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DALLENBACH, KARL M. (1887-1971), American discovered that the others did not have liquid assets,
psychologist. Dallenbach was born in Champaign, Illi- including Titchener, and so had to borrow against his
nois, the son of John Dallenbach and Anna Mittendorf, inheritance to purchase the journal. Titchener became
farmers. In 1906, he entered the University of Illinois its editor and Dallenbach its business manager. It was
as an undergraduate with the intent of going into law. a grand gesture on Dallenbachs part in honor of his
In his second year, however, he took a course in psy- major professor and became a commitment for the re-
chology from John Wallace Baird, who had come to mainder of his career. Titchener resigned as editor in
Illinois from Cornell where he had studied under Ed- I925 in a dispute with Dallenbach: thereafter, the jour-
ward B. Titchener. Bairds lectures and Titcheners Text- nal continued in a joint editorship that included Dal-
book (1910) interested Dallenbach, and he later took lenbach.
other courses in psychology at Illinois. Dallenbachs Dallenbach continued his research on attention in
laboratory notes in Bairds experimental psychology which he became a world authority. With John G. Jen-
course were so impressive that Baird had them bound. kins, he carried out the experiment on the effect of
Later, when Titchener came to Illinois to give a lecture, sleep versus activity on the retention of learned mate-
he saw the notes and suggested that Dallenbach come rial. It was the crucial experiment on the interference
to Cornell for his doctorate in psychology. In the mean- versus disuse theories of forgetting.
time, after graduating from Illinois in 1910, Dallenbach Dallenbach also conducted research in the field of
received his masters degree in 1911 from the University tactual sensation, involving the mapping of various
of Pittsburgh. He then went to Cornell to study under sensory areas on the skin, including pain and temper-
Titchener. He received his doctorate in psychology in ature. He invented a temperature stimulator that be-
I913 with a dissertation on the topic of attention. came standard laboratory equipment which bears his
Titcheners influence would stay with Dallenbach name. In the 1940s and early 1950s Dallenbach and
through the remainder of his career. his students produced classical studies on the localiza-
After a summer in Germany studying with Oswald tion of objects in space by the blind (Supa, Cotzin. &
Kiilpe. then in Bonn, Dallenbach returned to America Dallenbach, 1944). This research disproved William
and took an appointment at the University of Oregon. Jamess facial vision hypothesis and led to the modern
The following year he went to Ohio State University. research in auditory localization and lateralization.
Then. in the fall of 1914, he returned to Cornell as a During World War I1 Dallenbach did psychological test-
faculty member, where he would teach until 1948. ing and served as chair of the Emergency Committee
During World War I, Dallenbach served in the newly in Psychology of the National Research Council.
established Psychological Testing Corps commanded by After the war, he returned to Cornell, where he be-
Robert M. Yerkes. He was offered an applied position in came the Sage Professor of Psychology. In 1948, Dal-
personnel testing after the war but chose to return to lenbach left Cornell and went to the University of
Cornell and academic life. Texas, where he served as chairman of the department
It was in the early 1920s that Dallenbach, believing of psychology. He obtained a new building for psychol-
he was negotiating for a consortium of Cornell profes- ogy and designed its laboratories. In 1958, he stepped
sors. purchased the American journal of Psychology from down as chair and returned to teaching until his re-
G. Stanley Hall, the journals founder. Dallenbach soon tirement in 1970, although he continued his research
422 DANGEROUSNESS

work. In 1965, he published an experimental article on slight advantages or disadvantages for survival and pro-
single-trial learning. creation. Thus, nature will preferentially select dif-
Dallenbach is noted especially for his stewardship of ferent adaptive characteristics to be propagated within
the American Journal of Psychology, which he edited and the different environments, in somewhat the same way
coedited faithfully from 1926 until 1968. domestic animal breeders select and mate only the best
representatives of the breeds they are developing or
maintaining. Carried on over countless generations,
Bibliography such a process should result in distinctly different pop-
ulations derived from originally identical stock, who
Boring, E. G. (1958). K. M. Dallenbach. American Journal of have diverged sufficiently from each other to become
Psychology, 71, 1-40.
separate species. There are no absolute standards of
Dallenbach, K. M. (1923). Some new apparatus. American
Journal of Psychology, 34. 92-94. best or worst in this process, only differing degrees of
Evans, R. B. (1972). Karl M. Dallenbach 1887-1971. adaptation to particular environmental circumstances.
American Journal of Psychology, 85, 462-476. And since those circumstances are subject to change,
Jenkins, J. G., & Dallenbach, K. M. (1924). Obliviscence both geographically and over time, constant pressures
during sleep and waking. American Journal of Psychol- are in place for the gradual change and evolution of
ogy, 35, 605-612. all species. Assuming an evolutionary past of many
Supa, M., Cotzin, M.. & Dallenbach, K. M. (1944). Facial millions of years, Darwin argued that the present great
vision: The perception of obstacles by the blind. Amer- diversity of life forms could be accounted for in this
ican Journal of Psychology, 57, 133-183. way.
Titchener, E. B. (1910). A textbook ofpsychology. New York: Virtually all of Darwins examples in the Origin dealt
Macmillan.
with physical characteristics and were drawn from non-
Rand Evans human species, but he wrote prophetically in the books
Conclusion: In the distant future I see open fields for
far more important researches. Psychology will be
based on a new foundation. . . . Light will be thrown on
DANGEROUSNESS. See Violence Risk Assessment, the origin of man and his history (Darwin, 1859,
p. 488). That future was actually not so distant, as both
Darwin himself and several of his followers quickly
took up his lead. Psychology, particularly in Great Brit-
DARWIN, CHARLES R. (1809-1882), English natu- ain and America, took on a distinctly Darwinian cast,
ralist. Darwins 1859 book, On the Origin of Species by which it retains today.
Means of Natural Selection, or the Preservation of Ea-
voured Races in the Struggle for Life, transformed the life Darwins Early Life
sciences. Although the notion of evolution or trans- Charles Darwin was born into a wealthy and distin-
mutation of species had been proposed by earlier fig- guished family in Shrewsbury, England, on 12 February
ures including Jean-Baptiste Lamarck (1744-1829) and 1809. His father, Robert Darwin, ranked among the
Charless grandfather Erasmus Darwin (1731-1802), it most highly paid of all English provincial physicians,
had not seriously challenged the traditional belief in following in the footsteps of his eminent father Erasmus
the independent and separate creation of all species. By (who besides promoting evolution had been a famous
offering in-depth support for natural selection as a physician, inventor, poet, and general man of science).
plausible mechanism or natural process by which Charless mother, Susannah Wedgwood Darwin, came
transmutation might occur-something earlier evolu- from the famous chinaware manufacturing family. An
tionary theories had lacked-the Origin literally de- indifferent classical scholar, young Charles languished
manded that evolution be taken seriously. at the local Shrewsbury school, but developed a strong
Briefly summarized, the theory of natural selection extracurricular passion for natural science. Two years
rests upon two key assumptions: (I) that a broad range of medical training in Edinburgh provided some useful
of small but inheritable variations exists within every scientific background, but he could not bear to be pres-
breeding population, on innumerable characteristics in- ent at operations performed without anaesthesia, and
cluding size, shape, coloration, and conformation of or- abandoned medicine. He went to Cambridge in 1827,
gans: and (2) that within every breeding population expecting to prepare for a career as a country parson.
more individuals are born than will live to repr 3duce, Again he failed to shine in the required classical and
so there is a competition for survival and procreation. mathematical subjects, taking his nonhonors degree in
Darwin reasoned that, within differing environments, 1831. Darwin participated vigorously in Cambridges
differing patterns of variations will inevitably offer extracurricular scientific activities, however, and be-
D A R W I N , CHARLES R . 423

came friendly with such scientifically oriented faculty tures established him as a leading naturalist and pop-
as the geologist Adam Sedgwick (1785-1873) and the ular travel writer. Thoughts of ordination disappeared
botanist John Stevens Henslow (1796-1873). when he realized he would have sufficient independent
In I 8 3 I , Henslow recommended Darwin for by far income to devote his life to scientific pursuits. In 1837,
the most important event in my life (Darwin, 1969, he began seriously and systematically reflecting upon
p. 76)-an opportunity to sail aboard the surveying the implications of his Beagle observations for various
ship H.M.S. Beagle as an unpaid naturalistand dining biological issues, including that mystery of mysteries,
companion to its captain Robert FitzRoy, on what be- the origin of species. The traditional, creationist answer
came a five-year voyage. While circumnavigating the to that mystery relied heavily on the argument from
globe with extended stays along the coasts of South design-the assertion that the vastly divergent species
America, and stopovers at the Galapagos Islands, Tahiti, were so wonderfully adapted to their particular envi-
New Zealand, Australia, and South Africa, Darwin ronments that they could only have been separately
honed his scientific skills. He sent home specimens and and deliberately designed by an omniscient Creator.
observational reports from these exotic locales that im- Darwins alternative answer-the hypothesis of natural
mediately established his reputation as a gifted natu- selection-occurred to him in the autumn of 1838, af-
ralist. ter he had been reading the economic theorist Thomas
His geological reports offered crucial support for the Malthuss (1766-1834) argument that most human be-
disputed theory of uniformitarianism-the notion that ings are destined to live in poverty because their rate
the earths primary geological features are the result of of reproduction will always eventually outstrip the rate
gradual and relatively uniform processes extending at which they can produce food to sustain themselves.
over vast stretches of time. The competing and then This idea led Darwin to the thought that for any spe-
dominant theory of catastrophism attributed the cies, many more individuals are conceived than can
earths major geological features to a relatively small survive to reproduce. Further assuming a range of in-
number of massive cataclysms such as the Flood. Dar- heritable variations within each species and a variety
win found fossilized sea shells high in the Andes and of environments in which differing characteristics will
personally experienced an earthquake that raised some prove adaptive, Darwin had the essentials for his theory
Chilean coastal features a few feet higher than they had of evolution by natural selection.
been before. Surely the elevation of the fossils was more Knowing that this theory would encounter stiff and
likely the result of a large number of similar earth- emotional resistance from upholders of the traditional
quakes occurring over vast ages of time, than of a sin- creationist view, Darwin held back from publishing his
gle, cataclysmic event. Darwin also proposed that the theory until he had collected an enormous amount of
geology of many oceanic islands was best accounted supporting argument and documentation. Only in 1856
for by gradual uniform processes such as undersea vol- did he begin writing Natural Selection, a work he pro-
cano eruptions, coral growth, and the slow rising or jected to be several thousand pages in length. In 1858,
subsidence of the ocean floor. Besides turning the tide however, he received a short paper from Alfred Russel
of British geological opinion toward uniformitarianism, Wallace (1823-1913) outlining a theory virtually iden-
these findings accustomed Darwin himself to assuming tical to his own. This precipitated a meeting of the Lin-
a very extended history for the earth, marked by grad- nean Society at which Wallaces paper was read, along
ual change and development. with brief extracts from two of Darwins earlier un-
Darwin also made important biological observations, published works describing the theory. This first public
the full implications of which he did not appreciate un- presentation of natural selection failed to make much
til after his return. He found the fossilized remains of impression, however, being (as Darwin expected) much
extinct creatures with skeletal structures similar to too brief and schematic to fully illustrate the theorys
modern sloths, armadillos, and llamas-and although power. Nevertheless, Darwin now rushed to prepare an
he doubted FitzRoys assertion that these were remains intermediate-length abstract of the theory: the 490-
of animals who had been left off Noahs ark, he had page Origin of Species, which duly appeared in late
no alternative explanation for them at that time. Dar- 1859. This proved sufficient to show that Darwin had
win also observed peculiarities in the geographical dis- seriously grappled with the argument from design and
tributions of similar but distinct living species, such as other major objections to the theory and immediately
giant tortoises with slightly differing shells and finches made evolution a concept to be taken seriously. The
with differently shaped bills, in the Galapagos Islands. retiring Darwin shied away from the clamor aroused by
his unstated but clearly implied assumption that hu-
The Origin of Origin of Species mans are descended from apelike creatures, but his
After his return to England in late 1836, Darwins pub- cause was vigorously taken up and defended by sup-
lished accounts of his Beagle observations and adven- porters such as the botanist Joseph Hooker (1817-
424 DARWIN, CHARLES R .

