotions, often expressing alternating extremes of love and hatred toward the same person; high frequency
of manipulative suicidal behaviour
Avoidant personality disorder: Extreme social discomfort and timidity; feelings of inadequacy and fearfulness
of being negatively evaluated
Obsessive-compulsive personality disorder: Extreme perfectionism, orderliness, and inflexibility; preoccupied
with mental and interpersonal control
Schizotypal personality disorder: Odd thoughts, appearance, and behaviour, and extreme discomfort in social
situations
Source: Based on DSM-5, American Psychiatric Association, 2013.
personality disorder (Livesley, 2003). This per- Psychopaths among Us (2001), people with anti-
sonality disorder has received by far the great- social personality disorder are among the most
est attention from clinicians and researchers interpersonally destructive and emotionally
over the years (Reich, 2006). A second person- harmful individuals. Males outnumber females
ality disorder that is attracting a great deal of three to one in this diagnostic group (American
current attention is the borderline personality Psychiatric Association, 2000; Paris, 2013).
disorder. We will focus on these two disorders. People with antisocial personality disorder
44. Describe seem to lack a conscience (Black, 2015). In the
the major Antisocial Personality Disorder 19th century, they were sometimes referred to
characteristics
of antisocial In the past, individuals with antisocial personal- as “moral imbeciles.” They exhibit little anxiety
personality ity disorder have been referred to as psychopaths or guilt and tend to be impulsive and unable
disorder. or sociopaths. As Robert Hare of the University to delay gratification of their needs. Actual
of British Columbia describes in his book With- antisocial behaviour occurs in only a portion of
out Conscience: The Disturbing World of the psychopathic individuals (Figure 16.31).
(left): © Paramount Pictures/Photofest, NY; (right): © Miramax Films. Photographer: Richard Foreman/Photofest, NY
FIGURE 16.31 Violent psychopaths have frequently been represented on the screen. An example is the cold-
blooded hitman chillingly portrayed by Javier Bardem in the film No Country for Old Men (2007).
Many subclinical psychopaths flourish in

settings, including politics and business, where
their charisma, manipulativeness, false sin-
cerity, and ability to deceive others can pay
off. Spectacular political scandals and busi-
ness schemes attest to what happens when
psychopathic tendencies are not sufficiently
self-regulated (Millon & Davis, 2000).
Research shows that there are two behav-
ioural clusters of behaviours associated with
psychopathy. The first cluster consists of self-
ishness, callousness, and interpersonal manipu-
lation, and the second represents impulsivity,
instability, and social deviance (Raine, 2008). A
diagnosis of antisocial personality disorder is © Phil Snell/The Canadian Press
likely to require both behaviour clusters. Many
subclinical psychopaths have only the first FIGURE 16.32 The murderer Paul Bernardo exhibited
cluster (plus impulsivity, to varying degrees). many features of the antisocial personality, including a
charismatic personality and an ability to injure others
Nonetheless, they can cause considerable harm
without remorse or guilt.
because of their loose moral standards, ability to
deceive others, and lack of empathy. They also
exhibit a lack of emotional attachment to other Wanted: Charming, aggressive, carefree
people, as suggested in this report by a man people who are impulsively irresponsible
diagnosed as having an antisocial personality: but are good at handling people and at
When I was in high school my best friend looking after Number One. Send name,
got leukemia and died and I went to his address, phone, and short biography
funeral. Everybody else was crying . . . proving how interesting you are to . . .
(but) . . . I suddenly realized I wasn’t feel- (Widom, 1983, p. 72)
ing anything at all. . . . That night I thought People with antisocial personalities also dis-
about it some more and found I wouldn’t play a perplexing failure to respond to pun-
miss my mother and father if they died ishment. Because of their lack of anxiety,
and that I wasn’t too nuts about my broth- punishment does not deter them from engaging in
ers and sisters for that matter. I figured self-defeating or illegal acts again and again. As
there wasn’t anybody I really cared for a result, some of them develop imposing prison
but, then, I didn’t need any of them any- records.
way so I rolled over and went to sleep. To be diagnosed as having an antisocial
(McNeil, 1967, p. 87) personality disorder, a person must be at
Lack of the capacity to care about others least 18 years of age. However, the diagnostic
can make antisocial individuals a danger to criteria also require substantial evidence of
society (Black, 1999; Hare, 2001). For exam- antisocial behaviour before the age of 15,
ple, murderers Charles Manson, Paul Bernardo including such acts as habitual lying, early
(Figure 16.32), and Jeffrey Dahmer failed to and aggressive sexual behaviour, excessive
show any remorse for their serial murders or drinking, theft, vandalism, and chronic rule
sympathy for their victims. Although antisocial violations at home and school. Thus, antiso-
individuals often verbalize feelings and com- cial personality disorder is the culmination of
mitments with great sincerity, their behaviours a behaviour pattern that typically begins in
indicate otherwise. They often appear very childhood (Kernberg, 2000; Paris, 2013).
intelligent and charming, and they have the
ability to rationalize their inappropriate behav- Causal Factors
iour so that it appears reasonable and justifi- Biological, psychological, and environmental
factors are all implicated in the development of 45. How are
able. Consequently, they are often virtuosos
biological factors
at manipulating others and talking their way psychopathy.
implicated in
out of trouble. One researcher who wanted to the antisocial
study non-incarcerated antisocial personalities Biological factors. Biological research on personality
quickly attracted 25 of them from the Boston antisocial personality disorder has focused disorder?
area with the following classified ad: on both genetic and physiological factors.
674 CHAPTER SIXTEEN
Evidence for a genetic predisposition is shown theorists suggest that such people lack anxiety
in consistently higher rates of concordance and guilt because they did not develop an ade-
for antisocial behaviour in identical twins than quate superego (Gabbard, 1990). In the absence
in fraternal twins (Airey & Sodhi, 2007). Heri- of a well-developed superego, the restraints on
tability is between 0.40 and 0.50 for antisocial the id are reduced, resulting in impulsive and
behaviour in children, adolescents, and adults hedonistic behaviour. The failure to develop a
(Bouchard, 2004). Adoption studies suggest strong superego is thought to result from inad-
a similar conclusion. When researchers com- equate identification with appropriate adult
pared the criminal records of men who had figures because these figures were either physi-
been adopted early in life with those of their bio- cally or psychologically unavailable to the child
logical fathers and their adoptive fathers, they (Kernberg, 2000). In support of this position, the
found that the criminality rate was nearly twice absence of the father from the home is related
as high if the biological father had a criminal to a higher incidence of antisocial symptoms
record and the adoptive father did not, clearly in children, even when socioeconomic status is
suggesting the operation of genetic factors equated (Pfiffner et al., 2001).
(Cloninger & Gottesman, 1989). Cognitive theorists believe that an important
46. How are How might genetic factors predispose indi- feature in antisocial individuals is their consis-
classical
viduals to engage in antisocial behaviour? One tent failure to think about or anticipate the long-
conditioning
and modelling
clue might lie in the relative absence of anxi- term negative consequences of their acts. As a
concepts used ety and guilt that seems to characterize anti- result, they behave impulsively, thinking only
to account for social personality disorder. Many researchers of what they want at that moment (Bandura,
the development have suggested that the physiological basis 1997). From this perspective, a key to prevent-
of antisocial for the disorder might be some dysfunction in ing psychopaths from getting into trouble is to
personality brain structures that govern emotional arousal help them develop the cognitive controls (i.e.,
disorder? and behavioural self-control, particularly the the executive functions) needed to think before
amygdala and the prefrontal cortex (Blair, 2005; acting impulsively.
Raine, 2008). Dysfunction in these two areas Learning through modelling may also play
would result in behavioural impulsiveness and an important role. Antisocial individuals often
a chronically underaroused state that impairs come from homes in which parents exhibit a good
avoidance learning, causes boredom, and deal of aggression and are inattentive to their
encourages a search for excitement (Arnett, children’s needs (Rutter, 1997). Such parents
1997; Ishikawa et al., 2001). In support of a phys- provide role models for both aggressive behaviour
iological basis, both children and adults with and disregard for the needs of others. Another
antisocial behaviour patterns have lower heart important environmental factor is exposure to
rates, particularly when under stress (Ortiz & deviant peers. Children who become antisocial
Raine, 2004). MRIs also reveal that antisocial often learn some of their deviant behaviours from
individuals have subtle neurological deficits in peer groups that both model antisocial behaviour
the prefrontal lobes—the seat of executive func- and reinforce it with social approval (Bandura,
tions such as planning, reasoning, and behav- 1997). It is easy to see how such environmental
ioural inhibition; these neurological deficits are factors, combined with a possible genetic pre-
associated with reduced autonomic activity disposition for antisocial behaviour, would
(Raine et al., 2000). Recently, Checknita et al. encourage the development of deviant behaviour
(2015) have shown that the monoamine oxidase patterns (Van Goozen et al., 2007).
A (MAOA) gene is deficient in individuals with Like some biological theories, learning
antisocial personality disorder. MAOA regulates explanations suggest that people with antiso-
serotonin, and deficient regulation can lead to cial personality disorder lack impulse control.
impulsive aggression. Thus, it appears, as long Learning theorists believe that poor impulse
suspected, that severely antisocial individuals control occurs in these individuals because of
may indeed be wired differently at a neuro- an impaired ability to develop conditioned fear
logical level, responding with less arousal and responses when punished, which would corre-
greater impulsiveness to both pleasurable and spond with the lower physiological arousal and
unpleasant stimuli (Raine, 2008). amygdala activity identified with brain record-
ings (Raine, 2008). This results in a deficit in
Psychological and environmental factors. Psy- avoidance learning. Hans Eysenck (1964) main-
chodynamic theorists regard antisocial peo- tained that developing a conscience depends on
ple as lacking a conscience. Psychoanalytic the ability to learn fear and inhibitory avoidance
responses, and people who fail to do so will be relationships two years later (Bagge et al.,
less able to inhibit their behaviour. In accord 2004). One intensive study of 57 people diag-
with this hypothesis, Adrian Raine and col- nosed with BPD revealed a total of 42 suicide
leagues (1996) did a 14-year follow-up of males threats, 40 drug overdoses, 36 instances of
who had been subjected at age 15 to a classical self-mutilation and cutting, 38 episodes of drug
conditioning procedure in which a soft tone was abuse, 36 instances of promiscuity with near-
used as the CS and a loud, aversive tone as the strangers, and 14 accidents, mainly caused by
UCS. Conditioned fear was measured by the reckless driving (Linehan, 1993).
participants’ skin-conductance response when The chaos that marks the lives of borderline
the CS occurred after a number of pairings patients extends to their relationships with their
with the loud UCS. The researchers found that psychotherapists. Borderline patients are con-
men who accumulated a criminal record by age sidered to be among the most difficult clients to
29 had shown much poorer fear conditioning at treat because of their clinging dependency, their
age 15 than had those with no criminal record. irrational anger, and their tendency to engage
in manipulative suicide threats and gestures as
efforts to control the therapist (Linehan, 1993).
Borderline Personality Disorder Many borderline individuals, 6 to 10 percent
The borderline personality disorder has become in various large-scale studies, eventually do
the focus of intense interest among clinical kill themselves, either by miscalculation or by
researchers because of its chaotic effects on design (Davis et al., 1999; Pompili et al., 2009).
those who suffer from the disorder, their fami-
lies, and their therapists. The disorder may Causal Factors
occur in 3 to 5 percent of the general population Borderline people tend to have chaotic per-
(Clarkin et al., 1992; Selby & Joiner, 2009). About sonal histories marked by interpersonal strife,
two-thirds of those diagnosed are women. sexual and physical abuse, and inconsistent par-
Before 1980, the term borderline referred to an enting (Kuo et al., 2015). This history is some-
intermediate level of disturbance between neu- times reflected in their earliest memories. In one
rotic and psychotic. Now, however, borderline study, borderline and normal participants were
personality disorder (BPD) refers to a asked to describe their earliest memories in life.
collection of symptoms characterized primarily When the researchers analyzed the content of
by serious instability in behaviour, emotion, the memory reports, they found that the border-
identity, and interpersonal relationships. A central line respondents reported six times more events
feature of borderline is emotional dysregulation, in which someone had treated them in a malevo-
an inability to control negative emotions in response lent manner or had injured them emotionally or
to stressful life events, many of which borderline physically. Borderline individuals also viewed
individuals themselves cause (Linehan & Dexter- potential helpers as far less helpful to them
Mazza, 2008; Selby et al., 2009). (Nigg et al., 1992). Parents of many borderline
Borderline individuals have intense and individuals are described as abusive, rejecting,
unstable personal relationships, and they expe- and non-affirming, and some theorists suggest
rience chronic feelings of extreme anger, lone- that an early lack of acceptance by parents
liness, and emptiness, as well as momentary may cripple self-esteem and lead to clinging
losses of personal identity (Kuo & Linehan, dependency and an inability to cope with sepa-
2009). They are inclined to engage in impulsive ration (Cardasis et al., 1997). As they mature,
behaviour, such as running away, promiscuity, the behaviours of borderline individuals tend
binge eating, and drug abuse, and their lives to evoke negative reactions and rejection from
are often marked by repetitive self-destructive others, affirming their sense of worthlessness
behaviours, such as self-mutilation and suicide and their view of the world as malevolent.
attempts that seem designed to call forth a Psychoanalyst Otto Kernberg has focused
“saving” response from other people in their on the dramatic changes that borderline peo-
lives (McMurran et al., 2007). ple exhibit in their relationships with others
BPD is highly associated with a number of (Kernberg, 1984; Kernberg & Caligor, 2005).
other disorders, including mood disorders, Their sudden and vitriolic shifts from extreme
PTSD, and substance-abuse disorders. In one love and clinging dependence to intense hatred
study, the BPD symptoms of emotional insta- or feelings of abandonment reflect a cognitive
bility and impulsivity predicted recurrent process that he calls splitting, the failure
problems in academic achievement and social to integrate positive and negative aspects of
676 CHAPTER SIXTEEN
(left): © Sunset Boulevard/Corbis; (right): Paramount Pictures/Photofest
FIGURE 16.33 Actress Glenn Close’s portrayal of Alex in the movie Fatal Attraction illustrates the tendency of people with BPD to show
dramatic shifts in their relationships. During her affair with Dan, played by Michael Douglas, Alex goes from consuming love to a homicidal
rage in which she tries to murder her lover with a butcher knife when he tries to end the relationship.
another’s behaviour (e.g., a parent who is usually BPD are five times more likely than those in
accepting but sometimes voices disapproval) the general population to also have the disor-
into a coherent whole. As a result, the border- der (Torgerson, 2000). The emotional explo-
line individual may react as if the other person siveness and impulsivity of borderlines may
had two separate identities, one deserving of also reflect some biological abnormality
love and the other of hatred. Whichever of in neurotransmitter systems or areas of
these seemingly independent images the bor- the brain that contribute to emotional self-
derline individual is reacting to at the moment regulation (Gurvitz et al., 2000). It seems
totally determines how she or he relates or feels entirely possible that BPD reflects an interaction
(Figure 16.33). Borderline individuals also have between biological factors and an early history
a bias to the interpret emotional expressions of trauma, rejection, and psychological if not
of others as more intense, thus magnifying their physical abandonment. Finally, sociocultural
reaction (Daros et al., 2014). Together with severe factors may also contribute to this disorder.
problems in emotional control, splitting makes Cases of BPD seem to increase in societies that
for chaotic and unpredictable relationships. are unstable and rapidly changing, leaving
Biological factors also seem to be at work some of their members with a sense of emptiness,
(Depue & Lenzenweger, 2005; Leichsenring problems of identity, and fears of abandonment
et al., 2011). Close relatives of those with (Paris, 1993).
In Review
• Personality disorders are rigid, maladaptive pat- self-gratification. Learning explanations focus
terns of behaviour that characterize an individu- on the failure of punishment to inhibit maladap-
al’s behaviour over a long time. tive behaviours and exposure to aggressive,
uncaring models. It seems likely that there is a
• Antisocial personality disorder is the most stud-
genetic predisposition that increases the risk of
ied of the personality disorders. It is character-
antisocial behaviour, especially if the person is
ized by an egocentric and manipulative tendency
exposed to deviant models.
toward immediate self-gratification, a lack of
empathy for others, a tendency to act out impul- • Borderline personality disorder is characterized
sively, and a failure to profit from punishment. by serious instability in behaviour, emotion,
interpersonal relationships, and personal iden-
• Research on antisocial personality disorder sug-
tity, as well as impulsive and self-destructive
gests that genetic and physiological factors that
behaviours. The disorder is associated with abu-
result in underarousal may contribute to the dis-
sive parenting.
order’s causes. Psychoanalysts view the disorder
as a failure to develop a superego, which might
otherwise restrain the individual’s impulsive
DISORDERS times more frequently in boys than in girls. Boys

are more likely to exhibit aggressive and impul-
OF CHILDHOOD sive behaviours, whereas girls are more likely to
AND OLD AGE be primarily inattentive (Poremba & Poremba,
2007). Some professionals believe that the ADHD
Childhood Disorders diagnosis is applied too liberally, since normal
Psychological disorders can occur at any point children also exhibit the behaviours in question.
in the lifespan. Mental health professionals have They worry that some children may be labelled
observed symptoms resembling clinical depres- and medicated inappropriately (Carlson, 2000).
sion in infants, and older children exhibit a wide It may be tempting to assume that children
range of problem behaviours (Mash & Barkley, routinely outgrow ADHD, but follow-up studies
2003). In one study of several thousand children of individuals diagnosed with the disorder
between the ages of two and five, researchers suggest that for 50 to 80 percent, the problems
diagnosed more than 20 percent of the children persist into adolescence and, for 30 to 50 percent,
with a DSM disorder and considered half of into adulthood (Biederman, 1998). Overall, adults
these to be significantly impaired by their with ADHD have more occupational, family,
symptoms (Lavigne et al., 1996). Similar levels emotional, and interpersonal problems.
of incidence and impairment exist in children Despite many years of research, the precise
between the ages of 9 and 17 (Satcher, 1999). In causes of ADHD are unknown. Genetic factors
Canada, mental disorders in youth are second are probably involved, as concordance rates
only to injuries in terms of hospital expenditures are higher in identical than in fraternal twins.
(Canadian Mental Health Association, 2016). In adoption studies of ADHD children, the chil-
Other studies show that only about 40 percent dren’s biological parents are more likely to
of children with psychological disorders receive have ADHD than the adoptive parents (Smalley
professional attention, and only half of this group et al., 2000). Experts have long suspected that
is seen by qualified mental health professionals the disorder has a biological basis, but EEG
(Satcher, 1999). In contrast, nearly three-quarters studies of electrical brain activity and imaging
of children with physical handicaps receive pro- studies of brain structures and neurotransmit-
fessional treatment. Failure to treat childhood ters have failed to reveal consistent differences
behaviour disorders not only results in needless between people with ADHD and control groups
distress for children and families, but such disor- (Green, 1999, Lam et al., 2006). This may be due
ders tend to continue into adulthood as psycho- to the fact that ADHD is a multifaceted disor-
logical problems. In one New Zealand study, four der with several subcategories of biological pat-
in five adults with diagnosed DSM disorders had terns. There may be some deficiency in the fibre
histories of childhood or adolescent problems bundles joining the frontal cortex to other brain
that also met DSM criteria (Newman et al., 1996). areas (Chiang et al., 2015), but more research is
Although many childhood disorders are the needed. Environmental factors such as incon-
subject of current research, two are receiv- sistent parenting are also involved, perhaps in
ing particular attention. Attention deficit/ complex combinations with biological factors.
hyperactivity disorder is of interest because
it is the most frequently diagnosed childhood Autistic Spectrum Disorder
disorder. Autism is being scrutinized because One of the most mysterious and perplexing
it is becoming more common and is one of of all disorders is autism. First identified by
the most baffling disorders. the American psychiatrist Leo Kanner in 1943,
autistic spectrum disorder is a long-term
Attention Deficit/Hyperactivity Disorder disorder characterized by extreme unrespon-
In attention deficit/hyperactivity disorder siveness to others, poor communication skills,
(ADHD), problems may take the form of inat- and highly repetitive and rigid behaviour
tention, hyperactivity/impulsivity, or a combina- patterns. In 2000, it was estimated that autism
tion of the two. Ratings by teachers and parents affects about one in every 2000 children, about
indicate that 7 to 10 percent of American chil- 80 percent of them boys (American Psychiatric
dren meet DSM-5 criteria for the disorder. Simi- Association, 2000). But the rate has been steadily
lar results are reported for Canadian children climbing. The current estimate from the Centers
and for children in most countries around the for Disease Control (2013) is that autism affects
world, making ADHD the most common child- one in 50 children. Typically appearing in the first
hood disorder. The disorder occurs at least four three years of life in the form of unresponsiveness
678 CHAPTER SIXTEEN
and lack of interest in others, autism tends to be a spinning objects, playing with objects such
lifelong disorder. Approximately 70 percent remain as jar tops, flicking their fingers, or rocking
severely disabled into adulthood and cannot their bodies. Some engage in self-injurious
lead independent lives. More than two-thirds behaviours, such as banging their heads against
have intellectual disability, with IQs below sharp objects or biting chunks of flesh out of
70 and frequently below 35. The rest have normal their bodies, and these children may have to be
to above-average intelligence. But even the highest- physically restrained.
functioning adults with autism have problems in A few autistic people, such as the man por-
communication, restricted interests and activities, trayed by Dustin Hoffman in Rain Man, exhibit
and difficulty relating to others (Hillman et al., 2007). extraordinary savant (from the French word for
Lack of social responsiveness to others “wise,” or “learned”) abilities. A common savant
47. How does is a central feature of autism. Autistic infants skill is calendar calculation. An autistic person
ADHD differ from
typically do not reach out to or even make eye with this ability could tell you in an instant what
autism?
contact with their parents. They seem not to day of the week your birthday will fall on in
recognize or care who is around them. Autistic 2039. Others can perfectly reproduce any song
children do not engage in normal play with or commercial after hearing it once. Sometimes
either adults or peers and often do not even these skills give the impression of superior
acknowledge their presence. intelligence, even in people who have an
Language and communication difficulties are intellectual disability.
also common, with half of autistic children not
developing language. The language that does Causal factors. Leo Kanner (1943), who first
develop is often strange, involving repetition described childhood autism, offered a psycho-
of words or phrases with little recognition of dynamic explanation. He speculated that these
meaning. Many engage in echolalia, the exact children had been driven into their own worlds
echoing of phrases spoken by others. by a cold and ungiving family environment dur-
Sameness and routine are very important, ing infancy. Parents (particularly the mother)
and autistic children become extremely upset at were described as “refrigerator parents” who
even minute changes. The movement of a piece had thawed out just long enough to conceive a
of furniture even slightly or the change of one child. These were purely theoretical statements,
word in a song may evoke a tantrum. Some theo- and no evidence for such a family pattern has
rists believe that sameness is an attempt to avoid ever existed, but generations of parents who
overstimulation, but nobody knows for sure. were exposed to this hypothesis suffered the
Autistic individuals have repetitive and agony of thinking they had caused their child’s
stereotyped behaviour patterns and interests autistic disorder.
(Figure 16.34). They may spend their time Today, it is widely accepted that autism
48. How are has a biological basis (Mak-Fan et al., 2013;
biological factors
Vaccarino & Smith, 2009). What that might be
implicated in
autism? remains undetermined, however. Widespread
anomalies in the structures and functioning of
the brain have been found in autistic children.
For example, brain-imaging studies show that
the brains of autistic children are 5 to 10 percent
larger than average at 18 months to four years
of age. There is also evidence of accelerated
pruning of neural connections during early
life, and prefrontal-cortex development is also
abnormal. Finally, brain scans of autistic indi-
viduals reveal abnormal development in the
cerebellum, which coordinates movement and is
involved in shifting attention (Courchesne et al.,
© Robin Sachs/PhotoEdit, Inc. 2003). The precise manner in which these brain
differences are related to autism is the subject
FIGURE 16.34 People with autism often engage in
odd and repetitive stereotyped behaviours. For exam-
of extensive current research.
ple, an autistic child may manipulate an object for Genetic factors have been linked to autism.
hours at a time, showing no interest in playing with Recent molecular-genetics studies suggest
other children or relating to adults. that there may be four to six major genes and
20 to 30 others that contribute to a lesser degree author, Andrew Wakefield, was found guilty of
(Piven et al., 2013). It also appears that different professional misconduct.
genes may be involved for boys than for girls
(Schellenberg et al., 2006). Siblings of autistic
children are 200 times more likely to have the Dementia in Old Age
disorder than are children in the general popu- I fear I am not in my perfect mind.
lation, and concordance is highest in identical Methinks I should know you, and know this man;
twins (Piven et al., 1997). One notable finding is Yet I am doubtful, for I am mainly ignorant
that many relatives of autistic children, though What place this is, and all the skill I have
not manifesting the disorder themselves, have Remembers not these garments; nor I know not
unusual personality characteristics that paral- Where I did lodge last night.
lel autism, including aloofness and very narrow
and specialized interests (Rutter, 2000). (Shakespeare, King Lear, Act IV, Scene 7)
Another line of research is examining autism In his characterization of the elderly King
from the theory of mind perspective. As dis- Lear, William Shakespeare captured the onset
cussed in Chapter 12, theory of mind refers to of dementia, the gradual loss of cognitive
an awareness of what others are thinking and abilities that accompanies brain deteriora-
how they may be reacting internally. Normal tion and interferes with normal functioning.
children become aware of some characteristics In people with dementia, a progressive atro-
of other people’s thinking by age three or four phy, or degeneration, of brain tissue occurs
(Ritblatt, 2000). Autistic people seem to have as a result of disease or injury. Depending on
poorly developed skills in this area, making the cause, dementia can occur at any point in
it difficult for them to communicate with oth- the lifespan, but elderly people are at greater
ers or understand how other people might be risk than the general population. More than
internally reacting to them (Heerey et al., 2003). a dozen types and causes of dementia exist,
Autistic children also show poor comprehension the most common being Alzheimer’s disease,
of others’ emotional responses, such as expres- Parkinson’s disease, Huntington’s disease, and
sions of distress (Dawson et al., 2004). Theory Creutzfeldt-Jakob disease. Complications from
of mind deficits could severely impair language high blood pressure and stroke may also be
and social development, and they are a strong causes.
focus of current research on autism. Regardless of the specific diagnosis, when
Finally, a significant controversy has arisen dementia begins after age 65, it is labelled senile
concerning the possible role of children’s vac- dementia. A large Canadian study indicated an
cinations as a cause of autism. The controversy overall rate of senile dementia of about 8 per-
has stimulated a significant amount of research. cent, and a female-to-male ratio of about two
A recent review of the scientific evidence led to to one. The prevalence rates were 2.4 percent
the following conclusion: between ages 65 and 74, 11 percent for those
between 75 and 84, and 34.5 percent for those 85
The parents should not be apprehensive
and older (Costa, 1996). More than half of those
about the fact that immunization is likely
over age 65 living in institutions had dementia.
to risk the protection of the child. There is
The onset of dementia is typically gradual,
no evidence that autism is caused by any
as is the appearance of symptoms. Memory
vaccine or any additive or preservative
impairment, poor judgment, confusion, language
ever used in one. There have been large,
problems, and disorientation may appear
well-controlled studies done all over the
gradually or sporadically. Memory for recent
Western world that have confirmed this
events is particularly affected, and the person
finding over and over again. A comparison
may seem to live in the past because those
of the risk factors, such as death or
memories are largely intact.
disabilities, as a result of not vaccinating
It is important to recognize that simple for-
a child is significantly larger than the risk
getfulness is not necessarily a symptom of
of causing an autism spectrum disorder by
dementia. Individuals who are developing
immunizing. (Rhea, 2009, p. 962)
dementia typically have episodes of distress
In fact, the original article suggesting a link because they feel confused; they may make
between autism and vaccinations has been nonsensical remarks, lose the procedural abil-
shown to be fraudulent. The journal, The Lan- ity to perform familiar tasks, or even undergo
cet, fully retracted the paper in 2010, and the marked personality change. Over half the cases
680 CHAPTER SIXTEEN
diagnosed as senile dementia show various dementia becomes more urgent. Until then,
combinations of depression, anxiety, agitation, many of us can expect our own family members
paranoid reactions, and disordered thinking to become Alzheimer’s patients. Being a care-
that may resemble schizophrenia (American giver or watching the disease develop in a loved
Psychiatric Association, 2000). one is a painful and frustrating experience. In
Alzheimer’s disease is the leading cause of the advanced stages of the disease, the patient
49. What are dementia in the elderly, accounting for about may not recognize even close family members.
the causes of
60 percent of senile dementias. The Alzheimer In addition, he or she may lose the ability to
Alzheimer’s
Society of Canada (Alzheimer Society, 2010) speak, walk, and control bladder and bowel
disease?
estimates that approximately 500 000 Canadians functions. People with Alzheimer’s also experi-
have Alzheimer’s or a related disorder. Within a ence considerable stress as they feel their minds
generation, it is predicted that this number will slipping away and their environment becoming
be 1.1 million. The disorder is caused by deterio- more confusing.
ration in the frontal and temporal lobes of the
brain, including the hippocampus, a subcorti-
cal structure involved in memory. Medical and
A CLOSING THOUGHT
mental-health professionals typically diagnose All of us do the best we can to adapt to the
Alzheimer’s by observing and interviewing the many demands we face during the course of
patient, but a postmortem microscopic exami- our lives. In this chapter, we have seen the
nation of brain tissue is necessary to determine intense personal and societal suffering that
whether the patient had the tangled clumps of occurs when biologically and experientially
neurons and patches of disintegrating nerve produced vulnerabilities combine with stressful
cell branches called plaques that characterize demands to create psychological disorders.
the disease. A key to Alzheimer’s disease is the It is our hope that this discussion has increased
destruction of cells that produce acetylcholine, your understanding of and compassion for
a neurotransmitter that is critically involved in those who suffer from these disorders. No
the neural processes underlying memory. One one wants to be dysfunctional and miser-
focus of current research is the development of able, and everyone deserves the opportunity
drugs that might prevent the destruction of ace- to live a meaningful and fulfilling life. In the
tylcholine, enhance acetylcholine production, or next chapter, we will focus on what can be
directly stimulate acetylcholine receptors. done through psychological and biological
As people live longer lives, finding a cure for treatments to ease the suffering that results
Alzheimer’s disease and other forms of senile from psychological disorders.
In Review
• Psychological disorders can occur at any point in repetitive and rigid behaviour. Both disorders
the lifespan, and epidemiological data show that appear to have biological underpinnings, but
both children and adolescents exhibit a variety of the nature of these causal factors is not fully
disorders. Moreover, many childhood disorders understood.
are precursors for psychological disorders in • Cognitive deterioration, or dementia, can occur
adulthood. at any point in life but is especially prevalent
• ADHD and autistic spectrum disorder originate in old age. Alzheimer’s disease accounts for
in childhood and often persist into adulthood. more than half of senile dementias. Other dis-
ADHD can involve inattention, hyperactivity, or a eases, brain damage, and strokes also produce
combination of the two. dementias.
• Autistic spectrum disorder is a severe disor-
der that involves extreme unresponsiveness to
others, poor communication skills, and highly
Gaining Direction
What are the What does it mean to be “insane”? If you are action? Why did Tony believe that imposters
issues? suffering from a mental disorder, can you be had been planted in his family? Capgras is a
held responsible for your actions? Leah was very rare disorder—what might predispose you
starting to fear for her life as Tony continued to having such an affliction?
to threaten her. Was he really at risk for violent
What do What is Capgras syndrome? Is this treatable?

we need to Can anyone get Capgras? Can Capgras be drug-induced?
know? What is going on in the person’s mind? What is the insanity defence?
Why would you not recognize someone you
knew for a long time?
Where can We need to start by looking at the various types Perhaps Capgras results from a similar neuro
we find the of mental disorders. Which ones involve delu- transmitter imbalance. Finally, you may want
information to sions or hallucinations? Perhaps Capgras is a to look for various legal decisions involving
subset of schizophrenia. If so, delusions could Capgras. Was Tony Rosato treated fairly by the
answer these
be drug-induced. The underlying problem in legal system?
questions? schizophrenia is an oversupply of dopamine.
Treatment of CHAPTER
Psychological
Disorders 17
CHAPTER THE HELPING RELATIONSHIP CULTURAL AND GENDER ISSUES IN
OUTLINE PSYCHOTHERAPY
PSYCHODYNAMIC THERAPIES
Cultural Factors in Treatment Utilization
Psychoanalysis Gender Issues in Therapy
Brief Psychodynamic Therapies
EVALUATING PSYCHOTHERAPIES
HUMANISTIC PSYCHOTHERAPIES
Psychotherapy Research Methods
Client-Centred Therapy Factors Affecting the Outcome of Therapy
Gestalt Therapy
Research Foundations: Drug versus Psychological
COGNITIVE THERAPIES Treatments for Depression: A Randomized Clinical Trial
Ellis’s Rational-Emotive Therapy (RET) BIOLOGICAL APPROACHES TO TREATMENT

Beck’s Cognitive Therapy Drug Therapies
BEHAVIOUR THERAPIES Electroconvulsive Therapy
Psychosurgery
Classical Conditioning Treatments
Mind, Body, and Therapeutic Interventions
Focus on Neuroscience: The Neuroscience of
Treating Unipolar Depression PSYCHOLOGICAL DISORDERS AND SOCIETY
Frontiers: Virtual Reality as a Therapeutic Technique Deinstitutionalization
Operant Conditioning Treatments Preventive Mental Health
Modelling and Social Skills Training
A FINAL WORD
“THIRD-WAVE” COGNITIVE-BEHAVIOURAL
Applications: When and Where to Seek Therapy
THERAPIES
Mindfulness-Based Treatments
It is a process, a thing-in-itself, an experience, a relationship, a dynamic.

—Carl Rogers
Jane Webber’s life changed suddenly in 1994.

What are the
She was always tired and fluorescent lights issues here?
began to bother her. She loved coffee, but
remembers that one day, it simply did not What do we need
appeal to her any more. She felt that “all the colour had to know?
gone out of her world.” Jane, from Colborne, Ontario,
suffered from severe depression. Medication and vari- Where can
ous forms of psychotherapy did not work for her and we find the
the only option that doctors could recommend was elec- information to
Centre for Addiction and Mental Health (CAMH) answer these
troconvulsive therapy (ECT)—delivering an electric
questions?
current to her brain, which results in a grand mal seizure. While ECT was effective, she had to have
the treatment twice a month and the side effects—disorientation, headache, and some memory
loss—were getting worse. She was not sure that she could continue doing this.
But then a new procedure became available on an experimental basis. Toronto’s Centre for
Addiction and Mental Health was running clinical trials on a procedure known as magnetic seizure
therapy (MST). Jane dons a helmet-like headset that looks like a pair of headphones on the top of
her skull. For treatment, magnetic pulses are delivered to small, targeted areas in her prefrontal cor-
tex. A seizure is induced, but only in the target area. Jane reports that she has never felt this good in
a long time. And there are no side effects.
There are only a handful of MST centres in the world. Canada has two of them.
W
hat is the most effective way to treat
an individual who is suffering from a
psychological disorder? Is inducing
a seizure an acceptable approach? Why? This
chapter explores the many approaches used
to treat psychological disorders, as well as the
critical issue of their effectiveness. Although
first-person reports suggest that many people
derive considerable benefit from psychother-
apy, psychologists demand much more in the
way of evidence. Nearly 40 years of research on
psychological treatments has taught us that the Client Therapist
question of efficacy, or treatment outcome, is a
tremendously complex one that has no simple
Therapeutic relationship
answers. Yet, as we shall see, much has been +
learned about the effectiveness of these various Therapy techniques
therapeutic approaches and about the factors
that influence treatment outcome.
Therapeutic
THE HELPING outcome
RELATIONSHIP © Photodisc/Veer
The basic goal of all treatment approaches is to FIGURE 17.1 The process of therapy involves a rela-
help people change maladaptive, self-defeating tionship between a client and a therapist who applies 1. What two
thoughts, feelings, and behaviour patterns so the techniques dictated by his or her approach to treat- therapeutic
that they can live happier and more productive ment. The quality of the therapeutic relationship, the elements
therapy technique used, and the client’s commitment combine in
lives. The relationship between the client and the
to change all influence the outcome. the treatment
person providing help is a prime ingredient of of behaviour
therapeutic success (Cahill et al., 2013; Gabbard disorders?
et al., 2005; Greenberg, 2014; Norcross, 2003). A majority of people with mental-health
Within that helping relationship, therapists use a problems first seek help not from mental-health
variety of treatment techniques to promote posi- professionals, but from family members, physi-
tive change in the client. These techniques vary cians, members of the clergy, acquaintances, or
widely, depending on the therapists’ own theo- self-help groups (Seligman, 1995). Often, how-
ries of cause and change, and they may range ever, these sources of psychological support are
from biomedical approaches (such as administer- not enough, and distressed people are increas-
ing psychoactive drugs) to a wide range of psy- ingly seeking help from professional counsel-
chological treatments. Both of these elements, lors and therapists. Surveys indicate that nearly
relationship and techniques, are important to the 30 percent of North Americans have sought
success of the treatment enterprise (Figure 17.1). psychological counselling from professionals at
684 CHAPTER SEVENTEEN
Therapies for psychological disorders
Psychodynamic Humanistic Cognitive Behavioural Biological
Psychoanalysis Client-centred Rational- Classical Drug