1911) and, most spectacularly, Darwinsbulldog Tho- guing for the relevance of animal studies for human
mas H. Huxley (1825-1895). beings.
A school of social Darwinism arose shortly after
Darwins Influence on Psychology Darwins death in 1882, promoting unbridled compe-
Within a decade much of the clamor had subsided, and tition and laissez-faire capitalism on the grounds that
in the 1870s Darwin published three works that helped survival of the fittest would inevitably hasten social
lay his promised new foundation for psychology. The and economic, as well as biological progress. The school
Descent of Man (1871) argued that virtually all human actually owed much more to Herbert Spencer (1820-
characteristics-including such higher and psycho- 1903) than to Darwin, however: for, unlike Spencer,
logical qualities as courage, kindness, and reasoning- Darwin denied that evolution could be equated with
can be found in rudimentary form in many lower progress in any ultimate or moral sense. For him,
species: hence there is no reason not to see them as evolution was a conseqence of adaptation pure and
having evolved. The Expression of the Emotions in Man simple, devoid of any other values.
and Animals (1872) made the complementary case, In more recent times, a sometimes controversial ap-
namely, that human beings emotional expressions be- proach known as sociobiology has attempted to ac-
tray many remnants of an inherited ancestral ani- count for the evolution of social behavior. To explain
mality. And with his 1877 paper, A Biographical the persistence of such apparently nonadaptive char-
Sketch of an Infant, Darwin pioneered the genre of acteristics (for individual survival) as altruism, socio-
baby biography while describing his young sons psy- biologists have proposed one important shift in empha-
chological development as an approximate recapitula- sis from Darwins. Whereas Darwin identified the basic
tion of the evolutionary past of the human species. reproducing unit in evolution as the individual organ-
Darwins evolutionary perspective directly stimu- ism, sociobiologists have hypothesized that it is the in-
lated many important developments in psychology. His dividual gene-a concept that did not even exist in Dar-
theoretical emphasis on variation and adaptation lent wins time. Richard Dawkinss conceptualization of the
particular new significance to the identification and selfish gene as a self-replicating mechanism is per-
measurement of individual differences and their role in haps the most influential presentation of this idea.
adaptive behavior. Following this lead, Darwins cousin Dawkins also proposed the concept of the meme as
Francis Galton (1822-1911) proposed the development a unit of cultural evolution corresponding to the gene
of what we now call intelligence tests to measure in biology. Cognitive psychologists and computer sci-
hereditary individual differences in natural ability. In entists have provocatively combined these ideas with
his controversial efforts to demonstrate the hereditary developments in the fields of computational theory
determination of intelligence, and his promotion of the and artificial intelligence (e.g., Dennett, 1995). Steven
eugenics movement, Galton also defined the modern Pinker (1997) has interpreted the human mind as a
nature/nurture issue and laid many of the founda- collection of mechanistically operating, computational
tions for the modern field of behavior genetics. Dar- modules, each one independently evolved to meet
wins insistence that human beings are related by survival needs in the not too distant past. Whatever the
evolution to other species lent new theoretical impor- ultimate fate of specific ideas such as these, Darwins
tance and relevance to the study of animal behavior, general concepts of adaptation, competition, and evo-
and he actively encouraged his young friend George Ro- lution will surely continue to influence psychological
manes (1848-1894) to launch the new discipline of theorizing for the foreseeable future.
comparative psychology.
Darwins general influence became especially strong
on British and American psychologists, who focused Bibliography
heavily on issues of process, adaptation, function, mea-
surement, and individual differences. The pragmatic Works by Darwin
psychology of William James (1840-1910) was one ex- Darwin, C. (1859). On the origin of species by means of nat-
ample of this trend, followed by the functionalism of ural selection, or the preservation of favoured races in the
James Angel1 (1869-1949), John Dewey (1859-1952), struggle for life. London: Murray.
Darwin, C. (1871). The descent of man, and selection in re-
Edward Thorndike (1874-1949), and Robert Wood-
lation to sex. London: Murray.
worth (1869-1962). among others. G. Stanley Hall Darwin, C. (1872). The expression of emotion in man and
(1844-1924) adapted the recapitulation hypothesis animals. London: Murray.
from Darwins Biographical Sketch, while pioneering Darwin, C. (1877). Biographical sketch of an infant. Mind,
developmental psychology as a major subdiscipline at 2, 285-294.
Clark University. The school of behaviorism explicitly Darwin, C. (1969). The autobiography of Charles Darwin
relied on the Darwinian theory of evolution, while ar- 1809-1883 (N. Barlow, Ed.). New York: Norton.
DATA ANALYSIS 425

Works about Darwin he worked with R. S. Woodworth, John Dewey, E. L.


Bowler, l? (1989). Evolution: The history of an idea (Rev. ed.). Thorndike, and J. McK. Cattell. He completed a masters
Berkeley, CA: IJniversity of California Press. degree in 1910and a Ph.D. degree in 1913. Upon com-
Browne, J. (r995). Charles Darwin voyaging: A biography. pletion of his doctorate, Dashiell served on the philos-
Princeton: Princeton University Press. ophy faculties of Princeton University, the University of
Dawkins. R. (1976). The selfish gene. Oxford: Oxford Uni- Minnesota, and Oberlin College before joining the de-
versity Press. partment of philosophy at the University of North Car-
Uesmond. A. and Moore, J. (1991).Darwin. New York:
olina in 1919. In 1920, Dashiell was named head of an
Warner Books.
autonomous department of psychology. He was named
Dennett, D. C. (1995). Darwins dangerous idea: Evolution and
the meanings of life. New York: Touchstone. Kenan Professor in 1935 and continued to serve as
Gruber. H. E. (1974). Darwin on man: A psychological study head of the department until 1949. After retiring in
of scimtrfic creativity. London: Wildwood House. 1958, Dashiell was named a Whitney visiting professor
Pinker. S. (1997).How the mind works. New York: Norton. at Wake Forest University in Winston-Salem. North
Richards. R. J. (1987). Darwin and the emergence of evolu- Carolina, where he undertook the establishment of
tionary theories of mind and behavior. Chicago: University their department of psychology. Subsequently he served
of Chicago Press. on the faculty of the department of psychology at the
Raymond E. Fancher University of Florida before his final retirement to
Chapel Hill. He died on 3 May 1975.
[Many of the people mentioned in this article are the
subjects of independent biographical entries.]

DASHIELL, JOHN FREDERICK (1888-1975). Amer-


ican psychologist. A pioneer in the experimental study Bibliography
of learning and author of the first introductory text in
psychology based on behavioral principles (Fundamen- Dashiell. J. F. (1967). (John Frederick Dashiell.) In E. G.
Boring & G. Lindzey (Eds.), A history of psychology in
tals of Objective Psychology, 1928), he was the founder
autobiography (Vol. 5, pp. 9 5-14). New York: Appleton-
and head of two departments of psychology (at the
Centur y-Crofts.
University of North Carolina at Chapel Hill in 1920 and Dashiell, J. F. (1928). Fundamentals of objective psychology.
at Wake Forest University in 1958). He served as pres- Boston: Houghton Mifflin.
ident of the American Psychological Association in Dashiell, J. F. (1931).An experimental manual in psychology.
1938 and was the recipient in 1958 of the Gold Medal Boston: Houghton-Mifflin.
Award for a lifetime contribution to psychology from Dashiell, J. F. (1935). Experimental studies of the influence
the American Psychological Foundation. As a n editor of social situations on the behavior of individual hu-
Dashiell was instrumental in founding the Psychologi- man adults. In C. Murchison (Ed.),A handbook of social
cal Monocjraphs as well as establishing a long series of psychology (pp. 1097-1158). Worcester, MA: Clark Uni-
distinguished volumes on psychology published by versity Press.
Dashiell, J. F., & Stetson. R. H. (1919).
A multiple unit sys-
McGraw-Hill. More than twenty volumes were issued
tem of maze construction. Psychological Bulletin, 16.
under his editorship. He published widely on experi-
223-230.
mental studies of learning in rats, based on complex
mazes of his own design. Dashiell also developed the W.Grant Dahlstrom
first teaching manual in laboratory procedures for un-
dergraduate psychology majors.
Dashiell was born on 30 April 1888 in Southport.
Indiana. the ninth child in a family of 12 children of DATA ANALYSIS. The physicist Stephen Hawking has
John W. and Fannie S. (Myers) Dashiell. His father was defined a scientific theory as a model of the universe,
a Methodist minister who frequently moved his family or a restricted portion of it, and a set of rules that relate
around the state of Indiana. As an undergraduate at quantities in the model to observations that we make.
Evansville College, Dashiell earned both a bachelor of Psychologists use a wide variety of models to explore
literature degree in 1908 and a bachelor of science de- human behavior and thinking. For example, mathe-
gree in r c ~ o y .He was outstanding in college sports as matical models have been developed to represent basic
well as in academic work and briefly considered a ca- processes in vision and learning. Similarly, psycholo-
reer in professional sports, trying out as a pitcher with gists have developed computer models of such diverse
the New York Yankees baseball team. phenomena as associative learning and personality.
After graduation, Dashiell entered Columbia Uni- However, the type of model most widely used in psy-
versity to study philosophy and psychology. There chological research is represented by the class of sta-
DATA ANALYSIS 425

Works about Darwin he worked with R. S. Woodworth, John Dewey, E. L.


Bowler, l? (1989). Evolution: The history of an idea (Rev. ed.). Thorndike, and J. McK. Cattell. He completed a masters
Berkeley, CA: IJniversity of California Press. degree in 1910and a Ph.D. degree in 1913. Upon com-
Browne, J. (r995). Charles Darwin voyaging: A biography. pletion of his doctorate, Dashiell served on the philos-
Princeton: Princeton University Press. ophy faculties of Princeton University, the University of
Dawkins. R. (1976). The selfish gene. Oxford: Oxford Uni- Minnesota, and Oberlin College before joining the de-
versity Press. partment of philosophy at the University of North Car-
Uesmond. A. and Moore, J. (1991).Darwin. New York:
olina in 1919. In 1920, Dashiell was named head of an
Warner Books.
autonomous department of psychology. He was named
Dennett, D. C. (1995). Darwins dangerous idea: Evolution and
the meanings of life. New York: Touchstone. Kenan Professor in 1935 and continued to serve as
Gruber. H. E. (1974). Darwin on man: A psychological study head of the department until 1949. After retiring in
of scimtrfic creativity. London: Wildwood House. 1958, Dashiell was named a Whitney visiting professor
Pinker. S. (1997).How the mind works. New York: Norton. at Wake Forest University in Winston-Salem. North
Richards. R. J. (1987). Darwin and the emergence of evolu- Carolina, where he undertook the establishment of
tionary theories of mind and behavior. Chicago: University their department of psychology. Subsequently he served
of Chicago Press. on the faculty of the department of psychology at the
Raymond E. Fancher University of Florida before his final retirement to
Chapel Hill. He died on 3 May 1975.
[Many of the people mentioned in this article are the
subjects of independent biographical entries.]

DASHIELL, JOHN FREDERICK (1888-1975). Amer-


ican psychologist. A pioneer in the experimental study Bibliography
of learning and author of the first introductory text in
psychology based on behavioral principles (Fundamen- Dashiell. J. F. (1967). (John Frederick Dashiell.) In E. G.
Boring & G. Lindzey (Eds.), A history of psychology in
tals of Objective Psychology, 1928), he was the founder
autobiography (Vol. 5, pp. 9 5-14). New York: Appleton-
and head of two departments of psychology (at the
Centur y-Crofts.
University of North Carolina at Chapel Hill in 1920 and Dashiell, J. F. (1928). Fundamentals of objective psychology.
at Wake Forest University in 1958). He served as pres- Boston: Houghton Mifflin.
ident of the American Psychological Association in Dashiell, J. F. (1931).An experimental manual in psychology.
1938 and was the recipient in 1958 of the Gold Medal Boston: Houghton-Mifflin.
Award for a lifetime contribution to psychology from Dashiell, J. F. (1935). Experimental studies of the influence
the American Psychological Foundation. As a n editor of social situations on the behavior of individual hu-
Dashiell was instrumental in founding the Psychologi- man adults. In C. Murchison (Ed.),A handbook of social
cal Monocjraphs as well as establishing a long series of psychology (pp. 1097-1158). Worcester, MA: Clark Uni-
distinguished volumes on psychology published by versity Press.
Dashiell, J. F., & Stetson. R. H. (1919).
A multiple unit sys-
McGraw-Hill. More than twenty volumes were issued
tem of maze construction. Psychological Bulletin, 16.
under his editorship. He published widely on experi-
223-230.
mental studies of learning in rats, based on complex
mazes of his own design. Dashiell also developed the W.Grant Dahlstrom
first teaching manual in laboratory procedures for un-
dergraduate psychology majors.
Dashiell was born on 30 April 1888 in Southport.
Indiana. the ninth child in a family of 12 children of DATA ANALYSIS. The physicist Stephen Hawking has
John W. and Fannie S. (Myers) Dashiell. His father was defined a scientific theory as a model of the universe,
a Methodist minister who frequently moved his family or a restricted portion of it, and a set of rules that relate
around the state of Indiana. As an undergraduate at quantities in the model to observations that we make.
Evansville College, Dashiell earned both a bachelor of Psychologists use a wide variety of models to explore
literature degree in 1908 and a bachelor of science de- human behavior and thinking. For example, mathe-
gree in r c ~ o y .He was outstanding in college sports as matical models have been developed to represent basic
well as in academic work and briefly considered a ca- processes in vision and learning. Similarly, psycholo-
reer in professional sports, trying out as a pitcher with gists have developed computer models of such diverse
the New York Yankees baseball team. phenomena as associative learning and personality.
After graduation, Dashiell entered Columbia Uni- However, the type of model most widely used in psy-
versity to study philosophy and psychology. There chological research is represented by the class of sta-
426 DATA A N A L Y S I S