(Freud) therapy emotive conditioning therapy
(Rogers) therapy (Ellis) • Exposure
• Systematic
Brief Electro-
desensitization
psychodynamic Gestalt Cognitive convulsive
• Aversion
therapies therapy therapy therapy
therapy
(Peris) (Beck)
Operant Psycho-
Mindfulness surgery
conditioning
based
• Positive
cognitive-
reinforcement
behavioural
• Punishment
treatments
Modelling
• Social skills
training
FIGURE 17.2 An overview of the major treatment approaches to the behaviour disorders, organized according to
five major perspectives on behaviour.
some point in their lives, a dramatic rise from Having previewed the nature of therapy and
the 13 percent who had done so in the mid-1950s those who provide it, we now consider the ther-
(Gaylin, 2000; Meredith, 1986). These people apeutic approaches that have developed within
receive treatment from mental-health profes- the major perspectives on human behaviour.
sionals who fall into several categories. Figure 17.2 provides an overview of the thera-
Counselling and clinical psychologists make pies we will consider.
up one group. These psychologists, who typi-
cally hold a Ph.D. (Doctor of Philosophy) or
Psy.D. (Doctor of Psychology) degree, have
PSYCHODYNAMIC
received five or more years of intensive train- THERAPIES
ing and supervision in a variety of psychothera-
The psychodynamic approach to psychotherapy
peutic techniques as well as training in research
focuses on internal conflict and unconscious fac-
and psychological assessment techniques. The
tors that underlie maladaptive behaviour. The
Psy.D. is not currently offered at Canadian uni-
historical roots of psychodynamic approaches
versities, but a number of American schools
are to be found in Sigmund Freud’s development
have this degree program. A second group, psy-
of psychoanalysis. The term psychoanalysis
chiatrists, are medical doctors who specialize
refers not only to Freud’s theory of personality,
in psychotherapy and biomedical treatments,
but also to the specific approach to treatment
such as drug therapy.
that he developed. Although both the theory and
In addition to psychologists and psychiatrists, a
the techniques of therapy were later modified
number of other professionals provide treatment.
by his followers and those who defected to pur-
These professionals typically receive master’s
sue rival approaches, the psychodynamic prin-
degrees based on two years of highly focused and
ciples underlying Freud’s approach continue to
practical training. They include psychiatric social
exert a major influence today.
workers, who often work in community agencies;
2. What is
marriage and family counsellors, who special-
the major
ize in problems arising from family relations; pas- Psychoanalysis
therapeutic
goal in toral counsellors, who tend to focus on spiritual The goal of psychoanalysis is to help clients
psychoanalysis? issues; and abuse counsellors, who work with sub- achieve insight, the conscious awareness of the
stance and sexual abusers and their victims. psychodynamics that underlie their problems.
Such awareness permits clients to adjust their hours (Erdelyi, 2014; Glucksman, 2001). Even in
behaviour to their current life situations, rather dreams, which Freud termed “the royal road to
than continuing to repeat the old maladaptive the unconscious,” defensive processes usually
routines learned in childhood. Analysts believe disguise the threatening material to protect the
that, as the client repeatedly encounters and dreamer from the anxiety that the material might
deals with buried emotions, motives, and con- evoke. In dream interpretation, the analyst tries
flicts both within and outside of therapy, the to help the client search for the unconscious
psychic energy that was previously devoted to material contained in the dreams. One means of
keeping the unconscious conflict under control doing so is to ask the client to free associate to
can be released and redirected to more adaptive each element of the dream and to help the client
ways of living (Gabbard, 2004). arrive at an understanding of what the symbols
in the dream really represent. Several authors
Free Association (e.g., Erdelyi, 2014; Graveline & Wamsley, 2015)
Freud believed that mental events are meaning- have argued that there is a rough correlation
fully associated with one another, so that clues between content in the waking world and the 3. How are free
association
to the contents of the unconscious are to be dream world, suggesting that dreams do express
and dream
found in the constant stream of thoughts, mem- concerns that the individual has. analysis used in
ories, images, and feelings we experience. In his psychoanalysis?
technique of free association, Freud asked his Resistance
clients to recline on a couch and to report ver- Although clients come to therapists for help, 4. How do
bally without censorship any thoughts, feelings, they also have a strong unconscious invest- resistance and
or images that entered awareness. Freud sat ment in maintaining the status quo. After all, transference
out of sight behind the client so that the client’s their problems result from the fact that certain reflect
thought processes would be determined primar- unconscious conflicts are so painful that the ego underlying
ily by internal factors (Figure 17.3). has resorted to maladaptive defensive patterns conflicts?
The analyst does not expect that free associa- to deal with them. These avoidance patterns
tion necessarily will lead directly to unconscious emerge in the course of therapy as resistance,
material, but rather that it will provide clues con- defensive manoeuvres that hinder the process
cerning important themes or issues (Hoffer & of therapy. Resistance can be manifested in
Youngren, 2004). For example, a client’s stream many different ways. A client may experience
of thoughts may suddenly stop after she has difficulty in free-associating, may come late or
mentioned her father, suggesting the possibility “forget about” a therapy appointment, or may
that she was approaching a “loaded” topic that avoid talking about certain topics. Resistance
activated repressive defences. is a sign that anxiety-arousing sensitive mate-
rial is being approached. An important task of
Dream Interpretation analysis is to explore the reasons for resistance,
Psychoanalysts believe that dreams express both to promote insight and to guard against the
impulses, fantasies, and wishes that the client’s ultimate resistance: the client’s decision to drop
defences keep in the unconscious during waking out of therapy prematurely.
Transference
As noted earlier, the analyst sits out of view of
the client and reveals nothing to the client about
himself or herself. Nonetheless, clients will even-
tually begin to project onto the “blank screen” of
the therapist important perceptions and feelings
related to their underlying conflicts. Transfer-
ence occurs when the client responds irrationally
to the analyst as if he or she were an important
figure from the client’s past. Transference is
considered a most important process in psycho-
analysis, for it brings out into the open repressed
© Bruce Ayres/Stone/Getty Images feelings and maladaptive behaviour patterns that
FIGURE 17.3 In classical Freudian psychoanalysis the therapist can point out to the client.
the client reclines on a couch, with the analyst sitting Transference takes two basic forms. Posi-
out of the client’s view. tive transference occurs when a client transfers
feelings of intense affection, dependency, or love are the same way. That’s why I act that
to the analyst, whereas negative transference way with other people too. . . . I don’t like
involves irrational expressions of anger, hatred, or to have people get too close to me. The
disappointment. Analysts believe that until trans- whole thing is the same as happens with
ference reactions are analyzed and resolved, there you. It’s all so silly and wrong. You aren’t
can be no full resolution of the client’s problems. my brother and the other people aren’t my
In the following excerpt from a psychoanalytic brother. I never saw the connection until
session, a client traces her transference reaction now. (Wolberg, 1967, pp. 660–661)
to its source and then recognizes the operation of
In this interchange, we see both positive and
similar reactions in other relationships:
negative transference reactions based on an
Client: I don’t want to like you. I’d rather not important past relationship. The client’s feel-
like you. ings about her brother continue to be played out
Therapist: I wonder why? in her fear of getting close to others, including
the analyst, and becoming vulnerable to being
Client: I feel I’ll be hurt. Liking you will
exploited once again.
expose me to being hurt.
Therapist: But how do you feel about me? Interpretation
Client: I don’t know. I have conflicting emo- How can analysts help clients detect and
. What are
5 tions about you. Sometimes I like you too understand resistance, the meaning of dream
interpretations,
much and sometimes I get mad at you for symbols, and transference reactions? The ana-
and how are
they used by no reason. I often can’t think of you, even lyst’s chief therapeutic technique for these
analysts? picture you. . . . Yes, I don’t want to like purposes is interpretation of the material the
you. If I do, I won’t be able to help myself. client presents. An interpretation is any
I’ll get hurt. But why do I feel or insist that statement by the therapist intended to provide
I’m in love with you? the client with insight into his or her behaviour
Therapist: Are you? or dynamics. An interpretative statement con-
fronts clients with something that they have
Client: Yes. And I feel so guilty and upset
not previously admitted into consciousness:
about it. At night I think of you and get
“It’s almost as if you’re angry with me without
sexual feelings and it frightens me.
realizing it.”
Therapist: Do I remind you of anyone? A general rule in psychoanalytic treatment
Client: Yes. (Pause) There are things about is to interpret what is already near the surface
you that remind me of my brother. and just beyond the client’s current awareness.
(Laughs) I realize this is silly. Offering “deep” interpretations of strongly
Therapist: Mmhmm. defended unconscious dynamics is considered
poor technique because even if they are correct,
Client: My brother Harry, the one I had the
such interpretations are so far removed from
sex experiences with when I was little. He
the client’s current awareness that they cannot
made me do things I didn’t want to. I let
be informative or helpful (Levenson, 2002). This
him fool with me because he made me feel
is one reason that, even after the analyst fully
sorry for him.
understands the causes of the client’s problems,
Therapist: Do you have any of the same feel- psychoanalysis may require several more years
ings toward me? of treatment. It is the client who must eventually
Client: It’s not that I expect that anything will arrive at the insight.
really happen, but I just don’t want to have
feelings for you. . . . I know it’s the same Brief Psychodynamic Therapies
thing. I’m afraid of you taking advantage
Classical psychoanalysis as practised by Freud
of me. If I tell you I like you, that means
(and a declining number of contemporary ana-
you’ll make me do what you want.
lysts) is an expensive and time-consuming pro-
Therapist: Just like Harry made you do what cess, for the goal is no less than rebuilding the
he wanted. client’s personality. In classical psychoanalysis,
Client: Yes. I didn’t want to let him do what it is not uncommon for a client to be seen five
he did, but I couldn’t help myself. I hated times a week for five years or more. Today, how-
myself. That’s why. I know it now because ever, many therapists consider this level of client
there is no reason why I should feel you and therapist commitment both impractical and
80
75
OQ-45 improvement
70
65
60
55
50
0 2 4 6 8 10 12 14 16 18 20
Sessions
FIGURE 17.4 Decrease in psychological symptoms as a function of number of sessions seen in psychotherapy.
The highest rate of improvement is seen early in treatment. Results like these have helped to stimulate the devel-
opment of short-term treatments.
Source: Baldwin, S.A., Berkeljan, A., Atkins, D.C., & Nielsen, J.A., Rates of change in naturalistic psychotherapy: Contrasting
dose–effect and good-enough level models of change. (2009). Journal of Consulting and Clinical Psychology, 2009, Vol 77 (2)
Figure 1, p. 207. Copyright © 2009 American Psychological Association. Reprinted by permission.
unnecessary. Their conclusion is supported by long-term therapy in decreasing symptoms of

several psychotherapy studies that measured depression and anxiety in the first year of the
the degree of improvement that occurred over study, and there were no differences between
the course of therapy. The results of a recent therapy groups after two years, at the three-year
study involving 4676 clients and 204 therapists follow-up the clients in the long-term psycho-
in a university counselling centre shows rate of dynamic therapy group showed significantly
improvement on the Outcome Questionnaire-45: greater improvement than those in the short-
a measure of psychological symptoms and term therapy groups (Knekt et al., 2008). It
unhappiness. As Figure 17.4 shows, by the tenth seems that, while brief psychodynamic therapies
session, most of the improvements had occurred. offer several advantages and have great poten-
The researchers also found that regardless of tial to help people, for some individuals or for
how many sessions the clients attended, the rate certain disorders, psychoanalytic or long-term
of improvement was highest at the beginning psychodynamic therapies may be more effective
and decreased over time (Baldwin et al., 2009). treatments than brief psychodynamic therapies.
A study of more than 4000 clients seen in therapy Like psychoanalysis, brief psychodynamic
in the United Kingdom also found that clinically psychotherapies emphasize understanding the
significant change did not increase in clients seen maladaptive influences of the past and relat-
for more than ten sessions (Stiles et al., 2008). ing them to current patterns of self-defeating
However, other researchers have argued that behaviour. Many of these brief therapies utilize
psychoanalysis may be more effective than is basic concepts from psychoanalysis, such as the
suggested by early research, citing problems importance of insight and the use of interpreta-
with methodology and inherent difficulties of tion, but they employ them in a more focused
conducting controlled, randomized studies of and active fashion (Levenson, 2002). The thera-
psychodynamic therapy (Leichsenring, 2005). pist and client are likely to sit facing each other,
Leichsenring conducted a meta-analytic review and conversation typically replaces free associa-
of research on psychodynamic and psycho- tion. Clients are seen once or twice a week rather
analytic therapies and concluded that psycho- than daily, and the goal is typically limited to
analytic therapy is more effective in treating helping the client deal with specific life problems
psychological disorders than are shorter forms rather than attempting a complete rebuilding of
of psychodynamic therapy. The authors of a the client’s personality. Therapy, therefore, is
three-year, randomized controlled clinical trial more likely to focus on the client’s current life
of 326 therapy clients in Helsinki, Finland, situations than on past childhood experience,
similarly reported that while short-term psy- and may teach the client specific interpersonal
chodynamic therapy was more effective than and emotion-control skills (Benjamin, 2003).
In Review
• Psychodynamic therapists view maladaptive behav- of free associations, dream content, resistance,
iours as symptoms of an underlying conflict that and transference reactions.
needs to be resolved if behaviour is to change. • Brief psychodynamic therapies have become
• The goal of Freudian psychoanalysis is to help increasingly popular alternatives to lengthy
clients achieve insight into the unconscious psychoanalysis. Their goal is also to promote
dynamics that underlie their behaviour disorders insight, but they tend to focus more on current
so that they can deal adaptively with their cur- life events. Interpersonal therapy is a structured
rent environment. therapy that focuses on addressing current inter-
• The chief means for promoting insight in psy- personal problems and enhancing interpersonal
choanalysis are the therapist’s interpretations skills.
One brief psychodynamic therapy is therapist’s goal is to create an environment in

6. What two called interpersonal therapy (Weissman & which clients can engage in self-exploration
research results
Markowitz, 1994, 2002). This therapy, which and remove the barriers that block their natural
favour the use of
is highly structured and seldom takes longer tendencies toward personal growth (Hoffman
brief therapies
over classical than 15 to 20 sessions, focuses on the client’s et al., 2013; Greenberg & Rice, 1997). These bar-
psychoanalysis? current interpersonal problems. These include riers often result from childhood experiences
How do brief dealing with role disputes such as marital con- that fostered unrealistic or maladaptive stan-
psychodynamic flict, adjusting to the loss of a relationship or dards for self-worth. When people try to live
therapies differ to a changed relationship, and identifying and their lives according to the expectations of oth-
from classical correcting deficits in social skills that make ers rather than in terms of their own desires and
psychoanalysis? it difficult for the client to initiate or maintain feelings, they often feel unfulfilled and empty,
satisfying relationships. The therapist collab- and unsure about who they really are as people.
orates very actively with the client in finding In contrast to psychoanalytic therapy,
solutions to these problems. In controlled out- humanistic approaches focus primarily on the
come studies, interpersonal therapy has proven present and future instead of the past. Therapy
to be one of the more effective current thera- is directed at helping clients become aware of
pies for depression (Chambless & Hollon, 1998; feelings as they occur rather than at achieving
Coren & Frosh, 2010), and for somatic system insight into the childhood origins of the feelings.
disorder (Sattel et al., 2012).
Client-Centred Therapy
HUMANISTIC The best-known and most widely used form of
PSYCHOTHERAPIES humanistic therapy is the client-centred (now
sometimes called person-centred) approach
In contrast to psychodynamic theorists, who
developed by Carl Rogers (1959, 1980; Fig-
view behaviour as a product of unconscious
ure 17.5). In the 1940s, Rogers began to depart
7. What is processes, humanistic theorists view humans as
from psychoanalytic methods. He became con-
the goal of capable of consciously controlling their actions
vinced that the important “active ingredient”
humanistic and taking responsibility for their choices and
in therapy is the relationship that develops
therapies, and behaviour. These theorists also believe that
between client and therapist, and he began to
how do the everyone possesses inner resources for self-
therapies try focus his attention on the kind of therapeutic
healing and personal growth, and that dis-
to achieve this environment that seemed most effective in fos-
ordered behaviour reflects a blocking of the
goal? tering self-exploration and personal growth
natural growth process. This blocking is brought
(Bozarth et al., 2002). Rogers’s research and
about by distorted perceptions, lack of aware-
8. Define the experiences as a therapist identified three
ness about feelings, or a negative self-image.
three important important and interrelated therapist attributes:
therapist
When these assumptions about human nature
attributes are applied to psychotherapy, they inspire treat- 1. Unconditional positive regard is com-
described by ments that are radically different from psycho- municated when therapists show clients
Rogers. analysis. Humanistic psychotherapy is seen that they genuinely care about and accept
as a human encounter between equals. The them, without judgment or evaluation. The
you handled that situation because I want

things to work out better than that for you.”
Rogers believed that when therapists can

express these three critical therapeutic attri-
butes, they create a situation in which the client
feels accepted, understood, and free to explore
basic attitudes and feelings without fear of
being judged or rejected. Within such a relation-
ship, clients experience the courage and free-
dom to grow.
These therapeutic attitudes are exhibited in
the following excerpt from one of Rogers’s ther-
apy sessions:
Client: I cannot be the kind of person I want

to be. I guess maybe I haven’t the guts or
© Michael Rougier/Time & Life Pictures/Getty Images the strength to kill myself, and if someone
else would relieve me of the responsibility
FIGURE 17.5 “Psychotherapy is the releasing of or I would be in an accident, I—just don’t
an already existing capacity in a potentially competent
want to live.
individual, not the expert manipulation of a more or less
passive personality.”—Carl Rogers Rogers: At the present time things look so
black that you can’t see much point in liv-
ing. (Note the use of empathic reflection
and the absence of any criticism.)
therapist also communicates a sense of trust
in clients’ ability to work through their prob- Client: Yes, I wish I’d never started this ther-
lems. In part, this sense of trust is communi- apy. I was happy when I was living in my
cated in the therapist’s refusal to offer advice dream world. There I could be the kind
or guidance. of person I wanted to be. But now there
2. Empathy, the willingness and ability to is such a wide, wide gap between my
view the world through the client’s eyes, is ideal and what I am. . . . (Notice how the
a second vital factor. In a good therapeutic client responds to reflection with more
relationship, the therapist comes to sense the information.)
feelings and meanings experienced by the Rogers: It’s really tough digging into this like
client and communicates this understand- you are and at times the shelter of your
ing to the client. The therapist does this by dream world looks more attractive and
reflecting back to the client what he or she comfortable. (Reflection.)
is communicating—perhaps by rephras- Client: My dream world or suicide. . . . So I
ing something the client has just said in a don’t see why I should waste your time
way that captures the meaning and emotion coming in twice a week—I’m not worth
involved. it—what do you think?
3. Genuineness is the third important therapist
Rogers: It’s up to you. . . . It isn’t wasting
attribute. There must be consistency between
my time. I’d be glad to see you whenever
the way the therapist feels and the way he
you come, but it’s how you feel about it.
or she behaves. A therapist must be open
(Note the genuineness in stating an hon-
enough to honestly express feelings, whether
est desire to see the client and the uncon-
positive or negative. In the case of negative
ditional positive regard in trusting her
feelings, this may seem to be contradictory to
capacity and responsibility for choice.)
the attribute of unconditional positive regard,
but that is not necessarily the case. Indeed, Client: You’re not going to suggest that I
the most striking demonstration of both attri- come in oftener? You’re not alarmed and
butes occurs when a therapist can express think I ought to come in every day until I
displeasure with a client’s behaviour and at get out of this?
the same time communicate acceptance of Rogers: I believe you’re able to make your
the client as a person. For example, a thera- own decision. I’ll see you whenever you
pist might say, “I feel frustrated with the way want to come. (Trust and positive regard.)
Client: (Note of awe in her voice.) I don’t are much more active and dramatic than client-
believe you are alarmed about—I see—I centred approaches, and are sometimes even
may be afraid of myself but you aren’t confrontational in nature. Therapists often ask
afraid for me. (She experiences the thera- clients to role-play different aspects of them-
pist’s confidence in her.) selves so that they may directly experience their
Rogers: You say you may be afraid of your- inner dynamics. In the empty-chair technique,
self and are wondering why I don’t seem to a client may be asked to imagine his mother sit-
be afraid for you. (Reflection.) ting in the chair, and then carry on a conver-
sation in which he alternatively role-plays his
Client: You have more confidence in me than
mother and himself, changing chairs for each
I have. I’ll see you next week, maybe.
role and honestly telling her how he feels about
(Based on Rogers, 1951, p. 49)
important issues in their relationship. These
(The client did not attempt suicide.) techniques can evoke powerful feelings and
Source: Excerpt from Carl R. Rogers, Client-Centered make clients aware of unresolved issues that
Therapy, p. 49, Copyright © 1951 by Cengage Learning, Inc. affect other relationships in their lives as well.
Reproduced by permission. www.cengage.com/permissions.
Despite their common commitment to
Rogers believed that, as clients experience humanistic principles, Rogers and Perls dif-
a constructive therapeutic relationship, they fered sharply in their attitudes toward doing
exhibit increased self-acceptance, greater self- research on humanistic therapies. Rogers was
awareness, enhanced self-reliance, increased committed to research that would help to iden-
comfort with other relationships, and improved tify the factors that contribute to therapeutic
life functioning (Rogers, 1959). Research does success. He was a pioneer in tape-recording
indicate that therapists’ characteristics have a therapy sessions and analyzing them to study
strong effect on the outcome of psychotherapy. what went on in therapy (Rogers & Dymond,
Therapy is most likely to be successful when 1954). In contrast, Perls had a strongly anti-
the therapist is perceived as genuine, warm, and scientific attitude that kept him and his fol-
empathic (Sachse & Elliott, 2002; Suminson & lowers from doing systematic research on the
Law, 2006). Almost three decades after Rogers’s effectiveness of Gestalt therapy. As a result,
death, the person-centred approach remains an the influence of the Gestalt movement began
influential force (Ahammed & Cherian, 2013; to wane following Perls’s death in 1970. More
Cain, 2010; Gonçalves et al., 2012). recently, however, some clinical researchers
have begun assessing the effects of Gestalt
Gestalt Therapy techniques.
9. How is Gestalt Frederick S. (Fritz) Perls, a European psycho- Leslie Greenberg and Wanda Malcolm (2002)
therapy derived analyst who was trained in Gestalt psychol- tested the effects of the empty-chair technique
from Gestalt ogy, developed another humanistic approach in helping clients resolve “unfinished business”
psychology to treatment. As noted in Chapter 5, the term with significant others in their past lives. The cli-
principles? gestalt (“organized whole”) refers to perceptual ents were seen for 12 to 14 hourly sessions. One
principles through which people actively orga- client was a submissive middle-aged man who
nize stimulus elements into meaningful “whole” had felt humiliated and emotionally rejected by
patterns. Ordinarily, in whatever we perceive, his mother’s hurtful teasing and public humilia-
whether external stimuli, ideas, or emotions, we tion of him as a child. Here is a sample of the cli-
concentrate on only part of our whole experi- ent’s (C) empty-chair statements to his mother
ence—the figure—while largely ignoring the (M) over several sessions:
background against which the figure appears.
C: You were self-centered and you didn’t
For people who have psychological difficulties,
care too much about me and the way I
that background includes important feelings,
was brought up as far as my emotions go.
wishes, and thoughts that are blocked from
ordinary awareness because they would evoke M: (as client occupies her chair) What are
anxiety. Gestalt therapy’s goal is to bring them you talking about? What do you mean? I
into immediate awareness so that the client can gave you the best years of my life. Some-
be “whole” once again. body had to look after you. I did the best I
Gestalt therapy is often carried out in groups, could.
and Gestalt therapists have developed a variety C: I was hurt so much. I carry that. I lost
of imaginative techniques to help clients “get in some of that warmth inside me. It affects
touch with their inner selves.” These methods the way I have relationships. The way
In Review
• Humanistic psychotherapies attempt to liber- • The goal of Gestalt therapy is to remove block-
ate the clienths natural tendency toward self- ages to clients’ awareness of the wholeness of
actualization by establishing a growth-inducing immediate experience by making clients more
therapeutic relationship. aware of their feelings and the ways in which
• Rogers’s client-centred therapy emphasizes the they interact with others.
importance of three therapist characteristics:
unconditional positive regard, empathy, and
genuineness.
I relate to myself. The way I feel about 2.0

Not resolved
myself. All these years I thought I was
Resolved
a joke. This is what I carry (crying). I’m
1.5
ashamed of myself. Mean interpersonal
problems score
M: Yes, I know I did some of those things
you said. And I could have been a better 1.0
mother, but I guess I was young. I was
still a child myself. I couldn’t give you the
emotional stability you wanted. . . . I’m 0.5
sorry that it had an effect on you.
C: As a little boy I couldn’t tell you “Stop
0
it. Don’t do it. Keep away.” But I can tell
Pretreatment Post-treatment
you now that I resent you for it and I
won’t forgive you. . . . I’m not going to FIGURE 17.6 Use of the Gestalt therapy empty-
dance around you any more. I’m going chair technique to facilitate the resolution of unfinished
business with significant others. Those clients judged
to stand up for myself. I think it’s about
to have achieved a full resolution of the past conflicts
time. (p. 408) over the course of treatment showed a significant
Greenberg and Malcolm then had clini- reduction in scores on a self-report measure of current
cians listen to tapes of these sessions. The interpersonal difficulties.
clinicians judged 13 of 32 clients to have Source: Based on Greenberg, L.S., & Malcolm, W. (2002).
completely resolved their unfinished busi- Resolving unfinished business: Relating process to outcome.
Journal of Consulting and Clinical Psychology, 70, 406–416.
ness, as evidenced by affirmation of the self
as worthwhile and either an increased under-
standing, empathy, or forgiveness of the exercise is more effective than simply receiv-
other person or the ability to hold the other ing information about resolving “unfinished
accountable for wrongdoing. Compared with business.” Today, the empty-chair exercise is
those who did not reach complete resolution, one of several Gestalt techniques being incor-
resolved clients expressed more intense emo- porated into non-humanistic therapies as well
tions during the empty-chair exercise and (Cain & Seeman, 2002; Lazarus, 1995).
had significantly better treatment outcomes
on measures of psychological distress, self-
esteem, and improvement in interpersonal
COGNITIVE THERAPIES
problems. Figure 17.6 shows pretreatment As we have seen, many behaviour disorders
and post-treatment scores on a measure of involve maladaptive ways of thinking about
interpersonal problems for the resolved and oneself and the world. Cognitive approaches
unresolved clients. Although both groups to psychotherapy focus on the role of irrational
showed therapeutic gains, only those shown and self-defeating thought patterns, and thera-
by the resolved group were statistically sig- pists who employ this approach try to help cli-
nificant. Paivio and Greenberg (1995) have ents discover and change the cognitions that
also demonstrated that the empty-chair underlie their problems.
In contrast to psychoanalysts, cognitive A

therapists do not emphasize the importance of The activating
unconscious psychodynamic processes. They environmental
event
do, however, point out that, because our habit-
ual thought patterns are so well-practised and
ingrained, they tend to “run off” almost automat- B
ically, so that we may be only minimally aware The beliefs that
of them and simply may accept them as reflect- are activated
ing “reality” (Clark et al., 1999). Thus, clients by A
often need help in identifying the beliefs, ideas,
and self-statements that trigger maladaptive
emotions and behaviours. Once identified, these C
The emotional
cognitions can be challenged and, with prac-
and behavioural
tice and effort, changed. Since there is a focus consequences
on both thoughts and behaviours, this type of produced by B
therapy is often referred to as cognitive behav-
iour therapy (CBT). Albert Ellis and Aaron Beck
are the most influential figures in the cognitive D
approach to therapy. The disputing
and changing
of B
Ellis’s Rational-Emotive
FIGURE 17.7 Albert Ellis’s ABCD model describes
Therapy (RET) his theory of the cause—and cure—of maladaptive
Albert Ellis, originally trained as a psychoana- emotional responses and behaviours. In therapy, the
10. What do lytic therapist, became convinced that irrational goal is to discover, dispute, and change the client’s
ABCD stand maladaptive beliefs.
thoughts, rather than unconscious dynamics,
for in rational-
emotive therapy, were the most immediate cause of self-defeating
and how is this emotions. Ellis’s theory of emotional distur-
model used in bance and his rational-emotive therapy are
therapy? embodied in his ABCD model (Figure 17.7):
• A stands for the activating event that seems
to trigger the emotion.
• B stands for the belief system that underlies
the way in which a person appraises the event.
• C stands for the emotional and behavioural
consequences of that appraisal.
• D is the key to changing maladaptive emo-
tions and behaviours: disputing, or challeng-
ing, an erroneous belief system.
Ellis (Figure 17.8) pointed out that people
are accustomed to viewing their emotions (C’s)
as being caused directly by events (A’s). Thus, a
young man who is turned down for a date may
feel rejected and depressed. However, Ellis would
insist that the woman’s refusal is not the true rea-
son for the emotional reaction. Rather, that reac- © Courtesy Dr. Albert Ellis
tion is caused by the young man’s irrational belief
that “to be a worthwhile person, I must be loved FIGURE 17.8 “The essence of effective therapy
and accepted by virtually everyone, especially according to rational-emotive therapy is full tolerance
of people as individuals combined with a ruthless cam-
those I consider important.” If the young man
paign against their self-defeating ideas. . . . These
does not want to feel depressed and rejected, this can be easily elicited and demolished by any scientist
belief must be countered and replaced by a more worth his or her salt; and the rational-emotive therapist
rational interpretation (e.g., “It would have been is exactly that: an exposing and nonsense-annihilating
nice if she had accepted my invitation, but I don’t scientist.”—Albert Ellis
TABLE 17.1 I rrational Ideas That Cause Disturbance, and Alternatives That Might Be Offered by a Rational-
Emotive Therapist
Irrational Belief Rational Alternative
It is a dire necessity that I be Although we might prefer approval to disapproval, our self-worth need not depend on the love
loved and approved of by virtually and approval of others. Self-respect is more important than giving up one’s individuality to buy
everyone for everything I do. the approval of others.
I must be thoroughly competent As imperfect and fallible human beings, we are bound to fail from time to time. We can control
and achieving to be worthwhile. To only effort; we have incomplete control over outcome. We are better off focusing on the
fail is to be a failure. process of doing rather than on demands that we do well.
It is terrible, awful, and catastrophic Stop catastrophizing and turning an annoyance or irritation into a major crisis. Who are we to
when things are not the way I demand that things be different from what they are? When we turn our preferences into dire
demand that they be. necessities, we set ourselves up for needless distress. We had best learn to change those
things we can control and accept those that we can’t control (and be wise enough to know
the difference).
Human misery is externally caused Human misery is produced not by external factors but rather by what we tell ourselves about
and forced on one by other people those events. We feel as we think, and most of our misery is needlessly self-inflicted by
and events. irrational habits of thinking.
Because something deeply affected We hold ourselves prisoner to the past because we continue to believe philosophies and
me in the past, it must continue to ideas learned in the past. If they are still troubling us today, then it is because we are still
do so. propagandizing ourselves with irrational nonsense. We can control how we think in the here
and now and thereby liberate ourselves from the “scars” of the past.
need to turn it into a catastrophe and believe that

no one will ever care about me.”).
Rational-emotive therapists introduce cli-
ents to common irrational ideas (Table 17.1)
and then train them to ferret out the particular
ideas that underlie their maladaptive emotional
responses. Clients are given homework assign-
ments to help them analyze and change self-
statements. They also may be asked to place
themselves in challenging situations and prac-
tise control over their emotions by using the
new self-statements. For example, a shy person
might be required to go to a party and practise
rational thoughts that counteract social anxi-
ety. By learning and practising cognitive cop-
ing responses, clients eventually can modify
underlying belief systems in ways that enhance
well-being (Bora et al., 2013; David et al., 2005; © Courtesy Dr. Aaron T. Beck
Dryden, 2002). RET also has been applied suc-
FIGURE 17.9 “The formula for treatment may be
cessfully to help elite athletes cope with beliefs
stated in simple terms: The therapist helps the patient
and emotions related to sport performance to identify his warped thinking and to learn more real-
(e.g., Turner et al., 2014a, 2014b). istic ways to formulate his experience.”—Aaron Beck
Beck’s Cognitive Therapy This realization sets the stage for identifying
and changing the maladaptive thoughts.
Like Ellis, Aaron Beck’s goal is to point out
errors of thinking and logic that underlie emo- Client: I get depressed when things go wrong.
tional disturbance and to help clients identify Like when I fail a test.
and reprogram their overlearned “automatic”
thought patterns (Figure 17.9). In treating Beck: How can failing a test make you
depressed clients, a first step is to help clients depressed?
realize that their thoughts, not the situation, Client: Well, if I fail, I’ll never get into law
cause their maladaptive emotional reactions. school.
Beck: So failing a test means a lot to you. But the treatment of choice for unipolar depression
if failing a test could drive people into clini- and can affect underlying physiological com-
cal depression, wouldn’t you expect every- ponents, as discussed in the Focus on Neuro
one who failed a test to have a depression? science feature for this chapter.
Did everyone who failed get depressed
enough to require treatment?
Client: No, but it depends on how important BEHAVIOUR THERAPIES
the test was to the person. In the 1960s, behavioural approaches emerged
Beck: Right, and who decides the importance? as a dramatic departure from the assump-
Client: I do. tions and methods that characterized psycho-
analytic and humanistic therapies. The new
Beck: Now what did failing mean? practitioners of behaviour therapy denied
Client: (Tearful) That I couldn’t get into law the importance of inner dynamics. Instead,
school. they insisted that (1) behaviour disorders are
Beck: And what does that mean to you? learned in the same ways normal behaviours
Client: That I’m just not smart enough. are, and (2) these maladaptive behaviours
can be unlearned by application of principles
Beck: Anything else? derived from research on classical condition-
Client: That I can never be happy. ing and operant conditioning. Behaviourists
Beck: And how do those thoughts make you demonstrated that these learning procedures
feel? could be applied to change the behaviours
of schizophrenics, to effectively treat anxi-
Client: Very unhappy.
ety disorders, and to modify many child
Beck: So it is the meaning (italics added) of and adult behaviour problems that seemed
failing a test that makes you very unhappy. resistant to traditional therapy approaches
In fact, believing that you can never be (Hersen, 2002).
happy is a powerful factor in producing In Chapter 7, we described three important
unhappiness. So you get yourself into a learning mechanisms: classical conditioning,
trap—by definition, failure to get into operant conditioning, and modelling. We now
law school equals “I can never be happy.” consider therapy techniques based on each of
(Based on Beck et al., 1979, pp. 145–146) these forms of learning.
Source: Excerpt from A.T. Beck, A.J. Rush, B.F. Shaw & G.
Emery, Cognitive Therapy of Depression, pp. 145-146, 1979.
New York: Guilford. Reprinted by permission of Guilford Classical Conditioning
Publications, Inc.
Treatments
Beck’s contributions to the understanding Classical conditioning procedures have been
11. Which and treatment of depression have made his
disorders have used in two major ways. First, they have
cognitive therapy a psychological treatment of been used to reduce, or decondition, anxiety
responded most
choice for that disorder. Cognitive therapy with responses. Second, they have been used in
favourably to
booster sessions after depression decreased attempts to condition new anxiety responses to
Beck’s cognitive
therapy? What is resulted in improvement maintenance in 97 per- a particular class of stimuli, such as alcoholic
the focus of the cent of depressed clients, with non-recurrence beverages or inappropriate sexual objects. The
therapy in these of depression in 75 percent (Vittengl et al., most commonly used classical conditioning
disorders? 2009). Cognitive therapy has been extended to procedures are exposure therapies, systematic
the treatment of anger disorders, anxiety dis- desensitization, and aversion therapy.
orders, personality disorders, and eating disor-
ders with equally encouraging results (Butler
et al., 2006; Craske, 1999; Lambert et al., 2004). Exposure: An Extinction Approach
For example, Donald Meichenbaum’s work (e.g., From a behavioural point of view, phobias and
Meichenbaum, 1991) on self-instructional other fears result from classically conditioned
training has been very influential in treatments emotional responses (e.g., Rachman, 1991). The
related to stress and coping. As we shall see, conditioning experience is assumed to involve
elements of cognitive therapy are frequently a pairing of the phobic object (the neutral stim-
combined with other therapeutic techniques to ulus) with an aversive unconditioned stimulus
form highly effective treatments for a variety (UCS). As a result, the phobic stimulus becomes
of disorders. Cognitive therapy is considered a conditioned stimulus (CS) that elicits the
Focus on
Neuroscience
THE NEUROSCIENCE OF TREATING those patients who were successfully treated with CBT
UNIPOLAR DEPRESSION showed a change in function (as measured by PET) in
both the limbic system and the cortex. Compared with
Cognitive behaviour therapy (CBT) is viewed as the treat- a group of patients treated with paroxetine (Paxil), there
ment of choice for unipolar depression (Kuyken, Dalglish, & were specific changes for CBT in both the frontal cortex
Holden, 2007). The goal of this approach is to identify mal- and the hippocampus. So it would appear that talking
adaptive thoughts and behaviours and, through therapy, therapy can alter brain function in much the same way
help the patient to think more rationally. But what changes that drug treatments do.
are going on in the brain while this is happening? The DSM-5 calls for increased attention to the bio-
As discussed in Chapter 16, depression may stem from logical underpinnings of various psychological disorders
the underactivity of certain neurotransmitters such as nor- (American Psychiatric Association, 2013; Phillips, 2007).
epinephrine, dopamine, and serotonin (collectively known To this end, various researchers are trying to develop
as the monoamines). Drug treatments for depression tar- screening tests for disorders based on neuroimaging.
get these monoamines, resulting in higher levels of the Siegle and colleagues (2006) presented a series of emo-
neurotransmitters in specific brain areas. Working with a tional words to both a group of unmedicated patients
group of depressed patients, Kennedy et al. (2001) report with unipolar depression and a comparison group of indi-
increased activity (via PET scan) in much of the prefron- viduals who had never experienced depression. All par-
tal cortex, parietal cortex, and the cingulate cortex (area ticipants rated the personal relevance of these words
above the corpus callosum) following six weeks of treat- while undergoing an fMRI scan. Following this task, the
ment with the antidepressant drug Paxil. This increased depressed group received 16 sessions of CBT. Those par-
activity reflects a return to “normal” levels and further illus- ticipants who reacted with low levels of activity in the
trates the involvement of the cortex and limbic system in cingulate cortex and high levels in the amygdala when
depression. Would we expect similar changes using a talk- processing negative emotional words showed the most
ing therapy? improvement after CBT. Siegle et al. (2006) note that the
In a study also using PET scans (Meyer et al., 2004), no cingulate cortex is involved in the regulation of activity in
global differences were found between patients with and the limbic system. Thus, depressed individuals showing
without major depression. But for the depressed group, this lack of regulation are precisely those who will benefit
reduced serotonin transport was observed for those who from CBT since CBT will help them regain emotional con-
expressed higher levels of dysfunctional beliefs. Thus, trol. More recently, Grotegerd et al. (2012) have demon-
it would appear that maladaptive thoughts are related to strated unique pattern differences between unipolar and
lower levels of serotonin and, consequently, CBT should bipolar depression. Unipolar depression is associated
be a very effective treatment. Indeed, changes in brain with activity in the prefrontal and orbital frontal regions,
function can be noted following a course of CBT treat- while bipolar disorder was more specific to the dorsolat-
ment. Goldapple et al. (2004) have demonstrated that eral prefrontal area.
conditioned response (CR) of anxiety. Accord- while using response prevention to keep
ing to the two-factor learning theory discussed the operant avoidance response from occur-
in Chapter 7, avoidance responses to the phobic ring. This is the theoretical basis for the expo-
situation are then reinforced by anxiety reduc- sure approach (Abramowitz, 2013; Marks,
tion (operant conditioning based on negative 1991; Zinbarg et al., 1992). The client may be 12. What are
reinforcement). Thus, a person who is injured in exposed to real-life stimuli (a treatment known the classical
an automobile accident may find herself afraid as flooding; Figure 17.10) or may be asked to and operant
to ride in a car. Moreover, each time she avoids imagine scenes involving the stimuli (referred conditioning
procedures used
exposure to cars, her avoidance response is to as implosion therapy). Of course, these
in exposure
strengthened through anxiety reduction. stimuli will evoke considerable anxiety, but
therapy?
According to this formulation, the most the anxiety will extinguish in time if the per- How was this
direct way to reduce the fear is through a son remains in the presence of the CS and the procedure
process of classical extinction of the anxiety UCS does not occur. used to treat
response. This reduction requires exposure Exposure has proved to be a highly effective agoraphobics?
to the feared CS in the absence of the UCS technique for extinguishing anxiety responses
were helped effectively with a treatment based

on flooding.
13. Which New technologies are allowing therapists to
specific treat anxiety disorders in a very realistic but
attributes of safe manner. This chapter’s Frontiers feature
VR make it focuses on attempts to use the high-tech capa-
potentially useful bilities of virtual reality as a therapy tool.
in therapy? What
evidence is there Systematic Desensitization:
that VR can work
therapeutically?
A Counterconditioning Approach
In 1958, Joseph Wolpe helped to launch the
14. How does behaviour therapy movement with his intro-
systematic © Geri Engberg/The Image Works
duction of systematic desensitization, a
desensitization new learning-based treatment for anxiety dis-
differ from FIGURE 17.10 A behaviour therapist guides and orders. Wolpe also presented impressive out-
exposure in supports a client with a dog phobia during an in vivo come data for 100 phobics he had treated
terms of its exposure therapy session. As a result of exposure, the
with the technique. Systematic desensitization
(a) underlying man’s anxiety will extinguish, and he will be able to
interact more comfortably with this animal and other remains a widely used treatment today. In many
principle and controlled studies, its success rate in treat-
(b) specific dogs.
ing a wide range of phobic disorders has been
techniques?
80 percent or better (Rachman, 2000; Spiegler &
in both animals and humans (Craske & Myst- Guevremont, 2003). Systematic desensitization
kowski, 2006; Spiegler & Guevremont, 2003). It has also been used to treat test anxiety (Mared-
is considered the treatment of choice for post- pour et al., 2012), math anxiety (Zettle, 2012),
traumatic stress disorder (PTSD; DiMauro, and anxiety due to highway driving (Iglesias &
2014; Zoellner et al., 2009). In one study, ago- Igleslas, 2013).
raphobics who feared leaving the safety of Wolpe viewed anxiety as a classically condi-
their homes and going into public places were tioned emotional response. His goal was to elim-
treated. The researchers used an exposure inate the anxiety by using a procedure called
therapy that required these clients to confront counterconditioning, in which a new response
feared situations such as driving alone and that is incompatible with anxiety is conditioned
going into crowded shopping centres. Both to the anxiety-arousing CS.
before and after the exposure therapy, each The first step in systematic desensitization is
client was assessed on a series of real-life per- to train the client in the skill of voluntary muscle
formance tasks. For example, an agoraphobic relaxation. Next, the client is helped to construct
who feared being in public might be asked to go a stimulus hierarchy of 10 to 15 scenes relating
and stand in a long checkout line in a crowded to the fear. The hierarchy is carefully arranged
supermarket. Before exposure treatment began, in roughly equal steps from low-anxiety scenes
the phobics were able to pass only 27 percent to high-anxiety ones. Table 17.2 shows a stimu-
of these performance tasks. At the end of treat- lus hierarchy that was used in treating a univer-
ment, they were able to perform 71 percent of sity student with high test anxiety.
the tasks. Moreover, this degree of improvement In the desensitization sessions, the thera-
was maintained or even increased at follow- pist deeply relaxes the client and then asks
ups ranging from three months to two years the client to vividly imagine the first scene in
(Williams et al., 1989). These are extremely the hierarchy (the least anxiety-arousing one)
encouraging results, since agoraphobics are for several seconds. The client can’t be both
difficult to treat with nonbehavioural meth- relaxed and anxious at the same time, so if the
ods. An additional advantage is that clients can relaxation is strong enough, it replaces anxiety
administer exposure treatment to themselves as the CR to that stimulus—the countercon-
under a therapist’s direction, with high suc- ditioning process. When the client can imag-
cess rates (Marks, 1991). Stanley Rachman at ine that scene for increasingly longer periods
the University of British Columbia also reports without experiencing anxiety, the therapist
success with using behavioural methods for proceeds to the next scene. Once low-arousal
the treatment of obsessive-compulsive disorder scenes have been deconditioned, some of the
(Rachman, Hodgson, & Marks, 1997). Patients total anxiety has been reduced, and the person
who were rated as “moderately incapacitated” is now able to imagine more anxiety-arousing
Frontiers
VIRTUAL REALITY AS A THERAPEUTIC 72 stories in a glass-walled elevator (Rothbaum et al., 1995).