tistical models. This class is especially useful in studying approach, on the other hand, tends to examine consis-
human behavior and thought because a distinguishing tent differences between individuals. Thus, psychologi-
characteristic of statistical models is that they are sto- cal methods and statistical models have often developed
chastic, which means that the model includes a prob- along two different trajectories, the first designed to
abilistic component reflecting the inherent uncertainty identify environmental influences that make individuals
of the data. As will be described in greater detail later behave similarly to one another, and the second de-
in this chapter, this feature has two important advan- signed to identify characteristics of individuals that
tages in psychology: it acknowledges the unique nature make them different from one another.
of individuals, and it provides a foundation for making
inferences beyond the specific individuals included in Parameter Estimation and Inference
any single study. Regardless of whether the ultimate goal involves situ-
As Hawking's quote suggests, statistical models can ational effects or personal characteristics or some com-
be used to derive information from observations. Most bination of the two, a statistical model is usually
often, statistical models are applied to quantitative ob- formed to represent the presumed relationship among
servations, such as scores on a personality inventory two or more variables. For example, one of the simplest
or reaction times on a cognitive task. In some cases, research designs involves randomly assigning individ-
however, even when the observations are qualitative uals to either a treatment group or a control group,
rather than quantitative, statistical models can still be and then measuring each individual on some charac-
used. For example, females and males might be com- teristic of interest subsequent to the experimental ma-
pared to one another on their preferences during a nipulation. The ensuing question involves the relation-
forced-choice task in which the available choices differ ship between scores on the characteristic of interest
from one another along purely qualitative grounds. [See (referred to in this context as the dependent variable)
Analysis of Counts.] Regardless of whether observa- and group membership (referred to as the independent
tions are quantitative or qualitative, statistical models variable). The most typical statistical model for data
can help researchers examine relationships among var- +
arising from this design is YIT = pT qT for individuals
iables, which Kerlinger has defined to be the primary +
in the treatment group and Ylc = kc E , for ~ individ-
goal of behavioral research. uals in the control group. The uppercase letter Y on the
Statistics is often conceptualized as consisting of two left side of the equation represents the dependent var-
distinct but related sets of methods for obtaining infor- iable, i.e., the characteristic whose value may depend
mation from data. First, descriptive statistics consists of on the experimental condition. The subscripts (either iT
methods for organizing data through numerical sum- or iC) show that each individual i may have a distinct
maries and ways of describing data through graphs. value of Y. Potential influences on Y are shown on the
The last decade has seen increasing interest in explor- right side of the equation. This simple model includes
atory data analysis as a collection of methods for in- only two types of influence. First, pr and pc are para-
vestigating various properties of data, especially under- meters that represent the mean value of Y in the treat-
standing the nature of the relationships between ment and control conditions, respectively. Second, EIT
variables. [See Exploratory Data Analysis.] Second, in- and E,' are random (or stochastic) terms that acknowl-
ferential statistics consists of methods for making in- edge that the Y score of any specific individual i may
ductive inferences about the extent to which observed well be different from the mean score (i.e., either pT or
properties of data might be expected to maintain them- pc) for that group.
selves in populations over and above the properties dis- One of the major goals of data analysis is to estimate
played in a sample of individuals. Inferential methods the parameters of the presumed statistical model. In
are especially important in psychology, because psy- the example given above, observations are collected in
chologists typically observe relatively small samples of order to estimate pL1, the mean of a treatment group,
research participants but hope to generalize conclu- and also pc, the mean of the control group. The values
sions to a broader universe of potential individuals. Sta- of these parameters generally are unknown even after
tistical methods use probability theory to make such collecting observations, because observations are ob-
inductive inferences possible. tained for a sample, which is typically only a very small
Psychologists employ a wide variety of statistical subset of the entire population of interest. For example,
models in their research because the discipline explores if a treatment is designed to alleviate depression, the
such a vast array of research questions. As Cronbach population of scientific interest may consist of all de-
(1957/1975) pointed out, scientific psychology has de- pressed individuals in the world (perhaps even includ-
veloped from two largely unrelated historical traditions. ing those not yet born), but it is clearly impossible to
One tradition. the experimental approach, tends to ex- include all such individuals in a single research study,
amine situational factors that are presumed to have a which might make one doubt the point of collecting
consistent influence on individuals. The correlational data in the first place. However, one of the major con-
D A T A ANA1,YSIS 427

tributions of statistics is that it provides methods for The fact that this interval does not contain zero is
using a sample of individuals to obtain estimates of the especially important, because it implies that a zero
population parameters of a statistical model. Further- treatment effect is implausible in these data. Forming
more, it is often possible to prove mathematically that this confidence interval provides the information
certain methods provide optimal estimates of parame- needed to test a (null) hypothesis that the difference
ters contingent on specific additional assumptions. In between pT and pc equals zero. In these data specifi-
particular, when the data are normally distributed, the cally, this null hypothesis would be rejected because the
sample mean is the best estimator of the corresponding confidence interval does not contain zero. While form-
population mean. (However,when the data are not nor- ing a confidence interval provides one mechanism for
mal. other estimators may be superior to the sample testing the null hypothesis, a t-test can also be per-
mean, and. indeed, the search for estimators that per- formed to test the hypothesis. The t-test rejects the null
form well under a wide range of distributions is a cur- hypothesis (or yields a statistically significant result) if
rent research area in statistics.) and only if the confidence interval does not contain
Suppose the sample means in our simple example zero. so in this respect the confidence interval com-
turn out to be 46 for the treatment condition and 50 municates all of the information contained in the hy-
for the control condition. If lower scores indicate less pothesis test. Regardless of how the test is conducted.
depression, our best estimate is that pT is 4 points less this rejection is necessarily probabilistic because the en-
than pc.. which would imply that the treatment pro- tire population has not been observed. However, the
duces an average 4-point improvement on this measure formation of a 95% confidence interval controls the
of depression. In order to interpret this difference. two probability of incorrectly rejecting the null hypothesis
questions must be addressed. First is whether a differ- when it is true at 5%. Unless the entire population is
ence of this magnitude is important from a scientific observed, there is always some risk of rejecting the null
and/or practical perspective. While this is ultimately a hypothesis when it is really true, but statistical methods
question of content and not methodology, methodolo- allow researchers to set this probability at some pres-
gists have nevertheless developed a number of indices pecified value, typically 5% Rejecting the null hypoth-
of "effect size" to help researchers address this issue. esis when it is true is referred to as a type I error. and
Second, without some indication of the precision of the the corresponding probability of committing a type I
estimates of the two parameters pT and pc, it is difficult error is typically denoted a.
to ltnow how much confidence to place in this esti- Notice that such an interval is centered around the
mated four-point effect. In particular, even if the treat- single best estimate (in our example, this IS 4 points),
ment has no effect in reality whatsoever, the specific but acknowledges that the 4-point estimate is not en-
sample of individuals in the treatment group could sim- tirely precise. Upon reflection, however, it is also true
ply be less depressed than the sample in the control that the interval from 0.5 to 7 .5 points is not entirely
group. even in the absence of any true effect produced precise, because one cannot be IOO% certain that such
by the treatment. No matter how sophisticated the an interval contains the value of the true population
research design. this possibility cannot be entirely difference between the parameters. The level of confi-
eliminated. Fortunately, statistical methods allow a dence can be increased beyond 9j'% but it can never
researcher to stipulate the precision of the esti- reach IOO'% unless the entire population is observed.
mated effect. and in particular to test whether the ob- Furthermore, once the data have been collected and a
served effect can truly be distinguished from zero, that method of analysis is chosen, the only way to increase
is. a null effect. [See Hypothesis Testing.] the level of confidence is to increase the width of the
Statistical methods allow a researcher to specify a interval. For example, for a total sample size of 3 0 , the
level of confidence to be associated with an interval corresponding 99% confidence interval for these data
surrounding the single best estimate of the difference would be from -0.7 points to 8.7 points.
between the parameters. Psychology and most other The interval from -0.7 to 8.7 points has the advan-
disciplines that use statistics have adopted a common tage that a higher level of confidence can be attached
standard of ~ 5 confidence.
% After having specified this to it. As a result, the probability of a type I error has
level of confidence, an interval can be formed based on been reduced from 5% to 1%.However, the new interval
the observed data. The width of the interval depends is 35% wider than the original interval. displaying the
on three factors: the level of confidence desired. the inevitable trade-off (all other things being equal) be-
variability of scores within each group, and the sample tween confidence and precision. It is especially note-
size of each group. To help understand the implications worthy that the 99%)interval, unlike the y5'%1interval,
of forming such an interval, suppose that in our hy- contains zero. Thus, the 99% confidence interval does
pothetical study this procedure produces an interval es- not provide sufficient grounds for rejecting the null hy-
timate of the treatment effect ranging from 0.5 points pothesis, that the true treatment effect is zero.
to 7.5 points. From the perspective of testing the null hypothesis,
428 DATA ANALYSIS

researchers are at risk of making either of two types either individually or as a group. While simultaneous
of errors. The first type, already mentioned, is rejecting inferences about multiple parameters can be useful for
the null hypothesis when it is true. The other possible making inferences about the global characteristics of
error is failing to reject the null hypothesis when it is models, it is almost always important to conduct more
false. This is referred to as a type I1 error. Notice that focused investigations of individual parameters as well.
by increasing the level of confidence from 95% to 99%
(and thereby reducing a from .05 to .oI).it has become Additional Examples of
more difficult to reject the null hypothesis. In fact, in Statistical Models
our hypothetical example, the null hypothesis was re- The specific example discussed up to this point involves
jected for 95% confidence but was not rejected for 99% comparing the means of two groups of individuals.
confidence. Thus, all other things being equal, reducing Even within the restricted domain of comparing means,
the probability of a type I error necessarily raises the methodologists have developed a wide array of research
probability of a type I1 error. designs and accompanying statistical techniques. In
Fortunately, the situation is not so bleak as it may general, analysis of variance refers to a collection of
seem because all other things do not have to be equal. statistical models whose parameters represent popula-
In particular, by changing the research design or by tion group means. [See Analysis of Variance.] In the
increasing the sample size, it is possible to reduce or at simplest extension of the example presented earlier,
least maintain the type I error rate at a desired level there might be a second treatment group, potentially
while simultaneously lowering the probability of a type necessitating an additional parameter in the model.
I1 error. Researchers often prefer to conceptualize this More generally, analysis of variance models allow a va-
issue in terms of statistical power, which is simply the riety of structures among groups, including factorial
probability of rejecting the null hypothesis when it is and nested designs, as well as repeated measures de-
false. As such, power is the probability of correctly re- signs, in which each individual is measured on more
jecting the null hypothesis, and simply equals I minus than one occasion. Repeated measures designs are es-
the probability of a type I1 error. Methodologists have pecially important in psychological research for two in-
devoted considerable attention to procedures for in- dependent reasons. First, by repeatedly observing the
creasing power, especially by developing procedures for same individual over a variety of treatment conditions,
calculating necessary sample sizes to achieve a desired statistical power can be increased without having to
level of statistical power for a wide variety of research increase the number of research participants. Second,
designs. many psychological questions involve a consideration
While specific models should be chosen according to of how individuals change over time, so repeated ob-
the research design and the scientific questions to be servations of the same individual over time may be of
addressed, the overall goals of statistical analysis re- interest, frequently leading to a repeated measures de-
main much the same. Arguably the most basic goal is sign. In the latter case. notice that repeated observa-
to assess the adequacy of the model. Even a simple tions are pertinent because individuals may naturally
independent-groups t-test assumes that data are nor- be changing over time, whereas in the former case re-
mally distributed, that scores are equally variable peated observations are obtained because the experi-
within the two groups, and that scores are independent menter has chosen to vary the treatment condition to
of one another. In some cases violations of such as- which each individual is exposed. Both cases lead to a
sumptions call into question any model inferences, repeated measures design, or a within-subjects design,
while in other cases procedures have been shown to be as it is sometimes called. Analysis of variance encom-
robust to violations of assumptions. When assumptions passes a wide variety of designs and thus can serve as
may be doubtful and robustness is questionable, other a viable statistical model for a wide range of statistical
methods such as nonparametric approaches can be ad- questions. However, a potentially serious disadvantage
vantageous. [See Nonparametric Statistics.] of analysis of variance models is that all variation
After having assessed the adequacy of the model, within a group is regarded as error, when in most psy-
the next goal typically involves estimating parameters chological studies a substantial component of within-
of the model. While the meaning of such parameters group variability may reflect true individual differences.
clearly depends on the specific model and the research Analysis of covariance provides an extension of the
design that generated the data, the overall structure of analysis of variance that allows the inclusion of one or
the statistical phase of the research nevertheless tends more individual-difference variables.
to remain much the same. In addition to estimating the While mean comparisons are central to some psy-
parameters of the model, researchers usually also hope chological investigations, oftentimes the research ques-
to infer model characteristics for the population. This tion leads to other types of statistical methods, neces-
step typically consists of forming confidence intervals sitating approaches other than analysis of variance and
and/or testing null hypotheses about model parameters. analysis of covariance. One such method is multiple
D A T A ANALYSIS 429

regression analysis. Both analysis of variance and anal- dividuals in a treatment group are coded I on X, while
ysis of covariance models can be viewed as special cases individuals in a control group receive a score of 0).
of the multiple regression model, which expresses However, in 1904 Charles Spearman developed a model
scores on a dependent variable Y as a linear additive called factor analysis, whereby the predictor variables
function of one or more predictor variables. For ex- are neither observed nor measured. For example, with
ample, the following model states that the score for in- four dependent variables this model might be written
dividual i on variable Y can be expressed as a weighted as:
linear combination of the three predictor variables XI,
X2, and X < .

The weights Po, PI, p2, and P3 then become model par-
ameters to be estimated based on sample observations.
The multiple regression model is much more flexible
than it might appear, because one or more of the X
variables can be reexpressions of the original predictor
variables. For example, some or all of the X variables Although this model has the same appearance as the
can be coded to represent group membership, which is general linear model, there is a crucial difference be-
why the model subsumes analysis of variance and co- cause the F variable is not measured. Instead, it is a
variance. Furthermore, an X variable as entered in the latent variable, or a factor. Even though scores on F are
model can be a transformation of an original variable. not observed, under certain specified conditions it is
For example, instead of using reaction time as a pre- nevertheless possible to estimate the P parameters in
dictor of some Y variable, a researcher might decide to the model and test relevant null hypotheses. For ex-
use the logarithm of reaction time as the X variable in ample, the model shown above would allow a re-
a regression model. Or, the researcher might choose to searcher to test a hypothesis that a single latent vari-
enter both reaction time and the square of reaction able explains common individual differences observed
time as predictors in the model. Thus, the model can on the four Y variables. Factor analytic models have
represent a variety of nonlinear forms of relationships received much attention from psychologists over the
among variables. Similarly, although the model may ap- years in part because, as Cronbach pointed out, the
pear to be restricted to additive relationships, a single study of individual differences has been one of the two
X variable might in truth be the product of reaction main traditions of scientific psychology. In recent years
time and number of errors, which allows for a specific latent variable models have received additional atten-
form of nonadditive (i.e., interactive) relationship. tion also because of the realization that most theoret-
The multiple regression model itself can be gener- ical constructs in psychology cannot be measured per-
alized in any of several ways. In particular, psycholog- fectly.
ical research often involves the simultaneous consid- Second, although the general linear model allows
eration of multiple dependent variables. The general simultaneous investigation of multiple dependent and
linear model expands the multiple regression model by multiple independent variables, it sometimes is not flex-
allowing for multiple Y variables. For example, if there ible enough to serve as an appropriate statistical model.
are p Y variables, the model includes p Po parameters, One potentially major limitation is that it requires each
p PI parameters, p Pz parameters, and so forth. The variable to serve as either an independent variable or
general linear model then encompasses a wide variety a dependent variable. However, it does not allow a var-
of procedures as special cases, such as analysis of var- iable to appear on both sides of the equation. In reality,
iance, analysis of covariance, multiple regression, mul- however, a researcher may conceptualize some varia-
tivariate analysis of variance, multivariate analysis of bles as both causes and effects in a broader system of
covariance, and discriminant analysis. variables. Structural equation modeling (also referred
The general linear model can in turn be generalized to as covariance structure modeling) generalizes the
in two important ways. First factor analysis expands on general linear model by allowing some variables to be
the general linear model by allowing unmeasured la- included on the left side of an equation (thus consti-
tent variables to be included in the model. Notice that tuting a dependent variable) but also on the right side
the general linear model and all its special cases out- of one or more other equations (thus constituting an
lined above require that at least one Y variable and at independent variable in this context). Such models are
least one X variable be observed. Furthermore, a nu- especially useful for studying intervening relationships
merical score is obtained for each individual on each where one variable is thought to mediate the relation-
variable. although in some cases a variable may arbi- ship between two others. For example, in a simple case,
trarily be coded to reflect group membership (e.g.. in- X1 might be hypothesized to cause X2. which in turn
430 DATA COLLECTION

is thought to cause X3, so in this system X, plays the Cohen, J. (1988). Statistical power analysisfor the behavioral
role of both cause and effect. Structural equation mod- sciences (2nd ed.). Hillsdale. NJ: Erlbaum.
eling has the important added benefit that it allows la- Cronbach, L. J. (1957). The two disciplines of scientific psy-
tent variables as well as observed variables to serve as chology. American Psychologist, 12, 671-684.
Cronbach, L. J. (1975). Beyond the two disciplines of sci-
both causes and effects.
entific psychology. American Psychologist, 30, 116-127.
Another recent generalization of the general linear
Freedman, D., Pisani, R., Purves, R.. & Adhikari, A. (1991).
model is multilevel modeling, also referred to as hier- Statistics (2nd ed.). New York: Norton.
archical linear modeling. Like the general linear model Hays, W. L. (1994). Statistics (5th ed.). Fort Worth, TX:
and the structural equation model, the multilevel model Harcourt Brace.
allows more than one equation. The distinguishing Johnson, R. A.. & Wichern, D. W. (1992). Applied multivar-
characteristic of the multilevel model is that the mul- iate statistical analysis (3rd ed.). Englewood Cliffs, NJ:
tiple equations pertain to different levels of data. For Prentice Hall.
example, one popular application of the multilevel Jones, L. V., & Appelbaum. M. I. (1989). Psychometric
model is to longitudinal data, in which multiple indi- methods. In M. R. Rosenzweig & L. W. Porter (Eds.),An-
viduals may be measured over multiple points in time. nual review of psychology (Vol. 40. pp. 23-43). Palo Alto,
CA: Annual Reviews, Inc.
The multilevel model expresses such data in terms of
Judd, C. M., 81 McClelland, G. H. (1989). Data analysis: A
two distinct equations. The first equation models the
model-comparison approach. San Diego: Harcourt Brace.
pattern of each individual's changing scores over time. Judd, C. M., McClelland. G. H., & Culhane, S. E. (1995).
In this idiographic model, one or more parameters are Data analysis: Continuing issues in the everyday anal-
estimated for each individual. These parameters then ysis of psychological data. Annual Review of Psychology,
essentially become dependent variables in another set 46, 433-465.
of models based on between-individual characteristics. Kenny, D. A. (1996). The design and analysis of social-
Multilevel models can be useful not only for modeling interaction research. Annual Review of Psychology, 47,
change over time, but also for studying individuals in 59-86.
environmental contexts. For example, an educational Maxwell, S. E., & Delaney, H. D. (1990). Designing experi-
psychologist might be interested in studying individual- ments and analyzing data: A model comparison perspective.
Belmont, CA: Wadsworth.
level and school-level correlates of math achievement.
Scott E. Maxwell

Summary
The diversity of psychological inquiry and the com-
plexity of behavioral research requires a sophisticated
DATA COLLECTION. [This entry comprises two articles:
array of methodological tools. The development of new
Field Research and Laboratory Research. Included for
statistical methods allows psychological researchers to
each article is an overview of the concept and its purpose,
explore old scientific questions from new perspectives,
importance, and role in the field of psychological research,
as well as to point out entirely different ways of con-
including its historical development, methodology, and var-
ceptualizing research questions. While psychological
ious types. See also Artifact: Assessment; Case Study:
methodology is ever changing, basic principles of re-
Data Analysis; Direct Observation: Qualitative Re-
search design, measurement, and data analysis serve to
search; Sampling: Statistical Significance; and Survey
unite the vast diversity of questions addressed by the
Methodology.]
discipline of psychology.
[See also Analysis of Counts: Analysis of Variance:
Exploratory Data Analysis; Hypothesis Testing: Nonpar- Field Research
ametric Statistics: and Statistical Significance.]
The term field research refers to a systematic investiga-
tion that is carried out in the field, as opposed to in a
Bibliography laboratory. There are numerous methods that can be
categorized as field research, including experiments in
Bentler, P. M., & Dudgeon, P. (1996). Covariance structure naturalistic settings, ethnographic fieldwork, systematic
analysis: Statistical practice, theory, and directions. An- observational methods, field surveys and interviews,
nual Review of Psychology, 47, 563-592. and the use of unobtrusive methods.
Bollen, K. A. (1989). Structural equations with latent varia-
bles. New York: Wiley.
Methods of Research
Bryk, A. S., & Raudenbush, S. W. (1992). Hierarchical linear
models: Applications and data analysis methods. Newbury Ethnographic fieldwork aims to describe a society's cul-
Park, CA: Sage. ture. It identifies what people must have learned in or-
D A T A COLLECTION: Field Research 431

der to participate acceptably in the activities of the so- of the interview or questionnaire). It also includes re-
ciety. It describes also how people deal with one spondent factors (gap between private and public opin-
another. To do this the researcher first learns the lan- ions, previous experience with similar methods. satu-
guage of the people in that setting and then categorizes ration with studies, response sets), and cultural factors
the people, things, and events to which individuals in (norms for giving answers, reticence. game playing
a given society respond. The investigator examines the with interviewers who are perceived as out-group
dimensions that distinguish these categories, the distri- members). The interviewers usually must be trained.
bution of the categories on those dimensions, and often and the preparation of a booklet that discusses the
describes how people govern themselves, ritual per- problems of interviewing is recommended in order to
formances, and methods of conducting local affairs. To minimize artifacts. [See Artifact, article on Artifact in
do a good job the ethnographer must keep good notes Assessment.]
of daily observations, and store and retrieve the data Tests and inventories are used to measure abilities,
in the field to form generalizations about the culture. personality, and attitudes. Projective techniques can
Upon returning to their base, researchers often write a also be used to measure motives. Many of the issues
book (an ethnography) that summarizes the data and discussed under surveys and interviews are also rele-
their generalizations. vant with tests and projective techniques. Construct
Systematic observations in naturalistic settings spec- validation where the measurements of the antecedents
ify how behavior is taking place in a particular setting. and consequences of a construct conform to the ex-
This approach requires specification of the units of pectations of theory are especially important. [See At-
study. such as categories of people, behavior, and set- titudes, articZe on Attitude Measurement: Projective
tings. Systems of data recording vary on two dimen- Methods; Construct Validity; and Data Analysis.] Issues
sions: all-inclusive description (e.g., videotaping of of data analyses, such as the comparability of the mea-
social behavior) versus selective description (e.g.. re- surements across samples, must be considered.
cording only who asks questions of whom). and be- Unobtrusive methods in which the participants are
havioral replicas (e.g., films) versus transformations unaware that they are being studied, usually examine
(e.g.. trait ratings). Crucial issues include how to sam- attitudes. These methods are especially appropriate
ple people, settings, and events. Should one record be- when the issue under investigation is taboo, embar-
havior rates or proportions of different types of behav- rassing, or the issue is subject to incompatible norma-
ior? How should interactional sequences be recorded? tive pressures. The classic description of these methods
Should one record only motor behavior, verbal behav- was presented by Eugene J. Webb and associates in Un-
ior. or both? Should the observer use instrumental aids obtrusive Measures: Nonreactive Research in the Social Sci-
(e.g., a written protocol and shorthand) or some coding ences (Chicago, 1966/1981) and are discussed elsewhere
system such as checklists? Coding has to specify time in detail. [See Unobtrusive Methods.]
intervals. behavior boundaries, theoretical bases, Concerns have been expressed about the ethical ac-
breadth or detail of coverage. Distortions may be intro- ceptability of unobtrusive methods, on the grounds
duced while coders work, because they are susceptible that there is no informed consent. For example, the
to shifts in their levels of adaptation. For example, if lost letter technique involves dropping 400 or so let-
they have coded a very large number of aggressive be- ters in a wide sample of locations in a city. The as-
haviors, a mildly aggressive behavior may be coded as sumption is that people who see the letters would mail
neutral. them. If they favor the recipient (addressee) they will
Surveys and interviewing examine the beliefs, atti- be more likely to mail the letter than if they object to
tudes. and values of samples of a population. Sampling the recipient. Half the letters are addressed to a socially
of people, questions, and response formats are impor- controversial recipient (e.g., a proabortion committee)
tant issues. Ouestionnaires (administered to groups of and the other half, randomly determined, to a neutral
people or through the mail) and face-to-face interviews recipient. The difference in the rate of return of the
have similar problems. Social disclosure is often prob- two sets of letters is used as an indicator of attitudes
lematic. [Ser Kesearch Methods, article on Concepts and toward the controversial addressee. For example, if TOO
Practices.] The authenticity of the survey reflects the of the 200 letters to the neutral recipient are mailed,
capability of the interviewer to get unbiased and gen- but only 50 of the 200 letters to the controversial re-
uine responses from the respondent. Authenticity de- cipient are mailed, this would imply a substantial op-
pends on who the interviewer is (affiliation, image, sim- position to the controversial recipient. However, if peo-
ilarity to interviewee. respondent relevance for the topic ple had heard of this method, the results would be
under investigation, interviewer bias): what the setting distorted. That is, people who knew about the method
is (how relevant to the topic, social desirability of the would become suspicious if they found a letter that had
setting, capacity to reach depth, length, and structure been dropped near a mailbox: they might not mail it,
432 DATA COLLECTION: Laboratory Research