TECHNIQUE VR therapy has also been applied successfully to fear of fly-
ing by taking the client on trips, accompanied by the thera-
Almost all therapeutic perspectives are based on the pist, in a virtual Apache helicopter that takes off and flies over
assumption that therapy outcomes are likely to be most the airport and city (Klein, 1999; North et al., 1997). More
favourable if clients are able to vividly experience or re- recent work uses VR to treat body image disorders (Ferrer-
experience important environmental, emotional, and rela- Garcia & Gutierrez-Maldonado, 2012), social anxiety (Page
tionship elements that underlie their problems. Virtual et al., 2013), and gambling disorder (Giroux et al., 2013).
reality (VR) involves the use of computer technology to A case study by Albert Carlin, Hunter Hoffman, and
create highly realistic “virtual environments” that simulate
Suzanne Weghorst (1997) provides an example of how
actual experience so vividly that they evoke many of the
several sensory modalities can be combined to immerse
same reactions that a comparable real-world environment
people in a virtual environment. The client was a 37-year-old
would create. Observers typically wear helmets containing
woman with a debilitating spider phobia that had interfered
two small video monitors (one for each eye) attached to
with her life for 20 years. At the time she entered treat-
a high-speed computer. The image to each eye is slightly
ment, any encounter with a spider or a spider web evoked
different to produce binocular depth perception cues that
panic, weeping, and shame about her “out of control” fear.
result in a three-dimensional image. With the aid of posi-
She took elaborate precautions to avoid spiders, including
tion-tracking devices, the computer monitors the person’s
fumigating and vacuuming her car before entering it, seal-
physical movements and adjusts the images and sounds
ing her bedroom door and windows with duct tape each
accordingly. Thus, observers have a vivid experience of
presence in a “different place” when navigating through night, placing each piece of her clothing in a separate plas-
the virtual world. This power to immerse the user in a sim- tic bag immediately after washing or ironing it, and avoid-
ulated environment derives not so much from the realism ing the outdoors where she might encounter a spider. Even
of the displays as from the fact that perception and action viewing photographs or drawings of spiders evoked anxiety.
are integrated as they are in real life (North et al., 2002). Over a period of 12 weekly sessions, VR was used to
Several other aspects of VR heighten its potential use- create a “virtual kitchen” in which the client had encounters
fulness as a therapy tool. VR is highly flexible and pro- with either a small black spider in a web or a large brown
grammable, allowing a therapist to present a variety of virtual spider with a furry texture. Using a computer mouse
controlled situations and monitor their effects on a client. to move about the three-dimensional virtual kitchen and a
Scenes can easily be changed, depending on the actions glove that operated her “virtual hand” inside the scene, the
of the client. Moreover, the therapist can don his or her client exposed herself to spider experiences that gradually
own helmet and accompany the client into the virtual world, increased in intensity (Figure 17.11). When she opened a
experiencing exactly what the client does and providing cupboard in the kitchen, she might encounter a spider that
input to the client at appropriate moments. These shared would crawl toward her. The spiders were preprogrammed
experiences in the virtual world could enable clients to over- to jump into the air when touched, swing toward her in their
come old problems, experiment with new social roles, and webs, and engage in other frightening behaviours. Later in
learn new skills with the guidance of the therapist. treatment, when she began touching the large hairy brown
VR’s use in psychotherapy is in its infancy, but it has spider with her virtual hand, another sensory modality was
already been applied to a variety of problems (Hoffman et al., brought into the virtual world in the form of a palm-sized
2001; Rothbaum et al., 2000). Most of these applications replica of a fur-covered Guyana bird-eating tarantula. When
have been in the treatment of phobias and PTSD, where VR the client reached out with her virtual hand to touch the
allows clients to interact with feared stimuli or situations brown spider, her real hand encountered the furry taran-
while undergoing exposure or systematic desensitization
tula, and any movement of the toy spider caused a similar
therapy. For example, researchers have produced simula-
movement of the virtual spider. These experiences, which
tions of heights (e.g., a virtual elevator that could produce
evoked considerable anxiety at first, resulted in a dramatic
the sensations of being at various heights under different
reduction in spider anxiety both within the virtual world and
conditions, such as with or without walls, inside or on the
outside of a building). Compared with a no-treatment control in her real-life environment. Her ritualistic avoidance behav-
group of height phobics, those who received a seven-session iours disappeared and she was able to stand over a spider
VR-graded exposure treatment showed a significant reduc- that she encountered in her home for 20 minutes, to crush
tion in anxiety and less avoidance of heights. Over a third another one, and to go camping for the first time since
of the VR participants spontaneously exposed themselves adolescence. Controlled experimental studies have since
to heights after the treatment, including one who rode up confirmed the effectiveness of VR treatment for a variety
continued
depicted physical aspects of the environment. Can it be

extended to social situations in which a client might be
able to have realistic interaction with significant virtual
others from the client’s past or present life? Could it be
used in aversion therapies to classically condition nega-
tive emotional responses to depictions of children, in the
case of pedophiles, or to alcohol, in the case of alcohol-
ics? With respect to anxiety disorders, Rizzo has main-
tained that VR is quite effective in the treatment of a
variety of problems, from occupational rehabilitation to
PTSD (e.g., Rizzo & Kim, 2005). Indeed, Rizzo and his
colleagues (e.g., Reger et al., 2009; Rizzo et al., 2008)
and others (e.g., McCann et al., 2014) have reported that
Courtesy of Hunter Hoffman; photo by Mary Levin, University of Washington.
VR can have a positive effect on war veterans who suf-
fer from post-traumatic stress. However, the effectiveness
FIGURE 17.11 Virtual reality (VR) was used to treat this spi- may not extend to other psychological disorders. But with
der phobic. The client views a virtual “spider world” inside the respect to anxiety disorders, the data are very promis-
helmet. Psychologist Hunter Hoffman brings a virtual spider ing. Opris et al. (2012) report that a meta-analysis of the
(shown on monitor) closer by slowly moving the VR position existing studies indicates that VR is much more success-
sensor in his right hand closer to the client’s face. The sensor
ful than the waitlist control procedure, and is at least as
also can be attached to a furry toy spider to increase stimulus
effective as either a conventional behavioural treatment
exposure.
or CBT. Recently, researchers have argued for a move to
augmented reality (AR) platforms rather than virtual (e.g.,
of phobias and anxiety disorders (Parsons & Rizzo, 2008; Baus & Bouchard, 2014). AR allows for an integration
Powers & Emmelkamp, 2008). of the real world with the digital and can be much more
The promising results achieved so far point to the need engaging (consider the success of Pokemon Go). In addi-
for systematic studies of VR therapy to explore several tion, AR may be less expensive and more readily available
questions. Is it more effective than exposure through to clients. Giglioli et al. (2015) report remarkable success
imagination or in real life? Is it cost effective in terms of with AR in the treatment of specific phobias (particularly
computer and programming costs and number of therapy involving small animals or insects). AR has even been
sessions needed? Up to now, most VR applications have used to treat phantom pain (Ortiz-Catalan et al., 2014).
TABLE 17.2 A
Stimulus Hierarchy Used in the Systematic Desensitization Treatment of a
Test-Anxious University Student
Scene 1 Hearing about someone else who has a test
Scene 2 Instructor announcing that a test will be given in three weeks
Scene 3 Instructor reminding class that there will be a test in two weeks
Scene 4 Overhearing classmates talk about studying for the test, which will occur in one week
Scene 5 Instructor reminding class of what it will be tested on in two days
Scene 6 Leaving class the day before the exam
Scene 7 Studying the night before the exam
Scene 8 Getting up the morning of the exam
Scene 9 Walking toward the building where the exam will be given
Scene 10 Walking into the testing room
Scene 11 Instructor walking into room with tests
Scene 12 Tests being passed out
Scene 13 Reading the test questions
Scene 14 Watching others finish the test
Scene 15 Seeing a question I can’t answer
Scene 16 Instructor waiting for me to finish the test
ones without becoming anxious. Desensitiza- Classical aversion conditioning

tion also can be accomplished through care-
CS UCS
fully controlled exposure to a hierarchy of
real-life situations (in vivo desensitization). Slides Electric
showing paired shock
For example, an individual with a height phobia
children
might actually stand on a stepstool and, eventu-
ally, walk across a suspension bridge while vol-
untarily relaxed, rather than simply imagining
Emotional response
the scenes. Both desensitization approaches are
highly effective in reducing anxiety (Hersen,
2003; Zettle, 2012). Conditioned
Although both exposure therapy based on anxiety
extinction and systematic desensitization are response
very effective in reducing fear responses,
systematic desensitization is sometimes pre-
ferred because the client will experience far
less anxiety during the treatment. Then again,
exposure often reduces anxiety more quickly Desired outcome
than does systematic desensitization (Bruce & Reduced sexual
Sanderson, 1998). attraction to
children
Aversion Therapy
FIGURE 17.12 The classical conditioning that occurs 15. How does
For some clients, the therapeutic goal is not to
in aversion therapy is illustrated in the treatment of a classical
reduce anxiety, but to actually condition it to conditioning
pedophile who receives electric shocks when pictures
a particular stimulus so as to reduce deviant underlie aversion
of children are presented. The goal of the treatment is
approach behaviours. In aversion therapy, the development of a conditioned anxiety response that therapy? What
the therapist pairs a stimulus that is attractive reduces the sexual attractiveness of children. additional
to a person and that stimulates deviant or self- training can
defeating behaviour (the CS) with a noxious enhance its
UCS in an attempt to condition an aversion to effectiveness?
the CS. For example, aversion treatment for that aversion therapy is most likely to succeed
alcoholics may involve injecting clients with a if it is part of a more comprehensive treat-
nausea-producing drug, and then having them ment program in which the client also learns
drink alcohol (the CS) as nausea (the UCS) specific coping skills for avoiding relapses
develops. Similarly, pedophiles (child molest- (Marlatt & Gordon, 1985).
ers) have undergone treatment in which strong
electric shock is paired with slides showing Operant Conditioning Treatments
children similar to those the offenders sexually The term behaviour modification refers to
abused (Figure 17.12). To measure the effects of treatment techniques that involve the appli-
the treatment on males, readings from a physi- cation of operant conditioning procedures in
ological recording device that measures penile an attempt to increase or decrease a specific
blood volume responses to the slides can be behaviour. These techniques may use any of
compared before and after treatment (Drucker, the operant procedures for manipulating the
2014; Sandler, 1986). environment that were discussed in Chapter
Aversion therapies have been applied to a 7: positive reinforcement, extinction, nega-
range of disorders with variable results. In tive reinforcement, or punishment. The focus
one study of 278 alcoholics who underwent in behaviour modification is on externally
aversion therapy, 190 (63 percent) were still observable behaviours, and measurement of
abstinent a year after treatment ended. Three the behaviours targeted for change occurs
years later, a third of the patients were still throughout the treatment program. This
abstinent, an impressive result given the tradi- measurement allows the therapist to track
tionally high relapse rate of chronic alcoholics the progress of the treatment program and
(Moos & Moos, 2006). Unfortunately, however, to make modifications if behaviour change
treatment effects from aversion therapies begins to lag.
often fail to generalize from the treatment set- Behaviour modification techniques have
ting to the real world. Some experts believe been applied successfully to many different
behaviour disorders. They have yielded par- a kind of “menu” is derived in which a specified
ticularly impressive results when applied to number of plastic tokens is given for perfor-
populations that are difficult to treat with more mance of each desired behaviour. The tokens
traditional therapies, such as chronic hospi- can be redeemed by the patients for a wide range
talized schizophrenics, profoundly disturbed of tangible reinforcers, such as a private room,
children, and mentally disabled individuals exclusive rental of a radio or TV set, selection of
(Eikeseth et al., 2002; Martin & Pear, 2010). We personal furniture, freedom to leave the ward and
now consider the use of positive reinforcement walk around the grounds, recreational activities,
and punishment in two of these populations. and items from the hospital commissary. The long-
term goal of token economy programs is to get the
Positive Reinforcement desired behaviours started with tangible reinforc-
One of the dangers of long-term psychiatric hos- ers until they eventually come under the control
pitalization is the gradual loss of social, personal- of social reinforcers and self-reinforcement pro-
care, and occupational skills needed to survive cesses (such as self-pride), which will be needed
outside the hospital. Such deterioration is com- to maintain them in the world outside the hospital.
mon among chronic schizophrenic patients who When this begins to occur, the tokens can be
have been hospitalized for an extended period. phased out and the desired behaviours continue to
Verbal psychotherapies have had very limited suc- occur (Kazdin, 2003).
cess in rebuilding such skills. Token economy programs have proven
In the 1960s, Teodoro Ayllon and Nathan Azrin highly effective with some of the most challeng-
16. How do (1968) introduced a revolutionary approach to ing populations. Figure 17.13 shows how quickly
token economies
the behavioural treatment of hospitalized schizo- the introduction of a token economy increased
work, and
what evidence phrenics. The token economy is a system for the work behaviour of chronic schizophrenic
exists for their strengthening desired behaviours—such as per- patients who were supposedly too disturbed to
effectiveness? sonal grooming, appropriate social responses, engage in a work-retraining program (Ayllon &
housekeeping behaviours, working on assigned Azrin, 1965). In another study, a token econ-
jobs, and participation in vocational training pro- omy program was carried out over a four-year
grams—through the systematic application of period with severely disturbed schizophrenic
positive reinforcement. Rather than giving tangi- patients who had been hospitalized an average
ble reinforcers, such as food or grounds privileges, of more than 17 years. During the course of the
Reinforcement Reinforcement Reinforcement

for preferred for non-preferred for preferred
job job job
6
Preferred
(mean number of hours/day)
Performance
Non-preferred
0
10 20 30
Number of days
FIGURE 17.13 Average number of hours hospitalized schizophrenic patients worked per day on a job they
preferred and a job they did not prefer when tokens were used as reinforcement. Notice how quickly and how
strongly their behaviour was influenced by the reinforcement contingency.
Source: Data from Ayllon, T., & Azrin, N.H. (1965). The measurement and reinforcement of behavior of psychotics. Journal of the
Experimental Analysis of Behavior, 8(6), Nov 1965, 357-383.
program, 98 percent of the patients from the treatment of stereotypic behaviours (such as
behavioural treatment program were able to be rocking, spinning, mouthing, etc.). Punishment
released from the hospital (most to shelter-care is never employed without the consent of the
facilities in the community), compared with client or the client’s legal guardian in the event
only 45 percent of a control group that received that the client is mentally incompetent to give
the normal hospital treatments (Paul & Lentz, consent.
1977). Token economies have also been applied
successfully within business, school, prison,
and home environments to increase desirable
Modelling and Social
behaviours (Hulac, 2010; Martin & Pear, 2010, Skills Training
Slocum & Vollmer, 2015). Modelling is one of the most important and
effective learning processes in humans, and
Therapeutic Use of Punishment modelling procedures have been used to treat
In the view of most psychologists, punishment a variety of behavioural problems. One of the
is the least preferred way to control behaviour most widely used applications is designed to
because of its aversive qualities and the poten- teach clients social skills that they lack.
tial negative side effects described in Chapter 7. In social skills training, clients learn
Therefore, before deciding to use punishment new skills by observing and then imitating a
as a therapeutic technique, therapists ask model who performs a socially skilful behav-
themselves two important questions: (1) Are iour. In the following example, a therapist
there alternative, less painful approaches that served as a model for his client, a socially
might be effective? (2) Is the behaviour to be anxious university student who had great dif-
eliminated sufficiently injurious to the individ- ficulty asking women for dates. The client
ual or to society to justify the severity of the began by pretending to ask for a date over
punishment? the telephone:
Sometimes, the answers to these questions 17. Under what
lead to a decision to use punishment. For exam- Client: By the way (pause), I don’t suppose conditions is
ple, some of the most startling self-destructive you want to go out Saturday night? punishment used
behaviours imaginable occur in certain severely Therapist: Up to actually asking for the date as a behaviour
modification
disturbed autistic children. Such children may you were very good. However, if I were
technique?
strike themselves repeatedly, bang their heads the girl, I might have been offended when What evidence
on sharp objects, bite or tear pieces of flesh from you said, “By the way.” It’s like asking her is there for its
their bodies, or engage in other self-mutilating out is pretty casual. Also, the way you effectiveness?
behaviours. O. Ivar Lovaas (1977), a UCLA posed the question, you are kind of sug-
psychologist who pioneered the use of oper- gesting to her that she doesn’t want to go 18. How is
ant conditioning techniques in the treatment out with you. Pretend for the moment I’m modelling used
of such children, successfully eliminated such you. Now, how does this sound: “There’s a in social skills
behaviours with a limited number of contingent movie at the Varsity Theatre that I want training? How
electric shocks. One seven-year-old boy had to see. If you don’t have other plans, I’d is self-efficacy
been self-injurious for five years and had to be very much like to take you.” involved in its
kept in physical restraints. During one 90-min- effectiveness?
Client: That sounded good. Like you were
ute period when his restraints were removed, he sure of yourself and like the girl, too.
struck himself more than 3000 times. With the
consent of his parents, shock electrodes were Therapist: Why don’t you try it? (Masters
attached to the boy, and he was given a painful et al., 1988, p. 100)
electric shock each time he struck himself. Only Social skills training has been used with
12 shocks were needed to virtually eliminate many populations, including individuals who
the self-destructive behaviour. In another case, have minor deficits in social skills, delinquents
15 shocks eliminated self-destructive behav- who need to learn how to resist negative peer
iour in a severely disturbed girl with a history pressures, and even hospitalized schizophrenic
of banging her head against objects. In a large- patients who need to learn social skills to func-
scale review of treatment techniques for autism tion adaptively outside the hospital (Kurtz &
spectrum disorder, DiGennaro-Reed et al. (2012) Mueser, 2008; Rao et al., 2008). It is often used
report that therapeutic punishment has been in conjunction with other psychological or
used in about 18 percent of cases involving the biological treatments to “jump start” new
adaptive behaviours that then can be strength- their sensations, thoughts, and feelings, allow-
ened by natural reinforcers in the client’s every- ing them to come and go without a struggle. The
day environment. meditation technique is being incorporated into
Research demonstrates that a key factor a variety of cognitive behavioural treatments,
underlying the effectiveness of social skills including mindfulness-based stress reduction
training is increased self-efficacy. When clients (MBSR; McCown & Riebel, 2010; Kabat-Zinn
come to believe that they are capable of per- et al., 1992) and mindfulness-based relapse pre-
forming the desired behaviours, they succeed vention (MBRP; Bowen et al., 2009). As a stress
in doing so (Bandura, 1997; Maddux, 1999). management approach, mindfulness meditation
Observing successful models also increases self- reduces physiological arousal, and the detached
efficacy by encouraging the view, “If she can do cognitive outlook helps to free people from
that, so can I.” emotion-escalating emotional processes. It is
being successfully applied to treat a variety of
“THIRD-WAVE” COGNITIVE- stress-related medical conditions and psycho-
logical disorders, including anxiety and depres-
BEHAVIOURAL THERAPIES sion (Hofmann et al., 2010; Marino et al., 2015;
Since the 1950s, behaviour therapies have McCown & Riebel, 2010) and problem gambling
developed through three phases. The first (Toneatto et al., 2014). Mindfulness meditation
phase treatments were based on animal mod- has also been added to the relapse prevention
els of classical and operant conditioning and techniques discussed in Chapter 15. Here, it is
explicitly excluded cognitive principles. The used to prevent relapse by increasing awareness
second wave, beginning in the 1960s and 1970s, of thoughts and emotions that trigger lapses,
was the emergence of cognitive-behavioural thereby interrupting the previous cycle of auto-
approaches such as rational-emotive behav- matic substance abuse behaviour. It also helps
iour therapy (Ellis), cognitive therapy (Beck), abusers deal with a lapse by helping to neutral-
and modelling and role-playing approaches ize self-blame and thoughts of hopelessness,
(Bandura). Collectively, these were called cog- which often turn lapses into complete relapses
nitive-behavioural therapies. by producing the abstinence violation effect. In
The past two decades have seen the emer- a study by Sarah Bowen and colleagues (2009),
gence of so-called “third wave” cognitive- MBRP was applied to substance abusers who
behavioural approaches (Hayes et al., 2006; had completed intensive in-patient or outpatient
Ost, 2008). These therapies incorporate the treatment. As shown in Figure 17.14, compared
concepts of mindfulness as a central objective with the control group that received traditional
to behaviour change, and they represent the community aftercare, the MBRP group had
addition of humanistic concepts and Eastern less than half the number of days of alcohol
methods of behaviour therapy. They include or drug use in the two months following treat-
a variety of mindfulness-based approaches ment. However, the group difference was no
to various problems, such as acceptance and longer evident at four months after treatment,
commitment therapy, and dialectical behav- suggesting the need for booster sessions. MBRP,
iour therapy. though promising, needs to be compared with
relapse prevention treatment without the mind-
Mindfulness-Based Treatments fulness procedure to see if it adds to the tradi-
tional procedures.
Mindfulness is a mental state of awareness,
focus, openness, and acceptance of immedi-
ate experience. It also involves a nonjudgmen- Acceptance and Commitment Therapy
tal appraisal, so that in a state of mindfulness, Developed by Steven Hayes (Hayes et al., 2006),
difficult thoughts and feelings have much less acceptance and commitment therapy (ACT)
impact. In some ways, mindfulness is like the also focuses on the process of mindfulness as a
association cognitive techniques (focusing non- vehicle for change. An important difference in
judgmentally on the sensations rather than try- emphasis from traditional cognitive therapy is
ing to distract oneself) that increase the ability that instead of teaching people to exert control
to tolerate painful stimuli (Chapter 5). over their thoughts and feelings, the ACT thera-
An important tool for learning mindful- pist teaches clients to “just notice,” accept, and
ness is a meditation technique in which people embrace them, even previously unwanted ones.
develop a tranquil state and focus closely on This matter-of-fact acceptance of a thought
30
12-step program
MBRP
25
Days with alcohol/drug use

20
15
10
0
2 months 2 months 4 months
before treatment post-treatment post-treatment
Time
FIGURE 17.14 Number of days of alcohol or drug use reported during the two months previous to mindfulness-
based relapse prevention or 12-step treatment and two and four months post-treatment.
Source: Data from Bowen, S., Chawla, N., Collins, S.E., Witkiewits, K., Hsu, S., Grow, J., . . . Marlatt, A. (2009). Mindfulness-
based relapse prevention for substance use disorders: A pilot efficacy trial. Substance Abuse, 30, 295–305.
(e.g., “I am thinking that he doesn’t like me” by occur when under stress. Borderline clients are
a social phobic) helps to reduce the emotional among the most challenging to treat because
impact of the thought and to defuse the anxiety of the severity and diversity of symptoms, sui-
it would ordinarily evoke. Even if anxiety were cide potential, and tendency to have stormy
to be aroused, it would simply be examined and relationships with therapists and drop out of
accepted as a temporary experience. therapy.
The “commitment” part of the treatment Treating clients with such a diversity of
lies in examining one’s life, deciding what is problems requires a variety of techniques.
most important to one’s true self, and setting Therefore, DBT, developed by Marsha Line-
life goals in accordance with those values. The han (1993), includes a “package” of elements
therapist then helps the client develop strate- from cognitive, behavioural, humanistic, and
gies to work toward those goals and to remain psychodynamic therapies. Behavioural tech-
committed to them. Although solid random- niques are used to help clients learn interper-
ized clinical trials of ACT are rare, more than sonal, problem-solving, and emotion-control
30 efficacy studies have been reported, with skills. Cognitive approaches are employed to
moderate therapeutic effect sizes. The Ameri- help clients learn more adaptive thinking about
can Psychological Association has listed it as the world, relationships, and themselves. A
an empirically supported treatment “with mod- psychodynamic element traces the history of
est research report.” early deprivation and rejection that created
many of the problems. Finally, a humanistic
Dialectical Behaviour Therapy emphasis on acceptance of thoughts and feel-
Dialectical behaviour therapy (DBT) is a ings has been added to help clients better toler-
treatment developed specifically for the treat- ate unhappiness and negative emotions as they
ment of borderline personality disorder. As occur. Mindfulness procedures are a founda-
described in Chapter 16, this complex disorder tion for the other skills taught in DBT because
is characterized by chaotic interpersonal rela- they help clients accept and tolerate the pow-
tionships, poor emotional control, self-destruc- erful emotions they experience in their lives.
tive behaviours, and low self-esteem. As many The goal is to become capable of calmly rec-
as 70 to 80 percent make suicide attempts, ognizing situations, thoughts, and their impact,
and about 10 percent eventually kill them- rather than being overwhelmed or avoiding
selves (Chapman, 2010). Other self-destructive them. DBT is intensive in nature, with clients
behaviours, such as cutting themselves, also seen in both individual and group sessions by
multiple therapists for up to 150 hours. Because 70

Control treatment
of the diversity of skill-building techniques that
DBT treatment
it contains, DBT is increasingly being applied to 60
many other types of disorders as well (Galietta
et al., 2010). 50
A major goal in treatment is to bring self-
destructive behaviours, such as suicide
Percentage
40
attempts and self-mutilation, under control.
DBT seems to be uniquely effective in this
30
regard. In a comprehensive clinical trial (Line-
han et al., 2006), 101 borderline clients were
20
randomly assigned to either DBT or commu-
nity treatment by nonbehavioural therapists
identified as experts in treating difficult cli- 10
ents. Clients were treated for a year and then
were followed up on for an additional year so 0
researchers could assess outcomes. Suicide Emergency room
attempts visits (suicidal thoughts)
As shown in Figure 17.15, DBT was successful
in reducing self-destructive behaviour over the FIGURE 17.15 Percentages of borderline person-
two-year period. Although treatment gains were ality disorder clients treated with dialectical behav-
achieved in both treatment conditions, the rate of iour therapy or nonbehavioural therapy who made
suicide attempts and psychiatric hospitalizations suicide attempts or visits to hospital emergency rooms
for suicidal idealization were about twice as high because of suicidal thoughts.
in the nonbehavioural condition compared with Source: Data from Linehan, M.M., Comtois, K.A., Murray,
DBT. Borderline clients were also less likely A.M., Brown, M.Z., Gallop, R.J., Heard, H.L., . . . Lidenboim,
N. (2006). Two-year randomized controlled trial and follow-up
to drop out of DBT (19 percent compared with of dialectical behavior therapy vs. therapy by experts for
41 percent in the community therapy condition). suicidal behaviors and borderline personality disorder.
The third-wave therapies have yielded prom- Archives of General Psychiatry, 63, 757–766.
ising results in initial studies, but they do not
yet have the research base of older cognitive- Additional well-designed clinical trials are
behavioural treatments. However, a recent needed to determine their overall effectiveness,
meta-analysis of the available data suggests the range of disorders that can be treated with
that ACT is quite effective, even in comparison them, and the specific contribution of mindful-
with cognitive-behavioural therapy (Ruiz, 2012). ness procedures (Ost, 2008; Pull, 2009).
In Review
• Cognitive and behaviour therapies are among the stimuli that is incompatible with anxiety, such as
most popular and effective approaches to psy- relaxation. Aversion therapy is used to establish
chological treatment. a conditioned aversion response to an inappro-
• Ellis’s rational-emotive therapy and Beck’s cogni- priate stimulus that attracts the client.
tive therapy focus on discovering and changing • Operant procedures have been applied success-
maladaptive beliefs and logical errors of thinking fully in many behaviour modification programs.
that underlie maladaptive emotional responses The token economy is a positive reinforcement
and behaviours. program designed to strengthen adaptive behav-
• Behavioural treatments based on classical con- iours. Punishment has been used to reduce self-
ditioning are directed at modifying emotional destructive behaviours in disturbed children.
responses. Exposure to a CS and prevention of • Modelling is an important component of social
avoidance responses promote extinction. Expo- skills training programs, which help clients learn
sure may be provided in vivo (real life), through and rehearse more effective social behaviours.
imagination, or through vir tual reality (VR) • More recent cognitive-behavioural therapies fea-
technology. ture a component of mindfulness. These newer
• Systematic desensitization is designed to coun- procedures include acceptance and commitment
tercondition a response to anxiety-arousing therapy and dialectical behaviour therapy.
CULTURAL AND herbalists, and folk healers are looked to for

assistance. Moreover, many minority members
GENDER ISSUES IN have a history of frustrating experiences with
PSYCHOTHERAPY White bureaucracies that make them unwilling
to approach a hospital or mental-health centre.
Psychological treatments reflect the cultural con-
There may also be language barriers.
text in which they develop. Within the dominant
Sometimes, access to treatment is a major
cultures of western Europe and North America,
problem. Because many minority groups suffer
personal problems are seen as originating within
high rates of unemployment and poverty, they
people in the form of dysfunctional thinking, con-
may not be able to afford therapy. In addition,
flict, and stress responses. People are assumed
many community mental-health agencies and pro-
capable of expressing their feelings and taking
fessional therapists may be located outside the
personal responsibility for improving themselves.
areas in which the underserved populations live.
We can easily see these values and assumptions
But, according to Stanley Sue and Nolan Zane
reflected in the therapies we have discussed. 19. What factors
(1987; also Griner & Smith, 2006), the biggest
Psychodynamic, humanistic, and cognitive treat- serve as barriers
problem of all is that there are too few skilled
ments all focus on changing these internal factors. to therapy
counsellors who can provide culturally respon-
These values are not shared by all cultures and for ethnic
sive forms of treatment. Therapists often have minorities?
ethnic groups, however. For example, people from
little familiarity with the cultural backgrounds
some Asian cultures might view the “therapeu-
and personal characteristics of ethnic groups
tic” expression of hostility toward one’s parents
other than their own. Sometimes they operate on
as unthinkable (Hall & Okazaki, 2003). Likewise,
the basis of inaccurate stereotypes, which can
the suggestion that assertiveness training would
result in unrealistic and possibly inappropriate
be helpful in competing more successfully with
goals and expectations on the part of the thera-
others and standing up for one’s rights might be
pist, as well as great difficulty in establishing the
appalling to a person from a highly collectivistic
positive relationship that has been shown to be a
culture (Cooper & Denner, 1998). Given diverse
powerful factor in therapeutic success.
cultural norms and values, we should not be sur-
What can be done to increase the access of cul-
prised that some individuals from non-Western
turally diverse groups to psychological treatment?
cultures view psychotherapy as a totally inappro-
One answer is to take therapy to the people. Stud-
priate, and even shameful, option for the solution
ies have shown that establishing mental-health
of their problems in living (Foulks et al., 1995).
service agencies in minority population areas
increases utilization of mental-health services,
Cultural Factors in Treatment particularly if agencies are staffed by culturally
Utilization skilled counsellors (Sue, 1998). Giuseppe Costan-
Although overall rates of psychopathology do tino and colleagues (2009) found that cultural
not differ greatly between ethnic groups, uti- congruence—treatment that is consistent with
lization of mental-health services is far lower cultural beliefs and expectations—predicted
for minority groups than it is for the majority good therapy outcomes for elderly Hispanic cli-
White population (Wang et al., 2002; Lai, 1995). ents. Similarities in language and context are both
Even when minorities do seek out mental-health important for successful outcomes (Chowdhard
services, they often fail to stay in treatment. et al., 2014), especially in First Nations populations
As a result, many problems that could benefit (Gone, 2013). Another solution might be to train
from psychological treatment go untreated more therapists from these ethnic groups. Stanley
(Sue, 1998; Wang et al., 2002). The growing cul- Sue and his colleagues (1991) found that dropout
tural diversity in North America (Toronto was rates were reduced and the number of therapy
recently named the most culturally diverse city sessions increased when clients saw ethnically
in the world) has important implications for the similar therapists. However, for clients who elect
practice of psychotherapy, and researchers are to remain in therapy, it has not been demonstrated
trying to identify the barriers to psychological that treatment outcomes are better for clients
treatment and what can be done to lower them. who are seen by therapists from their own ethnic
Psychologists Derald Sue and David Sue group. What seems more important than ethnic
(1999) have identified several of these barriers. match is that the therapist and client form a good
One of them is a cultural norm against turning relationship and share similar viewpoints regard-
to professionals outside one’s own culture for ing goals for treatment and preferred means for
help. Instead, the family, clergy, acupuncturists, resolving problems (Figure 17.16).
Can therapists be trained to be more culturally

sensitive? Indeed they can. In one study, experi-
enced African-American and White therapists
were assigned to either a four-hour cultural sen-
sitivity training program or a control condition
that received no training. The therapists then
treated African-American clients from the com-
munity, and the outcome of therapy was carefully
assessed. The results showed that exposure to the
ethnic training was more important to therapeutic
outcome than whether the therapist was African-
American or White. Clients rated the therapists
© Ed Lallo/Index Stock who had received training (whether African-
FIGURE 17.16 Research suggests that the out- American or White) as having greater empathy
come of therapy with minority populations is affected and expertise, and these clients also attended
more by the cultural sensitivity and competency of the more therapy sessions (Wade & Bernstein, 1991).
therapist than it is by the ethnic similarity of therapist Thus, it appears that cultural sensitivity can be
and client. acquired and used to enhance the process of ther-
apy for members of minority cultures.
Stanley Sue (1998) suggests that therapists
20. What skills
with cultural competence are able to use
are found
knowledge about the client’s culture to achieve Gender Issues in Therapy
in culturally
competent a broad understanding of the client. At the same Even within the same culture, the lives of men
therapists? time, they are attentive to how the client may and women can differ in many ways, as can
differ from the cultural stereotype, thereby bal- the life demands they are called on to cope
ancing cultural understanding with the individ- with. As we saw in Chapter 16, psychological
ual characteristics and needs of the client. They disorders, particularly those involving anxiety
also are able to introduce culture-specific ele- and depression, occur more frequently among
ments into the therapy. Thus, a therapist might women in Western cultures. This may reflect the
draw on some of the techniques used by folk impact of specific stressors that women face,
healers within that culture to effect changes in such as poverty (women are overrepresented
the client. For example, Wendt and Gone (2012) below the poverty level); lack of opportunity
have argued that psychotherapy in a First fostered by sexism; strains created by the
Nations community should incorporate ele- demanding multiple roles of mother, worker,
ments of the healing culture within that commu- and spouse among married women; and the
nity, such as a healing lodge or survival camp. violence and histories of abuse that many have
Obviously, this would require a good working been subjected to. In many instances, psycho-
knowledge of the culture from which the client logical problems arise not so much from inter-
comes, plus a willingness to take advantage of nal problems and conflicts, as from oppressive
what “works” in that culture (Mishne, 2002). elements in the familial, social, and political
In Review
• Research has shown that members of minority • For female clients, the most helpful therapist is
groups underutilize mental-health services. Bar- one who is aware of oppressive environmental
riers include lack of access to therapists who conditions and is willing to support life goals
can provide culturally responsive forms of treat- that do not necessarily conform to gender expec-
ment. More important to outcome than a cultural tations. Whether the therapist is a man or a
match is a therapist who can understand the cli- woman seems less important to outcome than
ent’s cultural background and share viewpoints gender sensitivity.
on therapy goals and the means used to achieve
them. Culturally competent therapists take into
account both cultural and individual factors to
understand and treat the client.
worlds. As women strive for more egalitarian such as insurance companies, health mainte-
relationships with men and for equal opportu- nance organizations, and government agen-
nity to develop their potential, they often meet cies. As the costs rise, those who bear the
external barriers that are deeply embedded in financial burden increase their demands for
their culture’s traditional sex roles (Worell & accountability and demonstration that the
Remer, 2003). treatments are useful (Baker et al., 2009).
In the eyes of many therapists, it may be Designing good psychotherapy research is
more important to focus on what can be done one of the most challenging tasks in all of psy-
to change women’s life circumstances than to chology because many variables cannot be
help them adapt to sex-role expectations that completely controlled. In contrast to laboratory
constrain them (Brown, 1994). It is important studies, in which the experimental conditions
for both men and women therapists to support can be highly standardized, therapist-client
people in making choices that meet their needs, interactions are by their nature infinitely var-
whether it be a man who wishes to stay at home ied. Another difficulty involves measuring the
and care for children or a woman who wants effects of psychotherapy. Figure 17.17 shows
a career in the military. Consistent with the some of the typical ways of measuring change.
research on cultural similarity between thera- These measures differ in the outcome variable
pist and client, research on therapy with women assessed (emotions, thoughts, or behaviours)
clients indicates that it is not necessary that and in the source of the data (client, therapist,
women be treated by female therapists. Rather, or other informants). Which measures of change
what seems important is the therapist’s sensitiv- are most important or valid? A behaviourist will
ity to gender issues (Worell & Remer, 2003). insist that direct observations of behaviour are
the best measures, whereas a psychodynamic
EVALUATING therapist may be most interested in how clients
feel and how much insight they have achieved
PSYCHOTHERAPIES into the childhood roots of their problems. A
Given the human suffering created by psycho- humanistic therapist may place the greatest
logical disorders, the effects of psychotherapy stock in self-concept changes. What if one set of
have both personal and societal implications. measures indicates improvement, another indi-
Practising clinicians and clinical researchers cates no change, and a third suggests that the
want to know which approaches are most effec- client is worse off than before treatment? How
tive, what kinds of problems are best treated should we evaluate the effects of the therapy?
with each approach, and what “active ingredi- These are just a few of the vexing issues that
ents” of each treatment produce its effects. Fol- can arise in psychotherapy research.
lowing a long-standing tradition in medicine, the
impetus today is toward evidence-based prac-
tice (Freeman & Power, 2007).
Today the basic question “Does psycho- Source of data 21. What is
therapy work?” is viewed as a gross oversim- • Therapist’s ratings the “specificity
plification of a much more involved question • Client’s self-reports question” in
known as the specificity question: “Which • Ratings of client by psychotherapy
acquaintances research?
types of therapy, administered by which kinds • Client’s self-monitoring
of therapists to which kinds of clients hav- of behaviour
ing which kinds of problems, produce which • Behavioural observations 22. What types
of measures are
kinds of effects?” After half a century of psy-
used to assess
chotherapy research involving many hun- the outcome of
dreds of studies, this complex question still is therapy?
not fully answered (Snyder & Ingram, 2000;
Kazdin, 2008). Nonetheless, for many reasons,
Thoughts Emotions Behaviours
this question demands answers. Selecting and
administering the most appropriate kind of Focus of measures
intervention is vital in human terms. It is also
important for economic reasons. Billions of FIGURE 17.17 The measures used to assess the
dollars are spent each year on psychological outcome of psychotherapy may come from a variety of
treatments, and an increasing share of these data sources, and they may measure different aspects
costs is being paid by so-called “third parties,” of the client’s functioning.
Psychotherapy Research (e.g., age and ethnic status). These individuals

are randomly assigned either to an experimental
Methods condition that gets the treatment or a control con-
In the 1930s and 1940s, individual case studies pro- dition (Kazdin, 2003). The control group may be
vided most of the psychotherapy outcome data. either a no-treatment condition or (even better) a
Indeed, Freud and other psychoanalysts opposed placebo control group that gets an intervention
the use of experimental methods to evaluate psy- that is not expected to work but that controls
choanalysis, insisting that case studies left no for client expectations of improvement because
doubt as to its effectiveness (Fisher & Greenberg, clients are being seen by a therapist and think
1996; Rosenzweig, 1992). They assumed that with- they’re getting an effective treatment. (Clients in
out therapy, patients would not improve, and they the control group, whether it be a no-treatment
saw plenty of people who did improve in analysis. or placebo condition, are often given the real
In 1952, British psychologist Hans Eysenck treatment later for ethical reasons.)
23. Describe
mounted a frontal assault on this assumption. Another control condition, which avoids the
Eysenck’s
Using recovery data from insurance companies ethical dilemma of withholding or delaying treat-
challenge
to therapy on people who applied for disability because of ment for some people, involves randomly assign-
effectiveness psychological problems, Eysenck (1952) con- ing participants to either the treatment being
and the data cluded that the rate of spontaneous remission— studied or another kind of treatment that has
on which it was symptom reduction in the absence of any proven effective for that disorder. If the treat-
based. treatment—was as high as the success rates ment being tested in the experimental condition
reported by psychotherapists. He therefore con- is equally or more effective than the established
cluded that troubled people who receive psycho- treatment, the new therapy is deemed effective.
therapy are no more likely to improve than are Sometimes, the design of a study involves a group
those who go untreated. He also pointed out, quite in which the treatment is combined with another
correctly, that virtually all the existing outcome intervention, such as a drug treatment. It is then
data were based on therapists’ evaluations of their possible to see if the group that received the drug
clients’ improvement, and he suggested that these plus therapy does better than the groups that got
evaluations could be biased by therapists’ needs to only the drug or only the therapy (Hollon, 1996).
see themselves as competent and successful. To standardize the treatment, much as
24. Summarize Eysenck’s conclusions sparked intense one would do in a laboratory experiment, the
desirable debate—even outrage—among clinicians, and it APA treatment evaluation group recommends
standards now appears that his conclusions were overly pes- that there be a manual containing procedures
for designing simistic. More importantly, Eysenck’s challenge that the therapists have to follow exactly,
psychotherapy stimulated a vigorous increase in research on psy- and that therapists’ compliance with these
research studies chotherapy and the development of more sophisti- procedures be evaluated by observing them or
with regard cated methods for evaluating treatment outcomes. taping their sessions. Some therapists, particu-
to design, Fifty years and many hundreds of studies later,
treatment larly those who do psychodynamic or humanis-
we have reached the point where the American tic therapies, object to this requirement on the
standardization,
Psychological Association’s Division of Clinical grounds that every therapy case they see is dif-
and follow-up.
Psychology has taken the lead in reviewing all ferent in its course, client characteristics, and
this research to identify empirically validated procedures used. As a result, most of the current
therapies that research shows to be effective for empirically validated therapies are cognitive-
specific disorders (APA Task Force on Psycho- behavioural in nature, because these therapies
logical Intervention Guidelines, 1995; DeRubeis & are more often “manualized” into a step-by-step
Crits-Christoph, 1998; Kazdin & Weisz, 2003). procedure that therapists can apply in a uniform
manner. However, there is a movement toward
What Is a Good Psychotherapy standardizing even psychodynamically oriented
Research Design? therapies so that they can be evaluated more
For many of the reasons discussed in Chapter 2, effectively (Crits-Christoph, 1992; Weissman &
in which we discussed experimental methods and Markowitz, 1994).
their value in drawing conclusions about cau- In evaluating the treatment, at least some
sality, most psychotherapy researchers favour of the measures of improvement should
randomized clinical trials (RCTs), involving be behavioural in nature. Interviewers or
participants who have well-defined psychologi- observers should not know what condition
cal disorders and who are similar on other vari- the clients were in so as to minimize experi-
ables that might affect response to treatment menter bias in evaluating change during
interviews or behavioural observations fol- drug therapy’s superiority. But follow-up data
lowing treatment. showed psychotherapy ultimately to be more
Finally, researchers should collect follow- effective, with fewer relapses into depression
up data. This step is extremely important, for because clients had learned specific psycho-
we want to know not only how the treatment logical skills that they could apply after ther-
conditions differ at the end of the clinical apy ended (Hollon & Beck, 1994; Weissman &
trial, but also how lasting the effects are. For Markowitz, 1994). Figure 17.18 summarizes in
example, in some studies comparing psycho- schematic form the procedures used in con-
therapy for depression with the effects of anti- ducting an RCT to evaluate a treatment. It
depressant drugs, the drug treatment effects also shows how many factors must be taken
occurred more quickly and were stronger at into account to ensure meaningful scientific
the end of the treatment period, suggesting results.
Preparation Phase
• Define disorder to be treated

• Train diagnosticians to do structured interview
• Develop treatment manual to standardize
treatment
• Train therapists to administer treatment
• Select measures used to assess outcomes
Participant Screening Phase
Assess reliability • Choose participants diagnosed as meeting

of diagnoses criteria (e.g., unipolar depression, no other
disorder)
• Administer outcome measures
Random Assignment to Conditions
Treatment Phase
Obtain ratings of Treatment Condition(s) Control Condition

therapist adherence Administered by trained (if another therapy, equal
and competence therapists (at least three) number of sessions)
Outcome Assessment Phase
• Readminister outcome measures

• Assess clients’ attitudes toward treatment,
quality of relationship
Statistical analyses of
treatment /control
group differences
Follow-up Phase
• Readminister outcome measures

• Collect relapse data
FIGURE 17.18 Phases and procedures in a well-designed randomized clinical trial.

Meta-Analysis: A Look at the Big Picture Therapies:

As discussed in Chapter 2, the technique of Psychodynamic
meta-analysis allows researchers to combine
the results of many studies to arrive at an over-
all conclusion. In the psychotherapy research
Client-centred
literature, they can compute an effect size
statistic that represents a common measure
of treatment effectiveness. The effect size tells Gestalt
researchers what percentage of clients who
have received therapy had a more favourable
Systematic
outcome than that of the average control client desensitization
who did not receive the treatment. (anxiety)
In 1977, Mary Ann Smith and Gene Glass used
Operant
meta-analysis to combine the effects of 375 stud- behaviour
ies of psychotherapy, involving 25 000 clients modification
and 25 000 control participants. These studies
0 10 20 30 40 50 60 70 80 90 100
differed in many ways, but they all compared a
Percentage who improved more
treatment condition with a control condition. The
than average control patient
results indicated that the average therapy client
had a more favourable outcome than 75 percent FIGURE 17.19 This meta-analysis of 375 studies of
of the untreated cases. Smith and Glass therefore psychotherapy outcome yielded effectiveness data on
disputed Eysenck’s earlier conclusion, maintain- various types of psychotherapy. The bars indicate the
ing that therapy does indeed have positive effects percentage of treated clients who improved more than
the average control client.
beyond spontaneous remission. More recent meta-
analyses support this conclusion. Robert Grissom Source: Data from Smith, M.L., & Glass, G.V. (1977).
(1996) found that, across a large number of stud- Meta-analyses of psychotherapy outcome studies. American
Psychologist, 32(9), Sep 1977, 752-760. Copyright © 1977
ies, clients who received therapy were likely to by the American Psychological Association. Reproduced
have a more favourable outcome than 70 percent with permission. The use of APA information does not imply
of those in no-treatment control conditions and endorsement by APA.
66 percent of those in placebo conditions.

What about differences among therapies?
25. How is
Smith and Glass broke down their meta-analy- clinical disorders but not others (Beutler, 2002;
meta-analysis
sis in terms of many of the therapies described Westen & Morrison, 2001).
used to assess
therapy effects? in this chapter. As shown in Figure 17.19, The very definition of therapy “success” is
What have meta- psychodynamic, client-centred, and behav- a topic of debate. How much do clients have
analyses shown ioural approaches were quite similar in their to improve to have a successful outcome? Is
about overall effectiveness, and all of them seemed to yield therapy successful if deeply depressed clients
effectiveness somewhat more positive effects than Gestalt show a statistically significant decrease in self-
and the effects therapy. A more recent meta-analysis of brief report scores of depression following therapy
of different psychodynamic therapy outcome studies sup- but their scores still fall within the clinically
forms of ports a similar conclusion: That form of therapy depressed range? According to Neil Jacobson
therapy? yielded significantly better outcomes than did and colleagues (1996), clinical significance
no-treatment or placebo control conditions but would require that at the end of therapy, cli-
did not differ in effectiveness from other forms ents’ depression scores fall within the range for
of therapy with which it was compared (Ander- nondepressed people. This is, of course, a more
son & Lambert, 1997). This finding of similar stringent definition of therapeutic success than
efficacy for widely differing therapies has been the one used in most meta-analyses (i.e., greater
termed the dodo bird verdict, after the dodo positive change in a treatment group than in a
bird’s statement in Alice in Wonderland that control group of similarly depressed clients)
“Everybody has won and all must have prizes” and would undoubtedly indicate lower levels of
(Luborsky et al., 2002). Other researchers chal- therapeutic success for most treatments.
lenge this conclusion, maintaining that lumping In evaluating the results of meta-analyses,
together studies involving different kinds of we should remember that the studies lumped
clinical problems may mask differential effec- together in a meta-analysis may differ in many
tiveness—that is, the fact that specific thera- ways, including the nature and severity of
pies might be highly effective for treating some the problems that were treated, the outcome
measures that were used, and the quality of

the methodology. Psychotherapy researchers Thinking critically
point out that combining good studies with less
adequate ones can produce misleading results DO SURVEY RESULTS PROVIDE AN
(Kazdin, 2003; Matt & Navarro, 1997). When ACCURATE PICTURE OF TREATMENT
studies that meet rigorous research standards EFFECTIVENESS?
are compared in meta-analyses with less rigor- Based on what you’ve already learned about
ous studies, the rigorous studies tend to yield research methods, do you agree with Selig-
more favourable outcomes for therapy condi- man’s conclusion that the CR data may be
tions (Matt & Navarro, 1997). Apparently, the a more valid reflection of therapy success
than data from randomized clinical trials? Can
rigorous methods used in such studies allow you think of any aspects of the CR methods
effective therapies to show their true effects. that might limit your ability to conclude how
effective psychotherapy is?
Survey Research Think about it, and then see the Answers section
Another approach to evaluating the effectiveness at the end of the book.
of psychotherapy is to survey large numbers of
people who have been in therapy and measure
their reactions to the experience. A good exam-
ple of the survey approach is a study carried
as a result of treatment (Binder & Strupp, 1997;
out by the periodical Consumer Reports (CR;
Lambert et al., 1986). What then are the fac-
Seligman, 1995). One form of CR’s 1994 annual
tors that influence treatment outcome? Three
study, mailed to 184 000 randomly selected sub-
sets of factors have been the focus of research
scribers, contained a section on stress and mental
designed to answer this question: client vari-
health. Readers were asked to complete the men-
ables, therapist variables, and technique vari-
tal health section if they had sought help for emo-
ables (Figure 17.20).
tional problems in the past three years. A total of
As far as client variables are concerned,
22 000 readers responded to the questionnaire—
three important factors are an openness to
a 13 percent response rate that is typical of CR
therapy, self-relatedness, and the nature of
surveys. Of these, 35 percent reported that they
the problem. Openness involves clients’ gen-
had a mental-health problem, and 40 percent
eral willingness to invest themselves in therapy
(approximately 2900 respondents) of this group
and take the risks required to change them-
reported that they had sought professional help
selves. Self-relatedness refers to their ability
from a psychologist, psychiatrist, social worker,
to experience and understand internal states
or marriage counsellor. The respondents were
such as thoughts and emotions, to be attuned
asked to indicate how much they improved as a
to the processes that go on in their relation-
result of treatment and how satisfied they were
ship with their therapist, and to be able to
with the treatment the received.
apply what they learn in therapy to their lives
Forty-two percent of the respondents said 26. What were
that they had been helped “A lot” and 44 percent the major
said they had been helped “Somewhat.” Eighty- findings of the
nine percent were somewhat or very satisfied CR survey? On
with the treatment they received. CR consultant Therapist Client what bases
variables variables could its
Martin Seligman concluded that “CR has pro- (e.g., empathy, (e.g., nature of conclusions be
vided empirical validation of the effectiveness genuineness, problem, client criticized?
of therapy” (1995, p. 974). Further, he concluded experience) motivation)
that the survey method used in this study might 27. What client
actually have provided data that are more repre- variables are
sentative of real-life outcomes than data yielded Techniques important to
by highly controlled clinical trials. (e.g., timing of treatment
interpretations,
outcome?
specific
Factors Affecting the Outcome techniques)
of Therapy
FIGURE 17.20 Research on factors that influence
Clearly, not everyone who enters therapy prof- therapy outcome has focused on three sets of inter-
its from it. There is even evidence that some acting variables: client factors, therapist factors, and
clients—perhaps 10 percent—may get worse technique factors.
outside of treatment (Howard et al., 1993). The in treatment long enough for the therapeu-
third important client factor is the nature of the tic relationship and techniques to have their
problem and its degree of “fit” with the therapy effects. For this reason, new research is focus-
being used. For example, specific problems, ing on the dose-response effect, the relation
such as phobias, may respond best to a behav- between the amount of treatment received and
ioural anxiety-reduction treatment, such as sys- the quality of the outcome. One review of 29
tematic desensitization or exposure, whereas randomized controlled clinical trials primar-
a more global problem, such as a search for ily involving cognitive and behavioural treat-
self-discovery and greater meaning in life, may ments found that between 58 and 67 percent of
respond better to a psychodynamic, cognitive, clients showed clinically significant improve-
or humanistic approach. ment within an average of 13 sessions (Hansen
A second important determinant of therapy et al., 2002). These rates are quite consistent
outcome is the quality of the relationship that with those typically found in research settings.
the therapist is able to establish with the cli- The reviewers then turned to what occurs in
ent (Teyber & McClure, 2000). Carl Rogers’s the “real world” of clinical practice, examin-
emphasis on the importance of therapist ing the treatment records of 6072 clients seen
qualities such as empathy, unconditional in a variety of naturalistic settings, including
acceptance of the client as a person, and genu- employee assistance programs, community
ineness has been borne out in a great many and university counselling centres, and health
studies (Beutler et al., 1994; Norcross, 2003). maintenance organizations. Here they found
The establishment of an empathic, trusting, that the average number of treatment sessions
and caring relationship forms the foundation given was fewer than five, and the rate of
on which the specific techniques employed improvement in this sample was only about
by the therapist can have their most benefi- 20 percent. These results suggest that many
cial effects (Blackstone, 2007). Indeed, Kazdin clients seen in these naturalistic settings do
(2008) reports that quality of the therapeutic not remain in therapy long enough to realize
relationship accounts for about 30 percent of its potential benefits. One possible reason is
the variance in treatment outcome. When ther- that many insurance plans limit their coverage
apists do not manifest these behaviours, the to a number of treatment sessions that is too
effects of therapy are not simply null; clients low to expect meaningful improvement.
can actually get worse. For example, hostile Despite dramatic differences in the tech-
interchanges between therapist and client can niques they employ, various therapies tend to
contribute to a deterioration effect in therapy enjoy similar success rates, probably because
(Binder & Strupp, 1997). people who differ on the client variables are
We do not mean to imply that as long as a lumped together. This finding has led many
28. Which
therapist has a good relationship with a client, experts to search for common factors shared
therapist factors
affect treatment it does not matter what therapy techniques by these diverse forms of therapy that might
outcome? are used or how they are used. It does mat- contribute to their success. These common fac-
ter. Therapists must be skilled in what they tors include the following:
29. Define and do. For example, a large-scale study at the
• faith in the therapist and a belief on the part
give examples University of Pennsylvania revealed that the
of clients that they are receiving help;
of common correctness of the interpretations made by
factors in psychoanalytic therapists, as measured by • a plausible explanation for their problems,
psychotherapy. expert ratings, was related to more positive and an alternative way of looking at them-
treatment outcome (Crits-Christoph et al., selves and their problems;
1988). Likewise, in a detailed analysis of • a protective setting in which clients can expe-
the audiotaped therapy sessions of 21 psy- rience and express their deepest feelings
chotherapists, Enrico Jones and colleagues within a supportive relationship;
(1988) found that the most effective therapists • an opportunity to practise new behaviours; and
adjusted their techniques to the specific needs
• increased optimism and self-efficacy.
of their clients. They concluded that “gen-
eral relationship factors, such as therapeutic The complexities of psychotherapy pose a
alliance, are closely bound with the skillful formidable challenge for clinical researchers.
selection and application of psychotherapeu- This chapter’s Research Foundations feature
tic techniques” (Jones et al., 1988, p. 55). If describes one notable attempt to assess client
therapy is to be effective, clients must remain perceptions of treatment outcome.
Research
Foundations
DRUG VERSUS PSYCHOLOGICAL Design

TREATMENTS FOR DEPRESSION:
A RANDOMIZED CLINICAL TRIAL Question: What are the comparative effects
of behavioural activation, cognitive therapy,
Introduction and antidepressant drugs in the treatment of
Depression is one of the most prevalent psychological disor- depression?
ders, and its successful treatment is a major mental-health Type of Study: Experimental (randomized
priority. As noted in this chapter, the most widely used treat- clinical trial)
ments during the past decade have been cognitive therapy,
interpersonal psychotherapy, and drug treatments, all of
which have proven effective in 30 to 50 percent of treated Independent
Dependent
cases. Although antidepressant drug treatment has outper- Variables
Variables
formed cognitive therapy in some studies, at the end of the Treatment
1. B eck depression
clinical trial, many clients do not want to continue to take conditions,
inventory scores
four types
drugs, experience severe side effects if they do take them, (client)
• behavioural
or discontinue their use, resulting in poor maintenance of 2. H amilton scores
activation
(clinician ratings)
positive effects. Moreover, drug treatments do not teach • cognitive therapy
3. Treatment
clients effective coping skills that may help them counter • drug treatment
discontinuation
depression in the future. • drug placebo
(attrition)
(8 weeks only)
The new treatment tested in this study was behavioural
activation therapy. The treatment is derived from a behav-
ioural theory of depression that focuses on the spiralling
loss of positive reinforcement that occurs in depression as
schedule daily routines designed to get them engaged with
clients stop engaging in positive behaviours and alienate
their social and physical environment in productive ways.
others with their inertia and depressed moods (Lewinsohn
This may include forcing themselves to participate in social
et al., 1985). The goal is to increase behaviours that will
or physical exercise activities that they formerly enjoyed.
increase positive reinforcement that counters depression
They also learn and practice ways to avoid negative think-
and helps clients regain enjoyment in their lives. This study
ing by redirecting their attention toward their immediate
is the first to compare the effects of behavioural activation
experiences in the real world. In the cognitive therapy condi-
therapy with the effects produced by cognitive therapy and
tion, clients focused on identifying and changing automatic
antidepressant drug treatment.
thought patterns that create depression.
In accordance with empirically supported treatment prin-
Method ciples, therapists closely followed manuals prepared for each
A total of 241 people between the ages of 18 and 60 years therapy to standardize treatment. To make sure that the
who met DSM criteria for major depressive disorder were therapists in the treatment conditions were conducting the
randomly assigned to one of four conditions: behavioural treatments as designed, outside experts in each treatment
activation therapy, cognitive therapy, drug treatment, or a rated videotaped sessions for “treatment adherence.” These
drug placebo condition. The clients underwent treatment for ratings indicated that all the treatments were appropriately
16 weeks. Those in the antidepressant medication condi- delivered.
tion received the SSRI drug paroxetine (Paxil). A set of out- For ethical reasons, the placebo condition was main-
come measures was administered before treatment, after tained for only eight weeks, after which members of that
eight weeks, and after 16 weeks. These included the Beck condition were given the option of receiving any of the other
Depression Inventory, a self-report measure of depression, treatments. (Their data were not included in the assess-
and the Hamilton Rating Scale for Depression, which was ment of the three treatment conditions described below.)
based on a clinical interview by a psychologist or a psychia-
trist who was unaware of which condition the client was in. Results
Behavioural activation treatment seeks to identify and
As in previous research, the highest treatment drop-out
engage clients in activities that are reinforcing and con-
(attrition) rate was in the drug therapy condition, where
sistent with life goals. Clients monitor their moods and
44 percent of the clients either refused the treatment or
behaviours and work with their therapist to design and
dropped out during the study. By comparison, the attrition
continued
TABLE 17.3 P
ercentage of Severely Depressed Clients Who Showed Response (Improvement)
and Remission (Normalization) after Behavioural Activation, Cognitive Therapy,
and Antidepressant Drug Treatments
Outcome Measure
Beck Depression Inventory Hamilton Depression Rating Scale
(Client Self-Report) (Clinician Rating)
Condition Percent Response* Percent Remission** Percent Response* Percent Remission**
Behavioural Activation 76 52 60 54
Cognitive Therapy 48 40 56 35
Drug Treatment 49 42 40 23
*At least 50 percent decrease in depression scores

**Depression decrease into normal range
Source: Data from Dimidjian, S., Hollon, S.D., Dobson, K.S., Schmaling, K.B., Kohlenberg, R.J., Addis, M.E., . . . Jacobson, N.S.D. (2006).
Randomized trial of behavioral activation, cognitive therapy, and antidepressant medication in the acute treatment of adults with major
depression. Journal of Consulting and Clinical Psychology, 74, 658–670.
rates were only 16 percent in the behav ioural activation Hamilton ratings of depression were blind to the experimen-
condition and 13 percent in the cognitive therapy condition. tal conditions. The groups were equivalent in depression at
Two levels of improvement were assessed on the Beck the beginning of treatment so that it was possible to plot
self-report and Hamilton clinical ratings of depression. improvement in a meaningful fashion.
Response to treatment was defined as a clinically signifi- This study reflects the scientific strategy of compar-
cant decrease of at least 50 percent in depression scores. ing new treatments with already established ones. Based
Remission was declared when a client’s scores dropped on the results of this study and an earlier one (Jacobson
below the clinical depression cut-off point into the normal et al., 2001), behavioural activation therapy appears to
range for nondepressed people. be a highly promising treatment, particularly for severely
On the basis of the pretreatment scores that were used depressed people. In particular, its superiority over drug
to match the treatment groups for severity of depression, treatment provides an alternative to antidepressants,
the clinical researchers divided the clients into low- and which many people refuse to take or discontinue as
high-severity groups and compared the treatments within unpleasant side effects arise. For severely depressed cli-
the two severity groups. In the low-severity group, all the ents, behavioural activation was also superior to cognitive
treatments resulted in improvement (including the placebo therapy, which has been the favoured psychological treat-
condition at eight weeks). There was no statistical differ- ment for depression. It appears that cognitive therapy may
ence between the groups, although cognitive therapy had still be the treatment of choice for less depressed individu-
the highest overall response and remission rates (65 per- als, however. The different effects of the two psychologi-
cent and 55 percent, respectively). cal treatments as a function of severity of depression is
Table 17.3 shows the response and remission results for an important finding, for it helps to answer the practical
the severely depressed clients. Here, behavioural activation question of which treatment is most effective for which
proved to be superior to the other treatments, with the drug clinical population.
group doing generally more poorly than the cognitive ther- The results of this study were measured at the end of
apy group. Clients who had been treated with behavioural the 16-week treatment period. A follow-up study is needed
activation indicated that they felt less depressed than the to examine how long-lasting the positive treatment effects
other treatment groups, and clinical interviewer ratings also are. Typically, psychological treatments have done better
indicated a better outcome. at follow-up because many people in drug conditions dis-
continue their drugs or become dissatisfied and seek alter-
Discussion nate treatments. Behavioural activation may be especially
This randomized clinical trial is highly significant and excep- effective in the longer run because it helps clients make
tionally well-controlled. The investigators made certain that lifestyle changes that should provide them with continuing
the treatments were being delivered as intended. Clini- positive reinforcement. It remains to be seen whether future
cians who conducted the clinical interviews and provided research will support this expectation.
Source: S. Dimidjian, S.D. Hollon, K.S. Dobson, K.B. Schmaling, R.J. Kohlenberg, M.E. Addis, R. Gallop, J.B. McGlinchey, D.K. Markley, J.K. Gollan,
D.C. Atkins, D.L. Dunner, and N.S. Jacobson (2006). Randomized trial of behavioral activation, cognitive therapy, and antidepressant medication in
the acute treatment of adults with major depression. Journal of Consulting and Clinical Psychology, 74, 658–670.
In Review
• Eysenck challenged the effectiveness of psy- • Three sets of interacting factors affect the
chotherapy and stimulated the use of increas- outcome of treatment: client characteristics
ingly more sophisticated research methods (including the nature of the problem), therapist
to evaluate the outcomes of various thera- characteristics, and therapy techniques.
pies. The randomized clinical trial is the most • Client variables that contribute to therapy suc-
powerful approach to researching the effects cess include openness, self-relatedness, and a
of therapy, and a number of standards have good match between the nature of the problem
been established for conducting psychotherapy and the kind of therapy being received.
research.
• A crucial factor in the success of various thera-
• Meta-analysis is a method for combining the pies is the quality of the relationship that the
results of many studies into an effect size therapist establishes with the client. The three
statistic. Meta-analyses of treatment outcome therapist characteristics suggested by Rogers—
studies found more improvement in therapy cli- empathy, unconditional positive regard, and
ents than in 70 to 75 percent of control clients genuineness—are particularly important.
and little difference in effectiveness among
various therapies (the so-called “dodo bird • Factors common to many therapies, such as
verdict”). The Consumer Reports study of cli- faith in the therapist, a protected environment
ent self-report suggested high levels of client for self-exploration, and the ability to try out new
satisfaction. behaviours, contribute to therapeutic outcome.
BIOLOGICAL APPROACHES Valium, Xanax, and BuSpar (Schatzberg et al.,

2010). Xanax is the most prescribed drug in
TO TREATMENT North America, with over 50 million prescrip-
In the previous chapter, we found that biological tions issued in 2015—more than one prescrip-
factors play an important role in many psycholog- tion per second. Health Canada (2014) notes
ical disorders. Thus, a direct biological approach that about 10 percent of Canadians report using
designed to alter the brain’s functioning is an alter- an anti-anxiety drug at least once a year. These
native (or an addition) to psychological treatment. drugs are designed to reduce anxiety as much
as possible without affecting alertness or con-
centration. Sometimes anti-anxiety drugs are
Drug Therapies used in combination with other therapies to
Drug therapies are the most commonly used help clients cope successfully with problematic
biological interventions. Discoveries in the situations (Stahl, 2000). A temporary reduc-
field of psychopharmacology (the study of tion in anxiety resulting from the use of a drug
how drugs affect cognitions, emotions, and may allow a client to enter anxiety-arousing
behaviour) have revolutionized the treatment situations and learn to cope more effectively
of the entire range of behaviour disorders. with them.
Each year, more than 200 million prescriptions One drawback of anti-anxiety drugs is psy-
are filled for drugs that affect mood, thought, chological and physical dependence that can
and behaviour (Lieberman & Tasman, 2006). result from their long-term use. As with any
Indeed, Canada is the second largest consumer other addictive drug, people who have devel-
of prescription psychoactive drugs, per capita, oped physiological dependence on tranquiliz-
in the world (Canadian Centre on Substance ers may experience characteristic withdrawal
Abuse, 2016). The most commonly prescribed symptoms, such as intense anxiety, nausea,
drugs fall into three major categories: anti- and restlessness when they stop taking them
anxiety drugs, antidepressant drugs, and anti- (Lieberman, 1998). Another problem is that anx-
psychotic drugs. iety symptoms often return when people stop 30. How do anti-
anxiety drugs
taking the drugs.
Anti-Anxiety Drugs achieve their
A newer anti-anxiety drug, buspirone
effects? Do
Surveys have shown that more than 15 percent (BuSpar), is slow acting, has fewer fatiguing they have any
of Americans between the ages of 18 and 74 side effects, and seems to have less potential for drawbacks?
use anti-anxiety or tranquilizing drugs such as abuse. It has proven effective in the treatment
of generalized anxiety and PTSD (Lieberman, Presynaptic Presynaptic

1998; Stahl, 2000). Additionally, it has been neuron neuron
shown to reduce the likelihood of risky sexual
behaviours (such as refusing to use a condom)
in cocaine abusers (Bolin et al., 2016). Like the
other anti-anxiety drugs, BuSpar works by slow-
ing down excitatory synaptic activity in the ner- SSRI
blocks
vous system. One mechanism for doing so is by Serotonin Reuptake
reuptake
enhancing the postsynaptic activity of GABA, release
an inhibitory transmitter that reduces neural
activity in areas of the brain associated with Postsynaptic Postsynaptic
emotional arousal (Gorman, 2002; Rosenbaum neuron neuron
et al., 2009). (a) (b)
Antidepressant Drugs FIGURE 17.21 Serotonin activity is low in many

depressed clients. When a presynaptic neuron releases
Antidepressant drugs fall into three major cat-
31. How do the serotonin into the synaptic space, a pumplike reuptake
egories: tricyclics (e.g., Elavil, Tofranil); mono- mechanism begins to pull neurotransmitter molecules
three classes of
amine oxidase (MAO) inhibitors (e.g., Nardil, back into the “sending” neuron, limiting the stimula-
antidepressant
drugs achieve Parnate); and selective serotonin reuptake tion of the postsynaptic neuron (a). By blocking the
their effects inhibitors (SSRIs; e.g., Prozac, Zoloft, Paxil, reuptake of serotonin into the presynaptic neuron (b),
Lexapro, Celexa). The first two classes increase the selective serotonin reuptake inhibitors (SSRIs) allow
biologically?
the activity of the excitatory neurotransmit- serotonin to continue its stimulation of postsynaptic
How effective
neurons.
are they ters norepinephrine and serotonin, whose low-
compared to/ ered level of activity in brain regions involved
combined with in positive emotion and motivation is related to drawn to the possible relationship between SSRI
psychotherapy? depression. The tricyclics work by preventing usage and suicide. Indeed, warnings have been
reuptake of the excitatory transmitters into the placed on the packaging of these antidepres-
presynaptic neurons, allowing them to continue sants, cautioning patients about the risk of sui-
stimulating postsynaptic neurons. The MAO cidal thoughts, particularly in children. Jureidini
inhibitors reduce the activity of monoamine et al. (2004) report that the data from various clin-
oxidase, an enzyme that breaks down the neu- ical trials is conflicting. In a large meta-analysis
rotransmitters in the synapse. of clinical trial data, the authors point out that
MAO inhibitors have more severe side effects the effectiveness of SSRIs is considerably lower
than the tricyclics. They can cause danger- than we would like. In addition, adverse effects
ous elevations in blood pressure when taken (such as suicidal thoughts) may be vastly under-
with certain foods, such as cheeses and some estimated. Many authors do report that suicidal
types of wine. Many patients have abandoned thoughts decreased with the administration of
their antidepressant medications because of SSRIs (e.g., Ghaziuddin, et al., 2014; Grunebaum
severe side effects (Pompili et al., 2009). The et al., 2013). In contrast, Khan et al. (2003) argue
SSRIs were designed to decrease side effects that we should look at actual suicides and not
by increasing the activity of just one trans- just increased risk. They examined the U.S.
mitter, serotonin (Marangell, 2002). Like the Food and Drug Administration (FDA) summary
other antidepressants, however, SSRIs do have reports for controlled clinical trials of nine anti-
side effects. For example, about 30 percent of depressants. Of the 48 277 patients who partic-
patients on Prozac report nervousness, insom- ipated in the trials, 77 committed suicide. The
nia, sweating, joint pain, or sexual dysfunc- rates were comparable for SSRIs (e.g., Prozac)
tion (Hellerstein et al., 1993). Nonetheless, the and standard antidepressants (e.g., Welbutrin
SSRIs are gradually replacing the tricyclics XL). Goldberg (2006) reports that suicide rates
because, in addition to milder side effects, they for children are actually lower for those on high
reduce depressive symptoms more rapidly levels of SSRIs. Recently, several large-scale
and also reduce anxiety symptoms, including studies have shown that suicide rates have actu-
panic disorder, obsessive-compulsive behav- ally increased since the addition of warnings on
iours, and social phobia (Lickey & Gordon, packaging. Increases were highest in groups not
1991; Lieberman, 1998; Schatzberg et al., 2010). on antidepressants (Isacsson & Ahlner, 2013;
Figure 17.21 shows how the SSRIs produce Katz et al., 2008). More research is needed to
their effects. A great deal of attention has been assess this question.
Increasingly, depression researchers are tranquilizers is to decrease the action of dopa-

studying the effects of combining drugs and mine, the neurotransmitter whose overactiv-
psychotherapy. A meta-analysis of such studies ity is thought to be involved in schizophrenia
revealed that recovery rates for psychotherapy (Schatzberg et al., 2005). These drugs have
and the combined treatments did not differ, but dramatic effects in reducing positive symp-
that both were superior to drug therapy alone toms, such as hallucinations and delusions.
(Furukawa et al., 2006). Moreover, relapse rates However, they have little effect on negative
are lower for psychotherapy than for drugs, symptoms, such as apathy and withdrawal, and
particularly if patients stop taking their medica- 20 to 40 percent of people with schizophrenia
tion (Kazdin, 2008). Following successful drug get little or no relief from them (Rosenbaum
therapy, about half of all patients later relapse et al., 2009). Antipsychotic drugs are now so
(Rush et al., 2009). widely used that nearly all schizophrenic
patients living in the United States, Canada,
Antipsychotic Drugs and western Europe have received them at one
Perhaps the most dramatic effects of drug ther- time or another. Because patients often relapse
apy have occurred in the treatment of severely very quickly if they stop taking the drugs, it
disordered people, permitting many of them to is common practice to recommend that the
function outside of the hospital setting (Shorter, medication be continued indefinitely once
1998). As shown in Figure 17.22, a sharp decline the individual has returned to the community
in the number of in-patients in public mental (Carpenter & Heinrichs, 1983).
hospitals has occurred since 1955, when anti- Although antipsychotic drugs have allowed
psychotic drugs were first introduced on a many patients to be released from hospitals 32. What
is tardive
wide scale. and reduced the need for padded cells, strait-
dyskinesia,
The revolution in drug therapy for severe jackets, and other restraints that were used to and how is it
psychological disorders began when it was control the behaviour of hospitalized patients, caused?
accidentally discovered that reserpine, a these drugs can produce a severe movement
drug derived from the root of the snakeroot disorder known as tardive dyskinesia (Cho &
plant, calmed psychotic patients. This discov- Lee, 2013; Kane, 2006). Uncontrollable and
ery resulted in the development of synthetic grotesque movements of the face and tongue
antipsychotic drugs (also called major tran- are especially prominent in this disorder, and
quilizers) used today to treat schizophrenic sometimes the patient’s arms and legs flail
disorders. The primary effect of the major uncontrollably. Tardive dyskinesia can be
more debilitating than the psychotic symp-
toms that prompted the drug treatment, and
600
it appears to be irreversible once it develops
(Barnes, 1994). Within four years of begin-
Hospitalized in-patients (thousands)
500 ning antipsychotic medications, about 20 per-

cent of young adults and 30 percent of those
400 over 55 develop tardive dyskinesia symptoms
(Schatzberg et al., 2010).
300 Researchers are working to develop new
drugs that can control schizophrenic symptoms
200
without producing side effects, such as the dev-
100
astating symptoms of tardive dyskinesia. A new
drug called clozapine (Clozaril) reduces not
0 only positive symptoms, but also negative ones,
1920 1930 1940 1950 1960 1970 1980 1990 2000 2007 and it appears not to produce tardive dyskine-
Year sia (Lieberman, 1998). Unfortunately, it pro-
duces a fatal blood disease in 1 to 2 percent of
FIGURE 17.22 Antipsychotic drugs have revolution-
ized the treatment of severely disturbed individuals, people who take it, requiring expensive weekly
allowing many of them to leave mental hospitals. Note blood tests for patients who use the medica-
the decline in hospitalized in-patients that occurred fol- tion. Haas et al. (2007) examined the data for
lowing the introduction of antipsychotic drugs in the all patients taking clozapine between 1993 and
mid-1950s. 2003. In this group, 116 developed the infection
Source: National Institute of Mental Health. (2008). “The numbers and 12 died. Typically, onset of the disease is
count: Mental disorders in America.” November 19, 2008. early in treatment and young people are most
likely to be adversely affected. These newer,

“second-generation” antipsychotics have not
yet been studied extensively, but the exist-
ing research findings on the effectiveness and
side effects of these new drugs are promising
(Leucht et al., 2009).
Antipsychotic drugs often can be used
effectively in conjunction with psychotherapy.
For example, drugs may be used to bring psy-
chotic symptoms under control so that other
approaches such as social skills training, family
therapy, and group therapy can be applied to
maintain the initial improvement. © Stephen Frisch/McGraw-Hill
Electroconvulsive Therapy FIGURE 17.23 A severely depressed and possibly

suicidal patient is prepared for an ECT session. The
Another biologically based treatment, elec- patient has been sedated and given a muscle relaxant
troconvulsive therapy (ECT), was based on to minimize limb movements during the brief electrical
the observation by a Hungarian physician that stimulation of the brain. The rubber object in her mouth
schizophrenia and epilepsy rarely occur in the prevents her from biting her tongue or damaging her
same person. (Apparently, he didn’t stop to con- teeth during the convulsion.
sider the fact that the probability of epilepsy
and any other disorder occurring together is
very low.) The physician therefore suggested Today, however, the procedure is quite differ-
that seizure induction might be useful in the ent (Figure 17.23). A patient is first given a seda-
treatment of schizophrenia. Two Italian phy- tive and a muscle relaxant to prevent injuries
sicians, Ugo Cerletti and Lucio Bini, began to from convulsions. The patient is then placed
treat schizophrenic patients by attaching elec- on a well-padded mattress, and electrodes are
trodes to their skulls and inducing a seizure by attached to his or her scalp. A modified proce-
means of an electric current administered to dure in which electrodes are placed on only one
the brain. side of the head is often used (Martin, 1986).
When ECT was first introduced in the 1930s, The duration of the shock is less than a second,
33. Which it was applied to a wide range of disorders, but causing a seizure of the central nervous sys-
disorders do and later research revealed that it cannot relieve tem. There is little observable movement in the
do not respond
anxiety disorders and it is of questionable value patient, other than a twitching of the toes and a
favourably to
ECT? for schizophrenic patients (Herrington & Lader, slight facial grimace. The patient wakes up 10 to
1996; Weiner & Coffey, 1988). However, ECT can 20 minutes after ECT, possibly with a headache,
be useful in treating severe depression, particu- sore muscles, and some confusion. Recently, sci-
larly if there is a high risk of suicide (Fink et al., entists have been able to calibrate the amount
2014). In such cases, the use of antidepressant of electric current a patient needs so that treat-
drugs may be impractical because they likely ments can be individualized, and research is
will take several weeks to begin reducing the being carried out to determine whether certain
depression. In contrast, the effects of ECT can drugs can further reduce seizure-induced confu-
be immediate, and controlled studies indicate sion and amnesia.
that 60 to 70 percent of severely depressed peo- ECT has many critics, despite its effective-
ple given ECT improve (Rey & Walter, 1997). ness in alleviating major depression. Critics
Dramatizations of ECT in the mass media note that even when the effects are dramatically
sometimes portray a procedure that appears positive, the possibility of a depressive relapse
barbaric. In early applications of ECT, a wide- is high, perhaps 85 percent (Swartz, 1995).
awake patient was strapped to a table, elec- Although current methods prevent the physical
trodes were attached to the patient’s scalp, and injuries that occurred in earlier times, other con-
roughly 100 volts of electricity was applied to cerns have been raised about the safety of ECT.
the brain, producing violent convulsions and In some instances, permanent memory loss has
momentary unconsciousness. Sometimes, the been reported, and there is also concern about
seizures were so violent that patients fractured possible permanent brain damage when ECT
their arms or legs. is used repeatedly. Today, the number of ECT
treatments is limited to fewer than ten, but in 1998). One procedure called cingulotomy
the past, many patients received numerous involves cutting a small fibre bundle near the
treatments. corpus callosum that connects the frontal lobes
Steps have been taken to increase the safety with the limbic system. Cingulotomy has been
of ECT, and available scientific evidence sug- used successfully in treating severe depressive
gests that today’s ECT is a safer treatment than and obsessive-compulsive disorders that have
were previous forms (Weiner et al., 2013). MRI failed to improve with drug treatment or psy-
studies of the brains of patients who received chotherapy. However, this more limited proce-
brief pulse treatment to both sides of the brain dure also can produce side effects, including
revealed no evidence of brain damage (Cof- seizures (Herrington & Lader, 1996; Pressman,
fey et al., 1991). After reviewing both sides of 1998). Appropriately, cingulotomy and other
the issue, the American Psychiatric Associa- forms of psychosurgery are considered to be
tion (1990) concluded that this therapy should last-resort procedures. New advances in tech-
be regarded as a useful procedure for major nology and functional imaging techniques,
depression in patients who cannot take or do coupled with an ever-increasing understand-
not respond to medication, and has published ing of neurological and physiological under-
guidelines for its use. pinnings of behaviour, may soon give rise to a
34. What were
new generation of highly sophisticated psycho- the rationale
Psychosurgery surgical techniques with greater effectiveness and effects
and fewer side effects than currently avail- of prefrontal
Psychosurgery refers to surgical procedures able techniques (Feldman & Goodrich, 2001; lobotomy?
that remove or destroy brain tissue to change Mashour et al., 2005).
disordered behaviour. It is the least used of the
biomedical procedures, but this was not always
the case. In the 1930s, before the advent of
Mind, Body, and Therapeutic
antipsychotic drugs, Portuguese surgeon Egas Interventions
Moniz reported that cutting the nerve tracts that The impact of drug and electroconvulsive
connect the frontal lobes with subcortical areas therapies on psychological disorders illus-
of the brain involved in emotion resulted in a trates once again the important interactions
calming of psychotic and uncontrollably violent between biological and psychological phe-
patients. The operation eliminated emotional nomena. In the final analysis, both psycho-
input from the limbic system into the areas of logical and biological treatments affect brain
the brain connected with executive functions functioning in ways that can change disor-
of planning and reasoning. Walter Freeman dered thoughts, emotions, and behaviour.
developed a ten-minute lobotomy operation per- Moreover, they may constitute different routes
formed by inserting an ice pick–like instrument to the same changes, as illustrated in a study
with sharp edges through the eye socket into the by Tomas Furmark and colleagues (2002) at
brain, then wiggling it back and forth to sever Uppsala University in Sweden. The research-
the targeted nerve tracts. During the 1930s and ers randomly assigned patients with social
1940s, tens of thousands of patients—50 000 in phobia to nine-week treatments that involved
the United States alone—underwent the opera- either drug therapy with an SSRI or a course
tion. Moniz received a Nobel Prize for his contri- of cognitive and behavioural psychotherapy
bution (Shorter, 1998). involving exposure to feared social situations
Initial enthusiasm for lobotomy was soon and cognitive modification of anxiety-arousing
replaced by a sober recognition that the mas- thoughts. Before and after treatment, the par-
sive neural damage it caused had severe side ticipants received PET scans while they gave
effects on mental and emotional functioning, a hastily prepared speech to a group of six
including seizures, stupor, memory and rea- to eight persons standing around the scanner
soning impairment, and listlessness. With the bed. They also provided subjective ratings of
development of antipsychotic drugs in the their anxiety during the procedure. Uniformly
1950s, lobotomies decreased and are hardly high anxiety scores were reported by all par-
ever used today. However, more precise and ticipants prior to treatment.
limited psychosurgery procedures still are used In general, both treatments were effective,
at times in the most extreme cases and when although overall the psychological treatment
every other avenue has been tried (Pressman, produced a stronger reduction in fear and
social phobia symptoms than did the drug –30

Psychotherapy
treatment. Nonetheless, when the research-
ers compared the pretreatment and post- SSRI drug
–25
treatment PET scans of those participants who
Reduction in neural activity

responded to the two treatments with reduced
social anxiety, the psychotherapy and drug –20
groups showed basically the same changes in
cerebral blood flow from the first speech situ-
–15
ation to the second. These changes involved
reduced neural activity in an “anxiety circuit”
made up of the amygdala, the hippocampus, –10
and areas of the temporal cerebral cortex
(Figure 17.24). Treatment nonresponders did –5
not show these brain changes. Thus, differ-
ent forms of therapy, whether “psychological”
or “biological” in nature, may result in simi- 0
Amygdala Hippocampus Temporal
lar changes at a neurological level and, ulti- cortex
mately, at a behavioural level. One suggestion Brain region
is that medication can help to prime the neural
network changes needed for recovery, thus FIGURE 17.24 Effects of psychotherapy and drug
allowing psychotherapies to work more effec- therapy on brain activity in clients treated for social
tively (Castrén, 2009). phobia. Clients who responded to the treatments with
reduced anxiety showed nearly identical changes in
An important factor to keep in mind is that
PET-scan recordings of neural activity in three areas
drug treatments, however effective they may of the brain whose activation is thought to underlie
be in modifying some disordered behaviours anxiety.
in the short term, do not “cure” the disorder.
Source: Based on Furmark, T., Tillfors, M., Marteinsdottir, I.,
They suppress symptoms but do not teach the Fischer, H., Pissiota, A., Langstroem, B., & Fredrikson, M.
client coping and problem-solving skills that (2002). Common changes in cerebral blood flow in patients with
might be used to deal with stressful life situa- social phobia treated with citalopram or cognitive-behavioral
therapy. Archives of General Psychiatry, 59, 425–433.
tions (DeLongis, 2000; Nezu et al., 2000). Many
therapists believe that one of the major benefits
of psychological treatments is their potential We have now considered a wide spectrum
not only for helping clients deal with current of approaches to treating abnormal behav-
problems but also for increasing their personal iour. Figure 17.25 summarizes the mechanisms
resources so that they might enjoy a higher for therapeutic change that are emphasized
level of adjustment and life satisfaction in the by the various psychological and biological
future (Hollon, 1996). approaches.
In Review
• Drugs have revolutionized the treatment of many • Electroconvulsive therapy is used less fre-
behaviour disorders and have permitted many quently than in the past, and its safety has been
hospitalized patients to function outside of insti- increased. It is used primarily to treat severe
tutions. Drugs and psychotherapy may be com- depression, particularly when a strong threat of
bined to hasten the relief of symptoms while suicide exists.
establishing more effective coping responses • Psychosurgery techniques have become more
to deal with the sources of the disorder. Effec- precise, but they are still generally used only
tive drug treatments exist for anxiety, depres- after all other treatment options have failed.
sion, and schizophrenia. Some of these drugs
have undesirable side effects and can be addic- • Studies have shown similar alterations of brain
tive. All of them affect neurotransmission within functioning in successful treatment, whether
the brain, and they work on specific classes of the treatment involves drug treatment or
neurotransmitters. psychotherapy.
Therapeutic Change
Levels of Analysis
Interacting biological, psychological, and environmental factors are
involved in the positive changes produced by the psychological and ENVIRONMENTAL
biological therapies we have described. Here are some of the • Psychotherapies create a
factors identified in scientific research. therapeutic environment for unlearning
maladaptive cognitive and behavioural
patterns and acquiring adaptive ones.
• Quality of the therapeutic relationship partially
underlies the effectiveness of any therapeutic
approach.
• Cultural factors and exposure to culturally competent
BIOLOGICAL therapists is an important factor in the therapeutic
change of a minority client.
• All changes, whether produced by
psychotherapy, a biological therapy,
or a combination of the two, results in
changes in brain circuitry and synaptic
networks.
• Changes in neurotransmitter, autonomic, or
hormonal factors underlie positive changes in
response to treatments.
• Research on current drugs and the development PSYCHOLOGICAL
of new ones are an important focus of current
research. • Insights into psychodynamic dynamics and
unconscious factors in maladaptive behaviour
are the focus of psychodynamic approaches.
• Humanistic therapies produce self-concept
changes and encourage self-exploration.
• Modification of conditioned emotional responses
underlie the effects of some behaviour therapies.
Other behavioural approaches use operant techniques
to directly modify behaviour.
• Changes in maladaptive cognitions that trigger
maladaptive emotions and behaviour are brought
about by cognitive therapy. Mindfulness medi
tation increases selfawareness and reduces
stress, and acceptance of immediate
experience is increasingly being
incorporated into treatments.
FIGURE 17.25
PSYCHOLOGICAL for the “proper keeping of lunatics and idiots.”