even if the letter was not part of an experiment. Thus, with each other because they require the same type of
a further ethical concern is that a socially desirable act response. This similarity suggests reliability, but it does
(mailing the letter that did not get into a mailbox) may not guarantee that one has obtained an adequate, use-
not occur. ful measure.
The dissimilarity of interviewee and interviewer can
General Problems of introduce distortions. It can reduce authenticity (see
Field Methods above) and can result in avoidance of the interviewer.
All field methods raise issues of sampling, authenticity, In some cultures women cannot be interviewed by male
reliability, and validity. Sampling people ideally should researchers. In some cultures it is mandatory to lie to
be done in such a way as to obtain a representative an outsider, and one entertains ones friends by men-
sample of the population to which the researchers wish tioning what lies one has told to the outsider.
to generalize. For example, one might use area proba- Response sets such as social desirability, acquies-
bility sampling to represent the population of a city. cence (saying Yes or Agree to all questions), ex-
This can be done by listing all the blocks of the city treme response style (Very Strongly Agree/Disagree),
and taking a random sample of these blocks. Then in or moderate style (using the middle of a scale, no mat-
each block one can list all the addresses, and take a ter what the question) can distort the results. [See So-
random sample of these addresses. Then at each ad- cial Desirability.] Sometimes these response sets can be
dress one can list all the individuals who are normally overcome by methodological strategies, but experts are
living or working at that address, and take either a concerned that some strategies can introduce their own
random or systematic sample (e.g., all voters) of the distortions and artifacts.
people or study all these individuals. This method of
sampling has the advantage that the error of measure-
ment can be calculated at each step and the total error Bibliography
of measurement can be estimated for the particular
survey. However, some individuals do not wish to be Triandis, H. C., & Berry, J. W. (Eds.). (1980). Handbook of
surveyed, which is especially true for those who are cross-cultural psychology (Vol. 2 ) . Boston: Allyn & Bacon.
members of disadvantaged populations, do not speak Contains detailed descriptions of the procedures men-
the language of the interviewer, have a criminal record, tioned in this article, and other methods of data col-
or are trying to hide from the authorities (e.g.. illegal lection in field research.
Webb, E. J., Campbell, D. T., Schwartz, R. D., Sechrest, L.,
immigrants). [See Reliability: Validity: and Sampling.]
& Grove, J. B. (1981). Nonreactive methods in the social
Sampling a universe of questions that captures the sciences (2nd ed.). Boston: Houghton Mifflin. (Original
important aspects of a construct is also important. Con- work published 1966.) Revision and update of Webb et
structs can be broad or narrow. If the construct is al.s classic text, Unobtrusive measures: Nonreactive re-
broad (e.g., intelligence), then one should sample the search in the United States. This book also discusses the
various kinds of intelligence (verbal, quantitative, emo- ethical dilemma arising from the use of such methods.
tional, memory, creativity, etc.). The broader the con-
Harrg C. Triandis
struct, the less internal consistency there will be in its
measurement. Ideally one needs to measure each of the
different aspects of the construct separately. Thus the
Laboratory Research
fidelity of measurement is usually inversely correlated
with the breadth of measurement. If one examines a Data collection is a critical phase in all laboratory re-
narrow aspect (e.g., memory for faces) one can get high search. The term refers to many different kinds of ac-
levels of reliability, but the measure will be unrelated tivities, because data come in many different forms. De-
to other aspects of intelligence. If one measures the pending on the questions asked and the research
construct broadly (i.e., different aspects of intelligence), techniques used, the data collected from participants
the internal consistency of the measurements (say, may be responses on questionnaires, reaction times to
memory for faces would not correlate with verbal in- stimuli presented on computer screens, recall or rec-
telligence) will be low. ognition of events that were recently experienced, phys-
Sampling the response formats is also important. iological measures such as heart rate, or dozens of
One can ask people to perform a variety of tasks, such other measures designed by psychologists to explore be-
as rate, rank, remember, freely associate, complete sen- havior. The critical quality that researchers desire is for
tences, write stories that correspond to a picture, push data to be unbiased, so that the hypothesis or question
buttons, recognize, interact with others, and so on. posed by the research can be put to a fair and accurate
Again issues of breadth and fidelity will have to be con- test. [See Data Collection, article on Field Research.]
sidered. Rating may not correlate with ranking as well In Unobtrusive Measures (Chicago, 1966), Webb,
as one might expect. Two rating tasks will be correlated Campbell, Schwartz, and Sechrist pointed out that one
D A T A COLLECTION: Laboratory Research 433

central dimension of data is whether they result from be dropped from one condition than another, thereby
direct (obtrusive) or indirect (unobtrusive) measures. If influencing the results. Similarly, researchers measur-
participants are aware that the responses they produce ing reaction times often drop responses that are outliers
are being measured, the data are said to be collected (those that are very different from the mean of the
by direct or obtrusive measures. If other aspects of be- group). The idea is that the participants attention may
havior are measured (e.g., speed of walking from the have wandered (or he or she may have fallen asleep)
lab, or eye contact during an experimental session) on that trial, and therefore the data should be discarded
without the participants awareness, the measures are as unrepresentative. This seems fair, but if one condi-
said to be indirect or unobtrusive. Direct measures are tion of the experiment actually does produce more var-
often appropriate. For example, if a researcher wants iable responding than does another condition, then
to test a persons recollection of recent events, the per- more responses might be excluded from this first con-
son must be made aware of this purpose in order to dition. The result is that behavior in the two conditions
participate. However, in other cases, indirect measures might look more similar than is really the case, because
may be appropriate, especially when a participants be- the outlying responses were eliminated from the first
havior may change if he or she knows that observation condition.
is occurring. [See Hawthorne Effect: Artifact, article on These subtle biasing factors are difficult to eliminate
Artifact in Assessment: and Unobtrusive Measures.] completely: after all, they are often produced by the
Data collection is typically arranged to be as free as desire to remove bias in the data, such as by eliminat-
possible from bias. One type of bias is fraud: Research- ing outliers that are unrepresentative of the data. The
ers may discard data that disagree with their hypoth- best strategy is to provide multiple approaches to data
esis, or they may fudge data in slightly less obvious analysis (different cutoffs for outliers, different criteria
ways. Many famous examples of fraud exist in science. for excluding participants) to see if the same conclu-
However, because of the self-correcting nature of sci- sions hold under all sets of assumptions. To the extent
ence, in which replication and confirmation of results that the same conclusions hold across various prac-
by other researchers is part and parcel of the process, tices, then the researchers may have more confidence
outright fraud (although reprehensible) may not, in the in accepting the findings as valid.
long run, pose too much danger to the scientific enter- Another problem is the experimenter expectancy ef-
prise. Therefore, although cases of outright fraud do fect, discussed by Robert Rosenthal in Experimenter Ef-
exist and must be guarded against, the typical problem fects in BehavioraI Research (New York. 1966): If an ex-
of bias in data collection is more subtle [See Artifact, perimenter testing participants knows the condition in
article on Artifact in Research.] which they are being tested, the experimenter may be-
We consider several problems that can compromise have differently in subtle ways and influence the out-
data collection: (a) the effects researchers can uninten- come of the research. For this reason, research is often
tionally exert on data analysis; (b) experimenter expec- conducted under conditions in which the experimenter
tancy effects; and (c) effects of participants and their is unaware (or blind) with respect to the condition in
expectancies on research. During data collection, many which the individual participates. This practice mini-
opportunities exist for bias to creep in. Some are very mizes or eliminates experimenter expectancy from in-
simple. If the experimenter collects the data by hand, fluencing the outcome of the research. In some com-
he or she may simply misrecord what the participant puterized studies in cognitive psychology, the computer
did or said. (Automated research procedures, especially administers the various experimental manipulations
those using computers, make this error less likely). In without intervention of the researcher, which also cir-
a related vein, researchers may relax their criteria for cumvents the problem. When it is not possible to make
collecting data over the course of the research, becom- the experimenter unaware of conditions, then he or she
ing more casual in the systematic and rigorous appli- should work diligently to treat all participants in all
cation of the procedure. and they may be unaware of conditions as similarly as possible; only the experimen-
doing so. This practice may change the data as they tal manipulation should vary. [See Expectancy Effects.]
are collected over time. A third type of bias in data collection is that exerted
More subtly, researchers may set criteria for elimi- by the expectancies of the participants themselves. For
nation of participants data that do not meet certain example, a procedure or strategy might be hypothesized
conditions of the experiment. For example, there may to improve participants memories in one condition (an
be a manipulation check to ensure that the experimen- experimental condition) relative to another (the control
tal variable has had an effect. This practice is often a condition). However, if participants in the experimental
good one. and if it is applied in the same way to all condition know or expect that the procedure may im-
conditions of the experiment, no bias should occur. prove memory, then they may try harder in this con-
However, if the criteria are applied slightly differently dition than do those participants in the control condi-
to the various conditions, then more participants may tion, therefore introducing a confounding factor and
434 DATE RAPE