DISORDERS AND The Provincial Hospital for the Insane was con-
structed and the first patient was admitted in
SOCIETY 1858. The name was changed to the Nova Scotia
Since the days of insane asylums, first estab- Hospital for the Insane in 1900, and parts of the
lished in the 16th century to segregate the facility still stand today. By the early 1900s most
insane from society, severe behaviour disor- provinces had similar institutions. However, it
ders have been treated in institutional settings. was readily apparent to mental-health experts
This move toward institutionalization was pio- that, although there were some high-quality
neered by Dorothy Dix, who travelled through- institutions, many public mental hospitals
out Canada and the United States promoting the were not fulfilling their intended role as treat-
humane treatment of people with mental dis- ment facilities. They were overcrowded, under-
orders. Her pleas did not fall on deaf ears. For staffed, and underfinanced. Many of them could
example, in 1852, the Nova Scotia legislature provide little more than minimal custodial care
enacted a statute founding a provincial asylum and a haven from the stresses and demands of
the outer world. Moreover, people who were 700

admitted to such hospitals often sank into a
chronic “sick” role in which passive dependence 600
and “crazy” behaviour not only were tolerated,
Average numberr of days hospitalized

but also expected (Goffman, 1961; Scheff, 1966).
They lost the self-confidence, motivation, and 500
skills needed to re-enter and adapt to the out-
side world, and had little chance of surviving
400
outside the hospital.
300
Deinstitutionalization
By the 1960s, the stage was set for a new 200
35. What is the
approach to the treatment of behaviour disor-
rationale for
deinstitutionali
ders. Concern about the inadequacies of mental
100
zation? What hospitals, together with the ability of antipsy-
prevents it from chotic drugs to “normalize” patients’ behaviour,
achieving its resulted in a deinstitutionalization movement 0
goals? to transfer the primary focus of treatment from 1958 1980
the mental institution to the community. Year
In 1957, the Canadian government passed
legislation to partially fund provincial hospital FIGURE 17.26 Average length of psychiatric hospi-
insurance plans, providing for universal health talization at Veterans Administration Hospitals in 1958
and 1980.
care (Saskatchewan had actually established
public health insurance ten years earlier). How- Source: Data from National Institute of Mental Health. (1992).
Psychiatric hospitalization in the United States. Rockville,
ever, the plan did not extend to mental institu-
MB: Author.
tions. Thus, the provinces were forced to find
alternative methods to care for those with psy-
chological disorders. Psychiatric units were (typically schizophrenic) disorders also has
added to many of the regular hospitals and decreased markedly. In Canada, the deinstitu-
community services were established—both tionalization movement resulted in an 80 per-
partially covered by federal transfer payments. cent decrease in the number of institutionalized
Community mental-health centres are designed patients.
to provide comprehensive services to their local The concept of community treatment is a
communities. Their major function is to provide good one, since it allows people to remain in
outpatient psychotherapy and counselling so their social and work environments and to be
that clients can remain in their normal social treated with minimal disruption of their lives.
and work environments. For example, the Cen- However, it requires the availability of high-
tre for Addiction and Mental Health in Toronto quality mental health care in community clin-
provides care for people with mental health ics, halfway houses, sheltered workshops, and
issues and addiction problems. Many have cri- other community facilities. When these facilities
sis centres and telephone “hot lines” to respond are available, deinstitutionalization can work.
to emergency situations encountered by people Unfortunately, however, many communities
in the community. Finally, community mental- never were able to fund the needed facilities,
health centres provide education and training, and the 1980s saw sharp cutbacks in federal
and some operate as research facilities. funding of community mental-health centres. As
Combined with the development of effective a result, many patients are being released into
drug treatments, the impact of deinstitution- communities that are ill-prepared to care for
alization on the treatment of behaviour disor- their needs. The result is a revolving door phe-
ders has been dramatic. According to the U.S. nomenon, involving repeated rehospitalizations.
National Institute of Mental Health, 77.4 percent Nearly three-quarters of all hospital admissions
of all patients were being treated as in-patients involve formerly hospitalized patients. While
in public and private hospitals in 1955. By 1990, in the hospital, they respond well to antipsy-
the in-patient figure had shrunk to 27.1 percent. chotic medication and are soon released back
As Figure 17.26 indicates, the average length into a community that cannot offer them the
of hospitalization for patients having severe care they require. Soon they stop taking their
“an ounce of prevention is worth a pound of

cure.” If current efforts to enhance personal
well-being and slow the rise of health care
costs are to be successful, then the prevention
of behaviour disorders must be a focal point in
social policy (Munoz et al., 1996).
People may become vulnerable to psycho-
logical disorders as the result of situational 36. Define
the two major
factors, personal factors, or both. Thus, pre-
approaches to
vention can be approached from two per- prevention.
spectives (Figure 17.28). Situation-focused
prevention is directed at reducing or eliminat-
© David Litschel/Alamy Stock Photo
ing the environmental causes of behaviour dis-
FIGURE 17.27 The revolving door phenomenon cre- orders or at enhancing situational factors that
ated by inadequate funding of community-based treat- help to prevent the development of disorders.
ment facilities has produced a large population of Psychologist George Albee (1996), who cham-
severely disturbed homeless people who live on our pions this approach, insists that prevention
nation’s streets. must focus on efforts to reduce the stresses
of unemployment, economic exploitation, dis-
crimination, and poverty. Programs designed
medication. In the absence of treatment, their to enhance the functioning of families, reduce
condition deteriorates to the point where they stress within organizations, provide better
must be hospitalized, and so the cycle begins educational opportunities for children, and
again. One result is a growing population of dis- develop a sense of “connection” to other peo-
turbed and homeless people who have nowhere ple and the community at large all have the
to go for help (Figure 17.27). In some provinces potential to help to prevent the development
with large urban populations, the largest mental
wards exist not in hospitals but on city streets.
The United States has as many as one million
homeless people, and approximately a third
have a severe mental disorder, typically schizo-
phrenia (Torrey, 1997). Estimates in Canada are Competency-focused
proportionately similar—approximately 25 to prevention
50 percent of the homeless have been hospital- programs
ized for a mental disorder in the past three years
(Mental Health Commission of Canada, 2013; Personal factors
Wasylenki et al., 1993). underlying deviant
Deinstitutionalization can work only if soci- behaviour
ety has the will to make it work. Time will tell if Reduced
funding will be provided for the community pro- deviancy
grams needed to slow the revolving door and Situational factors
provide the help so desperately needed by the underlying deviant
many people who are being left without treat- behaviour
ment and without hope.
Situation-focused
Preventive Mental Health prevention
programs
Up to now, we have focused entirely on what
can be done to help people once they have
developed a behaviour disorder. Success- FIGURE 17.28 Two approaches to prevention of psy-
ful treatment is one way to reduce the toll of chological disorders, based on the principle that devi-
ant behaviour represents the interaction of personal
human suffering produced by failures to adapt.
and situational factors. Situation-focused approaches
Another way is to try to prevent the develop- increase situational protective factors or reduce vulner-
ment of disorders through psychological inter- ability factors in the environment. Competency-focused
vention. In terms of economic, personal, and approaches reduce personal vulnerability factors or
societal costs, it may indeed be the case that strengthen personal competencies and coping skills.
of behaviour disorders (Albee, 1997; Taylor & 40
Mean post-traumatic stress disorder symptom severity

Wang, 2000). Prevention
The personal side of the equation is Control
addressed by competency-focused preven- 30

tion, which is designed to increase personal
resources and coping skills. Such programs
may focus on strengthening resistance to stress,
improving social and vocational competencies, 20
enhancing self-esteem, and helping people to

gain the skills needed to build stronger social
support systems. One illustrative program, 10
developed by Edna Foa and her colleagues
(1995), focused on preventing the develop-
ment of PTSD in women who had recently been
raped or assaulted. 0
Initial Second Third
The victims were randomly assigned to assessment assessment assessment
either a treatment condition or a nontreatment (2 months) (5.5 months)
control condition. Over a four-week period, the

FIGURE 17.29 Results of a competency-based pre-
women in the treatment group underwent an vention project designed to prevent PTSD in women
educational program designed to increase their who were victims of rape and assault. The program,
stress management coping skills. They learned which combined a number of behavioural and cognitive
about the common psychological reactions therapy techniques to increase stress management
to being raped, which showed them that their coping skills, sharply reduced the likelihood of devel-
responses were normal, and they emotion- oping PTSD.
ally relived their trauma through imagery to Source: Based on Foa, E.B., Hearst-Ikeda, D. & Perry, K.J.
defuse their lingering fears through exposure. (1995), “Evaluation of a Brief Cognitive-Behavioral Program for
the Prevention of PTSD in Recent Assault Victims,” Journal of
They also learned stress coping skills, such as Consulting and Clinical Psychology, 63(6), p. 952. Fig 1. Doi:
relaxation, and they went through a cognitive 10.1037/0022-006X..63.6.948. Copyright (c) 1995 by the
therapy procedure so that they could replace American Psychological Association. Reprinted by permission
of the author and the publisher.
their negative beliefs about themselves and
their stress-producing cognitions with more
realistic appraisals.
The results of the prevention program are skills they learned to the home environment. For
shown in Figure 17.29. The women exposed example, the same skills that helped to create
to the prevention treatment had less severe close bonds with fellow soldiers can be applied
symptoms at both the two-month and five- to enhance family cohesion. They also learn
and-a-half-month assessments. Moreover, how to decrease hypervigilance and irritability.
two months after their trauma, diagnostic A clinical trial revealed fewer PTSD symptoms,
interviews with the women in the two groups sleep problems, and depression in Battlemind
revealed that 70 percent of the women in the recipients (Adler et al., 2009). The Canadian
control condition met the criteria for PTSD military has introduced the “You’re Not Alone”
compared with only 10 percent of the women program, encouraging solders to contact people
who had received the prevention program. for support, help, or for just having someone to
Thus, for many of the women, an efficient talk to.
four-hour program prevented what might have Many mental-health experts believe that
led to PTSD, which would have created tre- more resources need to be focused on preven-
mendous personal misery and required a far tion so that the occurrence of maladaptive
more expensive and time-consuming course of behaviour can be reduced. However, preven-
therapy (Rasmussen & Charney, 2000). tion presents its own challenges. For example,
To help counter the high incidence of psy- we cannot develop an intervention program
chological disorders in soldiers who return from until we understand the causes of the disorder
combat in Iraq and Afghanistan (20 to 30 per- we want to reduce. Even when causal factors
cent), the U.S. Army has developed an interven- are known, we need also to understand what
tion called Battlemind. It involves a debriefing kinds of interventions might be successful in
phase and an emphasis on adapting the combat modifying them. This requires careful research
into which types of programs are most effective our experiences and adapt to our environment.
in preventing which types of problems in which We have seen how the environment in which
types of people—our old specificity question. we live, including our culture, exerts power-
Another practical problem is that the effects of ful influences over who we become and how
prevention are not usually immediately obvious. we behave. We have achieved greater under-
It may take years for their effects to become standing of the cognitive processes that help
evident. Moreover, their effects (which usually to define our humanity. We have also gained
involve the absence of a disorder) can be hard insights into the processes by which we develop
to measure. For these reasons, prevention pro- from a single cell into the most psychologically
grams can be difficult to justify when funding complex creature on our planet, and we have
priorities are being set, even though the pro- explored the personality processes that help
grams may, in the long run, have greater posi- to make each of us unique. We have learned
tive impact than programs that focus on treating about the many ways in which people cope,
disorders that have already developed. both adaptively and maladaptively, with the
Having described the nature and benefits of demands of living, as well as the many inter-
treatments, we end this chapter with an Appli- ventions that help people live happier and more
cations feature that provides guidelines for fulfilling lives. As we have found in every area
seeking and profiting from therapy. of psychological study, the brain, mind, and
environment interact in complex ways to influ-
A FINAL WORD ence our behaviour.
We are privileged to have been your guides
In Chapter 1, we began a shared journey in this psychological journey. We hope that your
through the sprawling domain of modern-day introductory psychology course has influenced
psychology. That journey has taken us from the your conception of human nature, your under-
inner recesses of the mind to our social world. standing of yourself and others, your capacity
We have examined how the brain’s intricate to think critically about your world, and your
workings underlie our thoughts, feelings, and ability to utilize psychological principles to
behaviours. We also have explored the learn- enrich your life.
ing mechanisms that enable us to profit from
Applications
WHEN AND WHERE TO SEEK THERAPY • A problem that has interfered with your life or personal
happiness in the past is worsening or has suddenly
No one is immune to problems in living. Every day, each
resurfaced.
of us does the best we can to balance our personal and
social resources against the demands created by our life • You have experienced some traumatic event, either
circumstances. We all have certain vulnerabilities, and if in the past or recently, that you find yourself thinking
environmental demands and our vulnerabilities combine to about, dreaming about, or responding to with negative
exceed our resources, we may experience psychological emotions.
problems for which professional assistance would be help- • You are preoccupied with your weight or body image
ful. Here are some general guidelines for seeking such help and are taking extreme steps such as bingeing and then
and profiting from it. purging by vomiting or taking laxatives.
First is the issue of when to seek help. In general terms,
you should consider seeking professional assistance if any • You have severe and recurring conflicts with other
of the following apply: people.
• You hear voices telling you what to do or feel that others
• You are experiencing serious emotional discomfort, such
are controlling your thoughts.
as feelings of depression or anxiety, that are adversely
affecting your personal, work, or family life. How does one go about getting help in dealing with
• You are encountering a serious problem or life transition psychological problems? Help may be sought at a school
that you feel unable to handle on your own. counselling centre, at a community agency, the emergency
continued
ward at your local hospital, or from a professional in private Some clients prefer to work with either a male or female
practice. The counselling centre is often a good place for a therapist, depending in part on the nature of the personal
student to start, since it can provide either help or an appro- issues that have caused them to seek counselling. As we
priate referral to a reputable mental-health professional. If have seen, research has shown that personal warmth, sin-
you are at a larger university that has a graduate program cere concern, and empathy are important therapist char-
in clinical psychology, there may also be a psychology acteristics. You should like and feel comfortable with your
clinic administered by that program. therapist, and you should feel at ease with the methods
How expensive is treatment? It is often offered free the therapist uses. Under no circumstances should your
or at a nominal fee at a campus facility. Most likely, it therapeutic relationship involve physical intimacy of any
will be covered in your student fees, but the number of kind, and if a therapist were ever to make inappropriate
visits may be limited. A community agency may have a advances, a client should immediately terminate treat-
sliding fee based on income, and many services are cov- ment with that therapist and notify the appropriate pro-
ered by your provincial health plan. Thus, financial con- fessional organization, such as the local psychological or
siderations need not be a barrier to seeking professional medical association. Such conduct is a serious breach of
assistance. A private practitioner may charge a fee similar professional ethics and cannot be condoned under any
to that charged by doctors, dentists, and lawyers, perhaps circumstances.
exceeding $100 per 50-minute session. A prospective You and your therapist should have explicit, agreed-on
client should always ask beforehand about the fee. You goals for the treatment program. If therapy proceeds well, you
should also check into the mental-health benefits provided will experience beneficial changes that indicate movement
by your health insurance coverage. For example, some toward these goals. It may take some time for these changes
provinces may cover the costs if the service is provided by to occur, however, since long-standing personal vulnerabili-
a psychiatrist but only partially cover the expenses for a ties are not easily changed, and significant change seldom
psychologist. occurs overnight. If you do not see any progress after sev-
In choosing a therapist, what should you look for? It is eral months, or if you seem to be functioning less well than
important that your therapist be fully trained and licensed. before, you should discuss your progress with the therapist.
Ask the therapist about his or her degree, licence, train- It is possible that the therapist is more satisfied with your
ing, therapeutic orientation, and the problems in which progress than you are. However, if you continue to be dissat-
she or he specializes. Remember that there is a difference isfied with your progress or with the therapeutic relationship,
among a psychiatrist, a psychologist, and a counsellor you may at some point decide to terminate it. This termina-
(see the beginning of this chapter). The requirements for tion should not prevent you from seeking help from another
licencing may differ from province to province, and certain therapist.
terms may not be protected by law (e.g., almost anyone Entering a helping relationship is a courageous step,
can call him- or herself a marital therapist). If you are and resolving problems in living may involve taking risks
unsure from whom to seek advice, ask your family doctor and experiencing pain. However, many clients look back
for a recommendation or contact the local branch of the on the pain and risks and feel that the process has been
Canadian Mental Health Association. You can also check a valuable one that has enabled them to live happier lives
the website of the Canadian Psychological Association than they could otherwise have. Here is a reflection by
(www.cpa.ca). Dr. Sandra L. Harris, a prominent clinical psychologist,
As we’ve seen, the relationship between client and ther- on the course of therapy she undertook as a university
apist is of the utmost importance. You will want a thera- student:
pist who can create a good working relationship with you.
When I think about the girl I was in my freshman year
Degree of value similarity between you and the therapist
at the University of Maryland and the young woman I
can be important. Timothy Kelly and Hans Strupp (1992)
was when I graduated four years later, it is clear that
found that the most positive therapeutic outcomes were
it was not only the issues Jim and I discussed, but
achieved when the client and therapist were neither very
how we talked that made the difference. The intan-
similar nor very dissimilar in values. High similarity may
gibles of trust, respect, and caring were at least as
result in a failure to explore value-related issues that should
important as the active problem solving that trans-
be explored, whereas too much dissimilarity may interfere
pired in our weekly meetings. It was not a dramatic
with building a good therapeutic relationship. One exception
transformation, rather it was a slight shifting of a
to this general rule may occur in the area of religious values.
path by a few degrees on the compass. Over the
Clients who have strong and committed religious values may
years that shift has had a cumulative effect and I
profit most from a therapy that supports those values and
walk a very different road than I would have without
uses them to help to change problem behaviours (Probst
him. (Harris, 1981, p. 3)
et al., 1992).
In Review
• The introduction of drug therapies that normalize have been unable to fund the needed facilities,
disturbed behaviour, as well as concerns about resulting in a “revolving door” of release and
the deterioration of life skills during hospitaliza- rehospitalization, as well as a new generation of
tion, have helped to stimulate a move toward homeless people who live on the streets and do
deinstitutionalization—the treatment of people in not receive needed treatment.
their communities. • Prevention programs may be classified as
• Research has shown that deinstitutionalization either situation-focused or competency-focused,
can work when adequate community treatment depending on whether they are directed at chang-
is provided. Unfortunately, many communities ing environmental conditions or personal factors.
Gaining Direction
What are the Treatments for many disorders—physical and psychological rationale for such a treatment?
issues? mental—may seem barbaric. But presumably, Is there any evidence that this type of therapy
a sound reason exists for proceeding with such works? What is the difference between ECT and
a treatment. The case presented at the begin- MST? Must a patient consent to treatment? As
ning of this chapter describes a treatment with other scenarios, this story has legal impli-
that that results in a brain seizure. What is the cations for both patients and therapists.
What do What are the models for the treatment of Is a magnetic pulse safer than an electrical
we need to psychological disorders? pulse?
know? What is psychotherapy? What are the therapy options?
Why would a therapist administer magnetic Are there legal and ethical considerations with
pulses for treatment? respect to treatment?
How might a magnetic pulse affect the brain?
Where can We should begin by looking at the basic communication. Does this help to answer any
we find the goal requirements for psychotherapy. The of the questions? Also consider what causes
information to techniques will vary, but the goal of any depression in the first place. Are any of these
legitimate therapy is to help the patient live a causal factors addressed in MST? Review as
answer these
better life. To evaluate this treatment we need well the “Evaluating Psychotherapies” sec-
questions? to consider if this outcome is achieved. Next tion. Perhaps other factors could explain any
we need to know what a magnetic or electri- apparent success. Finally, consider the ethics.
cal pulse does to the brain. Review the infor- Do patients have to give informed consent for
mation in Chapter 3 on neurons and synaptic treatment? Why?
APPENDIX Statistics in Psychology
At various points throughout the text, we have briefly eleven had scores of 15, 16, or 17; and so on. Note that
described statistical procedures to help you understand the researcher chose to use intervals of three points (e.g.,
the information being presented. This appendix dis- 30–32) rather than to show the number (frequency) of
cusses statistics in greater detail and focuses on the con- participants who obtained each of the 33 possible (0–32)
cepts underlying these procedures. Our goal is to help scores. She could have done the latter if she had wished
you understand how psychologists use statistics in their to break down the scores even further. The number of
research. intervals chosen is somewhat arbitrary, but frequency
For some students, the prospect of studying statis- distributions often contain 10 to 12 categories.
tics evokes visions of complex higher mathematics. You This frequency distribution tells us at a glance about
will find, however, that if you can add, subtract, multi- certain characteristics of the data, such as whether scores
ply, and divide, you can easily perform basic statistical tend to cluster in one region of the distribution or are
operations. scattered throughout. We can easily convert these data
into a histogram, which is a graph of a frequency distri-
bution. Typically, the scores (or in this case, score inter-
DESCRIPTIVE STATISTICS vals) are plotted along the horizontal axis (i.e., x-axis, or
Psychological research often involves a large number of abscissa), and the frequencies are plotted on the vertical
measurements. Typically, it is difficult to make sense axis (i.e., y-axis, or ordinate). This method produces a
of the data merely by examining the individual scores column or bar above each score or score interval that
of each participant. Descriptive statistics summarize shows how frequently the score occurred. Figure A.1
and describe the characteristics of a set (also called a represents a histogram of the self-esteem scores for our
distribution) of scores. sample of 50 university students.
To summarize a set of scores, we might first construct
a frequency distribution, which shows how many par- MEASURES OF CENTRAL
ticipants received each score. For example, suppose that
50 university students took a 32-item psychological test
TENDENCY
that measured their level of self-esteem. The frequency Frequency distributions and histograms give us a gen-
distribution in Table A.1 tells us that two participants had eral picture of how scores are distributed. Measures of
scores of 30, 31, or 32; one had a score of 27, 28, or 29; central tendency describe a distribution in terms of a
TABLE A.1 F
requency Distribution of Self-Esteem
12
Scores
(number of subjects receiving the scores)
11
Self-Esteem Scores Frequency 10
30–32 2 9
8
27–29 1
Frequency
7
24–26 4
6
21–23 6 5
18–20 9 4
15–17 11 3
2
12–14 8
1
9–11 3
0
6–8 4 0–2 3–5 6–8 9–11 12–14 15–17 18–20 21–23 24–26 27–29 30–32
Self-esteem score
3–5 1
0–2 1
FIGURE A.1 A histogram of the self-esteem distribution shown
in Table A.1.
Statistics in Psychology AP-2
TABLE A.2 Annual Salaries of 10 Employees “the sum.” Thus, to compute the mean of the salaries at
Honest Al’s, we simply add up the individual salaries and
Employee Annual Salary (X)
divide the total by 10, the number of salaries. As Table A.2
1. Honest Al $205 000 shows, the mean salary at Honest Al’s is $55 350.
2. Honest Al’s mother 205 000 Would you be tempted to go to work at Honest Al’s
3. Johnson 20 000 if, during a job interview, Al told you that “our average
salary is $55 350 per year”? Your negative answer to
4. Hussein 19 500
this question illustrates a shortcoming of the mean as a
5. Jones 19 000
measure of central tendency. The mean can be strongly
6. Chen 18 000 affected by one or more extremely high or low scores
7. Brown 17 500 that are not representative of the group as a whole. In
8. Chu 17 000 this case, the high salaries of Honest Al and his mother
increased the mean to a figure more than twice as
9. Mullins 16 500
great as the salary of the next highest paid employee
10. Watson 16 000
(i.e., Johnson). Thus, we cannot consider the mean to be
N = 10 ΣX = $553 500 representative of the salaries of Honest Al’s employees.
Our third measure of central tendency, the median,
Mode = The score that occurs most often—in this case, is the point that divides the distribution in half when the
$205 000.
individual scores are arranged in order from lowest to
Mean = The arithmetic average, computed by the following highest. In other words, half of the remaining scores lie
formula:
above the median and half below it. If there is an odd
number of scores, there will be one score that is exactly
  ΣX  = ________
M = ___   553 500 = 55 350
  
 
N 10 in the middle. If there were 11 salaries in Table A.2, the
sixth-ranked score would be the median, because five
Median = The point above and below which there is an equal scores would fall above and five below. In a distribution
number of scores. In this case, because there is
having an even number of scores, the median is halfway
an even number of scores, the median is midway
between the fifth- and sixth-ranked salaries—that between the two middle scores. In our salary distribu-
is, $18 500. tion, the median is the point halfway between employee 5
($19 000) and employee 6 ($18 000), or $18 500.
The median has an important property that the mean does
single statistic that is in some way “typical” of the sample not have: It is unaffected by extreme scores. Whether Hon-
as a whole. There are three commonly used measures of est Al makes $205 000 or $500 000, the median remains the
central tendency: the mode, the mean, and the median. same. Therefore, the median is more representative of the
For example, Table A.2 shows the salaries of the ten group as a whole in instances when there are very extreme
employees who work at Honest Al’s Savings and Loan scores. In Honest Al’s case, the median figure of $18 500 is
Corporation. Our task is to arrive at a single number that more representative of the “typical” employee’s salary than
somehow typifies the salaries of the group as a whole. is the mean figure of $55 350 or the modal figure of $205 000.
The mode is the most frequently occurring score in a The median, however, can fail to capture important infor-
distribution. At Honest Al’s, the modal salary is $205 000, mation. For example, suppose that employee 3 (Johnson)
because it is the only salary received by more than one and employee 4 (Hussein) each received an $80 000 raise. In
person. Although the mode is easy to identify in a dis- this case, the median would not change, because the “mid-
tribution, it is not always the most representative score, dle score” would still be the midpoint between employees 5
particularly if it falls far from the centre of the distribu- (Jones) and 6 (Chen). The mean, however, would increase
tion. Clearly, $205 000 is not the “typical” salary of the ten to $71 350 ($713 500/10) and reflect the fact that Honest Al is
employees, because eight of them receive $20 000 or less. being more generous in paying some of his employees.
The most commonly used measure of central ten-
dency, the mean, represents the arithmetic average of a
set of scores. The mean is calculated by adding up all the Measures of Variability
scores and dividing by the number of scores. The statisti- Measures of central tendency provide us with a single
cal formula for computing the mean is score that typifies the distribution. But to describe a dis-
tribution adequately, we need to know more. One key
ΣX
M = ___
      
N question concerns the amount of variability, or spread,
that exists among scores. Do they tend to cluster closely
X is the symbol for an individual score, N denotes the about the mean, or do they vary widely? Measures of
number of scores, and M is the symbol for the mean of variability provide information about the spread of
the individual scores. The Greek letter Σ (sigma) means scores in a distribution.
AP-3 APPENDIX
The range, which is the difference between the highest a problem. Even though distribution B is more spread
and the lowest score in a distribution, is the simplest but out than distribution A, adding up the deviation scores
least informative measure of variability. At Honest Al’s, for each distribution yields a sum of zero (Σ x = 0). In
the range is $205 000 − $16 000 = $189 000. As another fact, the sum of deviation scores for any distribution will
example, if we have a distribution of 20 IQ scores and the always add up to zero.
highest IQ is 150 and the lowest is 70, then the range is To avoid this problem we must get rid of the plus
150 − 70 = 80. But suppose the other 18 people all have and minus signs that end up cancelling each other out.
IQs of 110. If we knew only the range of scores, we might As the rightmost column under each distribution in
be led to believe that the scores in this distribution vary Table A.3 shows, we achieve this goal by taking each
far more than they actually do. Thus, it would be more deviation score, squaring it, and then adding up these
useful to know how much, on average, each IQ score var- squared deviation scores. This produces a sum of 20 for
ies or deviates from the mean of the distribution. distribution A and 356 for distribution B. Now we divide
To do this we first create a deviation score (rep- by 10 (i.e., the number of scores in each distribution) to
resented by a lowercase x) that measures the distance find the average squared deviation. This statistic, called
between each score (X) and the mean (M). To provide a the variance, is the average of the squared deviation
simple example, suppose we have two distributions, A scores about the mean. You can see that the variance
and B, each composed of ten scores. Looking at the “X for distribution B (35.6) is considerably greater than the
(score)” column in Table A.3 for each distribution, you variance for distribution A (2.00), reflecting the greater
can see that although each distribution has a mean of 10, spread of the scores in B.
the scores in distribution B are more spread out than in The most popular measure of variability, the standard
distribution A. Now for each score we compute how much deviation (SD), is the square root of the variance.
it differs from the mean (i.e., x = X − M). At this stage, Because we had to square the deviation scores to com-
you might think that to measure the variability of each pute the variance, we now return to the original scale
distribution we need only add up its deviation scores of measurement by taking the square root of the vari-
and then compute the average deviation. But we have ance. Thus, the standard deviation describes variability
TABLE A.3 C
omputation of the Variance and Standard Deviation for Two Distributions of
Scores with Identical Means (M = 10)
Distribution A Distribution B
X (score) X−M=x x2 X (score) X−M=x x2
12 +2 4 18 +8 64
12 +2 4 18 +8 64
11 +1 1 15 +5 25
11 +1 1 15 +5 25
10 0 0 10 0 0
10 0 0 10 0 0
9 -1 1 5 −5 25
9 −1 1 5 −5 25
8 −2 4 2 −8 64
8 −2 4 2 −8 64
ΣX = 100 Σx = 0 Σx = 20
2 ΣX = 100 Σx = 0 Σx = 356
2
N = 10 N = 10
M = 10.00 M = 10.00
x (deviation) = X − M
  ΣX   20   ΣX   356

2 2
variance = ___ N
 = ___
   10
   = 2.00 variance = _____N
 = ____
   10
  = 35.6
‐ ‐
SD (standard deviation = √  
 2.00   
= 1.414 SD = √
  35.6 
   
= 5.967
in the same units of measurement as the original data. Knowing this, we can use our knowledge of the normal
You can see in Table A.3 that the standard deviation from curve to answer questions like these:
the mean of distribution B (5.967) is more than four times
1. What percentage of people have IQs between 70 and 130?
greater than the standard deviation from the mean of dis-
(Approximately 95 percent. These scores are −2 SD and
tribution A (1.414).
+2 SD from the mean, respectively. As Figure A.2 shows,
this area below the curve includes 13.59 + 34.13 + 34.13 +
THE NORMAL CURVE 13.59 percent of the cases, or 95.44 percent.)
The normal curve is a symmetrical bell-shaped curve 2. My IQ is 115, so where does that place me? (115 is +1
that represents a theoretical distribution of scores in the SD above the mean, so as Figure A.2 shows, about 16
population. In the normal curve, 50 percent of the cases percent of the population will have a higher IQ, and 84
fall on each side of the mean, and the median and mode percent will have a lower IQ. That is, the area to the
have the same value as the mean. Figure A.2 shows that right of +1 SD represents 13.59 + 2.14 + 0.13 percent
in a normal curve, as we move away from the mean, the of the cases, or 15.86 percent.)
frequency of each score steadily decreases. The nor- 3. What is the probability that a person selected at ran-
mal curve is important because many variables in the dom from the population will have an IQ of 145 or
population—weight, height, IQ, and anxiety, to name a more? (About one-eighth of 1 percent. This probability
few—are distributed in a way that approximates the nor- corresponds to the area under the curve beyond + 3
mal curve. Thus, a few people are extremely tall or short, SD, or 0.13 percent.)
a greater number of people are moderately tall or short,
and most are close to average in height. These examples point to a major use of the normal
The normal curve has several key properties. The curve: It allows us to estimate the probability that a given
most important of these is that the standard devia- event will occur. Indeed, the statistical tests we describe
tion can be used to divide the normal curve into areas next are methods for arriving at probability statements
containing known percentages of the population. In a based on the assumption that the variables being investi-
normal curve, about two-thirds of the scores fall within gated are normally distributed.
plus or minus 1 standard deviation of the mean; about
95 percent of cases fall within plus or minus 2 standard
deviations; and nearly all the cases fall between 3 stan-
STATISTICAL METHODS
dard deviations above and 3 standard deviations below FOR DATA ANALYSIS
the mean. Therefore, if we know that a psychological Given a set of data for any single variable, such as the
characteristic or any other variable is normally distrib- scores of a sample of people on a self-esteem test, we
uted, then we can deduce more information about it. use descriptive statistics to summarize the characteristics
For example, IQ scores as measured by the Wechsler of those data. But psychologists do more than describe
intelligence tests (see Chapter 10) are normally distrib- variables individually. They seek to explain and predict
uted with a mean of 100 and a standard deviation of 15. behaviour by examining how variables are related to one
another. The following statistical methods are used to
analyze relations among variables and draw inferences
about the meaning of those relations.
Mode
median Accounting for Variance in Behaviour
mean
Behaviour varies. It varies between individuals (e.g.,
some people are more aggressive or helpful than oth-
Frequency
ers), and it varies for the same individual across time

and situations (a person may perform a task well under
some conditions but more poorly under other circum-
stances). Explaining why variations in behaviour occur
(i.e., accounting for variance) is a central goal of psycho-
0.13% 2.14% 13.59% 34.13% 34.13% 13.59% 2.14% 0.13% logical science.
-3 SD -2 SD -1 SD M +1 SD +2 SD +3 SD As an example, suppose we want to examine how the
55 70 85 100 115 130 145 number of bystanders present during an emergency influ-
Wechsler IQ scores ences the speed with which they assist a person in dis-
FIGURE A.2 The normal curve, showing the percentage of cases tress. In this instance, the number of bystanders is the
falling within each area of the normal distribution and also showing independent variable, and the speed of helping is the
Wechsler IQ scores that correspond to standard deviation (SD) units. dependent variable. We conduct an experiment, randomly
AP-5 APPENDIX
assign participants to different conditions (one, two, or Variance accounted for by

four bystanders present), and find that, overall, bystand- the number of other
ers who were alone responded most quickly and groups bystanders 20%
of four responded most slowly. We also find that the
speed of response varied even within each condition; for
example, among those bystanders who were alone, some Variance not
accounted for
simply responded more quickly than others. Maybe they by the number of
were in a better mood, had more altruistic personalities, other bystanders
and so on. 80%
To
In any experiment, the total amount of variation in lv
ta
ar i
an
people’s behaviour (e.g., speed of helping) may be divided ce
i n he
lping behaviour
into two components: the amount of variance accounted
for by the differences in the independent variable(s)
being manipulated (e.g., being placed alone or with other FIGURE A.3 The total amount of variation in the dependent vari-
able (speed of responding to another person in distress) is rep-
bystanders) and the amount of variance that is left over
resented within the circle. The total variance may be divided into
and therefore must be due to other factors (e.g., partici- one portion accounted for by the independent variable (number of
pants’ mood, personality). Thus, bystanders) and another portion not accounted for by the indepen-
dent variable.
Total = Variance accounted + Variance not
variance for (due to accounted for
independent (due to random,
variables) unmeasured, or behavioural variance. The more important a particular
uncontrolled variable is, the more variance it helps us account for. To
factors) be sure, we can never completely eliminate the random
factors that produce error variance. But as scientific
research proceeds, the goal is to discover new variables
In our experiment, suppose a statistical analysis
that account for additional portions of the total variance
reveals that 20 percent of the total variance in the speed
in people’s behaviour.
with which participants helped a person in distress can be
accounted for by our independent variable: the number
of other bystanders present. Figure A.3 shows this sche- Correlational Methods
matically. The other 80 percent of the variance in speed The concept of variance accounted for applies not only
of helping is due to other factors that were not controlled to experiments but also to correlational studies. As dis-
in the experiment. Some of these other factors, which are cussed in Chapter 2, correlational research does not
random and beyond the control of the experimenter, pro- involve manipulating independent variables. Rather, it
duce what is called error variance. For example, some involves measuring two or more variables and determin-
participants may have been momentarily bored or preoc- ing whether changes in one variable are associated with
cupied with personal problems and thus responded more changes in the other. Suppose that we administer two
slowly than they otherwise would have. The rest of the psychological tests—one measuring self-esteem and the
unexplained variance results from factors that systemati- other measuring depression—to 200 adults. On each test
cally affect the speed of helping but which the researcher we will find that the scores vary: Some people will have
either does not know about or were not controlled for higher self-esteem than others, and some will be more
in the experiment. Such variables may include the par- depressed than others. The question is this: Is there a
ticipants’ personality characteristics or mood, the vic- relation between the variance in self-esteem scores and
tim’s gender, the nature of the emergency, and so forth. the variance in depression scores? Stated differently, as
In future research, we might introduce additional inde- self-esteem scores (variable X) become higher or lower
pendent variables, such as manipulating (i.e., creating) (i.e., as they move further away from the mean of X),
an environment that puts bystanders in a good or bad do depression scores (variable Y) tend to become either
mood just prior to the emergency. By studying other inde- higher or lower (i.e., move away from the mean of Y) in a
pendent variables, we attempt to increase the amount of systematic manner?
variance accounted for, thereby increasing the size of
the “accounted for” area in Figure A.3. Perhaps we will The Correlation Coefficient
find that by knowing both the number of bystanders pres- Relations between variables can differ in direction (posi-
ent and the participants’ mood, we can now account for tive or negative) and in strength. To illustrate, imagine
35 percent of the variance in people’s speed of helping. that we have a sample of six people, with scores on two
From this perspective, understanding and/or predict- variables (X and Y) for each person. Table A.4 shows five
ing behaviour involves isolating factors that account for hypothetical sets of X and Y scores for these six people.
TABLE A.4 F
ive Data Sets Illustrating Various Relations That May Exist between
Two Variables
Set A Set B Set C Set D Set E
Participant X Y X Y X Y X Y X Y
1 1 2 1 4 1 5 1 6 1 12
2 2 4 2 5 2 8 2 8 2 10
3 3 6 3 2 3 6 3 10 3 8
4 4 8 4 10 4 2 4 4 4 6
5 5 10 5 6 5 6 5 2 5 4
6 6 12 6 8 6 7 6 1 6 2
N=6 r = +1.00 r = +0.58 r = 0.00 r = +0.75 r = −1.00
Each set consists of the scores of six people on two variables, X and Y. The product–moment
correlation coefficient (r ) has been computed for each set. The computational formula for r is as
follows:
N(ΣXi Yi) − (ΣXi) (ΣYi)
r = ____________________________
     
    _______________________________ 
√[N(ΣX
 
     i ) − (ΣXi) ] [N(ΣY i ) - (ΣYi) ]  
2 2 2 2
Where Xi = Each person’s score on variable X; ΣXi = sum of Xs

Yi = Each person’s score on variable Y; ΣYi = sum of Ys
N = Total number of people
In set A the relation between variables X and Y is posi- relation, as in set E. Correlations close to 0.00 indicate no
tive in direction. That is, higher scores on variable X are systematic relation between the variables, as in set C.
associated with higher scores on Y, and lower scores on In actual research, a correlation of −1.00 or +1.00 is
X are associated with lower scores on Y. In contrast, set rare; psychological variables tend to be imperfectly cor-
E reveals a negative relation. Here, higher scores on X related with each other. More typically, correlation coef-
are associated with lower Y scores, and vice versa. In ficients might resemble those in sets B (r = +0.58) and
set C the pairs of X and Y scores bear no clear relation D (r = −0.75). Remember that it is the magnitude of the
to each other: They are not correlated. As scores on X correlation coefficient and not its sign (direction) that
change, scores on Y do not change in any consistent man- indicates the degree to which two variables are related to
ner. Thus, in sets A, C, and E, we see three different types each other. Thus, X and Y are more strongly related in set
of relations—positive, none, and negative. D (r = −0.75) than in set B (r = +0.58), even though the
To illustrate how relations between variables differ in correlation in set D is negative.
strength, let us compare set A with set B. In set A, there is a How shall we interpret a correlation coefficient? A cor-
perfect positive relation between X and Y: As each X score relation of +0.50, for example, does not mean that X and
increases by a constant amount (in this case, by 1), each Y Y are 50 percent related. Rather, squaring the correlation
score also increases by a constant amount (in this case, by 2). coefficient (r2) indicates the amount of variance that the
In set B, individuals having higher X scores also tend to two variables share or have in common. Stated another
have higher Y scores, but this positive relation is not as way, r2 tells us how much of the variance in one measure
consistent as in Set A. For example, in set B participant can be accounted for by differences in the other measure.
3 has a higher X score than participant 2 yet a lower Y For example, suppose we obtain a correlation of +0.50
score. Likewise, compare set E with set D. Set E displays between scores on a mechanical aptitude test and grades
a perfect negative relation: As each X score increases by in a university engineering course. As illustrated in
a constant amount, each Y score decreases by a constant Figure A.4, squaring the correlation coefficient
amount. In set D, the negative relation between X and Y is (+0.502 = 0.25) tells us that 25 percent of the total vari-
not as consistent and thus is not as strong. ance in course grades can be accounted for by differ-
The Pearson product-moment correlation coeffi- ences in mechanical aptitude scores. Obviously, the more
cient is a statistic that reflects the direction and strength highly two variables are correlated, the more common
of the relation between two variables. The correlation variance they share. If the two variables in Figure A.4
coefficient (designated r) can range in magnitude from correlated +0.70, the area of overlap would include about
−1.00 to +1.00. If r = +1.00, this reflects a perfect positive half of each circle, because (+0.70)2 = 0.49. Finally, if
relation between X and Y scores, as in set A of Table A.4. A two variables are perfectly correlated, the two circles in
correlation coefficient of −1.00 signifies a perfect negative Figure A.4 would overlap completely.
AP-7 APPENDIX
what is the nature of these abilities? To answer such ques-

tions, let us assume that a psychologist administers 40
different performance tests to hundreds of participants
and correlates all the test scores with one another. He
Mechanical Shared reasons that if several tests are correlated highly with
Engineering
aptitude test variance
grades one another—if performance scores on these tests “clus-
scores 25%
ter,” or “hang together”—then these tests are probably
measuring the same underlying or basic mental ability.
Further, if the tests within a cluster or group correlate
highly with one another but are not correlated with tests
r = +0.50 in other clusters, then these various test clusters probably
reflect different and distinct mental abilities. Thus, the
FIGURE A.4 Squaring the correlation coefficient provides an psychologist hopes to determine the number of test clus-
estimate of the amount of variance shared by two variables. In
this instance, r = 0.50, indicating that 25 percent of the variance
ters and to use this information to infer the nature of the
in engineering grades in this sample can be accounted for by indi- underlying abilities.
vidual differences in mechanical aptitude. When the sets of scores for the 40 tests are correlated
with one another (N = the number of tests or variables),
Recall from Chapter 2 that a correlation between two our psychologist will end up with 780 correlations—
variables does not allow us to conclude that one caused that is, [N × (N − 1)]/2, or [40 × 39]/2 correlations—to
the other. We know only that they are statistically related examine. Obviously, with so many correlations, trying
to each other. If variables X and Y are correlated, it is to determine visually which tests cluster together (while
possible that X causes Y or that Y causes X—or that both not clustering with other tests) is a hopeless task. For-
X and Y are caused by some third variable, Z. tunately, a statistical technique called factor analysis
reduces a large number of correlations among many
Correlation and Prediction measures to a smaller number of clusters, with each clus-
If two variables are correlated and we know an indi- ter containing variables that correlate highly with one
vidual’s score on one variable, then this information will another. Today, computers can analyze the patterns of
help us estimate his or her score on the other variable. correlations and perform a factor analysis in a few sec-
The more highly two variables are correlated, the more onds. The term factor refers to the underlying charac-
accurate our predictions will be. In fact, if two variables teristic that presumably accounts for why the measures
are perfectly correlated—if their variance overlaps com- within each cluster are linked together.
pletely—we can make precise predictions. For example, Factor analysis is complex, and for purposes of this
in set A of Table A.4, once we know a person’s score on discussion, we need not be concerned with its mathemati-
X, we can accurately predict that Y = 2X. (Conversely, cal basis. Our interest is in how psychologists use it as a
if we know Y, we can predict that X = 0.5Y.) In statisti- research tool, so consider a simple example. Let us assume
cal prediction based on correlation, we are thus taking that Table A.5 shows the correlations among only 6 of the
advantage of lawful relations among variables to predict 40 measures. Such a table is called a correlation matrix.
to the individual case. The correlation coefficients of 1.00 along the diagonal of
There are many practical applications for predictions the matrix reflect the obvious fact that each variable cor-
based on correlational analysis. Industrial-organiza- relates perfectly with itself. Because the bottom half of the
tional psychologists, for example, often help organiza- matrix contains the same correlations as the top, we need
tions develop aptitude tests that correlate with on-the-job concern ourselves only with the upper half.
performance. Personnel managers can therefore use job Examining Table A.5 reveals two clusters of tests.
applicants’ test scores to predict which applicants are Tests 1, 2, and 3 correlate strongly with one another.
most likely to perform well. The more highly a predictor
variable (e.g., aptitude test scores) is correlated with the
criterion variable (e.g., job performance), the more accu- TABLE A.5 Intercorrelations among Six Ability Tests
rate the selection decisions will be.
Test 1 2 3 4 5 6
Factor Analysis 1 1.00 0.84 0.71 0.04 0.11 −0.07
Within a single study, researchers may measure many 2 1.00 0.79 0.12 0.01 0.00
variables and examine the correlations among them. For 3 1.00 −0.05 0.12 0.08
example, suppose we want to determine the mental abil- 4 1.00 0.69 0.74
ities that people possess. Are there dozens of different
5 1.00 0.92
mental abilities, or are there are only a few basic ones
that influence performance across diverse tasks? If so, 6 1.00
Likewise, tests 4, 5, and 6 correlate strongly with one Inferential statistics tell us how confident we can
another. Notice also that tests 1, 2, and 3 have low corre- be in drawing conclusions or inferences about a popula-
lations with tests 4, 5, and 6, which indicates that the two tion based on findings obtained from a sample. Thus, if
clusters are measuring different things. But just what do we observe differences in an experiment between experi-
these two clusters of tests measure? Factor analysis can- mental and control groups, or find that there is a correla-
not answer this question directly; it can identify only the tion between two variables, we use inferential statistics
clusters for us. Now it is up to the psychologist to exam- to determine the likelihood that these results occurred
ine the nature of the tests in each cluster and decide what by chance alone and thus do not reflect a genuine differ-
the underlying factors might be. Suppose that test 1 mea- ence in the population from which the sample is drawn.
sures vocabulary, test 2 measures reading comprehen- When researchers analyze their data and conclude that a
sion, and test 3 requires participants to fill in sentences correlation or a difference in behaviour between groups
having missing words. Because all three tasks involve the in an experiment is “statistically significant,” the term
use of words, the psychologist might decide to name the statistical significance means that it is unlikely that the
underlying factor “verbal ability” or perhaps “word flu- particular finding occurred by chance alone. Psychologists
ency.” What matters in Table A.5 is that we have reduced typically consider a result to be statistically significant
6 variables and 15 correlations to two underlying factors. only if it could have occurred by chance alone less than
In our complete example, with 40 tests and 780 correla- 5 times in 100.
tions, a typical factor analysis might identify between The logic underlying tests of statistical significance
two to six factors. In psychology, where researchers is related to our previous discussion of the normal curve
often attempt to identify basic dimensions of behaviour, and its statistical properties. Determining statistical
factor analysis is a valuable tool. significance is in many ways similar to the IQ problem
presented earlier in the appendix: If IQ is normally dis-
tributed with a mean of 100 and a standard deviation of
Inferential Statistics and 15, what is the likelihood of randomly selecting a person
Hypothesis Testing with an IQ of 145? To answer that question, all we had
Regardless of the type of research, psychologists rarely to do was determine what proportion of cases are three
have access to the entire population of people they standard deviations above the mean in a normal distribu-
are interested in. Instead, they must be satisfied with tion. We found that proportion to be about one-tenth of
studying relatively small samples of participants. Thus, 1 percent. Thus, we would expect to randomly select a
80 introductory psychology students might participate person with an IQ that high about 1 in 1000 times—pretty
in an experiment on bystander helping, and 400 adults small odds. With this example in mind, let us consider the
recruited through newspaper advertisements might logic of statistical inference in greater detail.
participate in a correlational study examining the rela- Suppose we are interested in the effects of a stress
tion between self-esteem and depression. On the basis management program on the academic performance of
of the results obtained from such samples, researchers first-year university students who are high in test anxi-
seek to generalize their conclusions to the population as ety. We hypothesize that learning to control anxiety dur-
a whole. ing tests will result in better performance. We randomly
In experiments, we are typically interested in over- assign 40 students who have received high scores on a
all differences between the various conditions. Suppose self-report measure of test anxiety to either an experi-
we find that participants randomly assigned to be alone mental group (20 participants) that participates in a
help a victim more quickly than participants assigned to stress management program for test anxiety, or to a con-
groups of two or four bystanders. Before concluding that trol group (20 participants) that receives no guidance
the independent variable (number of bystanders) truly or treatment. All the students take the same required
influenced the dependent variable (speed of helping), we courses, and at the end of the academic year we com-
must first ask whether this difference is “real” or merely pare the mean grade point averages of the two groups.
a “chance” finding. In other words, because our data are On a 0.0 (F) to 4.0 (A) scale, we find that the experimen-
based only on a particular sample of people in each con- tal group (training program condition) obtains a mean
dition, how do we know that similar results would have grade point of 3.17 and the control group has a mean
occurred if we had tested other samples? Perhaps for one grade point of 2.61. Thus, the difference between the two
reason or another the participants we tested were not groups is 3.17 − 2.61 = +0.56 grade points. How can we
truly representative of the populations from which they decide whether this difference between the two samples
were drawn. Perhaps, despite random assignment, partic- reflects a difference in the respective populations (i.e.,
ipants assigned to be alone happened by chance to have all high-test-anxious students who might participate in a
more highly altruistic personalities than participants in stress-management program and all who do not)?
the other conditions, and this (rather than “being alone”) If we repeated our experiment several times with dif-
is the reason they helped more quickly. ferent high-anxiety participants, we would find that the
AP-9 APPENDIX
means for the two samples would vary in each experi- In our hypothetical experiment, we obtained grade
ment. For example, the next three times we performed point means of 3.17 for the experimental group and 2.61
the study the means might be 2.94 (experimental) ver- for the control group, a difference of +0.56. Let us now
sus 2.77 (control), 3.34 versus 2.31, and 2.89 versus 2.83, suppose that the standard deviation of our distribution
yielding differences between the groups of 0.17, 1.03, of differences between means was estimated on the
and 0.06, respectively. By repeating the experiment basis of our samples to be 0.25. Thus, our obtained dif-
a great many times, we could create a distribution of ference of +0.56 is slightly more than 2 SD above the mean
experimental versus control difference scores, and (0) of the null hypothesis distribution. From the properties
mathematical theory tells us that this distribution would of the normal curve, we know that more than 95 percent of
be a normal distribution. This gives us the key. Because the cases fall in the area of the curve between −2 SD and
we have a normal distribution, just as we previously +2 SD. Thus, if the null hypothesis were true, we would
assessed the exact likelihood of randomly selecting a expect a difference in means as large as 0.56 (either above
person with an IQ of 145, we can now determine the like- or below zero) less than 5 percent of the time on the basis
lihood of randomly obtaining a difference of any partic- of chance factors. This probability level meets the criterion
ular size between our sample means. But to do this, we for statistical significance described earlier. In view of this
must first know what the mean and standard deviation fact, we would reject the null hypothesis and conclude that
of our distribution of differences are. As we’ve seen, one there is a real difference in grade point average in the two
way to determine these values would be to perform our populations. Thus, our experimental hypothesis that the
experiment a large number of times. But, fortunately, stress-management program resulted in a higher level of
we can estimate these values on the basis of a sin- academic performance would be supported.
gle experiment and thereby avoid the need for many Note that we used the term supported, not proven,
replications. because we are making an inference based on a probabil-
To do this, we use an approach to statistical analysis ity statement. There is, after all, some possibility (though
that involves testing the null hypothesis, which states less than 5 percent) that the null hypothesis is true and
that any observed differences between the samples this really was a chance finding. Note also that this statis-
are due to chance. We begin by assuming that the null tical analysis does not tell us why the stress-management
hypothesis is true—that there is no real difference, for group performed better (e.g., Did they perform bet-
example, in grade point average between the populations ter because of the program’s content or the mere atten-
of trained and untrained test-anxious students. If the null tion they received?). This is one reason why repeating
hypothesis is true, then if we repeated our experiment or replicating research studies is so valuable. If another
a great many times, we would expect the mean of our study—particularly one with more control groups—also
distribution of difference scores to be zero. Therefore, yields statistically significant results, we can have more
the normal distribution of difference scores would cluster confidence that the difference we obtained reflects a real
around this mean of zero. The standard deviation of this relation between the independent and dependent vari-
normal distribution can be estimated from the standard ables. But no matter how many times we repeat the
deviations of the two samples, although the mathematics experiment, we shall never move from the world of
need not concern us here. probability into the world of absolute truth.
ANSWERS TO THINKING CRITICALLY
CHAPTER 1 Internet, subscribe to that magazine, or watch that TV