biasing the data collection. It is difficult to guard York: Simon & Schuster. A book about fraud in science,
against this problem in all types of research, because including some fascinating cases.
participants in psychological research often must be Elmes, D. G., Kantowitz, B. H., & Roediger, H. L. (1998).
made aware of the topic of study in order to be tested. Research methods in experimental psychology (6th ed.).
Pacific Grove, CA: Brooks/Cole. A textbook providing an
When participants can be rendered unaware of the
overview of naturalistic, correlational, and experimen-
condition of the experiment, they are also said to be
tal research methods.
blind to the condition of the experiment. An example Hyman, R. (1964). The nature of psychological inquiry. En-
occurs in testing the effects of drugs. If a drug is tested glewood Cliffs, NJ: Prentice Hall. An excellent book out-
to improve mood in depressed individuals, it is neces- lining the process of psychological research.
sary to have at least two conditions. Both groups are Rosenthal, R., & Rosnow, R.L. (Eds.). (1969). Artifact in
told that the study is about whether a particular drug behavioral research. San Diego, CA: Academic Press. This
elevates mood, but those in one group receive the ac- important book includes chapters by experts on sources
tual drug, whereas those in the other group receive an of artifact in research and ways to overcome them.
inert substance (a placebo) that does not influence Henry L. Roediger III and Erik 2. Bergman
mood. The participants will not know if they are as-
signed to the drug or the placebo condition. Even the
placebo control groups moods will probably improve
during the course of the experiment, due to the expec-
tancy or placebo effect: therefore, the question at issue DATE RAPE. See Rape.
is whether moods of those in the experimental group
receiving the drug will improve more than the moods
of those in the control group. If so, the conclusion
could be drawn that the drug is effective. The placebo DAY CARE. Three major, often conflicting, purposes for
condition overcomes the pitfall of participant expec- day care create the dilemma we see today. First, day
tancy effects hampering conclusions that can be drawn care supports maternal employment, which is a neces-
from the data [See Demand Characteristics: and Placebo sity for individual families and for the economy. Second,
Effect in Research Design.] child care (a term preferred over day care) serves chil-
In some cases it is possible to overcome both exper- drens development, which can be enhanced by high-
imenter expectancy effects and participant expectancy quality early childhood programs, whether or not their
effects simultaneously by using procedures in which mothers are employed. Third, child care has been used
both parties are unaware of the assigned condition of throughout the twentieth century to socialize econom-
the participant. In these cases, the experiment is said ically disadvantaged and ethnic minority children to
to be conducted under double-blindconditions. Be- the cultural mainstream (Scarr & Weinberg, 1986).
cause neither the experimenter nor the participant The roots of child care are in the welfare and reform
knows what condition is being tested in double-blind movements of the nineteenth century. Day nurseries,
studies, some third person keeps records as to the as- which evolved into the child care centers of today, be-
signment of participants to conditions. gan in Boston in the 1840s to care for poor and im-
Data collection in the laboratory is a central aspect migrant children, whose mothers had to work (Scarr &
of most psychological research. Careful researchers Weinberg, 1986).The primary purpose of day nurseries
provide safeguards so that the data will be unbiased was to keep the children of the poor safe and fed while
and permit a valid test of the issue under study. Re- their mothers worked. Other benefits, such as early ed-
searchers must be on constant guard to show that the ucation, were secondary. By the late 1960s, educators
forms of bias discussed here do not cloud interpretation and child development researchers recognized the value
of their results. of nursery schools for poor children, who needed the
stimulation and learning opportunities that such early
childhood settings afforded children from affluent fam-
Bibliography ilies.
By contrast, kindergartens and nursery school be-
Barber, T. X. (1976). Pitfalls in human research: Ten pivotal gan in the early twentieth century with the purpose of
points. New York: Pergamon Press. A brief, excellent
enhancing the social development of middle- and
overview of ten pitfalls that can hamper interpretation
of research results. upper-class children. For a few hours a week, the chil-
Boring, E. G. (1961). The nature and history of experi- dren could play with others and experience an enriched
mental control. American Journal of Psychology, 67, learning environment under the tutelage of trained
573-589. This article provides attempts in experimental early childhood teachers. Nursery schools existed to
psychology to gain experimental control. serve the developmental needs of middle- and upper-
Broad, W., & Wade, N. (1982). Betrayers of the truth. New class children, whose mothers were not employed
DAY CARE 435

(Scarr & Weinberg, 1986). Now that the majority of Head Start, employers, for-profit independent providers,
middle-class mothers are employed, distinctions be- and corporations. The mix of public provision and pri-
tween day care and early education are blurred. vate enterprise in U.S. child care reflects the ambiva-
In 1995, 62.3%)of mothers with children under six lence Americans feel about whether child care is pri-
years were employed. This rate was up more than 2% marily a publicly supported service for children or a
from 1994 and nearly 5% from 1993. Among mothers business expense for working. Should tax dollars be
with children under two years, 57.9% were working in used to supply child care only to poor children, or
March 1995, up 3.5% from 1993. The ideal of a non- should all children be eligible for publicly supported
employed mother remained strong, however. One leg- child care? Should family day care and privately owned
acy for working mothers of the baby boom generation centers profit from the child care business, or should
and beyond is guilt about their employment. child care be a public service like primary education?

Varieties of Child Care Arrangements Where Are Children Today?


When the focus is on early childhood education, In 1995, there were nearly 2 1 million children under
whether for higher- or lower-income children, the set- the age of 5 who were not yet enrolled in school. Of
ting is usually a center or preschool. When the focus these, about 40% were cared for regularly by parents,
is on care while parents work, the setting is often a 21% by other relatives, 31% in child care centers, 14%
home. in family day care homes, and 4 % by sitters in the
Family Day Care Versus Center Care. Family day child's home. These figures total more than IOO(%, be-
care providers care for children in their own homes. cause 9% of children have more than one regular care
The provider's own children are often included in the arrangement (Hofferth, 1996).
mix of ages from infants through schoolage children In 1965 only 6% of children were cared for in cen-
who come before and after school. Most family day care ters: by 1995, 37% were (Hofferth, 1996). Children from
homes accommodate 6 or fewer children with one care- more affluent families and those from families on wel-
giver. Some larger homes care for 6 to 20 children and fare were most likely to be enrolled in centers rather
employ aides. States generally regulate larger homes. than cared for in homes. Families with more than
Child care centers provide group care for children $50,000 annual income can afford center-based pro-
from infancy to school age in age-segregated groups grams: those below the poverty line receive subsidies
with smaller ratios of children to adults at younger for child care. Working families with incomes below
ages. Facilities vary from church basements to purpose- $25,000 per year are the least likely to afford center-
built centers with specialized spaces and equipment. based care.
The most notable differences between homes and cen-
ters are educational curricula and staff training, which A Labor Force Perspective on
centers are required to provide and homes are not. Par- Child Care Research
ents prefer center-based care for preschool children and Today, 48% of workers are women: 80% of those
use more home care for infants and toddlers. women are mothers. Mothers (and fathers) are em-
Licensed Versus Unlicensed Care. In all states ployed because their families need or want the income
child care centers must be licensed by a state depart- to enhance their standard of living. Two thirds of
ment of social services or its equivalent. (In 11 states, mothers are working to keep their families out of pov-
church-sponsored child care is exempt from all but erty (Scarr. Phillips, & McCartney, 1990). With welfare
health and safety licensure.) Licensure includes regu- reform, this proportion has increased.
lations on health and safety, ratios of children to adults, Gender Equality. Another reason for maternal em-
group sizes, staff training, and often required play ma- ployment is to promote economic, social, and political
terials. Regular inspections are done in semiannual or gender equality. The major reason for women's lesser
annual visits, and more frequent visits if problems have compensation and career achievements is due to family
been noted. responsibilities that fall more heavily on women, espe-
Most family day care providers care for fewer than cially when there are small children in the home. 1Jn-
six children and are therefore exempt from any state equal child care responsibilities lead mothers to be less
regulation or inspection. Availability of federal food motivated to maintain continuous, full-time employ-
subsidies to licensed homes, however, has encouraged ment, which is the key to income advances. Income
more family day homes to seek licensure or registration. inequalities between men and women are largely ex-
Family day care homes are rarely visited by state reg- plained by the lower labor force participation of moth-
ulators. ers in their child-bearing years. In 1995, childless
Nonprofit Versus For-Profit Centers. In the women in their 20s and 30s earned 980/0 of men's
United States, child care centers are sponsored by wages (Wall Street Journal, 1997).
churches, nonprofit community groups, public schools, If child care costs were more reasonable, national
436 DAY CARE

surveys show that 10 to 20% more mothers would re- where learning opportunities and trusting relationships
turn to the labor force after giving birth. Accessibility combine to support individual childrens physical, emo-
and cost determine the impact of child care on parents tional, social, and intellectual development. Poor care
(Prosser and McGroder, 1992). Travel time to a child is unresponsive to childrens needs, not deliberately
care setting directly affects how likely a mother is to cruel.
stay in the labor force. Middle- and upper-income moth- Quality of day care in the United States varies from
ers are much more likely to keep their jobs if they use excellent to dreadful and is, on average, mediocre
day care centers, whereas labor force participation (NICHD, 1996; Scarr, Phillips, McCartney, & Abbott-
among low income mothers depends on the availability Shim, 1993). Quality is measured in units that are reg-
of relatives to care for children, because they cannot ulated (such as ratios of teachers to children and
afford to pay market rates for child care (Collins & Hof- teacher training) and in observations, such as adult-
ferth, 1996). child interactions and appropriate activities. Although
Since the late 1980s married mothers have been quality is a multifaceted concept, commonly used mea-
working at the same rate as single mothers (Scarr, Phil- sures have similar dimensions (Scarr, Eisenberg, &
lips, & McCartney, 1989). By the mid-~ggos,public em- Deater-Deckard, 1994).
pathy for mothers supported by Aid for Families with Effects of Poor Quality. Poor quality child care
Dependent Children (AFDC) to stay home with their has been reported to put childrens development at risk
children had evaporated. Reform of the welfare system for poorer language and cognitive scores and lesser rat-
rose to the top of the political agenda and was passed ings of social and emotional adjustment (for a review,
in 1996. Child care is the essential ingredient in welfare see Scarr & Eisenberg, 1993). Measures of child care
reform and mothers employment. quality account for I to 2% of the variation in child
Absenteeism and Productivity Effects. When measures, a small effect. The implications of even small
child care arrangements break down, employed parents effects are not straightforward, however, because the
are more likely to be absent, to be late, to report being quality of care selected by parents is correlated with
unable to concentrate on the job, to have higher levels parents personal characteristics (Bolger & Scarr, I995),
of stress and more stress-related health problems, and thereby complicating interpretations of any effects of
to report lower parental and marital satisfaction. Break- child care per se.
downs in child care arrangements are frequent and Long-Term Effects of Day Care. Parents and pol-
stressful: in a Portland study, 36% of fathers and 46% icy makers want to know if quality differences in early
of mothers who used out-of-home care reported child child care have lasting benefits or detriments for chil-
care-related stress. Leading causes of child care break- dren. Low-income children definitely benefit from qual-
down are child illness and a provider who quits (Ga- ity child care, which has been used successfully to im-
linsky, 1992). prove their early development (Field, 1991: Ramey &
Ramey, 1992). For children from middle- and upper-
A Child Development Perspective income families, the long-term picture is far less clear.
on Child Care Research Long-term effects of day care quality were reported in
Since child care can extend from birth through adoles- longitudinal studies by Vandell, Henderson, and Wilson
cence, research involves a complex array of factors. (1988) and Howes (1988), but recent studies fail to
Infant Care. Nonmaternal infant care is the most confirm those results. Our research group has con-
controversial issue in child care research. From the ducted four longitudinal studies of child care quality
mid-1980s to the present, dramatic claims have been and family effects on childrens development from in-
made about the damaging effects of early entry into fancy to school age, with null results in all cases (Chin-
day care on infants attachments to their mothers (Bel- Quee & Scarr, 1994; Deater-Deckard, Pinkerton, &
sky, 1992). The NICHD Early Child Care Research Study Scarr, 1996; McCartney, et al., 1997; Scarr, Lande, &
(NICHD, 1997) of more than 1,000 infants shows no McCartney, 199; Scarr, Phillips, McCartney, & Abbott-
relationship between age at entry or amount of infant Shim, 1993; Scarr & Thompson, 1994).
care and attachments, measured by the Strange Situ-
ation (for reviews, see Scarr, 1998). Naturally, less sen- Conclusion
sitive, less well-adjusted mothers are more likely to have Within a broad range of safe environments, the ef-
insecurely attached infants. Several interaction effects fects of quality variations in child care on most chil-
suggest that higher quality day care may help to offset drens development are small and temporary. These
poor mothering (NICHD, in 1997). results do not apply to children from low-income
Dimensions of Quality. Child care researchers and homes, for many of whom quality child care pro-
practitioners around the world agree that quality child grams supply missing elements of emotional support
care consists of warm, supportive interactions with and intellectual opportunities. Quality variation
adults in a safe, healthy, and stimulating environment, within the range of centers studied does not have a
DAYDREAMS 437