show, respectively. Perhaps those who respond are more
Are the Students Lazy? motivated, have a more helpful personality, or differ in
It may be tempting to blame the students’ unresponsive- some other important way from those who don’t respond.
ness on laziness, but a radical behaviourist would not Second, it is unlikely that samples of Internet users,
focus on internal mental states to explain their inac- magazine subscribers, and TV news viewers represent the
tion. First, to say that students are unresponsive because population at large (e.g., North American adults). Do you
they’re lazy doesn’t explain anything. Consider this rea- think that the readers of Cosmopolitan, Wired, Guns &
soning: How do we know that the students are lazy? Ammo, or any magazine typify the general population?
Answer: because they are unresponsive. Therefore, if Because Internet and pop media surveys do not use ran-
we say that students are lazy because they’re unrespon- dom sampling, they are likely to generate samples that
sive and then turn around and conclude that students are are not representative of the broader population.
unresponsive because they are lazy, all we are really say- Surely, many news organizations sponsor high-quality
ing is that “students are unresponsive because they are surveys conducted by professional pollsters. The key is
unresponsive.” This is not an explanation at all but rather that these surveys, such as political polls, use appropri-
an example of circular reasoning. ate random-sampling procedures to obtain representative
From a behavioural perspective, people’s actions are samples.
shaped by the environment and learning experiences. Finally, be aware that some psychologists, especially
Put yourself in the hypothetical role of the high school those who study people’s personality and social behav-
teacher: You may not realize it, but when students sit qui- iours, are increasingly using the Internet to collect
etly, you smile and seem more relaxed. When students research data. As users surf the Web, they may find a site
participate in class discussions, you are quick to criticize that invites them to participate in an experiment or take
their ideas. In these ways you may have taught your stu- a psychological test. These studies are not surveys that
dents to behave passively. critically depend on having representative samples of
To change their behaviour, you can modify their educa- the broader population. Rather, they typically examine
tional environment so that they will learn new responses. relations among variables and underlying psychological
Reward behaviours that you want to see (raising hands, principles. Some researchers question the validity of such
correctly answering questions, and so on). For example, Internet-based studies, but proponents have shown that
praise students not only for giving correct answers but most of these concerns are unfounded. More research is
also for participating. If an answer is incorrect, point this needed, but thus far it seems that Internet-based studies
out in a nonpunitive way while still reinforcing the stu- of this type yield findings that are consistent with those
dent’s participation. obtained from more traditional types of methods (Best
Modifying the environment to change behaviour is et al., 2001; Gosling et al., 2004).
often not as easy as it sounds, but this example illustrates
one way a behaviourist might try to rearrange the envi-
Does Eating Ice Cream Cause People to Drown?
ronmental consequences rather than jump to the conclu-
sion that the situation is hopeless. Just because two variables are correlated, we cannot
conclude that they are causally related. First, consider
the bidirectionality problem. We don’t see any likely way
CHAPTER 2 that drownings could cause the rest of the public to eat
more ice cream, so let’s rule that out. Can we conclude,
Should You Trust Internet and Pop then, that more ice cream consumption causes more
Media Surveys? drownings? We suppose that, in a few cases, gorging on
Typical Internet, magazine, and phone-in surveys share ice cream shortly before swimming might enhance the
two major problems. First, people who choose to respond risk of drowning. But nationally, how often is this likely
are entirely self-selected (rather than selected by the to happen?
researcher), and the resulting samples likely do not even Now consider the third-variable problem. What other
represent the entire population of people who use the factors might cause people to eat more ice cream and
AN-2 ANSWERS TO THINKING CRITICALLY
also lead to an increase in drownings? The most obvious it makes people more resistant to malaria, the most lethal
third variable is “daily temperature” (or “month of the disease in the African environment. Because it enhanced
year”). Summer months bring hotter days, and people eat survival from malaria, the sickle-cell trait became more
more ice cream in hot weather. Likewise, on hotter days common among Africans and can therefore be seen as a
drownings increase simply because so many more people product of natural selection.
go swimming. In short, the most reasonable conclusion is These examples show us that we should be careful not
that the ice cream–drowning correlation is due to a third to oversimplify the concept of adaptation and assume
variable. that any trait that survives, whether physical or psycho-
logical, is always of benefit to the species.
CHAPTER 3
Do the Sexes Differ?
CHAPTER 5
First, you may have recognized that although the right Why Does That Rising Moon Look So Big?
hemisphere of women was more active during a language To begin with, let’s emphasize the obvious: the moon
task, what we have is a correlation between task perfor- is not actually larger when it’s on the horizon. Photo-
mance and biological activity. Does this activity play a graphs show that the size of the image cast on the retina
causal role in task performance? Is it necessary for task is exactly the same in both cases. So what psychologists
performance? We do not know at this point. Another ques- call the moon illusion must be created by our percep-
tion we might ask is whether women are more likely than tual system. Though not completely understood, the illu-
men to experience language deficits if they suffer right- sion seems to be a false perception caused by cues that
hemisphere damage. If so, this would indicate that right- ordinarily contribute to maintaining size constancy. The
hemisphere activation is more important for women. In chief suspect is apparent distance, which figures impor-
fact, we do know that women are not more likely than tantly in our size judgments. One theory holds that the
men to become aphasic if they suffer right-hemisphere moon looks bigger as it’s rising over the horizon because
damage (Brogdal, 2010). Clearly, we have more to learn we use objects in our field of vision, such as trees, build-
about possible sex differences in lateralization, but we ings, and landscape features, to estimate its distance.
are learning which questions to ask. Experiments have shown that objects look farther away
when viewed through filled spaces than they do when
CHAPTER 4 viewed through empty spaces (such as the sky over-
head). Filled space can make objects look as much as
Natural Selection and Genetic Diseases 2.5 to 4 times farther away. According to the theory, the
Genetics research shows that in most cases, there is not perceptual system basically says, “If the size of the reti-
a one-to-one relation between a particular gene and a nal image is the same but it’s farther away, then it must
particular trait. Most traits involve the influence of many be bigger.” This explanation can’t be the whole story,
genes, and a given gene can contribute to many traits. however, because some people perceive the moon on
Traits, therefore, come in packages, with some of the the horizon as being closer, rather than farther away. If
traits in the package being adaptive while others may be something the same size seems closer, it will look larger
neutral or even maladaptive. In fact, cystic fibrosis (CF) even though it isn’t. It may be that there are individual
is one such example. CF is the most commonly inherited differences in the size-judgment processes that cause
disorder among people of European descent. Why would the illusion, so that no single explanation applies to
such a damaging genetic trait survive in the gene pool? everybody.
Geneticists have found that people with CF also have
a trait that slows the release of salts into the intestine Explain This Striking Illusion
(Allen, 2010). Some scientists believe that this related trait To analyze your experience, it is important to understand
might have helped save carriers from severe dehydration that both the “tent” and the “corner” cast identical images
and death from the diarrheal diseases that killed seven on your retina. After perceiving the tent for a while, your
out of every ten newborns in medieval Europe. Perhaps brain shifted to the second perceptual hypothesis. When
CF was preserved in the population because another part the object looked like a tent, all the depth information was
of the trait package made carriers more likely to survive consistent with that perception. But when you began to
and pass on their genes. see it as a corner and then moved your head slowly back
Let us now consider sickle-cell anemia. Many people of and forth, the object seemed to twist and turn as if it were
African descent suffer from this genetically caused blood made of rubber. This occurred because, when you moved,
disorder that lowers one’s life expectancy. Why would a the image of the near point of the fold moved across
disorder that decreases survival be preserved in a pop- your retina faster than the image of the far point. This is
ulation? The answer may be that despite its negatives, the normal pattern of stimulation for points at different
the sickle-cell gene has an important redeeming quality: depths and is known as motion parallax. Thus, when you
ANSWERS TO THINKING CRITICALLY AN-3
were seeing a tent, the monocular cue of motion parallax can support about 140 kilograms on his chest with little
was consistent with the shape of the object. But when the discomfort and no need of a hypnotic trance.
object was later seen as standing upright, all the points As for the allergy experiment, we must ask whether
along the fold appeared to be the same distance away, yet allergic people might show the same reactions if they
they were moving at different rates of speed! The only were not hypnotized. Indeed, the experiment included
way your brain could maintain its “corner” perception in eight nonhypnotized control participants (Ikemi &
the face of the motion parallax cues was to see the object Nakagawa, 1962). When blindfolded and exposed to
as twisting and turning. Again, as in other illusions, forc- a toxic leaf but misled to believe that it was harmless,
ing all of the sensory data to fit the perceptual hypothesis they did not show an allergic response. Conversely, when
produced an unusual experience. their arm was rubbed with a harmless leaf but they were
falsely told it was toxic, they had an allergic reaction. In
CHAPTER 6 short, the nonhypnotized people responded the same way
as the hypnotized subjects.
Early Birds, Climate, and Culture Other research shows that under hypnosis, vision can
As a critical thinker, keep in mind that correlation does improve and stomach acidity can increase. However,
not establish causation. This is a correlational study. The well-controlled studies show that nonhypnotized subjects
major variables (climate, students, morningness) were can exhibit these same responses (Spanos & Chaves,
not manipulated; they were only measured. The associa- 1988). As with placebo effects and other mind‒body inter-
tion between climate and morningness might be causal, actions, people’s beliefs and expectations can produce
but we must consider other possible explanations. real physiological effects.
First, why might climate affect morningness? The
researchers hypothesized that to avoid performing daily CHAPTER 7
activities during the hottest part of the day, people who
live in warmer climates adapt to a pattern of rising early Was the Little Albert Study Ethical?
in the morning, a finding consistent with a prior study Imagine that we are reviewing this research proposal in
that revealed strong tendencies toward morningness 1918.
among Brazilians (Benedito-Silva et al., 1989). If you initially thought that you would not approve
Second, as the authors note, these results could be due this study, consider the following:
to factors other than climate. The Netherlands, England,
and the United States share a northern-European heritage, • Suppose the experimenters obtain Albert’s parents’
and perhaps some aspect of this common background informed consent.
predisposes people toward less morningness. Yet, say the • Although Albert will experience short-term stress, con-
authors, India’s cultural traditions are distinct from those sider the enormous potential benefits of this study. It
of Spain and Colombia, so it is difficult to apply the “com- may revolutionize thinking about phobias and lead to
mon cultural heritage” argument to explain the greater effective treatments that benefit countless people with
morningness found among students from these countries. phobias.
If not cultural heritage, perhaps the greater industrializa- • Suppose the experimenters promise to use learning
tion and summertime use of air-conditioned home and principles to extinguish Albert’s phobia immediately
work environments in the Netherlands, England, and after the study.
the United States reduce the necessity for residents to
adapt circadian cycles to local climate conditions. Aware Would you now approve the study?
of their study’s limitations, the authors suggest that cli- If your initial (or new) judgment is to approve this
mate may be just one of several factors that contribute to study, consider the following:
cross-cultural differences in morningness.
• Based on learning theory, is there not a long-term risk
Hypnosis and Amazing Feats that the phobia will generalize to other stimuli?
For any causal claim, it is important for critical thinkers • If a phobia is successfully conditioned, is it guaranteed
to think about the concept of control groups. You should that Albert will receive treatment to eliminate it? Has
keep this question in mind: What would have happened the treatment been tested with humans? What is the
anyway, even without this special treatment or interven- failure rate? If there already is good evidence that it is
tion? Applied to hypnosis, the key question is whether effective, why conduct this study?
people can exhibit these same amazing feats when they
are not hypnotized. When a stage hypnotist gets someone Applying today’s ethical standards, we believe this
to perform the human plank, the audience attributes this research proposal would have be rejected. There was
feat to the hypnotic trance. What the audience doesn’t insufficient evidence at the time to support the effective-
know is that an average man suspended in this manner ness of phobia extinction treatment with humans. An
ethical alternative approach would have been to study strategy of memorizing everything and more on
whether learning-based treatments could effectively treat trying to understand and organize the information.
patients who already had phobias. (Thompson et al., 1993, p. 15)
Can You Explain the Supermarket Tantrum? Rajan’s extraordinary memory for numbers did not
extend to reading or visual tasks, but even if yours did, it still
The father’s initial refusal to buy candy is followed by an
might tempt you to focus too heavily on sheer memorization
aversive stimulus (the tantrum). This punishes the father’s
and cause you to neglect paying attention to the meaning
response, and after two tantrums he no longer refuses the
of the material. In sum, although imperfect memory can be
request. When the father eventually gives in, this removes
frustrating and have serious consequences (as when eyewit-
an aversive stimulus (the tantrum), which negatively rein-
nesses identify the wrong suspect), we should also appre-
forces (strengthens) the response of giving in. Thus, the
ciate how our memory system is balanced between the
father’s response of refusing to buy candy is weakened by
adaptiveness of remembering and the benefits of forgetting.
punishment, and the response of giving in is strengthened
(By the way, in case you’re curious, the current con-
by negative reinforcement. Just as important, the child has
firmed record for recalling pi is 67 890 digits, held by
learned that throwing a tantrum pays off. The tantrum was
Chao Lu of China. To put this feat in perspective, imagine
positively reinforced by the consequence of getting candy.
the next 19 pages of this textbook filled up with nothing
but numbers!)
CHAPTER 8
Would Perfect Memory Be a Gift or a Curse? CHAPTER 9
No doubt, perfect memory would have advantages, but Discerning the Deep Structure of Language
were you able to think of any liabilities? Russian news-
The final words on the grave marker (“No Les No More”)
paper reporter S.V. Shereshevskió—arguably the most
consist of a single surface structure with two possible
famous mnemonist in history—had a remarkable capac-
deep structures. First, given the preceding words on the
ity to remember numbers, poems in foreign languages,
tombstone, the phrase “No Les No More” could be a play
complex mathematical formulas, nonsense syllables,
on words, which in this case is meant to represent the
and sounds. Psychologist Aleksandr Luria (1968), who
expression “No Less, No More.” In other words, Lester
studied “S.” for decades, describes how S. was tyrannized
Moore was killed by exactly four bullets, no less, no
by his seeming inability to forget meaningless informa-
more. Or, the deep structure of “No Les No More” can be
tion. Almost any stimulus might unleash a flood of trivial
interpreted as meaning that Lester is no longer among
memories that dominated his consciousness and made it
the living. Thus, like the sentence “The police must stop
difficult for him to concentrate or think abstractly.
drinking after midnight,” the inscription on this tomb-
S.’s experience may have been atypical, but perfect
stone has an ambiguous deep structure.
memory could indeed clutter up our thinking with trivial
Sometimes, interpreting ambiguous sentences yields
information. Moreover, perfect memory would deprive us
humorous results. For example, a newspaper headline
of one of life’s blessings: the ability to forget unpleasant
that reads “Squad Helps Dog Bite Victim” is intended to
experiences from our past. As illustrated in this chapter,
mean that the squad helps the victim of a dog bite. But
imperfect memory allows us to view our past through
another deep structure is that the squad helped the dog to
slightly rosy glasses (Bahrick et al., 2008).
bite the victim!
Would a perfect memory help you perform better on
exams? On test questions calling only for definitions, for- The Sleeping Policeman
mulas, or facts—probably so. But on questions asking
This actual event illustrates how top-down processing
you to apply concepts, synthesize ideas, analyze issues,
and pragmatics affect our ability to understand language.
and so forth, perfect memory might be of little benefit
First, I (your author, M.W.P.) didn’t take the storekeeper’s
unless you also understood the material. In his graduate
words literally; I did not expect to see a police officer
school classes,
sleeping on the side of the road!
Rajan had a tendency to try to commit the reading Second, in England (and Ireland and Scotland), the
assignments to memory and reproduce them on taverns often have wonderfully colourful names: The
tests. The strategy . . . is counterproductive in gradu- Drunken Duck, The Black Swan, and so on. Given this
ate courses where students are asked to apply their knowledge, would it change your interpretation of the
knowledge and understanding to new situations. . . . sleeping policeman? Indeed, I assumed that the store-
When taking tests, Rajan would write furiously . . . keeper was referring to a pub or perhaps a restaurant—
in hopes that the correct answer was some- and I interpreted his spoken words as The Sleeping
where in his response. . . . As he progressed in our Policeman. Unfortunately, driving along the road, I saw
graduate program, he tended to rely less on the nothing but farmland and homes. I returned to town and
asked the storekeeper, “When you say Sleeping Police- expectations. The results were lowered motivation to
man, are you referring to a pub?” He chuckled and said, achieve and a lack of confidence that they could accom-
“Oh no, no. You know . . . it’s that long thing in the road . . . plish their goals. Findings such as these show that capital-
the thing that slows you down.” “Ah,” I replied, “at home izing on one’s high IQ requires an interest in some domain
we call them speed bumps!” and the motivation to develop one’s gifts.
My prior top-down knowledge about the names of
English pubs shaped my assumption that the sleeping
policeman referred to a pub. When I later asked English
CHAPTER 11
friends if they had heard of the term sleeping policeman, Is Maslow’s Need Hierarchy Valid?
about half said no. Thus, the storekeeper made an erro- More than most psychological theories of motivation,
neous assumption as well—namely, that visitors would Maslow’s model appropriately emphasizes that diverse
have the background to understand the meaning of the motives influence human behaviour. The concepts of
local idiom sleeping policeman. This reflects a break- need progression and need regression seem to make
down in pragmatics: it violates the rule of clarity. Can intuitive sense. Motives do become stronger and weaker
you think of idioms (e.g., “give me a hand,” “that’s cool”) as circumstances change, and it seems logical that when
that have obvious meaning to you but which may have a people are starving, finding food becomes more impor-
literal interpretation that could confuse a foreign visitor? tant than contemplating beauty and truth.
Critics, however, have long questioned the validity
CHAPTER 10 of the need hierarchy and have argued that the concept
of “self-actualization” is vague and hard to measure
Are Gifted Children Maladjusted? (Heylighen, 1992). The ordering of needs seems arbitrary,
Like the intellectually disabled, the gifted are often and the concepts of need progression and regression can-
the victims of stereotypes. Some characterize them as not account for important aspects of motivated behav-
“geeks” and “nerds” who are eccentric and socially mal- iour. How does the hierarchy explain why a person in a
adjusted. As is the case with many stereotypes, there is a war zone would create works of art, or why political pro-
grain of truth here. A review of the scientific literature on testors go on hunger strikes or risk their physical safety
giftedness by Ellen Winner (2000) revealed that nearly a to defend abstract principles they believe in? Does a need
fourth of children with truly exceptional IQs at the high for knowledge and understanding really become promi-
end of the gifted range (around 180) have social and psy- nent only after needs for social belonging and self-esteem
chological problems, about twice the rate found in non- are met? Throughout evolution, was seeking esteem and
gifted children. Such children often have different interest recognition more important and adaptive to our ances-
patterns and encounter difficulty finding like-minded tors than acquiring knowledge to help them survive?
peers to relate to, resulting in solitude and loneliness. The Finally, rather than viewing the journey toward self-
research also revealed, however, that the vast majority actualization as a relatively independent striving to maxi-
of these highly intelligent children show adequate adjust- mize one’s potential, some modern humanists view the
ment, providing evidence against any stereotype that entire process as more relationship-oriented (Hanley &
would be applied to gifted children in general. Abell, 2002). In their view, healthy social relationships not
Consider also a project begun in the 1920s by Lewis only satisfy deficiency needs for belonging and esteem
Terman, the psychologist who developed the Stanford- but also are important for achieving and expressing
Binet test. Terman identified 1528 California children self-actualization.
who had a mean IQ of 150 and began an extensive Despite these drawbacks, by calling attention to the
study of them that continued for over 70 years. Terman human desire for growth and incorporating diverse
and the researchers who inherited the project found the motives, the intuitive appeal of Maslow’s model has influ-
“Termites,” as they were called, to be above average not enced thinking in fields such as philosophy, education,
only in intelligence but also in height, weight, strength, and business (Zinovieva, 2001).
physical health, emotional adjustment, and social matu-
rity. They continued to exhibit high levels of adjustment Can You Fool a Lie Detector?
throughout their adolescent and adult years. By midlife, Considering what you have learned about the physiology
the 1528 Termites had authored 92 books, 2200 scientific of emotion, do you think emotional arousal can tell us
articles, and 235 patents. Their marriages tended to be whether someone is telling the truth or lying? Emotional
happy and successful, and they seemed well adjusted responses are accompanied by physiological responses
psychologically (Sears, 1977). Nonetheless, some of the that we have less control over than we do with numer-
Termites underachieved and experienced social and psy- ous other behaviours. The polygraph measures respi-
chological problems. These individuals tended to come ration, heart rate, and skin conductance (a measure of
from lower-socioeconomic backgrounds and to have par- sweat gland activity)—behaviours seemingly outside of
ents who did not emphasize success or convey success our control. Polygraph examiners compare physiological
responses to critical questions (“Were you present at of other evidence. The experts were asked to judge the
the riot after the Stanley Cup game?”) with responses to guilt or innocence of the suspects. They usually did quite
control questions that make no reference to the crime well in identifying the guilty, attaining accuracy rates of
or crime scene (“Do you watch hockey?”). If there is a 80 to 98 percent (Honts & Perry, 1992). However, they were
response to the critical question but not to the control less accurate in identifying the innocent, judging as many
question, the interpretation is that the examinee lied as 55 percent of the truly innocent suspects to be guilty
when responding to the critical question, that made him in some studies (Kleinmuntz & Szucko, 1984; Lykken,
or her anxious, and the physiological changes accompa- 1984). These error rates call into question the adage that
nying anxiety were detected by the polygraph. an innocent person has nothing to fear from a polygraph
The issue, however, is whether the response to a criti- test. On the other hand, guilty people who fail poly-
cal question means that the person was lying. Herein graph tests sometimes confess to the crime as a result
lies one major problem with polygraph tests. Innocent (Ruscio, 2005).
people may appear guilty when doubt, fear, or lack of Largely because of an unacceptably high likeli-
confidence increases their autonomic activity (Iacono, hood that an innocent person might be judged guilty,
2008; Lilienfeld et al., 2010). Even thoughts like “What if the American Psychological Association has supported
my answer makes me look guilty, even though I’m not?” legal challenges to polygraph testing. Congressional
or “I’m nervous and my voice sound shaky, does that testimony by psychologists strongly influenced pas-
make me seem guilty?” in response to a critical question sage of the U.S. Employee Polygraph Protection Act of
could send the polygraph pens moving in a way that sug- 1988, which prohibits most nongovernmental polygraph
gests a lie. Similarly, the content of a question that refers testing. Moreover, polygraph results alone cannot be
to a grisly crime may generate an emotional response used to convict people of crimes in most jurisdictions
regardless of a person’s guilt or innocence. Research on (Daniels, 2002). Nonetheless, local and federal govern-
polygraph tests has found an especially high rate of false ments continue to use polygraph tests in internal crimi-
positives; that is, identification of an innocent person as nal investigations and in police officer and national
guilty (Honts & Perry, 1992). security screening, despite the weight of research
Not only can innocent people appear guilty, but guilty evidence against their validity for these purposes
people can learn to “beat” the polygraph and appear (Cochrane et al., 2003; Kleiner, 2002).
innocent. Someone may appear innocent by generat-
ing a response to both critical and control questions or CHAPTER 12
by generating no response to any question. By biting
their tongue, curling their toes, or contracting their anal Shy Child, Shy Adult?
sphincter when control questions are asked, people can Researchers have conducted longitudinal studies to find
produce an arousal response to those questions that is out whether temperament characteristics identified in chil-
similar to the response that occurs when they actually lie dren predict their adult temperaments. For example, in
on critical questions. Conversely, if someone was guilty the United States and Sweden, inhibited 8- to 12-year-old
of a crime but had no remorse or emotional reaction to boys are more likely than their non-inhibited peers to delay
the crime, or if they were sufficiently practised in relax- marriage and fatherhood, while shy American girls are
ation techniques, critical questions may not generate any more likely to quit work and become homemakers after
change despite the person’s guilt. marriage (Caspi et al., 1988; Kerr et al., 1996). What about
Tellingly, William Casey, Director of the U.S. Central temperament in early childhood? Denise Newman and
Intelligence Agency (CIA) in the 1980s, used to delight colleagues (1997) measured the temperament of 961 New
in his ability to fool the lie detector (Carlson & Hatfield, Zealanders at age three, based on a 90-minute observation
1992). Fred Fay, a prison convict who had been falsely of each child. At age 21, participants were studied again.
convicted of murder partly on the basis of a polygraph Compared with three-year-olds with a “well-adjusted tem-
test, also became an expert at defeating polygraph tests perament,” those who were “undercontrolled” (i.e., irri-
(too late, unfortunately, for his acquittal). On one occa- table, impulsive, inattentive) reported more antisocial
sion, Fay coached 27 fellow inmates who were scheduled behaviour in adulthood and greater conflict in family and
for polygraph tests. All of the inmates told Fay they were romantic relationships, and they were more likely to have
guilty of the relevant crimes. Yet after only 20 minutes been fired from a job. In contrast, children with an “inhib-
of instruction, 23 of the 27 inmates managed to beat the ited temperament” (i.e., socially shy and fearful) reported
polygraph (Lykken, 1981). Such results sharply contra- having less overall companionship in adulthood. Attempts
dict the notion of an infallible lie detector. to relate certain temperament characteristics to adult psy-
Misgivings about the validity of polygraph tests are chopathology—such as the characteristic of childhood
supported by studies in which experienced polygraph behavioural inhibition (similar to extreme shyness)—with
examiners were given the polygraph records of sus- later anxiety disorders have had some degree of success
pects known to be either innocent or guilty on the basis (Tincas, Benga, & Fox, 2006).
While there is evidence that temperament can be empathy causes us to feel distress when we learn of oth-
relatively stable as the individual ages, predicting how ers’ suffering, so by helping them we reduce our own
any individual infant or child will turn out as an adult personal distress—a self-focused, egoistic goal, not an
is very difficult. Many factors influence development, altruistic one (Cialdini et al., 1987).
and even during childhood strong temperaments often Batson and many psychologists believe that while ego-
mellow (Pfeifer et al., 2002). Furthermore, temperament istic motives account for some prosocial behaviour, at
classifications vary depending on context and observ- times people do help others for purely altruistic reasons
ers (parents versus trained observers; e.g., Hane, Fox, (Batson, 2006). Yet other psychologists remain uncon-
Polak-Toste, Ghera, & Gunner, 2006). Given these consid- vinced, arguing that some negative state relief is always
erations, it is remarkable that Newman and colleagues involved (Cialdini et al., 1997).
were able to use a mere 90 minutes of observing three- Recent brain-imaging findings add some provocative
year-olds to predict (albeit modestly) different patterns fuel to this debate. Empathizing with someone else’s pain
of adult adjustment 18 years later. does not produce the same sensations (i.e., somatosen-
sory cortex activation) that we experience when we are
Cohabitation as a “Trial Marriage” in pain, but it does activate many of the brain areas (e.g.,
Large national surveys in several countries, includ- other parts of the cortex, brain stem, thalamus, and cer-
ing Canada, Germany, Sweden, and the United States, ebellum) that process emotional aspects of our own pain
have found that premarital cohabitation is associated (Singer et al., 2004). Moreover, people who feel greater
with a higher risk of subsequent divorce (Heaton, 2002). empathy for another’s pain experience greater activation
For example, according to Statistics Canada, in 2002 in these brain areas. So what do you think? Does this sug-
Canadian couples who cohabited before marriage gest that when helping behaviour stems from empathy, it
were twice as likely to separate than those who did not does indeed involve negative state relief and therefore is
cohabit. Many researchers, however, believe that the not purely altruistic?
cohabitation-divorce relation does not reflect cause and
effect. Rather, couples who choose to cohabit before CHAPTER 14
marriage appear to differ psychologically from couples
who do not cohabit first. They tend to be less religious Is Self-Actualization a Useful
and less committed to their partners and to marriage Scientific Construct?
as an institution (Stanley et al., 2006). Taken together, Self-actualization is a centrepiece of some humanistic
these pre-existing factors would increase the risk of theories, but it is troublesome from a scientific perspec-
divorce even if these couples had not cohabited before tive. Some critics believe that it is impossible to define
tying the knot. In some studies, when researchers focus an individual’s actualizing tendency except in terms of
on cohabiting couples who start out with a strong orien- the behaviour that it supposedly produces. This would
tation toward marriage, they find that the risk of divorce be an example of circular reasoning: Why did the person
is no higher and the quality of marital relations is no achieve such success? Because of self-actualization. How
poorer than among couples who did not cohabit prior to do we know self-actualization was at work? Because the
marriage (Bruederl et al., 1997). Still, research does not person achieved great success.
support the view that, overall, cohabitation reduces the Unless a construct can be operationally defined in a
risk of subsequent divorce. manner independent of the phenomenon it is supposed
to cause, it is not scientifically useful. A construct must
CHAPTER 13 also be measurable. While it is true that concepts related
to the self-actualization motive (such as people’s beliefs
Does Pure Altruism Really Exist? that they are fulfilling their potential) could potentially
Do you believe that people ever help others for purely be measured, most psychologists suggest that rather than
altruistic reasons? Perhaps your response is “Sure. Some being a scientific construct, self-actualization is better
Good Samaritans care only about the victim’s welfare considered a philosophical concept.
and even help people at a cost to themselves.” Certainly,
people make anonymous donations to charities and help Criminal Profiling: Analyzing the Criminal Mind
strangers when no one (including the recipient) is taking Television shows such as Criminal Minds and CSI:
note of their good deeds. In such cases, we can seemingly Crime Scene Investigation have popularized the idea
rule out motives for helping based on gaining recognition that profilers can analyze the criminal mind based on
or others’ approval. But still, doesn’t helping someone crime-scene data and their expert knowledge of person-
make us feel good about ourselves? ality and behaviour. The use of criminal profiling has
Moreover, by helping someone, don’t we feel bet- been documented in a number of countries, including
ter knowing that the person’s plight has been reduced? Canada (Clark, 2002; Snook, 2009), and many police
According to the negative state relief model, high officials and mental-health professionals believe that
profilers provide unique insights that assist in solving consistent, useful descriptions. Accuracy may improve
crimes (Snook et al., 2008). with new approaches that use scientifically based statisti-
The evidence, however, suggests a more modest con- cal methods (Goodwill et al., 2009). However, such meth-
clusion about the usefulness of profiles. Brent Snook, ods will also bear the burden of demonstrating “beyond a
of Memorial University, Newfoundland, and colleagues reasonable doubt” that profiling improves on what police
reviewed the results of controlled studies of profiling already do to identify and apprehend criminals.
and found that expert profilers did only slightly bet-
ter than university students and psychologists without CHAPTER 15
forensic experience in overall accuracy of their predic-
tions (Snook et al., 2007). Even more surprising was the Do Stressful Events Cause
finding that profilers were actually less accurate than Psychological Distress?
the nonexperts when describing offenders’ physical As we noted, the relation between stress and distress
characteristics (e.g., sex, race, and age), personality- is correlational. Time to think critically and challenge
related characteristics (e.g., motives, thought processes, the causal interpretation. Certainly, it is possible that
guilt), and personal characteristics (e.g., education, life stress causes psychological distress—and there are
social class, marital status). various kinds of evidence to suggest that it does. But
Why does profiling enjoy such a high profile and high it is also possible that distress may be the causal factor
level of credibility? One reason is that sometimes pro- instead of the effect. That is, distressed people may be
filers are correct and these “hits” are widely reported more likely than nondistressed people to remember and
because they are newsworthy. This provides exposure report negative things that have happened to them. Or
to successful but not unsuccessful outcomes. A sec- they may tend to view events as negative, whereas those
ond reason is that profilers often provide information not experiencing distress may view the same events as
on the number of correct predictions they have made neutral or even positive. Moreover, psychological distress
but not on the percentage of correct predictions (Snook could actually cause people to behave in ways that pro-
et al., 2008). It might impress you that in 21 criminal duce more negative events. For example, research has
cases expert profilers provided a total of 158 correct shown that anxious and depressed people often evoke
descriptions of criminals’ personal characteristics. How- negative reactions from others because of their gloomy
ever, you might be less impressed when you learn that in outlook and their tendency to frustrate others’ attempts
these 21 cases the profilers made a total of 880 descrip- to help them feel better (remember our discussion of
tive statements; that is, 82 percent of their statements reciprocal determinism from Chapter 14).
were incorrect (Alison et al., 2003). And that is not all: Another possibility is that some
Another issue is that we tend to find vague, general other variable causes both negative life events and psy-
statements believable. If we told you that we had devel- chological distress to go up or down, thus creating an
oped a new personality test and according to our test “you apparent relation between them. The Big Five personal-
sometimes have doubts about some of your abilities,” ity trait of Neuroticism, discussed in Chapter 14, might
“you have a short attention span when dealing with bor- be such a third variable. We know that people who are
ing people,” “you have a desire to be liked and admired by high in neuroticism have a tendency to experience a lot
others,” and “you are strongly committed to a successful of negative emotions and to get themselves into stressful
future,” you might think we had a pretty good test. But if situations through their self-defeating behaviours (Lahey,
we gave those statements to 50 of your classmates, they 2009). Differences in neuroticism could thus cause the
would probably think the same thing even though they relation between stress and distress.
differ from you in important ways. Snook and colleagues These different causal possibilities remind us that
(2007) found that many of the statements made by pro- stressful life events are part of a network of causal rela-
filers were vague, widely applicable statements such as tions and that stressful life events can function as either a
“the person has sexual concerns, has had conflicts with cause or an effect.
his family, and has trouble controlling his impulses when
stress becomes overwhelming or things get very boring,”
or (in the case of a serial axe murderer) “the perpetrator
CHAPTER 16
has mental-health issues.” The problem is that such state- “Do I Have That Disorder?”
ments are likely to apply to a very large proportion of Wondering if you have a psychological disorder when
the criminal (and even non-criminal) population. Vague, reading a description of it is quite understandable. We all
broadly applicable statements can also be found in areas experience problems in living at various times, and we
such as astrology. may react in ways that bear similarities to the disorders
What is the thinking critically verdict on criminal pro- described in this chapter. Logically, seeing such a similar-
filing? Particularly when traditional intuitive methods ity does not necessarily mean that you have the disorder
are used, there is little evidence that profiling provides at a clinically significant level. On the other hand, if you
find that maladaptive behaviours such as those described have gotten better”)? Rationalization could also account for
in this chapter are interfering with your happiness or per- the apparent superiority of long-term therapy, where more
sonal effectiveness, then you should not hesitate to seek time and money were expended, as well as the tendency to
professional assistance in changing these behaviours. In return the questionnaire and share the success story.
addition to the three D’s discussed earlier (distress, dys- Third, what has the CR study told us about the more
function, and deviance), you will want to consider the important specificity question? We don’t know if some
frequency with which the particular behaviours or expe- matches of clinical problems with specific forms of ther-
riences occur, as well as their intensity and their duration. apy yielded better outcomes than others. In fact, we can’t
When problem behaviours occur frequently, are intense, even be sure about what kinds of therapy were admin-
and/or last for a long time, they are more likely to be istered, because respondents didn’t describe their treat-
clinically significant. In such a case, it is important not ments in detail.
to let any stigma you might attach to having a psycho- Fourth, how about the absence of a control group?
logical problem keep you from acting in your best inter- Can we rule out spontaneous remission of symptoms?
est and discussing your problem with a mental-health As we saw in Chapter 15, many mental-health prob-
professional. lems (e.g., depression and anxiety) fluctuate or improve
with time. People who are assessed at their low points,
CHAPTER 17 when they are most likely to seek therapy, are almost
certain to improve, with or without therapy (Mintz et al.,
Do Survey Results Provide an Accurate 1996). Could this factor alone explain the respondents’
Picture of Treatment Effectiveness? perceptions that they had improved? As Seligman him-
Seligman’s conclusion that the CR survey provides a real- self conceded, “Because there are no control groups, the
istic appraisal of treatment effects is thought-provoking, CR . . . study cannot tell us directly whether talking to
but before you accept this conclusion, you should con- sympathetic friends or merely letting time pass would
sider some of the survey’s shortcomings. First, consider have produced just as much improvement as treatment
the nature of the CR sample. Only 1.6 percent of the by a mental-health professional” (1995, p. 972). Despite
original 184 000 people contacted described their therapy the interpretive challenges that attend community studies
experience. Is it possible that among the other 98.4 per- like this, psychotherapy researchers agree that it is criti-
cent are a significant number of people who had been in cally important to see how well the treatment principles
therapy with unfavourable results and chose not to share and techniques identified in controlled studies work in
their experiences? If so, the effectiveness of therapy the real world (Westen et al., 2004). One way to accom-
could be exaggerated in this self-selected sample. plish this is by systematically measuring the variables of
Second, what about the nature and quality of the data? interest within individual cases being seen by practising
We have only global, after-the-fact reports from clients. therapists in the community. A large number of single-
There is no way to corroborate respondents’ reports with client case studies containing such measurement can
other sources of data. How do we know that they are not provide important data on the effectiveness of specific
biased by memory distortions or by rationalizing their therapies and the factors that influence those outcomes
investment (“If I spent that much time and money, I must (Goldfried & Eubanks-Carter, 2004).
GLOSSARY
A adaptations changes that allow organ- amplitude the vertical size of the sound
isms to meet recurring environmental wave, which gives rise to the perception
abnormal behaviour behaviour that is challenges to their survival, thereby of loudness and is measured in terms of
personally distressful, personally dys- increasing their reproductive ability decibels
functional, and/or so culturally deviant adolescence the period of development amygdala a limbic system structure that
that other people judge it to be inappro- and gradual transition between childhood helps to organize emotional response
priate or maladaptive and adulthood patterns
absolute refractory period a time of adolescent egocentrism highly self- analytic psychology Jung’s expansion of
recovery during which a cell membrane focused thinking, particularly in the Freud’s notion of the unconscious; Jung
is not excitable and cannot generate earlier teenage years believed that humans possess not only
another action potential adoption study a research method a personal unconscious based on their
absolute threshold the lowest intensity in behaviour genetics in which adopted life experiences, but also a collective
at which a stimulus can be detected cor- people are compared on some charac- unconscious that consists of memories
rectly 50 percent of the time teristic with both their biological and accumulated throughout the entire his-
abstinence violation effect a reaction adoptive parents in an attempt to deter- tory of the human race
that can occur when substance misus- mine how strong a genetic component anorexia nervosa an eating disorder
ers fail to remain abstinent and view the the characteristic might have involving a severe and sometimes fatal
lapse as proof that they will never be aerobic exercise sustained activity that restriction of food intake
strong enough to resist temptation; may elevates the heart rate and body’s need anterograde amnesia memory loss for
result in a total relapse for oxygen events that occur after the initial onset of
acceptance and commitment therapy agoraphobia a phobia centred around amnesia
(ACT) a therapy that focuses on the open spaces and public places antisocial personality disorder a
process of mindfulness as a vehicle for alcohol myopia when intoxicated, a disorder involving behaviour that is
change; teaches clients to “just notice,” “short-sightedness” in thinking (a failure interpersonally destructive and emo-
accept, and embrace their thoughts and to consider consequences) caused by tionally harmful and exhibits a lack of
feelings to reduce the anxiety they would an inability to pay attention to as much conscience
ordinarily evoke information as when sober anxiety disorders a group of behaviour
accommodation the process by which algorithms procedures, such as disorders in which anxiety and associ-
new experiences cause existing schemas mathematical formulas, that automati- ated maladaptive behaviours are the core
to change cally generate correct solutions of the disturbance
acetylcholine (ACh) an excitatory neu- to problems aphasia the loss of ability to understand
rotransmitter that operates at synapses all-or-none law the fact that an action speech (receptive aphasia) or produce it
with muscles and is also the transmitter in potential is not proportional to the inten- (productive aphasia)
some neural networks involved in memory sity of stimulation; a neuron either fires applied behaviour analysis a process
achievement goal theory a theory of with maximum intensity or it does not (also called behaviour modification) in
achievement motivation that stresses fire (compare with graded potential) which operant conditioning is combined
the goals (ego versus mastery) and alleles the two genes, one on each chro- with scientific data collection to solve
motivational climates that influence mosome, that control the same trait individual and societal problems
achievement strivings alpha waves a brain-wave pattern of 8 applied research research involving the
achievement test a measure of an indi- to 12 cycles per second that is charac- application of scientific knowledge to
vidual’s degree of accomplishment in a teristic of humans in a relaxed waking solve practical problems
particular subject or task based on a rela- state approach-approach conflict a conflict
tively standardized set of experiences altruism behaviour that occurs when one in which an individual is simultaneously
action potential a nerve impulse result- individual helps another, but in so doing attracted to two incompatible positive goals
ing from the depolarization of an axon’s accrues some cost approach-avoidance conflict a conflict
cell membrane Alzheimer’s disease a brain disorder in which an individual is simultaneously
action potential threshold the inten- that is the leading cause of dementia in attracted to and repelled by the same goal
sity of stimulation (excitatory minus the elderly, accounting for about 60 per- aptitude test a measure of a person’s
inhibitory) needed to produce an action cent of senile dementias ability to profit from further training or
potential amphetamine psychosis schizophrenia- experience in an occupation or a skill;
activation-synthesis theory the theory like hallucinations and delusions that usually based on a measure of skills
that dreams represent the brain’s attempt occur when the brain’s dopamine activ- gained over a person’s lifetime rather
to interpret random patterns of neural ity is artificially increased far beyond than during a specific course of study
activation triggered by the brain stem normal levels by continuous, heavy archetypes in Jung’s theory, innate con-
during REM sleep amphetamine use cepts and memories (e.g., God, the hero,
GLOSSARY GL-2
the good mother); memories that reside avoidance-avoidance conflict a con- in behaviour, including biochemical and
in the collective unconscious flict in which an individual must choose brain processes as well as genetic and
archival measures records or documents between two alternatives, both of which evolutionary factors
that already exist she or he wishes to avoid biologically based mechanisms
assimilation in cognitive development, axon an extension from one side of the neu- mechanisms that receive input from the
the process by which new experiences ron cell body that conducts nerve impulses environment, process the information,
are incorporated into existing schemas to other neurons, muscles, or glands and respond to it
association cortex the areas of the biopsychology (neuroscience) a sub-
cerebral cortex that do not have sensory field of psychology that focuses on the
or motor functions but are involved in
B biological underpinnings of behaviour
the integration of neural activity that basal ganglia a part of the brain made up bipolar cells the second layer of retinal cells
underlies perception, language, and other of five distinct structures that is critical with which the rods and cones synapse
higher-order mental processes for voluntary motor control bipolar disorder mood disorder in which
associative network the view that long- basic research research designed to intermittent mania appears against a
term memory is organized as a massive obtain knowledge for its own sake background of depression
network of associated ideas and concepts basilar membrane a membrane that runs blindsight a disorder in which people are
attachment the strong emotional bond the length of the cochlea and contains blind in part of their visual field yet, in
that develops between children and their the organ of Corti and its sound receptor special tests, respond to stimuli in that
primary caregivers hair cells field despite reporting that they cannot
attention-deficit/hyperactivity disorder behaviour genetics the scientific study see those stimuli
(ADHD) disorder in which problems of the role of genetic inheritance in blood-brain barrierr specialized lining
may take the form of attentional dif- behaviour of cells in the brain’s blood vessels that
ficulties, hyperactivity-impulsivity, or behaviour modification therapeutic pro- screen out foreign substances while let-
a combination of the two that results in cedures based on operant conditioning ting nutrients pass through to neurons
impaired functioning principles, such as positive reinforce- borderline personality disorder (BPD)
attitude a positive or negative evaluative ment, operant extinction, and punishment a collection of symptoms characterized
reaction toward a stimulus (e.g., toward behavioural assessment explicit coding primarily by serious instability in behav-
a person, action, object, or concept) system devised by psychologists that iour, emotion, identity, and interpersonal
attributions judgments about the causes contains the behavioural categories of relationships
of our own and other people’s behaviour interest bottom-up processing perceptual pro-
and outcomes behavioural neuroscience the study of cessing that begins with the analysis of
authoritarian parents caregivers who brain processes and other physiological individual elements of the stimulus and
exert control over their children but do functions that underlie our behaviour, works up to the brain’s integration of
so within a cold, unresponsive, or reject- sensory experiences, emotions, and them into a unified perception
ing relationship thoughts brain stem the portion of the brain
authoritative parents caregivers who behavioural perspective a view that formed by the swelling of the spinal cord
are controlling, but warm; they establish emphasizes the manner in which the envi- as it enters the skull; its structures regu-
and enforce clear rules within a caring, ronment and the learning experiences it late basic survival functions of the body,
supportive atmosphere provides shape and control behaviour such as heart rate and respiration
autistic spectrum disorder long-term behaviourism school of psychology that British empiricism 17th-century school
disorder characterized by extreme emphasizes the role of learning and envi- of philosophy championed by John Locke,
unresponsiveness to others, poor commu- ronmental control over behaviour, and according to which all the contents of the
nication skills, and highly repetitive and maintains that the proper subject matter mind are gained experientially through
rigid behaviour patterns of psychology is observable behaviour; the senses; this notion was later a corner-
automatic processing mental activities John Watson and B.F. Skinner were major stone for the behaviourists’ position that
that occur automatically and require figures in behaviourism we are shaped through our experiences
minimal or no conscious control or belief bias the tendency to abandon logi- Broca’s area a region of the left frontal
awareness cal rules and form a conclusion based on lobe involved in speech production
autonomic nervous system the branch one’s existing beliefs bulimia nervosa a disorder involving the
of the peripheral nervous system that beta waves a brain-wave pattern of 15 to bingeing and purging of food, usually by
stimulates the body’s involuntary muscles 30 cycles per second that is characteristic vomiting or laxative use, because of a
(e.g., heart) and internal organs of humans who are in an alert waking concern with becoming fat
availability heuristic a guideline used state bystander effect the finding that the
to make likelihood judgments based on between groups (or between subjects) presence of multiple bystanders inhibits
how easily examples of that category of design a common experimental design each person’s tendency to help, largely
events come to mind, or are “available” in which each experimental group is com- because of social comparison or diffu-
in memory posed of a different set of participants sion of responsibility
aversion therapy the pairing of a CS that binocular cues depth cues that require
currently evokes a positive but maladap- the use of both eyes
tive response with a noxious UCS in an binocular disparity the binocular depth
C
attempt to condition repulsion toward cues produced by the projection of case study an in-depth analysis of an
the CS slightly different images of an object on individual group or an event
avoidance conditioning the conditioning the retinas of the two eyes catharsis the discharge of aggressive
of an organism to perform a response to biological perspective perspective that energy and temporary reduction of
avoid an undesirable consequence focuses on the role of biological factors the impulse to aggress argued to occur
GL-3 GLOSSARY
through performing an act of affecting our thoughts and giving us concrete operational stage in Piaget’s
aggression information; these cognitive processes theory, the stage of cognitive develop-
CCK (cholecystokinin) a peptide that allow us to control our behaviour and the ment during which children can perform
appears to decrease eating and thereby environment basic mental operations concerning
helps to regulate food intake cognitive map a mental representation of problems that involve tangible (i.e., “con-
central nervous system portion of the the spatial layout of an area crete”) objects and situations
nervous system that includes the brain cognitive neuroscience the study of the conditioned response (CR) in classical
and spinal cord brain activity of people engaging in cog- conditioning, a response to a conditioned
central route to persuasion occurs nitive tasks stimulus; the CR is established by pairing
when people think carefully about a mes- cognitive perspective psychological per- a conditioned stimulus with an uncon-
sage and are influenced because they spective that views humans as rational ditioned stimulus that evokes a similar
find the arguments compelling information processors and problem solv- response
cephalocaudal principle the tendency ers, and focuses on the mental processes conditioned stimulus (CS) a neutral
for physical development to proceed in a that influence behaviour stimulus that comes to evoke a condi-
head-to-foot direction cognitive-process dream theories tioned response after being paired with
cerebellum a convoluted hindbrain struc- theories that focus on how (rather than an unconditioned stimulus
ture involved in motor coordination and why) we dream, and propose that dream- conditioned taste aversion a learned
some aspects of learning and memory ing and waking thought are produced by repulsion to a food that formerly was
cerebral cortex the grey, convoluted the same mental systems in the brain neutral or desired, by virtue of pairing
outer covering of the brain that is the cognitive process theories approaches the food with an aversive UCS (e.g., nau-
seat of higher-order sensory, motor, per- to intelligence that analyze the men- sea, stomach illness)
ceptual, and mental processes tal processes that underlie intelligent conditions of worth internalized
chaining an operant conditioning pro- thinking standards of self-worth fostered by con-
cedure used to develop a sequence cognitive psychology the study of men- ditional positive regard from others
(chain) of responses by reinforcing each tal processes, especially from a model conduction deafness hearing loss caused
response with the opportunity to perform that views the mind as an information by damage to the mechanical system that
the next response processor conducts sound waves to the cochlea
chromosomes tightly coiled strands of common factors therapeutic elements cones photoreceptors in the retina that
deoxyribonucleic acid (DNA) and protein that are possessed by virtually any type function best in bright light and are dif-
that contain the genes of therapy and which may contribute ferentially sensitive to red, green, or blue
chunking combining individual items into to the similar positive effects shown by wavelengths; the retina’s colour receptors
larger units of meaning many different treatment approaches confirmation bias the tendency to seek
circadian rhythms biological cycles communicator credibility how believ- and favour information that reinforces
within the body that occur on an approxi- able a communicator is our beliefs rather than to be open to dis-
mately 24-hour cycle companionate love an affectionate rela- confirming information
classical conditioning a procedure in tionship characterized by commitment confounding of variables in an experi-
which a formerly neutral stimulus (the and caring about the partner’s well-being; ment, the intertwining of the independent
conditioned stimulus) comes to elicit a sometimes contrasted with passionate variable with another, uncontrolled vari-
conditioned response by virtue of being love, which is more intensely emotional able, preventing people from being able
paired with an unconditioned stimulus compensatory response bodily response to tell which variable is responsible for
that naturally elicits a similar response that opposes a drug’s effects and occurs changes in the behaviour of interest (i.e.,
(the unconditioned response) in an attempt to restore homeostasis the dependent variable)
clinical psychology the study and treat- competency a legal decision that a congruence consistency between self-
ment of mental disorders defendant is mentally capable of under- perceptions and experience
clinical significance a definition of standing the nature of criminal charges, consciousness our moment-to-moment
therapeutic success in which, at the end participating meaningfully in a trial, and awareness of ourselves and our environ-
of therapy, an individual getting treat- consulting with a lawyer ment; consciousness involves selective
ment for a particular disorder falls within competency-focused prevention pre- attention to ongoing thoughts, percep-
the range of people not experiencing that vention programs that are designed to tions, and feelings
particular disorder rather than simply enhance the personal resources needed conservation the principle that basic
experiencing the disorder less often to cope with situations that might other- properties of objects, such as their
cochlea a small coil-shaped structure of wise cause psychological disorders mass or quantity, stay the same (are
the inner ear that contains the receptors compulsion a repetitive act that the per- “conserved”) even though their outward
for sound son feels compelled to carry out, often in appearance may change
cognitive appraisal the process of mak- response to an obsessive thought or image construct validity the extent to which
ing judgments about situations, personal computerized axial tomography (CT) a test measures the psychological con-
capabilities, likely consequences, and the scan a method of scanning the brain struct (e.g., intelligence, anxiety) that it is
personal meaning of consequences with narrow beams of X-rays that purported to measure
cognitive-arousal model of love the are then analyzed and combined by a content validity the extent to which test
view that passionate love has interacting computer to provide pictures of brain items adequately sample the domain that
cognitive and physiological components structures from many different angles the test is supposed to measure (e.g.,
cognitive behaviourism behavioural concept a mental category containing intelligence, mathematical reasoning)
approach that incorporates cognitive similar objects, people, and events context-dependent memory the
concepts, suggesting that the environ- concordance the likelihood that two peo- phenomenon that it is typically easier
ment influences our behaviour by ple share a particular characteristic to remember something in the same
GLOSSARY GL-4
environment in which it was originally stimulation (e.g., perceptual) is required defence mechanisms unconscious pro-
learned or experienced for normal development to occur cesses by which the ego prevents the
continuous reinforcement schedule cross-cultural replication the process of expression of anxiety-arousing impulses or
a reinforcement schedule in which repeating a study to determine whether allows them to appear in disguised forms
each correct response is followed by the original findings generalize across deindividuation a state of increased ano-
reinforcement different cultures nymity in which a person, often as part
control group in an experiment, the cross-sectional design a research design of a group or crowd, engages in disinhib-
group that is not exposed to the treat- that simultaneously compares people ited behaviour
ment, or which receives a zero level of of different ages at a particular point in deinstitutionalization the attempt to
the independent variable time move the primary locus of treatment
controlled (effortful) processing men- crystallized intelligence (gc) intellec- from mental hospitals to the community
tal processing that requires some degree tual abilities that depend on a store of delay discounting the decrease in value
of volitional control and attentiveness information and the acquisition of partic- of a future incentive as a function of its
conventional moral reasoning moral ular skills (contrast to fluid intelligence) distance in time
judgments that are based on conformity cultural competence a set of therapeutic delay of gratification the ability to
to social expectations, laws, and duties skills (including scientific mindedness), forgo immediate rewards for delayed but
convergence a binocular depth cue pro- the ability to consider both cultural and more satisfying outcomes
duced by the muscles that rotate the eyes individual factors, and the capacity to delta waves low-frequency, high-amplitude
as they focus on nearby objects introduce culture-specific elements into brain waves that occur in stage 3 sleep
conversion disorder disorder in which therapy with people from minority cultures and predominate in stage 4 sleep
serious neurological symptoms, such as cultural psychology the study of how delusions false beliefs, often involving
paralysis, loss of sensation, or blindness, culture is transmitted to a society’s themes of persecution or grandeur, that
suddenly occur members are sustained in the face of evidence that
cooperation situations in which one culture the enduring values, beliefs, normally would be sufficient to destroy
individual helps another and in so doing behaviours, and traditions that are them
gains some advantage shared by a large group of people and dementia the gradual loss of cognitive
coping self-efficacy beliefs relating passed from one generation to the next abilities that accompanies brain dete-
to our ability to deal effectively with a culture-bound disorders behaviour rioration and interferes with normal
stressful stimulus or situation, including disorders whose specific forms are functioning
pain restricted to one particular cultural dendrites small branching fibres that
corpus callosum a broad band of white, context extend from the soma of a neuron and
myelinated fibres that connect the left receive messages from adjacent neurons
and right cerebral hemispheres and allow dependent variable in an experiment,
the two hemispheres to communicate
D the factor that is measured by the
with each other dark adaptation the progressive increase researcher and which presumably is
correlation coefficient a statistic that in brightness sensitivity that occurs over influenced by the independent variable
indicates the direction and strength of a time as photopigments regenerate them- depolarization the reversal of the rest-
relation between two variables selves during exposure to low levels of ing potential of a neuron’s cell membrane
correlational research research that illumination that produces the action potential
measures two or more naturally occur- debriefed the action of telling deceived depressants drugs—including alcohol,
ring variables, and examines whether experiment participants the true purpose barbiturates, and tranquilizers—that
they are statistically related of the study at the end of the experiment reduce neural activity and may decrease
cortisol a hormone produced during a decay theory the theory that with time feelings of tension and anxiety
period of stress that triggers an increase and disuse the physical memory trace in depressive attributional pattern the
in blood sugars, which is then provided the nervous system fades away tendency of depressed people to attri-
to the skeletal muscles along with decibel (db) a logarithmic measure of bute negative outcomes to their own
additional oxygen; also suppresses the sound intensity inadequacies and positive ones to factors
immune system decision criterion in signal detection outside themselves
counterbalancing a procedure in theory, the potentially changing standard depressive cognitive triad negative
which participants in an experiment are of how certain a person must be that a thoughts concerning (1) the world,
exposed to all the conditions; the order of stimulus is present in order to report its (2) oneself, and (3) the future that
conditions is varied so that no condition presence people with depression cannot control or
has an advantage relative to the others declarative memory our memory for suppress
counterconditioning the process of factual knowledge, which is composed deprivation experiment method of
conditioning an incompatible response of two subcategories: knowledge per- determining the critical periods during
to a particular stimulus to eliminate a taining to personal experience (episodic which certain experiences must occur for
maladaptive response (e.g., anxiety), as memory) and knowledge of general facts the related brain mechanisms to develop
occurs in systematic desensitization and language (semantic memory) normally
creativity the ability to produce some- deductive reasoning reasoning from a descriptive research research in which
thing that is both new and valuable general principle to a specific case the main goal is to carefully describe
criterion-related validity the ability of deep structure a linguistic term that how organisms behave, particularly in
test scores to correlate with meaningful refers to the underlying meaning of a natural settings
criterion measures spoken or written sentence; the meanings descriptive statistics data that summa-
critical period a time period in which that make up deep structure are stored as rize and describe the characteristics of a
exposure to particular kinds of concepts and rules in long-term memory set of scores
GL-5 GLOSSARY
developmental psychology a subfield of makes a large request, expecting you elaborative rehearsal focusing on the
psychology that examines changes in our to reject it, and then presents a smaller meaning of information or relating it to
biological, physical, psychological, and request other things we already know
behavioural processes as we age dopamine an excitatory neurotransmitter electroconvulsive therapy (ECT) a
dialectical behaviour therapy (DBT) a whose overactivity may underlie some biomedical technique involving the appli-
cognitive-behavioural treatment developed of the disordered behaviours seen in cation of electrical current to the brain
specifically for borderline personality schizophrenia that is used primarily to reduce severe
disorder dopamine hypothesis view that the depression
difference threshold the smallest differ- symptoms of schizophrenia are produced electroencephalogram (EEG) a device
ence between two stimuli that people can by overactivity of the dopamine system used to record the simultaneous activity
perceive 50 percent of the time in areas of the brain that regulate emo- of many thousands of neurons through
discourse the sixth level of the hierarchical tional expression, motivated behaviour, electrodes attached to the scalp
structure of language in which sentences and cognitive functioning embryo scientific term for the prena-
are combined into paragraphs, articles, dose-response effect the relation tal organism during the second week
books, conversations, and so forth between the amount of treatment through the eighth week after conception
discrimination treating people unfairly received and the quality of the outcome emotion a pattern of cognitive, physi-
based on the group to which they belong double-blind procedure a procedure in ological, and behavioural responses to
discrimination (classical conditioning) which both the participant and the exper- situations and events that have relevance
the occurrence of a CR to one stimulus imenter are kept unaware of the research to important goals or motives
but not to another stimulus condition to which the participant has emotion regulation the processes by
discriminative stimulus an antecedent been assigned which we evaluate and modify our emo-
stimulus that signals the likelihood of cer- drive theory the theory that physiologi- tional reactions
tain consequences if a response is made cal disruptions to homeostasis produce emotion-focused coping coping strate-
displacement the capacity of language to states of internal tension (called drives) gies directed at minimizing or reducing
represent objects and conditions that are that motivate an organism to behave in emotional responses to a stressor
not physically present ways that reduce this tension emotional intelligence ability to
display rules culturally influenced stan- dual coding theory the theory that, if we respond adaptively in the emotional
dards for the circumstances and manner encode information by using both verbal realm by reading and responding
in which specific emotions are expressed and imagery codes, the chances improve appropriately to others’ emotions, to be
dissociation theories (of hypnosis) the that at least one of the two codes will be aware of one’s own emotions and have
view that hypnosis is an altered state available later to support recall the ability to control them, and to delay
involving a division (“dissociation”) of dual-process theory the modern colour gratification
consciousness; one theory proposes that vision theory that posits cones that are empathy the capacity for experienc-
the hypnotized person simultaneously sensitive to red, blue, and green, and ing the same emotional response being
experiences two streams of conscious- opponent processes at the level of gan- exhibited by another person; in therapy,
ness that are cut off from each other glion cells and beyond the ability of a therapist to view the
dissociative amnesia disorder in which a dynamic testing after standard testing world through the client’s eyes and to
person responds to a stressful event with the examiner gives the respondent guided understand the client’s emotions
extensive but selective memory loss feedback on how to improve performance empathy-altruism hypothesis the
dissociative disorders disorders that and observes how the person uses the theory that pure altruism does exist, and
involve a major dissociation of personal information that it is produced by empathy
identity or memory dysthymia a depressive mood disorder empirical approach an approach to test
dissociative fugue a dissociative phenom- of moderate intensity that occurs over construction in which items (regardless
enon in which a person loses all sense of a long period of time but does not dis- of their content) are chosen that dif-
personal identity and wanders to another rupt functioning as a major depression ferentiate between two groups that are
place and establishes a new identity does known to differ on a particular personal-
dissociative identity disorder (DID) a ity variable
dissociative disorder in which two or encoding getting information into the
more separate identities or personalities
E memory system by translating it into a
coexist within an individual ecstasy MDMA (3, 4-m ethylened ioxym neural code that the brain processes and
divergent thinking a creative form of etha mphetamine); a derivative of stores
thinking that involves the generating of amphetamine that acts on several neu- encoding specificity principle obser-
novel ideas that diverge from the normal rotransmitters, including dopamine, but vation that memory is enhanced when
ways of thinking about something primarily alters serotonin functioning conditions present during retrieval match
divided attention the ability to perform by causing the release of serotonin and those that were present during encoding
more than one activity at the same time blocking its reuptake endorphins natural opiate-like sub-
dodo bird verdict the finding of similar effect size statistic common measure of stances that are involved in pain
efficacy for widely differing therapies treatment effectiveness reduction
domain-specific adaptations adapta- ego the “executive” of the personality that episodic memory our store of factual
tions designed to solve a particular is partly conscious and that mediates knowledge concerning personal
problem among the impulses of the id, the prohibi- experience—when, where, and what
dominant gene a gene that, when present, tions of the superego, and the dictates of happened in the episodes of our lives
will produce a particular characteristic reality equal status contact a prejudice reduc-
door-in-the-face technique a manipu- egocentrism difficulty in viewing the tion principle based on the idea that
lation technique in which a persuader world from someone else’s perspective prejudice among people is most likely
GLOSSARY GL-6
to be reduced when they (1) engage in exposure a behaviour therapy treatment fixed-interval (FI) schedule a rein-
sustained close contact, (2) have equal in which clients are presented, either in forcement schedule in which the first
status, (3) work to achieve a common vivo or in their imagination, with fear- correct response occurring after a con-
goal that requires cooperation, and inducing stimuli, thus allowing extinction stant time interval is reinforced
(4) are supported by broader social to occur fixed-ratio (FR) schedule a reinforce-
norms exposure therapies Therapeutic tech- ment schedule in which reinforcement is
escape conditioning a form of learning niques designed to extinguish anxiety given after a constant number of correct
in which the organism learns to perform responses by exposing clients to anxiety- responses
a behaviour to escape from an aversive arousing stimuli or situations while flashbulb memories recollections that
stimulus preventing escape or avoidance seem so vivid and clear that we can pic-
evolution a change over time in the fre- expressed emotion a family interaction ture them as if they were a “snapshot” of
quency with which particular genes—and pattern involving criticism, hostility, a moment in time
the characteristics they produce—occur and overinvolvement that is associated flooding a treatment in exposure therapy
within an interbreeding population with relapse when formerly hospitalized when a client is exposed to real-life
evolutionary/circadian sleep models schizophrenic patients return home stimuli
the view that in the course of evolution expressive behaviours observable fluid intelligence ( gf ) the ability to deal
each species developed an adaptive cir- behavioural indications of subjectively with novel problem-solving situations for
cadian sleep-wake pattern that increased experienced emotions which personal experience does not sup-
its chances of survival in relation to its external validity the degree to which the ply a solution (contrast to crystallized
environmental demands results of a study can be generalized to intelligence)
evolutionary personality theory a other people, settings, and conditions foot-in-the-door technique a manipula-
recently developed attempt to account extinction (classical conditioning) tion technique in which the persuader
for personality traits in terms of the evo- weakening and eventual cessation of a gets someone to comply with a small
lutionary history of the human species; CR caused by the presentation of the CS request first and later presents a larger
these traits are thought to develop from without the UCS request
processes of natural selection extinction (operant conditioning) forebrain brain structures above the
evolutionary psychology a field of occurs when the absence of reinforce- midbrain, including the thalamus, hypo-
study that focuses on the role of evo- ment for a previously reinforced thalamus, limbic system, and the cerebral
lutionary processes (especially natural response causes that response to weaken hemispheres; involved in higher-order
selection) in the development of adaptive and eventually to stop sensory, motor, and cognitive functions
psychological mechanisms and social extrinsic motivation motivation to formal operational stage in Piaget’s
behaviour in humans perform a behaviour to obtain external theory, a period in which individuals are
expectancy a cognitive theory that goal- rewards and reinforcers, such as money, able to think logically and systematically
directed behaviour is jointly influenced status, attention, and praise about both concrete and abstract prob-
by (1) the person’s expectancy that a lems, form hypotheses, and test them in a
particular behaviour will contribute to thoughtful way
reaching the goal and (2) how positively
F fovea a small area in the centre of the
or negatively the person values the goal facial feedback hypothesis the notion retina that contains only cones and in
expectancy × value theory a cognitive that somatic feedback from facial mus- which visual acuity is greatest
theory that goal-directed behaviour is cles provides feedback to the brain and framing the idea that the same informa-
jointly influenced by (1) the person’s influences emotional experience tion, problem, or options can be structured
expectancy that a particular behaviour factor analysis a statistical technique and presented in different ways
will contribute to reaching the goal and that permits a researcher to reduce a free association in psychoanalysis, the
(2) how positively or negatively the per- large number of measures to a small procedure of verbalizing all thoughts that
son values the goal number of clusters or factors; it identifies enter consciousness without censorship
experiment a research method in which the clusters of behaviour or test scores frequency in audition, the number of
the researcher manipulates an indepen- that are highly correlated with one cycles per second in a sound wave,
dent variable under controlled conditions another responsible for the pitch of the sound; the
and measures whether this produces feature detectors sensory neurons that measure of frequency is the hertz (Hz),
changes in a dependent variable respond to particular features of a stimu- which equals one cycle per second
experimental group in an experiment, lus, such as its shape, angle, or colour frequency distribution a method of
the group that receives a treatment or is fetal alcohol spectrum disorders summarizing a set of scores by showing
exposed to an active level of the indepen- (FASD) a range of mild to severe how many participants received each
dent variable developmental abnormalities produced score
experimental psychology a subfield by prenatal exposure to alcohol frequency theory the theory of pitch
of psychology that focuses on learning, fetal alcohol syndrome (FAS) a severe perception that holds that the number of
sensory systems, perception, and motiva- group of abnormalities that result from nerve impulses sent to the brain by the
tional states prenatal exposure to alcohol hair cells of the cochlea corresponds to
experimenter expectancy effects fetus the scientific term for the prenatal the frequency of the sound wave; this
subtle and unintentional ways in which organism from the ninth week after con- theory is accurate at low frequencies
an experimenter influences participants ception until birth frontal lobe the anterior (front) por-
to behave in a way that will confirm the figure-ground relations perceptual tion of the cerebral hemispheres that
experimenter’s hypothesis organization in which a focal stimulus includes Broca’s speech production area,
explicit memory conscious or intentional is perceived as a figure against a back- the motor cortex, and associative cortex
memory retrieval ground of other stimuli involved in planning and problem solving
GL-7 GLOSSARY
frustration-aggression hypothesis the generalized anxiety disorder a chronic harm reduction a prevention strategy
view that (1) frustration inevitably leads state of diffuse, or “free-floating,” anxiety that is designed not to eliminate a prob-
to aggression, and (2) all aggression is that is not attached to specific situations lem behaviour but to reduce its harmful
the result of frustration or objects consequences
fully functioning persons Rogers’s generativity a characteristic of symbols health-compromising behaviours behav-
term for self-actualized people who are of language that can be combined to gen- iours, such as poor dietary habits and
free from unrealistic conditions of worth erate an infinite number of messages that unprotected sexual activity, that impair
and who exhibit congruence, spontane- have novel meaning health and reduce longevity
ity, creativity, and a desire to develop genes the biological units of heredity, health-enhancing behaviours behav-
still further located on the chromosomes iours, such as exercise and good dietary
functional fixedness a phenomenon genetic determinism the view (some- habits, that support and increase health
often found in problem-solving tasks in times erroneous) that genes have and longevity
which the customary use of an object invariant and unavoidable effects health psychology the study of psycho-
interferes with its use in a novel situation genotype the specific genetic makeup logical and behavioural factors in the
functional neurological symptom of an individual, which may or may prevention and treatment of illness and in
disorder a somatic symptom disor- not be expressed in the observable the maintenance of health
der (formerly known as conversion phenotype heritability coefficient the extent to
disorder) in which the patient experi- genuineness the ability of a therapist to which the degree of variation in a par-
ences physical symptoms (e.g., lack of honestly express his or her feelings to a ticular characteristic among a group
feeling in hands), but these symptoms client of people can be attributed to genetic
are neurologically impossible; there is Gestalt laws the laws of perceptual factors
no damage to any part of the sensory organization advanced by the Gestalt hertz (Hz) the measure of sound wave
system psychologists—namely, similarity, prox- frequency as cycles per second
functionalism an early school of Ameri- imity, closure, and continuity heuristics a method of problem solving
can psychology that focused on the Gestalt psychology a German school of characterized by quick and easy search
functions of consciousness and behav- psychology that emphasized the natural procedures
iour in helping organisms adapt to their organization of perceptual elements into higher-order conditioning in classical
environment and satisfy their needs wholes, or patterns, as well as the role of conditioning, when a neutral stimulus
fundamental attribution error a ten- insight in problem solving becomes a CS after it is paired with
dency to underestimate the impact of the ghrelin a hormone secreted by the stom- another CS (rather than with the
situation and overestimate the role of ach and small intestine that increases original UCS)
personal factors when explaining other food intake and thoughts of food hippocampus a structure of the limbic
people’s behaviour glucose a simple sugar that is the body’s system that plays a key role in the forma-
fundamental emotional patterns basic (and especially the brain’s) major source tion and storage of memories
emotional response patterns that are of immediately usable fuel histogram a graph of a frequency
believed to be innate graded potential a change in the distribution
electrical potential of a neuron that homeostasis the maintenance of biologi-
is proportional to the intensity of the cal equilibrium, or balance, within the
G incoming stimulation, but not sufficient body
g factor general intelligence, a com- to produce an action potential humanistic perspective a psycho-
ponent of intellectual performance grammar the set of rules that dictate logical perspective that emphasizes
according to Spearman how symbols can be combined to create personal freedom, choice, and
ganglion cells the third layer of retinal meaningful units of communication self-actualization
cells with which the bipolar cells synapse group polarization the tendency for the hyperopia a visual deficit sometimes
and whose axons form the optic nerve “average” opinion of group members to called farsightedness in which the lens
gate control theory theory that pro- become more extreme when like-minded focuses the image behind the retina,
poses that the experience of pain results people discuss an issue reducing acuity for nearby objects
from the opening and closing of “gating groupthink the tendency of group mem- hypnosis a condition of enhanced sug-
mechanisms” in the nervous system bers to suspend critical thinking because gestibility in which some people are able
gender constancy the understanding they are motivated to seek agreement to experience imagined test suggestions
that being male or female is a permanent gustation the sense of taste as if they were real
part of a person hypnotic susceptibility scale a set of
gender identity the sense of “female- induction procedures and test questions
ness” or “maleness” that is an integral
H that enable researchers to measure a
part of our identity habituation a decrease in the strength of person’s responsiveness to hypnotic
gender schemas organized mental struc- response to a repeated stimulus suggestion
tures that contain our understanding of hallucinations false perceptions that hypothalamus a forebrain structure
the attributes and behaviours that are have a compelling sense of reality located below the thalamus and above
appropriate and expected for males and hallucinogens drugs—such as LSD and the pituitary gland that controls
females PCP—that distort or intensify sensory autonomic and hormonal processes
general adaptation syndrome (GAS) experience and evoke hallucinations and and plays a major role in many
Selye’s description of the body’s disordered thought processes aspects of motivation and emotional
responses to a stressor, which includes hardiness a stress-resistant personality behaviour
successive phases of alarm reaction, pattern that involves the factors of com- hypothesis a tentative explanation or
resistance, and exhaustion mitment, control, and challenge prediction about some phenomenon
GLOSSARY GL-8
I accurate knowledge and what they are one’s outcomes are under personal versus
doing is “right” external control
icon a trace memory informed consent the principle that, internal validity the degree to which an
id the primitive and unconscious part prior to agreeing to participate in experiment produces clear causal conclu-
of the personality that contains the research, a person should be fully sions; internal validity is high when there
instincts informed about the procedures, risks is no confounding of variables
if . . . then . . . behaviour consis- involved, and the right to withdraw at interneurons neurons that are neither
tency consistency in behaviour, but any time without penalty sensory nor motor neurons, but perform
only within similar situations insanity a legal decision that a defendant associative or integrative functions
illusions incorrect perceptions based on was so severely impaired at the time a within the nervous system
false perceptual hypotheses that often crime was committed that he or she was interpersonal therapy a form of brief
result from constancies that do not apply incapable of appreciating the wrongful- therapy that focuses on the client’s inter-
to the stimuli in question ness of the act or of controlling his or her personal problems and seeks to develop
imaginal thought a form of thinking that behaviour new interpersonal skills
uses images that can be from any sense insight in Gestalt psychology, the sudden interpretation in psychoanalysis, a state-
modality perception of a useful relationship or a ment made by the analyst that is intended
implicit memory the ability of memory solution to a problem; in psychoanalysis, to promote insight in the client
to influence our behaviour without con- the conscious awareness of unconscious intrinsic motivation the motivation to per-
scious awareness dynamics that underlie psychological form a behaviour simply because one finds
implosion therapy a treatment in problems it interesting or enjoyable for its own sake
exposure therapy when a client is insomnia a sleep disorder involving
asked to imagine scenes involving the chronic difficulty in falling asleep, stay-
stimuli ing asleep, or experiencing restful sleep J
imprinting in some species, a sudden, instinct an inherited characteristic, com- just world hypothesis holds that
biologically primed form of attachment mon to all members of a species, that because people want to view the world as
in vivo desensitization carefully automatically produces a particular fair, they perceive that people get what
controlled exposure to a hierarchy of response when the organism is exposed they deserve and deserve what they get
real-life situations to a particular stimulus
inattentional blindness the failure instinctive drift the tendency for innate
of unattended stimuli to register in behaviours to override a conditioning K
consciousness procedure, thus making it difficult to
incentive an environmental stimulus or kin selection the view that organisms
create or maintain a conditioned
condition that motivates behaviour are most likely to help others with whom
response
incomplete disclosure (or deception) they share the most genes—namely, their
instrumental behaviours emotional
occurs when participants are misled offspring and genetic relatives
coping behaviours that are directed at
about the nature of a study kinesthesis the body sense that provides
achieving the goal or performing the task
incubation a phenomenon in which the feedback on the position and movements
that is relevant to the emotion
solution to a problem suddenly appears of our body parts
intelligence a concept that refers to
in consciousness after a problem knockout procedure a technique in which a
individual differences in the ability to
solver has stopped thinking about it for gene is made inoperative; the function of the
acquire knowledge, to think and reason
a while targeted gene is inferred by the differences
effectively, and to deal adaptively with
independent variable in an experiment, between an organism with a normally func-
the environment
the factor that is manipulated by the tioning gene and one in which the gene does
intelligence quotient (IQ) originally
researcher not function (the knockout)
defined as mental age (MA) divided by
inductive reasoning reasoning that knowledge-acquisition components allow
chronological age (CA) multiplied by
proceeds from a set of specific facts to a us to learn from our experience, store
100 (IQ = (MA/CA) × 100); an IQ of 100
general conclusion or principle information in memory, and combine
indicates an individual is average for his
indulgent parents caregivers who have new insight with previously acquired
or her age group; IQ scores are today
warm and caring relationships with their information
based on norms derived from people of
children but do not provide much guid- various ages
ance and discipline
industrial-organizational (I/O)
interaction in analyzing causal fac- L
tors, the influence that the presence or
psychology a subfield of psychology strength of one factor can have on other language a system of symbols and rules
that examines people’s behaviour in the causal factors for combining them that can produce an
workplace interjudge reliability the extent to almost infinite number of possible mes-
infantile amnesia an inability to remem- which different observers or scorers sages and meanings
ber personal experiences from the first agree in their scoring of a particular test language acquisition device (LAD)
few years of our lives or observed behaviour according to Noam Chomsky, an innate
inferential statistics tell us how confi- internal consistency the extent to which biological mechanism that contains the
dent we can be in drawing conclusions or items within a psychological test corre- general grammatical rules common to all
inferences about a population based on late with one another, indicating languages
findings obtained from a sample that they are measuring a common language acquisition support system
informational social influence follow- characteristic (LASS) according to Jerome Bruner,
ing the opinions or behaviour of other internal-external locus of control the factors in the social environment that
people because we believe they have Rotter’s generalized expectancy that facilitate the learning of a language
GL-9 GLOSSARY
lapse a one-time return to an undesirable M memory codes visual, phonological,