major impact on the development of children from surement of quality on child care centers. Early Child-
ordinary homes. Given the learning opportunities and hood Research Quarterly, 9, 131-151.
social-emotional support that their homes generally Scarr, S., Lande, J.. McCartney, K. (1989). Child care and
offer, child care of mediocre to good quality is not a the family: Cooperation and interaction. In J. Lande, S.
Scarr, & N. Guzenhauser (Eds.),Caring for children: Chal-
unique or lasting experience for them. For most chil-
lenge to America. Hillsdale, NJ: Erlbaum.
dren, parents supply the genes and the home environ- Scarr, S., Phillips, D., & McCartney, K. (1989). Working
ments, which correlate with the care they select for mothers and their families. American Psychologist, 44,
their children outside of the home. 1402-1409.
[See also Fathering: and Preschool Education.] Scarr, S., Phillips, D., & McCartney, K. (1990). Facts, fan-
tasies, and the future of child care in the United States.
Psychological Science, I, 26-35.
Bibliography Scarr, S., Phillips, D., McCartney, K., & Abbott-Shim, M.
(1993). Quality of child care as an aspect of family and
Belsky, J. (1992). Consequences of child care for childrens child care policy in the United States. Pediatrics, 91(1).
development: A deconstructionist view. In A. Booth 18 2-18 8,
(Ed.), Child care in the 1990s: Trends and consequences. Scarr, S., & Thompson, W. (1994). Effects of maternal em-
(pp. 83-94). Hillsdale, NJ: Erlbaum. ployment and nonmaternal infant care on development
Bolger. K. E., & Scarr, S. (1995). Not so far from home: at two and four years. Early Development and Parenting.
How family characteristics predict child care quality. 3, 113-123.
Early Development and Parenting, 4* 103-112. Scarr, S., & Weinberg, R. A. (1986). The early childhood
Chin-Quee, D., & Scarr, S. (1994). Lack of longitudinal ef- enterprise: Care and education of the young. American
fects of infant and preschool child care on school-age Psychologist, 41, 1140-1146.
childrens social and intellectual development. Early De- Vandell, D. L., Henderson, V. K., & Wilson, K. S. (1988). A
velopment and Parenting, 2. 103-112. longitudinal study of children with day-care experi-
Deater-Deckard, K., Pinkerton, R., & Scarr, S. (1996). Child ences of varying quality. Child Development, 59, 1286-
care quality and childrens behavioral adjustment: A 1292.
four-year longitudinal study. Journal of Child Psychology Wall Street Journal. (1997). Womens figures. 15 January,
and Psychiatry, 37, 937-948. p. AIS.
Field, T. (1991). Quality infant day-care and grade school
Sandra Scarr
behavior and performance. Child Development, 62. 863-
8 70.
Galinsky, I:. (1992). The impact of child care on parents.
In A. Booth (Ed.), Child care in the 1y90s: Trends and
consequences (pp. 159-1 71). Hillsdale, NJ: Erlbaum. DAYDREAMS. Daydreams are part of the stream of
Hofferth. S. (1996). Child care in the United States today. thoughts and images that occupy most of a persons
The Future of Children, 6, 41-61. waking hours. Some are fanciful mental episodes, such
Howes, C. (1988). Relations between early child care and as those about special achievements, heroic rescues,
schooling. Developmental Psychology, 24, 53-57. hair-raising escapes, unrealistic athletic or supernatu-
McCartney. K., Scarr, S., Rocheleau. A.. Phillips, D., Eisen- ral feats, romantic or sexual escapades, uncharacteris-
berg, Id,Keefe. N., Rosenthal, S., Abott-Shim, M. tic assertiveness, and improbable aggressive acts. More
(1997). Social development in the context of typical
often daydreams are more or less realistic although un-
center-based child care. Merrill-Palmer Quarterly, 43*
intentional thoughts about the daydreamers real life,
426-450.
NICHD Early Child Care Research Network (1997).The ef- as in mind wandering or brief periods of inner distrac-
fects of infant child care on infant-mother attachment tion. Researchers have defined them in at least three
security: Results of the NICHD Study of Early Child different ways: (I) as unrealistic, fanciful thoughts (as
Care. Child Development, 68, 860-875. implied by psychoanalysts since Sigmund Freud); (2)as
Prosser, W.. & S.McGroder (1992).The supply and demand thoughts unrelated to the immediate environment or
for child care: Measurement and analytic issues. In A. tasks one is performing (as proposed by psychologist
Booth (Ed.). Child care in the 1990s: Trends and conse- Jerome L. Singer, the pioneer of modern daydreaming
quences (pp. 42-55). Hillsdale, NJ: Erlbaum. research, and his colleague John Antrobus): or ( 3 ) as
Ramey, C., & Ramey, S. (1992). Early educational interven- spontaneous, undirected or respondent thoughts
tion with disadvantaged children-to what effect? Ap- that flit into and back out of consciousness unbidden
plied and Preventive Psychology, I, 131-140.
with no apparent purpose (as I once proposed: Klinger,
Scarr, S. (1998). American child care today. American Psy-
chologist, j3 , 95-1 08. 1971).However, these definitions have been shown to
Scarr. S.. & Eisenberg, M. (1993). Child care research: Is- refer to three largely independent properties of thought.
sues, perspectives, and results. Annual Review of Psy- For present purposes, daydreams are defined as either
chology, 44. 613-644. nonworking (unbidden, apparently purposeless) or fan-
Scarr, S..Eisenberg. M.. & Deater-Deckard,K. (1994). Mea- ciful thoughts, whether spontaneous or intentional.
438 DAYDREAMS

These are usually distractions from whatever the day- ing emotional responses. Therefore, emotion-arousing
dreamer is doing. cues such as reminders of a pleasant vacation just
Much has been learned about daydreams during the ended or of a distressing failure may also trigger day-
past century, much of it contrary to previous beliefs. dreams. Inasmuch as goal-related cues can interfere
The first work based on extensive observation of day- with other cognitive activity and, during sleep, can shift
dreaming, in this instance the authors own daydreams, the course of dreams, the response to them appears to
was by the Dutch psychologist Julien Varendonck (The be involuntary and probably inexorable.
Psychology of Day-Dreams, London, 1921), who antici- Views of the worth of daydreams have changed
pated many of the general conclusions reached later sharply. Daydreaming has traditionally been viewed as
with other methods. The next major advance was counterproductive, and, after Freud, as infantile, re-
Singers classic 1966 book Daydreaming, and since then, gressive symptoms of neurosis. Until the 1960s and be-
investigators have contributed both major theory and yond, textbooks for prospective teachers warned against
a great deal of data to an understanding of daydreams. allowing children to daydream lest they become so en-
Most of the data have been collected with retrospec- tranced by their daydreams that they retreat into them
tive questionnaires, such as Singer and Antrobuss Ima- and become schizophrenic. None of these judgments
ginal Processes Inventory (Princeton, N.J., 1970) and has been borne out by empirical evidence. There is no
psychologists Sheryl C. Wilson and T. X. Barbers Inven- consistent relation between enjoying daydreaming and
tory of Childhood Memories and Imagining (in E. Klin- any form of mental illness. Similarly,contrary to Freud-
ger, Ed., Imagery, New York, 1981), or by means of ian theory, people with the most active sex lives do the
thought sampling (also called consciousness or experi- most sexual daydreaming, and even daydreaming about
ence sampling, developed independently during the sex during sexual activity is virtually unrelated to men-
1970s by psychologists Mihalyi Csikszentmihalyi, Rus- tal health or overall satisfaction with ones partner.
sell Hurlburt, and Eric Klinger). In thought sampling, People who most need to escape into fantasy-for ex-
beepers or pagers interrupt research participants at un- ample, the depressed, the lonely-have daydreams that
expected times, at which point they report the are on average more depressive or lonely and are
thoughts, feelings, and activities that occurred just be- therefore unattractive havens. Depressed individuals
fore each signal. Sometimes, they write down day- daydream on average more than others while rumi-
dreams whenever they become aware of them. Sam- nating or worrying about their troubles, which is no
pling methods, though labor intensive, depend far less escape.
than retrospective questionnaires on the accuracy of Fantasy-prone nurses studied by Wilson and Bar-
the reporters memories, but they sample only a tiny ber had by and large been a well-functioning profes-
proportion of participants thoughts. sional group with normally satisfying social relation-
About half the sampled thoughts of college students ships. Psychologists Steven Lynn and Judith Rhue
are daydreams. Psychologist Leonard Giambra, using (American Psychologist, 1988, 43, 35-44) similarly
the Imaginal Processes Inventory and experimental found few links between mental disability and fantasy-
methods, found that daydreaming peaks in young proneness, although the most extreme group had mod-
adulthood and then gradually subsides, especially in ex- estly more encounters with the mental health system
treme old age and especially if the daydreams are sex- and with dissociative phenomena. However, the inven-
ual, heroic, or hostile. In experiments by Singer, Antro- tory they used also measures some behaviors other
bus, and colleagues, people daydreamed less while than daydreaming frequency that may be associated
engaged in difficult tasks or when the stakes were high, with mental illness.
but no experimental conditions they tried eliminated it. Very little is known about the developmental course
Most daydreams are related to the goals daydream- of daydreaming during childhood. There is, however,
ers are pursuing, whether lofty or mundane, long-term some agreement that it picks up where overt play leaves
or immediate, positive or aversive (Klinger, 1971, 1990). off. In that case, childrens imaginative play is the pre-
In Singersterms, daydreams are about unfinished busi- cursor of fanciful daydreaming. Psychologists Jerome
ness. Experiments have shown that daydreams are trig- and Dorothy Singer (The Childs World of Make-Believe,
gered by the person encountering some cue associated New York, I973), Roni Tower (Imagination, Cognition,
with a goal pursuit, either external, such as something and Personality, 1984-85, 4 , 349-364), and colleagues
read or heard, or internal, such as ones own ongoing have found the most imaginative children to be more
thought stream. If the individual can reasonably take confident, resourceful, self-controlled, assertive, and so-
overt action then toward the goal, he or she will; if not, cially skilled, and less aggressive or distressed.
the impulse becomes a purely mental response, often a Researchers, beginning with Singer and Antrobus,
daydream. Goal-related cues may depend for their have identified three ways in which individuals day-
daydream-triggering effect at least partly on their evok- dreaming styles differ: positive-constructive daydream-
D A Y TREATMENT 439

ing (which daydreamers enjoy having), guilty and fear- as a low-cost alternative to inpatient psychiatric care.
ful daydreaming, and poor attentional control. These The concept of day hospitals was first brought to North
daydreaming styles reflect the daydreamers overall ten- America in 1946 when the first of its kind was devel-
dencies toward positive emotion, negative emotion, and oped by D. Ewen Cameron at the Allan Memorial In-
other personality traits. German psychologists Julius stitute in Montreal. This program was designed as an
Kuhl and Jurgen Beckmann (1994) have identified in- alternative to inpatient treatment for patients with
dividual differences in action orientation, the ability acute illnesses. Shortly thereafter, a number of partial
to put rumination aside and take action. Daydreamers hospitalization programs were developed in both the
who focus mainly on desired outcomes rather than how United States and England as a solution to a shortage
to attain them may, according to studies by German of inpatient resources. The first American partial hos-
psychologists Peter Gollwitzer and Gabriele Oettingen pitalization program was established at the Menninger
(1997), be less successful in attaining them. Clinic in 1958.
Daydreams probably perform important, even cen- Such programs remained scarce in the United States
tral, functions in human life. While a person is ab- until the 1960s. at which time the development of par-
sorbed in one particular task they serve as continual tial hospitalization programs grew rapidly. Several fac-
reminders of the rest of the persons agenda. People tors contributed to their growth, including the devel-
gain knowledge by spontaneously reviewing their past opment of more efficacious psychotropic agents, the
experiences in daydreams and rehearsing for future sit- development of group treatment techniques. milieu
uations. Daydreams appear to generate creative solu- therapy, and the idea of the therapeutic community.
tions to difficult problems. They are linked with greater The civil rights movement resulted in deinstitutionali-
empathy for others. They may be spontaneous but not zation policies by both the American and Canadian
entirely idle. governments, thereby increasing the demand for alter-
[See also Dreams; and Fantasy.] natives to inpatient care of psychiatric patients. In
1963, the U.S. Congress passed the Mental Retardation
Facilities and Community Mental Health Center Con-
Bibliography struction Act, which made partial hospitalizations a
mandated service in the community.
Hurlburt, R. T. (1990). Sampling normal and schizophrenic
Although many partial hospitalization programs
inner experience. New York Plenum Press.
Hurlburt, R. T. (1993). Sampling inner experience in disturbed were developed in the 1960s with the expectation of
affect. New York: Plenum Press. being widely used, these programs have had a history
Klinger. E. (1971). Structure and functions of fantasy. New of underutilization. The intent of the deinstitutionali-
York: Wiley. zation movement was that outpatient programs would
Klinger, E. (1990). Daydreaming. Los Angeles: Tarcher. grow as inpatients were discharged into the commu-
Kuhl, J., & Beckmann. J. (Eds.).(1994). Volition and person- nity. Most states, however, gradually decreased their
ality: Action versus state orientation. Gottingen: Hogrefe funding for partial hospitalization programs, and third
& Huber. party reimbursement has been low relative to more tra-
Martin. L. L.. & Tesser, A. (1996). Some ruminative ditional inpatient and outpatient services, resulting in
thoughts. In R. S. Wyer, Jr. (Ed.), Advances in social cog-
the failure of these programs to be utilized as widely as
nition (Vol. 9. pp. 1-48). Hillsdale, NJ: Erlbaum.
was originally hoped. This underutilization was also re-
Mueller, E. T. (1990). Daydreaming in humans and machines:
A computer model of the stream of thought. Norwood. NJ: flected in the decrease in the number of publications
Ablex. pertaining to partial hospitalization programs during
Oettingen. G. (1997).Psychologie des Zukunftsdenkens [The the 1980s.
psychology of future-oriented thinking]. Gottingen: Ho- Instead of being defined by their own qualities and
grefe. strengths, partial hospitalization programs have often
Singer. J. L. (1966). Daydreaming: An introduction to the ex- been referred to as an economical alternative to inpa-
perimental study of inner experience. New York: Random tient care. These programs have traditionally had a dif-
House. ficult time defining and establishing themselves as a
Singer, J. L. (1975). The inner world of daydreaming. New beneficial therapeutic modality in their own right. The
York: Harper & Row.
lack of clear definitions has resulted in confusion in the
Eric Klinger literature.
In an effort to provide a clear description of such
programs, the American Association for Partial Wospi-
talization (AAPH) published, in 1982, a definition of
DAY TREATMENT. Partial hospitalization programs partial hospitalization programs that emphasized the
were first developed in the Soviet Union in the 1940s multidisciplinary nature of care within a setting less
440 DAY TREATMENT