behaviour pattern, usually in a high-risk semantic, or motor encoding that stores
situation magnetic resonance imaging (MRI) a information so it can be retained in short-
latent learning learning that occurs in procedure that produces a highly detailed term and long-term memory
the absence of reinforcement, but which image of living tissue based on the tis- memory consolidation the creation
is not displayed until reinforcement is sue’s response to a magnetic field; can and binding together of neural codes
later introduced into the situation be used to study both structure and, in that allow information to be transferred
lateralization the localization of a func- the case of functional MRI (fMRI), brain from short-term memory into long-term
tion in either the right or left cerebral functions as they occur memory
hemisphere maintenance rehearsal the simple men- menstrual synchrony the tendency for
law of effect Thorndike’s concept that tal repetition of information some women who live together over time
a response followed by satisfying con- major depression a mood disorder to become more similar to one another in
sequences will become more likely to characterized by intense depression that the timing of their menstrual cycles
occur, whereas a response followed by interferes markedly with functioning mental age the mental level at which a
unsatisfying consequences will become mania a state of intense emotional and child is performing as determined by a
less likely to occur behavioural excitement in which a per- “standardized interview” in which the
learned helplessness theory a theory son feels very optimistic and energized child responds to a series of questions
of depression that states that if people mastery orientation an achievement mental image a representation of a
are unable to control life events, they goal orientation in which success is stimulus that originates inside your
develop a state of helplessness that leads defined in terms of personal improve- brain rather than from external
to depressive symptoms ment and enjoyment sensory input
learning a relatively enduring change in mastery-approach goals goals related to mental representations cognitive repre-
an organism’s behaviour or performance the desire to master a task and learn new sentations of the world, including images,
capabilities that occurs as a result of knowledge and skills ideas, concepts, and principles, that are
experience mastery-avoidance goals goals that the foundations of thinking and problem
lens the transparent structure behind reflect a fear of not performing up to solving
the pupil that changes its shape to focus one’s own standards mental set the tendency to stick to problem-
images on the retina matching effect in romantic relation- solving strategies or solutions that have
leptin a hormone secreted by fat cells ships, the tendency for partners to have a worked in the past
that decreases general appetite similar level of physical attractiveness mere exposure effect the tendency to
levels of analysis an approach to analyz- maturation a genetically programmed, evaluate a stimulus more favourably
ing behavioural phenomena and their biological process that governs our after repeated exposure to it
causal factors in terms of biological, growth meta-analysis a statistical procedure for
psychological, and environmental mean a measure of central tendency; the combining the results of different studies
factors arithmetic average of a set of scores that examine the same topic
levels of processing the concept that the means-end analysis a heuristic problem- metabolism the rate of energy expendi-
more deeply we process information, the solving device in which people first ture by the body
better it will be remembered define a subgoal they hope to achieve metacognition a person’s awareness and
life event scales questionnaires that (an “end”), compare that subgoal to their understanding of his or her own cognitive
measure the number (and, sometimes, present state of knowledge and, if there abilities
the intensity) of positive and negative life is discrepancy, try to find the means to metacomponents higher-order processes
events that have occurred over a specific reduce the difference used to plan and regulate task perfor-
period of time measures of central tendency a distri- mance (triarchic theory)
limbic system a group of subcortical bution in terms of a single statistic that midbrain brain structures above the
structures, including the hippocampus is in some way “typical” of the sample as hindbrain that are involved in sensory
and amygdala, which are involved in a whole and motor functions and in attention and
organizing many goal-directed and emo- measures of variability information states of consciousness
tional behaviours about the spread of scores in a mind–body dualism the philosophical
linguistic relativity hypothesis the distribution position that the mind is a nonphysi-
idea, suggested by Benjamin Whorf, that median a measure of central tendency; cal entity that is not subject to physical
people’s language determines the ways the point that divides the distribution laws and cannot be reduced to physical
in which they perceive and think about in half when the individual scores are processes; body and mind are separate
their world arranged in order from lowest to highest entities
long-term memory our vast library of meditation a wide range of different prac- mindfulness a mental state of aware-
durable stored memories tices that self-regulate attention, the mind, ness, focus, openness, and acceptance of
long-term potentiation an enduring and, in some cases, physiological response immediate experience
increase in synaptic strength that occurs medulla a brain stem structure that con- Minnesota Multiphasic Personality
after a neural circuit is rapidly stimulated trols vital functions, including heartbeat Inventory (MMPI) a widely used per-
longitudinal design research that and respiration sonality test whose items were developed
repeatedly tests the same cohort as it melatonin a hormone, secreted by the by using the empirical approach and
grows older pineal gland, that has a relaxing effect on comparing various kinds of psychiatric
lowballing a manipulation technique in the body and promotes readiness for sleep patients with normal patients
which a persuader gets someone to com- memory the processes that allow us to misinformation effect the distortion
mit to some behaviour and then increases record and later retrieve experiences and of a memory by misleading post-event
the “cost” of that same behaviour information information
GLOSSARY GL-10
mode a measure of central tendency; natural selection the evolutionary pro- circulate within the nervous system
the most frequently occurring score in a cess through which characteristics that to affect the sensitivity of many
distribution increase the likelihood of survival are neurons to their natural transmitter
monism the philosophical position that preserved in the gene pool and thereby substances
mental events are reducible to physical become more common in a species over neurons nerve cells that constitute the
events in the brain, so that “mind” and time basic building blocks of the nervous
body are one and the same naturalistic observation a method in system
monocular cues depth cues that require which the researcher observes behav- neurotic anxiety in psychoanalytic the-
only one eye; include linear perspective, iour in a natural setting and tries to ory, a state of anxiety that arises when
decreasing size, height in the horizontal avoid influencing the participants being impulses from the id threaten to break
plane, texture, clarity, light and shadow, observed through into behaviour
motion parallax, and interposition need for achievement the desire to neuroticism a personality trait that
monogamous mating system a mating accomplish tasks and attain standards of involves the tendency to experience high
system in which parents stay together, at excellence levels of negative affect and to behave in
least until their young are self-sufficient need for positive regard an innate need self-defeating ways
mood-congruent recall tendency to to be positively regarded by others and neurotransmitters chemical substances
recall information or events that are con- by oneself that are released from the axons of one
gruent with our current mood need for positive self-regard in neuron, travel across the synaptic space,
mood disorders psychological disorders Rogers’s personality theory, the psy- and bind to specially keyed receptors
whose core conditions involve maladap- chological need to feel positively about in another neuron, where they produce
tive mood states, such as depression or oneself that underlies self-enhancement a chemical reaction that is either excit-
mania behaviours atory or inhibitory
morpheme the smallest unit of meaning need hierarchy Maslow’s view that night terrors a disorder in which a
in a given language; English morphemes human needs are arranged in a progres- sleeper—often feeling a strong sense
include whole words, prefixes, and suf- sion, beginning with deficiency needs of dread or danger—becomes aroused
fixes; there are over 100 000 English and then reaching growth needs to a near panic state; the sleeper may
morphemes negative correlation as scores on one suddenly sit up, let out a blood-curdling
motivation a process that influences the variable change, scores on a second vari- scream, and thrash about or flee to
direction, persistence, and vigour of goal- able change in the opposite direction another room, as if trying to escape
directed behaviour negative punishment the removal of a norm of reciprocity the norm that when
motivational interviewing a treatment (positive) stimulus following an unde- other people treat us well, we should
approach that avoids confrontation and sired response to weaken it (e.g., TV respond in kind
leads clients to their own realization of a privileges are taken away from a misbe- normal curve a symmetrical bell-shaped
problem and to increased motivation to having child who wants attention) curve that represents a theoretical distri-
change negative reinforcement a response is bution of scores in the population
motor cortex cortical area in the back of strengthened by the subsequent removal normal distribution a frequency distri-
the frontal lobes that controls voluntary of a (noxious) stimulus bution in the shape of a symmetrical or
movements on the opposite sides of the negative state relief model the view bell-shaped curve that satisfies certain
body that empathy does not lead to pure mathematical conditions deduced from
motor neurons specialized neurons that altruism, but instead, that high empathy the theory of probability
carry neural messages from the brain causes us to feel distress when we learn normative social influence conformity
and the spinal cord to the muscles and of others’ suffering, so that by help- motivated by gaining social acceptance
the glands ing them we reduce our own personal and avoiding social rejection
motoric thought mental representations distress norms test scores derived from a relevant
of motor movements, such as throwing negative symptoms schizophrenic sample used to evaluate individuals’
an object symptoms that reflect a lack of normal scores; behavioural “rules”
multimodal treatments substance abuse reactions, such as emotions or social nucleus accumbens one of the struc-
interventions that combine a number of behaviours tures of the limbic system; is involved in
treatments, such as aversion therapy and neglectful parents caregivers who reward and motivation
coping skills training provide neither warmth, nor rules, nor null hypothesis an approach to statisti-
myelin sheath a fatty insulating sub- guidance cal analysis that states that any observed
stance on the axon of some neurons nerve deafness hearing loss caused by differences between the samples are due
that increases the speed of neural damage to the cochlear receptor cells or to chance
transmission the auditory nerve
myopia a visual defect, sometimes neural network a model in which each
called nearsightedness,in which the lens concept stored in memory is represented
O
focuses distant images in front of the by a unique pattern of distributed and object permanence the recognition that
retina rather than on it simultaneously activated nodes that pro- an object continues to exist even when it
cess information in parallel; also known can no longer be seen
as a parallel distributed processing model object relations the images or mental
N neural plasticity the ability of neurons representations that people form of them-
narcolepsy a sleep disorder that involves to modify their structure and function in selves and other people as a result of
extreme daytime sleepiness and sudden, response to experiential factors or injury early experience with caregivers
uncontrollable sleep attacks during wak- neuromodulators neurotransmitter sub- observational learning learning through
ing hours stances that are released by neurons and observing the behaviour of a model
GL-11 GLOSSARY
obsession an unwanted and disturbing P because the individual is preoccupied

thought or image that invades conscious- with him- or herself and how he or she
ness and is very difficult to control pain disorder a somatoform disorder in appears to others
obsessive-compulsive disorder (OCD) which the person’s complaints of pain performance-approach goals behaviour
an anxiety disorder characterized by cannot be accounted for in terms of is motivated by the desire to outperform
persistent and unwanted thoughts and physical damage others; it reflects a competitive orienta-
compulsive behaviours panic disorder an anxiety disorder tion that focuses on being better than
occipital lobe the rearmost portion of the characterized by unpredictable panic other people
cerebral cortex that contains the primary attacks and a pervasive fear that another performance-avoidance goals behaviour
visual sensory area will occur; may also include a resulting is motivated by the desire to avoid being
olfaction the sense of smell agoraphobia outperformed by others; that is, the goal
olfactory bulb a forebrain structure parallel processing our ability to use our is to avoid failure
immediately above the nasal cavity senses to take in a variety of information peripheral nervous system all the neu-
openness a willingness to invest oneself about an object and construct a unified rons that connect the central nervous
in the process of therapy that predicts image of its properties system with the sensory receptors, the
favourable therapeutic outcomes parasympathetic nervous system the muscles, and the glands
operant conditioning a type of learn- branch portion of the autonomic nervous peripheral route to persuasion occurs
ing in which behaviour is modified by its system that slows down bodily processes when people do not scrutinize a message
consequences, such as by reinforcement, to conserve energy and reduce arousal and are influenced mostly by other fac-
punishment, and extinction paraventricular nucleus (PVN) a tors, such as a speaker’s attractiveness or
operant discrimination an operant cluster of neurons in the hippocampus a message’s emotional appeal
response that occurs when a particular packed with receptor sites for transmit- personal constructs in George Kelly’s
antecedent stimulus is present, but not ters that stimulate or reduce appetite personality theory, the cognitive cat-
when another antecedent stimulus is parental investment theory the view, egories used to sort events and make
present based on evolutionary theory, that the comparisons among people and events
operant extinction the weakening gender with a greater investment (higher personality the biologically and envi-
and eventual disappearance of a costs) in producing offspring will be ronmentally determined characteristics
response because it is no longer more selective in choosing a mate within a person that account for distinc-
reinforced parietal lobe the cerebral region behind tive and relatively enduring patterns of
operant generalization an operant the frontal lobe that contains the somatic thinking, feeling, and acting
response occurs to a new antecedent sensory cortex and Wernicke’s speech personality disorder stable, inflexible,
stimulus that is similar to the original comprehension area and maladaptive personality styles
antecedent stimulus partial reinforcement schedule a personality psychology a subfield of
operational definition defining a schedule in which reinforcement follows psychology that focuses on the study of
concept or variable in terms of the some correct responses but not others human personality
specific procedures used to produce or partial report method used to measure perspective a theoretical vantage point
measure it iconic memory and demonstrate that from which to analyze behaviour and its
opiates opium and drugs derived from it, memory span for a visual stimulus is lon- causes
such as morphine, codeine, and heroin; ger than suggested by full reporting phenotype the observable characteristics
opiates provide pain relief and cause passionate love a form of love that produced by one’s genetic endowment
mood changes, which may include involves intense emotional arousal and pheromones chemical signals found in
euphoria yearning for one’s partner natural body scents
opponent-process theory the theory Pearson product-moment correlation phobias strong and irrational fears of
proposed by Hering that the retina con- coefficient a statistic that reflects the particular objects or circumstances
tains three sets of colour receptors that direction and strength of the relation phoneme the smallest unit of sound in a
respond differentially to red-green, blue- between two variables language; these are the vowel and con-
yellow, and black-white; the opponent perception the process of organizing sonant sounds that are recognized in any
processes that result can produce a per- stimulus input and giving it meaning given language; English has 45 phonemes
ception of any hue perceptual constancies the ability to photopigments protein molecules within
optic nerve a bundle of ganglion cell recognize stimulus characteristics— the rods and cones whose chemical reac-
axons in the retina that transmits visual size, colour, and so on—under varying tions when absorbing light result in nerve
information to the brain conditions impulses being generated
organ of Corti structure embedded in the perceptual schemas internal representa- place theory the theory of pitch percep-
basilar membrane that contains the hair tions that contain the essential features tion that holds that sound frequencies
cell receptors for sound of an object of perception are coded in terms of the portion of
outcome bias the extent that a test under- perceptual set a readiness to perceive the basilar membrane where the fluid
estimates a person’s true intellectual stimuli in a particular way wave in the cochlea peaks; this theory
ability performance components the actual accounts for perception of frequencies
overconfidence the tendency to over- mental processes used to perform a task above 4000 Hz
estimate one’s correctness in factual (triarchic theory) placebo an inactive or inert substance
knowledge, beliefs, and decisions performance orientation from achieve- that has no medicinal value but is
overlearning continued rehearsal ment goal theory, a person defines believed by a patient to be helpful
past the point of initial learning that success relative to how his or her behav- placebo control group a control group
significantly improves performance on iour, or performance, compares to that that receives an intervention that is
memory tasks of others; also referred to as “ego goals” assumed to have no therapeutic value
GLOSSARY GL-12
placebo effect a change in behaviour based on anticipated punishments or procedural memory memory that is
that occurs because of the expectation rewards reflected in learned skills and actions;
or belief that one is receiving a predictive bias a test bias that occurs if also known as non-declarative memory
treatment the test successfully predicts criterion projective tests tests, such as the
pleasure principle the drive for instant measures for some groups but not for Rorschach and the TAT, that present
need gratification that is characteristic others ambiguous stimuli to the subject; the
of the id preferential looking procedure a study responses are assumed to be based on a
polyandry a mating system in which one type used by Fantz to research infants’ projection of internal characteristics of
female mates with many males visual preferences the person onto the stimuli
polygenic transmission a number of prefrontal cortex the area of the frontal proposition a statement that expresses
genes working together to create a par- lobe just behind the eyes and forehead an idea in subject-predicate form
ticular phenotypic characteristic that is involved in the executive func- propositional thought thinking that
polygraph a research and clinical instru- tions of planning, self-awareness, and takes the form of verbal sentences that
ment that measures a wide array of responsibility we say or hear in our minds
physiological responses prejudice a negative attitude toward peo- prospective memory remembering to
polygynandry a mating system in which ple based on their membership in a group perform an activity in the future
all members of a group mate with all preoperational stage in Piaget’s model, protective factors environmental or
other members of that group a stage of cognitive development in personal resources that help people fare
polygyny a mating system in which one which children represent the world better in the face of stress
male may mate with many females symbolically through words and mental prototype the most typical and famil-
pons a brain stem structure having sen- images, but do not yet understand basic iar members of a class that defines a
sory and motor tracts whose functions mental operations or rules concept
are involved in sleep and dreaming preparedness the notion that evolution- proximodistal principle the principle
population in a survey, the entire set of ary factors have produced an innate that physical development begins along
individuals about whom we wish to draw readiness to learn certain associations the innermost parts of the body and con-
a conclusion that have had survival implications in tinues toward the outermost parts
positive correlation as scores on one the past psychic energy generated by instinctual
variable change, scores on a second vari- primacy effect (impression formation) drives, this energy powers the mind and
able change in the same direction our tendency to attach more importance constantly presses for either direct or
positive psychology movement the to the initial information that we learn indirect release
study of human strengths, fulfillment, about a person psychoanalysis the analysis of internal
and optimal living primary appraisal the initial appraisal and primarily unconscious psychological
positive punishment occurs when a of a situation as benign, irrelevant, or forces
response is weakened by the subsequent threatening; a perception of the severity psychodynamic perspective a psycho-
presentation of a (noxious) stimulus of demands logical perspective that focuses on inner
positive reinforcement a response is primary mental abilities spatial abil- personality dynamics, including the role
strengthened by the subsequent presenta- ity, perceptual speed, numerical ability, of unconscious impulses and defences, in
tion of a (positive) stimulus verbal meaning, memory, verbal fluency, understanding behaviour
positive symptoms schizophrenic symp- and inductive reasoning; defined by L. L. psycholinguistics the scientific study of
toms such as delusions, hallucinations, Thurstone on the basis of his factor anal- the psychological aspects of language,
and disordered speech and thinking ysis of intelligence test items such as how people understand, produce,
positron emission tomography (PET) primary reinforcers positive reinforcers and acquire language
scan a procedure that provides a visual that satisfy biological needs, such as food psychological test a method for mea-
display of the absorption of a radioactive and water suring individual differences related to
substance by neurons, indicating how primary visual cortex the area of the some psychological construct, based on
actively they are involved as the brain occipital lobe which receives impulses a sample of relevant behaviour obtained
performs a task generated from the retina via the thala- under standardized conditions
post-formal thought the ability to rea- mus and analyzes visual input by using psychology the scientific study of behav-
son logically about opposing points of its feature detectors iour and its causes
view and to accept contradictions and priming the activation of one concept (or psychometrics the study of the statisti-
irreconcilable differences one unit of information) by another cal properties of psychological tests; the
post-traumatic stress disorder proactive interference occurs when psychometric approach to intelligence
(PTSD) a pattern of distressing symp- material learned in the past interferes focuses on the number and nature of
toms, such as flashbacks, nightmares, with recall of newer material abilities that define intelligence
avoidance, and anxiety responses that problem-focused coping coping strat- psychophysics the study of relations
recur after a traumatic experience egies that involve direct attempts to between the physical characteristics of
postconventional moral reasoning confront and master a stressful situation stimuli and the sensory experiences they
moral judgments that are based on a problem-solving dream models the evoke
system of internalized, well-thought-out view that dreams can help us find cre- psychosocial stages a sequence of eight
moral principles ative solutions to our problems and developmental stages proposed by Erikson,
pragmatics in language learning, a conflicts because they are not con- each of which involves a different
knowledge of the practical aspects of strained by reality “crisis” (i.e., conflict) over how we view
using language problem-solving schemas step-by-step ourselves
preconventional moral reasoning in scripts for selecting information and psychosurgery surgical procedures, such
Kohlberg’s stage model, moral reasoning solving specialized classes of problems as lobotomy or cingulotomy, in which
GL-13 GLOSSARY
brain tissue involved in a behaviour dis- regression a psychoanalytic defence the sodium ions outside of a cell and the
order is removed or destroyed mechanism in which a person retreats negatively charged protein ions inside
puberty a period of rapid maturation in back to an earlier stage of development the cell
which one becomes capable of sexual in response to stress restoration model the theory that sleep
reproduction reinforcement the strengthening of a recharges our run-down bodies and
punishment a response is weakened by response by an outcome that follows it allows us to recover from physical and
an outcome that follows it relapse a complete return to a previous mental fatigue
undesirable behaviour and an abandon- reticular formation a structure extend-
ment of attempts to change ing from the hindbrain into the midbrain
R reliability in psychological testing, that plays a central role in consciousness
random assignment a procedure in the consistency with which a measure and attention, in part by alerting and
which each participant has an equal assesses a given characteristic, or dif- activating higher brain centres (ascend-
likelihood of being assigned to any one ferent observers agree on a given score; ing portion), and by selectively blocking
group within an experiment the degree to which clinicians show high some inputs from admission to
random sampling a method of choosing levels of agreement in their diagnostic higher regions in the brain (descending
a sample in which each member of the decisions portion)
population has an equal opportunity to REM sleep a recurring sleep stage retina the light-sensitive back surface of
be included in the sample characterized by rapid eye movements, the eye that contains the visual receptors
randomized clinical trial (RCT) a increased physiological arousal, paraly- retrieval the process of accessing infor-
research design that involves the random sis of the voluntary muscles, and a high mation in long-term memory
assignment of clients having specific rate of dreaming retrieval cue any stimulus, whether
problems to an experimental (therapy) REM-sleep behaviour disorder a sleep internal or external, that stimulates the
group or to a control condition so as to disorder in which the loss of muscle tone activation of information stored in long-
draw sound causal conclusions about the that causes normal REM-sleep paralysis term memory
therapy’s efficacy is absent, thereby enabling sleepers to retroactive interference newly acquired
range in statistics, the difference between move about—sometimes violently—and information interferes with the ability to
the highest and the lowest score in a seemingly “act out” their dreams recall information learned at an earlier
distribution; the simplest but least infor- remote behaviour sampling researchers time
mative measure of variability and clinicians collect samples of behav- retrograde amnesia memory loss for
rape trauma syndrome a pattern of iour from respondents as they live their events that occurred prior to the onset of
cognitive, emotional, and behavioural daily lives amnesia
responses that occurs in response to the repeated measures (or within subjects) reuptake process whereby transmit-
trauma of being raped design each participant in an experi- ter substances are taken back into the
rational approach an approach to test ment is exposed to all the conditions of pre-synaptic neuron so that they do
construction in which test items are made an independent variable not continue to stimulate postsynaptic
up on the basis of a theorist’s conception replication the process of repeating a neurons
of a construct study to determine whether the original rods visual receptors that function under
reaction range the genetically influenced findings can be duplicated low levels of illumination and do not give
limits within which environmental factors representative sample a sample that rise to colour sensations
can exert their effects on an organism accurately reflects the important charac- rotating shiftwork a forward-rotating
reaction time how rapidly a person teristics of the population work schedule that changes work shifts
responds to a stimulus representativeness heuristic a guide in by extending a worker’s “waking day”
realistic conflict theory the theory that estimating the probability that an object rather than compressing it
competition for limited resources fosters or event belongs to a certain category
prejudice based on the extent to which it represents
reality principle the ego’s tendency to a prototype of that category
S
take reality into account and to act in a repression the basic defence mechanism sample in a survey, a subset of individu-
rational fashion in satisfying its needs that actively keeps anxiety-arousing als drawn from the population
receptor sites protein molecules on neu- material in the unconscious scatterplots a graph commonly used to
rons’ dendrites or soma that are specially residential school syndrome a set examine correlational data; each pair of
shaped to accommodate a specific neu- of long-lasting symptoms, similar to scores on variable X and variable Y is
rotransmitter molecule PTSD, suffered by some individuals who plotted as a single point
recessive gene a gene whose character- attended residential schools away from schema a “mental framework”—an orga-
istic will be masked by a corresponding their communities nized pattern of thought about some
dominant gene; its characteristic will be resilience the ability to withstand psy- aspect of the world, such as a class of
expressed if the correspondent gene is chological stress people, events, situations, or objects
also recessive resistance largely unconscious manoeu- schizophrenia a psychotic disorder
reciprocal determinism Bandura’s model vres that protect clients from dealing involving serious impairment of atten-
of two-way causal relations between with anxiety-arousing material in therapy tion, thought, language, emotion, and
people, behaviour, and the environment response prevention the prevention of behaviour
recombinant DNA procedures gene- escape or avoidance responses during script a mental framework concerning a
splicing procedures that can be used to exposure to an anxiety-arousing CS so sequence of events that usually unfolds in
produce new life forms, such as bacteria, that extinction can occur a regular, almost standardized order
that can produce scarce chemical materi- resting potential in the electrical activ- seasonal affective disorder (SAD) a
als, such as human growth hormone ity of neurons, the internal difference of disorder in which depressive symptoms
GLOSSARY GL-14
appear or worsen during certain seasons semantic memory general factual with a behaviour that the organism can
of the year (typically, fall and winter) knowledge about the world and lan- already perform, and then is made con-
and then improve during the other guage, including memory for words and tingent on behaviours that increasingly
seasons concepts approximate the final desired behaviour
secondary appraisal one’s judgment semantics rules for connecting symbols short-term memory type of memory that
of the adequacy of personal resources to what they represent holds the information that we are con-
needed to cope with a stressor sensation the process by which stimuli scious of at any given time; also called
secondary, or conditioned, are detected, transduced into nerve working memory
reinforcer a stimulus that acquires impulses, and sent to the brain signal detection theory a theory that
reinforcing qualities by being associated sensitization an increase in the strength assumes that stimulus detection is not
with primary reinforcers of response to a repeated stimulus based on a fixed absolute threshold but
seeking social support a class of coping sensorimotor stage in Piaget’s theory, rather is affected by rewards, punishments,
strategies that involves turning to others the stage of cognitive development in expectations, and motivational factors
for assistance and emotional support in which children understand their world situation-focused intervention pre-
times of stress primarily through sensory experience vention efforts that focus on altering
self in Rogers’s theory, an organized, and physical (motor) interaction with environmental conditions that are known
consistent set of perceptions and beliefs objects to promote the development of psycho-
about oneself sensory adaptation diminishing sensi- logical disorders
self-actualization in humanistic theories, tivity to an unchanging stimulus with Skinner box an experimental chamber in
an inborn tendency to strive toward the the passage of time as sensory neurons which animals learn to perform operant
realization of one’s full potential habituate to the stimulation responses, such as bar presses or pecking
self-concept one’s beliefs and percep- sensory memory memory processes that responses, so that the learning process
tions about oneself retain incoming sensory information just can be studied
self-consistency an absence of conflict long enough for it to be recognized slow-wave sleep stages 3 and 4 of sleep,
among self-perceptions sensory neurons specialized neurons in which the EEG pattern shows large,
self-determination theory a theory that carry messages from the sense slow brain waves called delta waves
about motivation that focuses on three organs to the spinal cord and brain social anxiety disorder an exces-
fundamental psychological needs: com- sensory prosthetic devices devices that sive and inappropriate fear of social
petence, autonomy, and relatedness provide sensory input that can, to some situations in which a person might be
self-efficacy the conviction that we can extent, substitute for what blind and deaf evaluated and possibly embarrassed;
perform the behaviours necessary to people are not supplied by their sensory formerly known as social phobia
produce a desired outcome receptors social cognitive theory a cognitive-
self-enhancement processes whereby separation anxiety distress experienced behavioural approach to personality,
one enhances positive self-regard by infants when they are separated from developed by Albert Bandura and Walter
self-esteem how positively or negatively a primary caregiver, peaking around age Mischel, that emphasizes the role of
we feel about ourselves 12 to 16 months social learning, cognitive processes, and
self-fulfilling prophecy when people’s sequential design repeatedly testing self-regulation
erroneous expectations lead them to act several age cohorts as they grow older social-cognitive theory (of hypnosis) the
in a way that brings about the expected serial position effect the finding that view that hypnotic experiences occur
behaviours, thereby confirming the origi- recall is influenced by a word’s position because people are highly motivated to
nal impression in a series of items assume the role of being “hypnotized”
self-instructional training a cognitive serotonin a neurotransmitter that seems social comparison the act of comparing
coping approach of giving adaptive self- to underlie positive mood states; under- one’s personal attributes, abilities, and
instructions to oneself at crucial phases activity may be a factor in depression opinions to those of other people
of the coping process sex-role stereotypes beliefs about the social Darwinism a distortion of Darwin-
self-monitoring a personality trait that types of characteristics and behaviours ism that argues if the more fit are more
reflects people’s tendencies to regulate that are appropriate for boys versus for successful, then those at the top of the
their social behaviour in accord with girls social and economic ladder must be most
situational cues as opposed to internal sex-typing treating others differently fit of all
values, attitudes, and needs based on whether they are female or male social desirability bias tendency of
self-perception theory the theory that sexual orientation a person’s emotional people to exaggerate their positive and
we make inferences about our own atti- and erotic preference for partners of a minimize their negative qualities
tudes by observing how we behave particular sex social exchange theory a theory pro-
self-relatedness the ability to be flex- sexual response cycle a physiologi- posing that a social relationship can
ible to change, to listen carefully to the cal response to sexual stimulation that best be described in terms of exchanges
therapist, and to use constructively what involves stages of excitement, plateau, of rewards and costs between the two
is learned in therapy orgasm, and resolution partners
self-serving bias the tendency to make shadowing an experimental procedure social facilitation an increased tendency
relatively more personal attributions for used in attention research in which a to perform one’s dominant response in
success and situational attributions for person simultaneously receives two or the mere presence of others
failure more messages, is asked to focus on one social identity theory the theory that
self-verification the tendency to try of them, and then is asked to report on prejudice stems from a need to enhance
to verify or validate one’s existing self- the other messages as well our self-esteem
concept—that is, to satisfy congruence shaping an operant conditioning prosocial learning theory Bandura’s former
needs cedure in which reinforcement begins name for social-cognitive theory
GL-15 GLOSSARY
social loafing the tendency for people to specificity question the ultimate ques- attachment whereby an infant first plays
expend less individual effort when work- tion of psychotherapy research: Which with toys in his or her mother’s presence
ing in a group than when working alone types of therapy, administered by which and then is observed in the presence of a
social norms shared expectations about kinds of therapists to which kinds of stranger
how people should think, feel, and clients having which kinds of problems stranger anxiety distress over contact
behave produce which kinds of effects? with strangers that typically develops in
social phobia excessive and inappropri- speech segmentation perceiving where the first year of infancy and dissipates in
ate fear of social situations in which a each word within a spoken sentence the second year
person might be evaluated and possibly begins and ends stress a pattern of cognitive appraisals,
embarrassed; also known as social anxi- splitting the failure to integrate positive physiological responses, and behavioural
ety disorder and negative aspects of another’s behav- tendencies that occurs in response to a
social psychology a subfield of psychol- iour into a coherent whole perceived imbalance between situational
ogy that examines people’s thoughts, spontaneous recovery in classical condi- demands and the resources available to
feelings, and behaviour pertaining to the tioning, the reappearance of a previously cope with them
social world extinguished conditioned response after stressors situations that place demands
social role a set of norms that character- a period of time has passed following on organisms that tax or exceed their
izes how people in a given social position extinction resources
ought to behave spontaneous remission improvements stroboscopic movement illusory move-
social skills training a technique in in symptoms in the absence of any ment produced when a light is briefly
which a client learns more effective therapy flashed in darkness and then, a few mil-
social behaviours by observing and imi- standard deviation (SD) the square root liseconds later, another light is flashed
tating a skillful model of the variance nearby
socialization the process by which we standardization in psychological testing, structuralism an early German school
acquire the beliefs, values, and behav- (1) creating a standard set of proce- of psychology established by Wilhelm
iours of a group dures for administering a test or making Wundt that attempted to study the struc-
sociobiology an evolutionary theory of observations, and (2) deriving norms to ture of the mind by breaking it down
social behaviour that emphasizes the role which an individual’s performance can be into its basic components, thought to be
of adaptive behaviour in maintaining compared sensations
one’s genes in the species’ gene pool state-dependent memory theory that subgoal analysis a problem-solving
sociocultural perspective a perspective our ability to retrieve information is heuristic in which people attack a large
that emphasizes the role of culture and greater when our internal state at the problem by formulating subgoals, or
the social environment in understanding time of retrieval matches our original intermediate steps toward a solution
commonalties and differences in human state during learning sublimation the channelling of unac-
behaviour static testing a traditional approach to ceptable impulses into socially accepted
somatic nervous system the branch of the testing whereby very detailed instruc- behaviours, as when aggressive drives
peripheral nervous system that provides tions must be closely adhered to in order are expressed in violent sports
input from the sensory receptors and out- to make sure that all testees are respond- subliminal stimulus a stimulus that is
put to the voluntary muscles of the body ing to as similar a stimulus situation as received by the senses but not perceived
somatic sensory cortex cortical strips possible so that their scores will be solely consciously
in the front portions of the parietal lobes a reflection of their ability substance dependence a maladaptive
that receive sensory input from various statistical significance a term that sug- pattern of substance use that causes sig-
regions of the body gests that it is unlikely that a particular nificant distress or substantially impairs
somatic symptom disorders disorders in finding occurred by chance alone a person life; diagnosed as occurring
which people complain of bodily symp- stereotype a generalized belief about a “with physiological dependence” if drug
toms that cannot be accounted for in group or category of people tolerance or withdrawal symptoms have
terms of actual physical damage or dys- stereotype threat according to Claude developed
function; formerly known as somatoform Steele, the idea that stereotypes create a suicide the willful taking of one’s own life
disorders. fear and self-consciousness among ste- superego the moral arm of the personal-
somatic theory of emotion a modern reotyped group members that they will ity that internalizes the standards and
emotion theory inspired by the James- “live up” to other people’s stereotypes values of society and serves as the per-
Lange theory that emphasizes the causal stimulants drugs that stimulate neural son’s conscience
role of bodily responses in the experienc- activity, resulting in a state of excitement suprachiasmatic nuclei (SCN) the
ing of emotion or aroused euphoria brain’s master “biological clock,” located
somatoform disorders disorders in stimulus generalization a CR occurs to in the hypothalamus, that regulates most
which people complain of bodily symp- stimuli other than the original CS, based circadian rhythms
toms that cannot be accounted for in on the similarity of these stimuli to the CS surface structure a linguistic term for
terms of actual physical damage or stimulus hierarchy in systematic desen- the words and organization of a spoken
dysfunction; also known as somatic sitization, the creation of a series of or written sentence; two sentences with
symptom disorders anxiety-arousing stimuli that are ranked different surface structure may still mean
source confusion tendency to recall in terms of the amount of anxiety they the same thing
something or recognize it as familiar, but evoke survey research a method in which
to forget where it was encountered storage the retention of information over questionnaires or interviews are used to
specific phobia irrational and excessive time obtain information about many people
fear of specific objects or situations that Strange Situation Test (SST) a stan- sympathetic nervous system the
pose little or no actual threat dardized procedure for examining infant branch of the autonomic nervous system
GLOSSARY GL-16
that has an arousal function on the body’s theory of mind beliefs about the “mind” triarchic theory of intelligence
internal organs, speeding up bodily pro- and the ability to understand other peo- Sternberg’s theory of intelligence that
cesses and mobilizing the body ple’s mental states distinguishes between analytical,
synaesthesia a condition in which stimuli theory of planned behaviour view that practical, and creative forms of mental
are experienced not only in the normal our intention to engage in a behaviour ability
sensory modality, but in others as well is strongest when we have a positive trichromatic theory the colour vision
synapse the microscopic space between attitude toward that behaviour, when theory originally advanced by Young
neurons over which the nerve impulse is subjective norms (our perceptions of and Helmholtz that there are three types
biochemically transmitted what other people think we should do) of colour receptors in the retina and
synaptic cleft a tiny gap between the support our attitudes, and when we that combinations of activation of these
axon terminal of one neuron and the den- believe that the behaviour is under our receptors can produce perception of any
drite of the next neuron control hue in the visible spectrum
synaptic vesicles chambers within the theory of reciprocal altruism view twin studies a behaviour genetics
axon that contain the neurotransmitter that altruism is long-term cooperation; method in which identical (monozy-
substance one individual may help another but that gotic) and fraternal (dizygotic) twins
syntax the rules for the combination of assistance will be reciprocated at some are compared on some characteristic;
symbols within a given language time in the future this method is particularly informative
systematic desensitization an attempt three-stratum theory of cognitive if the twins have been raised in different
to eliminate anxiety by using countercon- abilities a theory that supports three environments
ditioning, in which a new response that is levels of mental skills—general, broad, two-factor theory of avoidance
incompatible with anxiety is conditioned and narrow—arranged in a hierarchical learning theory that avoidance
to the anxiety-arousing conditioned model learning first involves the classical con-
stimulus token economy a procedure in which ditioning of fear, followed by learning
desirable behaviours are reinforced operant responses that avoid an antici-
with tokens or points that can later be pated aversive stimulus and thus are
T redeemed for other reinforcers reinforced by anxiety reduction
tardive dyskinesia an irreversible motor tolerance a condition in which increas- two-factor theory of emotion Schachter’s
disorder that can occur as a side effect of ingly larger doses of a drug are required theory that the intensity of physiological
certain antipsychotic drugs to produce the same level of bodily arousal determines perceived intensity
taste buds the receptors for taste in the response; caused by the body’s compen- of emotion, whereas the appraisal of
tongue and in the roof and back of the satory responses environmental cues tells us which
mouth that are sensitive to the qualities top-down processing perceptual pro- emotion we are experiencing
of sweet, sour, salty, and bitter cessing in which existing knowledge, Type I schizophrenia subtype of schizo-
TDF (testis determining factor) concepts, ideas, or expectations are phrenia characterized by a predominance
gene a gene on the Y chromosome that applied to make sense of incoming of positive symptoms
triggers male sexual development stimulation Type II schizophrenia subtype of
temperament a biologically based gen- transduction the conversion of one form schizophrenia characterized by negative
eral style of reacting emotionally and of energy into another; in sensation, the symptoms
behaviourally to the environment process whereby physical stimuli are Type A personality a behavioural pat-
temporal lobe the portion of the cortex translated into nerve impulses tern involving a sense of time urgency,
that lies below the parietal lobes and is transfer of excitation a misinterpreta- pressured behaviour, and hostility that
the major site of auditory input to the tion of one’s state of arousal that occurs appears to be a risk factor in coronary
brain when arousal actually is caused by one heart disease
teratogens environmental (non-genetic) source, but the person attributes it to Type B personality a relaxed and agree-
agents that cause abnormal prenatal another source able personality type, with little sense of
development transference the psychoanalytic phe- time urgency
test-retest reliability the extent to nomenon in which a client responds
which scores on a presumably stable irrationally to the analyst as if the latter
characteristic are consistent over time were an important person from the cli-
U
thalamus a major sensory integration ent’s past who plays an important role in unconditional positive regard a
and relay centre in the forebrain, some- the client’s dynamics communicated attitude of total and
times referred to as the brain’s sensory transtheoretical model identifies six unconditional acceptance of another
switchboard major stages in the process of how person that conveys the person’s intrinsic
THC (tetrahydrocannabinol) the major people change: precontemplation, worth
active ingredient in marijuana contemplation, preparation, action, main- unconditioned response (UCR) a
theory a set of formal statements that tenance, and termination response (usually reflexive or innate)
explain how and why certain events or trauma-dissociation theory a theory that is elicited by a specific stimulus (the
phenomena are related to one another that accounts for the development of UCS) without prior learning
theory of cognitive dissonance the dissociative identity disorder in terms of unconditioned stimulus (UCS) a stimu-
theory that people strive to maintain con- dissociation as a defence against severe lus that elicits a particular reflexive or
sistency in their beliefs and actions, and childhood abuse or trauma innate response (the UCR) without prior
that inconsistency creates dissonance— triangular theory of love the view that learning
unpleasant arousal that motivates people various types of love result from differ- unobtrusive measurement recording
to restore balance by changing their ent combinations of three core factors: behaviour in a way that keeps participants
cognitions intimacy, commitment, and passion unaware that they are being observed
GL-17 GLOSSARY
V visual acuity the ability to see fine detail wish fulfillment in Freudian theory,
visual agnosia a disorder in which an indi- the partial or complete satisfaction of a
validity the extent to which a test mea- vidual is unable to visually recognize objects psychological need through dreaming or
sures what it is supposed to; the degree visual association cortex cortical areas waking fantasy
to which a diagnostic system’s categories in the occipital, parietal, and temporal withdrawal the occurrence of com-
contain the core features of the behav- lobes that analyze visual stimuli sent to pensatory responses after drug use is
iour disorders and permit differentiation the primary visual cortex in relation to discontinued, causing a person to experi-
among the disorders stored knowledge and that establish the ence physiological reactions opposite to
variable any characteristic of an organ- “meaning” of the stimuli those that had been produced by the drug
ism or situation that can differ vulnerability factors predispositions working memory a more current name
variable-interval (VI) schedule a that can have a biological basis, such as for short-term memory, reflecting the
schedule in which reinforcement follows our genotype, a brain malfunction, or a fact that it consciously processes, codes,
the first correct response that occurs hormonal factor and “works on” information
after an average (but variable) time inter- vulnerability-stress model a model that
val following the last reinforced response
variable-ratio (VR) schedule a sched-
explains behaviour disorders as resulting Y
from predisposing biological or psy-
ule in which reinforcement is based chological vulnerability factors that are yo-yo dieting a form of weight moni-
on an average but variable number of triggered by a stressor toring that results in big up-and-down
responses weight fluctuations; increases the risk of
variance the average of the squared dying from cardiovascular disease
deviation scores about the mean W
vestibular sense the sense of body orien- Weber’s law the principle that to perceive a
tation or equilibrium difference between two stimuli, the stimuli
Z
virtual reality (VR) the use of computer must differ by a constant percentage or ratio zone of proximal development the
technology to create highly realistic “vir- Wernicke’s area an area of the left tem- difference between what a child can do
tual environments” that simulate actual poral lobe that is involved in speech independently, and what the child can
experience so vividly that they evoke comprehension do with assistance from adults or more
many of the same reactions that a compa- wisdom a system of knowledge about the advanced peers
rable real-world environment would create meaning and conduct of life zygote the fertilized egg
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PSYCHOLOGY

1 2 3 4 5 6 7 8 9 TCP 1 2 3 4 5 6 0 9 8 7

Printed and bound in Canada.

RONALD E. SMITH, PH.D. JOHN B. MITCHELL, PH.D.

The Nature of Psychology 2 Research Foundations

Scientific Principles in Psychology 37 Threats to the Validity of Research 58

The Neural Bases of Behaviour 70 Research Foundations

Genetic Influences 108 Evolution and Behaviour 124

Sensory Processes 143 Frontiers

Depth and Distance Perception 179 Research Foundations

The Puzzle of Consciousness 192 Focus on Neuroscience

Adapting to the Environment 237 Operant Conditioning: Learning through

Escape and Avoidance Conditioning 258 Focus on Neuroscience

Cognition and Learning 264 Research Foundations

Memory as Information Processing 277 Forgetting 297

Language 315 Bilingualism: Learning a Second

Intelligence in Historical Perspective 358 Focus on Neuroscience

Perspectives on Motivation 396 Psychological Aspects of Hunger 405

Prenatal Development 449 Applications

Social Thinking and Perception 499 Social Relations 523

What Is Personality? 550 Social Cognitive Theories 573

The Nature of Stress 592 Research Foundations

Coping with Stress 608 Applications

Historical Perspectives on Deviant Behaviour 634 Applications

The Helping Relationship 683 Frontiers 697

Biological Approaches to Treatment 715 A P P E NDIX : S TAT IS T IC S IN

Suppose the entire world was consumed by a deadly

features, Chapter 1 includes a Reader’s Guide— Roth, As2016)

annotations written by the authors to draw attention nal mental

to specific features and explain why they have been psychology

Psychology: The Science or frequency discrimination—that is, whether or not ani-

• Research Foundations features describe and critically

of Behaviour man primate, a rat, a pigeon, or a fish tell the difference

methods to help students learn the process of critical

path 1 in Fig-selves in a sterile and boring environment, but knowing that

urate because DO STRESSFUL LIFE EVENTS CAUSE

ure and other PSYCHOLOGICAL DISTRESS?

tend to view possible reasons for this relation?

LEARN WITHOUT LIMITS • Streamline lesson planning, student progress report-

Psychology: The Science

On March 24, 2015, Ger-

the study of mental processes, especially from

We’ll encounter other branches of psychol-

TABLE 1.1 Widely Held Beliefs about Behaviour: Fact or Fiction?

Thinking Critically about The Jumbled-Word Challenge

Of Astrology and Asstrology: Potential

The Psychological Level The Environmental Level

The Biological Level

PERSPECTIVES In science, new perspectives are engines of

structuralism and functionalism: Consider your

© Science Photo Library/Photo Researchers, Inc.

10. What are

Origins of the Cognitive Perspective

language and that children come to understand

The Modern Cognitive Perspective

displays, such as gauges in airplane cockpits,

(left) Julie Jacobson/AP Photo/The Canadian Press; (right) © Eldad Rafaeli/Corbis

The Research Foundations feature in each chapter presents a

earlier, Ray was depressed. What brain regions,

• Research Foundations features describe and critically