restrictive than inpatient hospitalization. In 1991, the cation evaluation and maintenance. Adjunctive thera-
AAPH modified this definition to include the ideas of peutic activities are also included in these programs,
time-limited treatment and a stable therapeutic milieu. such as instruction in personal hygiene, social activi-
The definition now reads: ties, and budgeting. Each individual in such a program
has a designated staff member who coordinates the pa-
Partial Hospitalization is defined as a time-limited, am-
tients entire treatment and monitors progress through-
bulatory, active treatment program that offers thera-
peutically intensive, coordinated, and structured clini- out his stay. The importance of a stable therapeutic
cal services within a stable therapeutic milieu. Partial community for a partial hospitalization program can-
hospitalization is a general term embracing day, eve- not be overstated. Efforts to create this therapeutic mi-
ning, night, and weekend treatment programs which lieu include the establishment of scheduled activities
employ an integrated, comprehensive schedule of rec- and client and staff continuity. Activities such as daily
ognized treatment approaches. Programs are designed community meetings and patient government also aid
to serve individuals with significant impairment result- in the development of a therapeutic community.
ing from a psychiatric, emotional, or behavioral disor- Some programs have come under fire for failing to
der. They are also intended to have a positive impact live up to these standards. Most criticism has focused
on the identified patients support system. (Block & Lef-
on longer-term facilities serving chronically ill patients:
kovitz, 1991, pp. 1-2)
some of which have failed to provide sufficient goal-
Partial hospitalization programs have been described oriented treatment and rehabilitative services, offering
as half time in plus half time out (Weil, 1984). These participants little more than pharmacotherapy in
programs strive to provide comprehensive treatment quasi-institutionalized settings.
while permitting patients to remain in contact with Despite the wide variety of programs described in
their community, including family, friends, and work the literature and methodological problems inherent
settings. The balance of intensive multidisciplinary in much of the research in this area, there are some
treatment and community living is unique to this ther- consistent research findings from which general con-
apeutic setting. clusions may be gleaned. In terms of symptom im-
Partial hospitalization programs can be divided into provement, familial adjustment, and relapse preven-
three broad categories according to their function: day tion, partial hospitalization programs have generally
hospitals, day care centers, and day treatment pro- been found to be more effective than standard com-
grams. Day hospitals are most closely tied to inpatient munity-based treatment and equally effective as tra-
psychiatric hospital units because they provide the ditional inpatient settings for equivalent patient pop-
same types of services to acutely ill patients. In addi- ulations. For example, Rosie, h i m , Piper, & Joyce,
tion, day hospitals are designed to accommodate pa- (1995) evaluated the effectiveness of a model program
tients who are transitioning from inpatient to outpa- from Edmonton, Canada, using a treatment versus de-
tient care. Day-care centers focus primarily on the layed-treatment design to assess the progress of 60
maintenance of chronically ill patients. Although these matched pairs. The results demonstrated that patients
patients do not need to be hospitalized, they require a in the treatment condition improved significantly
more rigorous treatment program than can be provided more than those in control conditions on measures of
by traditional outpatient services. Typically, patients in symptomatology, life satisfaction, self-esteem, and in-
a day-care program are over the age of 50, suffer from terpersonal functioning. These treatment effects were
schizophrenia, and are primarily dependent on family maintained at a follow-up assessment conducted eight
and social services. Finally, day treatment programs months later. There have been mixed findings as to
treat patients who are in remission from an acute psy- whether partial hospitalization programs produce
chiatric illness. The goal of day treatment is to reduce greater improvement in social functioning relative to
patients symptoms and to enhance their overall func- traditional inpatient programs.
tioning. Despite repeated calls in the literature, this no- Research has consistently demonstrated that partial
menclature has not been widely used by psychiatrists hospitalization programs are significantly less expensive
and other mental health professionals, and there is little than inpatient programs (for example, Endicott, Herz,
consistency across states-and even among programs & Gibbon, 1978). In terms of suitability, research indi-
within a given state-in the way partial hospitalization cates that anywhere from 15 to 72% of patients referred
programs are described. to partial hospitalization programs who might other-
The AAPH specifies that the majority of program- wise be referred to an inpatient setting were deemed
ming at partial hospitalization programs should consist appropriate for partial hospitalization programs (Klar,
of active treatment that targets the presenting problems Frances, & Clarkin, 1982; Gudeman, Dickey, Evans, &
of the population (Block & Lefkovitz, 1991). Suggested Shore, 1985). The dropout and nonattendance rates at
treatment includes individual psychotherapy, psycho- partial hospitalization programs are relatively high,
educational therapy groups, family therapy, and medi- ranging from a low of 20% to a high of 50%.
DEAFNESS AND HEARING LOSS 441

Specialized partial hospitalization programs have Bibliography


been developed to meet specific community needs,
including treatment for diabetic, borderline, schizo- Block. B., & Lefkovitz, l? (1991). American association for
phrenic, eating-disorder, chronic-disease, mentally re- partial hospitalization standards and guidelines for par-
tial hospitalization. International Journal of Partial Hos-
tarded. and substance-abusing patients. Stout (1993)
pitalization, 7. 3-11.
described a therapeutic day-school program for children Cameron, D. E. (1947). The day hospital: An experimental
unable to function in traditional school settings. The form of hospitalization for psychiatric patients. Modern
program utilized the elements of partial hospitalization Hospital, 69. 60-62.
programs to help foster childrens social, physical, ac- Endicott, J.. Herz, M., & Gibbon, M. (1978). Brief versus
ademic, and emotional growth. The program provided standard hospitalization: The differential costs. Ameri-
academic services in addition to psychological ser- can Journal of Psychiatry, 135, 707-712.
vices, including psychoeducational testing, behavioral- Goldman, D. (1990). Historical notes on partial hospitali-
modification plans, and individual, family, and group zation. International Journal of Partial Hospitalization, 6
therapy. (z),111-117.
Critics of partial hospitalization programs have ar- Gudeman, J.. Dickey, B., Evans, A., & Shore, M. (1985).
Four-year assessment of a day hospitalization program
gued that most of the functions of such programs can
as an alternative to inpatient hospitalization. American
and should be assumed by intensive outpatient treat-
Journal of Psychiatry, 142, 1330-1333.
ment and assertive community rehabilitation programs Hoge, M., Davidson, L.. Hill, W., Turner, V., & Ameli. R.
(Hoge et al., 1992).These critics argue that the typical (1992). The promise of partial hospitalization: A reas-
length of stay in partial hospitalization programs is sessment. Hospital and Community Psychiatry, 4 3 , 345-
greater than needed to stabilize symptoms yet not long 354.
enough to affect significant strides in psychosocial re- Klar, H., Frances. A., & Clarkin, J. (1982). Selection criteria
habilitation. Even the critics, however, acknowledge the for partial hospitalization. Hospital and Community Psy-
usefulness of short-term day hospitals for acutely symp- chiatry, 33, 929-933.
tomatic patients. In addition, most criticism has focused Piper. W., Rosie. J., Joyce, A.. & Azim, H. (1996). Time lim-
on programs that treat primarily schizophrenic pa- ited day treatment for personality disorders, Washington,
DC: American Psychological Association.
tients, and that rely on verbal psychotherapies as a pri-
Rosie, J., Azim, H., Piper, W., &Joyce, A. (1995).Effective
mary therapeutic modality. There appears to be a grow- Psychiatric Day Treatment: historical lessons. Psychi-
ing recognition of the utility of traditional partial atric Services, 46, 1019-1025.
hospitalization programs for other disorders, including Stout, C. (1993).Day treatment alternative: A model of
severe personality and mood disorders (Rosie et al., innovation. In M. Squire, C. Stout, & D. Ruben (Eds).
1995). Currvnt advances in inpatient psychiatric care. Westport,
There is significant diversity among partial hospi- CN: Greenwood Press.
talization programs. Programs often specialize in treat- Weil, F. (1984). Day hospitalization as a therapeutic tool.
ing specific populations, such as patients of a certain Psychiatric Journal of the University of Ottawa, 9. 165-
age or with a specific diagnosis. Staffing can also vary, 169.
with various combinations of social workers, teachers, Whitelaw, C., & Perez, E. (1987). Partial hospitalization
programs: A current perspective. Administration in Men-
counselors. psychologists. art therapists, music thera-
tal Health, 15, 62-72.
pists, movement therapists, and psychiatrists. Programs
differ in terms of their length of stay. In some pro- James D. Herbert and Suzanne G . Goldstein
grams, the length is predetermined, while other pro-
grams have more flexible time limits. Partial hospitali-
zation programs also differ in terms of their function,
with some programs focusing primarily on treatment DEAFNESS AND HEARING LOSS describe a physical
whereas others emphasize rehabilitation. condition with significant psychological implications.
The future of partial hospitalization programs is un- Physically, hearing losses are defined by the severity,
certain. Although there will likely continue to be a role type, and cause of hearing impairment. Severity refers
for short-term programs serving acutely ill patients, the to the degree to which a sound must be amplified to be
role of longer-term programs is increasingly being as- heard. The type of hearing loss describes the physio-
sumed by intensive outpatient services. The ultimate logical malfunction (e.g., conductive, sensorineural)
survival of this unique mode of treatment and reha- that leads to the hearing loss. Hearing losses are uni-
bilitation will depend not only on further research dem- lateral (one ear) or bilateral (both ears). Finally, hearing
onstrating clinical effectiveness but more important on loss is identified by etiology (e.g., maternal rubella, ge-
the ability to provide effective services that are econom- netic syndrome).
ically competitive with alternative settings. Psychologically, the functional characteristics of
[See also Impatient Treatment.] hearing loss are more important than its physical char-
442 DEAFNESS A N D HEARING LOSS

acteristics. Two features of hearing loss affect a per- Blacks. If one defines deaf as a person who, at best,
sons functioning: (I) the severity or degree of hearing understands words shouted into the better ear, only
loss with appropriate amplification, and (2) the age of 0.10to 0.12% (i.e., about I in 1,000) of people under
the person at hearing loss onset. the age of 45 years are deaf; 2.48% of those over 65
are deaf (or, more precisely, deafened). Only 5.4% of
Severity or Degree of Hearing deaf people experience onset prior to 3 years of age (i.e.,
Loss with Amplification prelingually), and about three in four have a hearing
Typically, the degree of hearing loss is associated with loss onset after 18 years of age.
There are four psychological issues related to deaf-
response to amplification. People with less severe (i.e.,
ness: (I) acquisition of language and culturally specific
mild to moderate) hearing loss are more likely to benefit
from amplification than people with more severe (i.e., knowledge; (2) cognitive development and intelligence:
( 3 ) behavioral and emotional adjustment; and (4) social
severe to profound) hearing loss. However, individuals
vary in response to amplification. For some, amplifica- identity. Each of these issues raises the question of
tion can virtually eliminate functional difficulties, whether the relationship between deafness is best de-
whereas for others, amplification is of no functional scribed as a deficit or a difference. Historically, the def-
icit orientation has dominated by framing deafness as
value in mitigating the impact of hearing loss.
a deficit in hearing, and by exploring how deaf people
compare to people with normal hearing on various psy-
Age at Onset
chological measures. In the 19gos, scholars adopted a
The timing of a hearing loss influences psychological difference, not deficit, orientation, and so examined
and social development. Although physicians typically deafness and psychology primarily from a qualitative
distinguish between congenital (i.e., present at birth) (not ordinal) difference orientation.
and adventitious (i.e.. acquired after birth) losses, psy-
chologists distinguish between prelingual (i.e., onset Culturally Specific Knowledge
before acquisition of oral language) and postlingual Prelingually deaf children have substantial difficulties
(i.e., onset after acquisition of oral language) hearing acquiring fluency in orallauditory language. About
loss. Postlingual losses may be further classified as nine in ten prelingually deaf children have two nor-
late-adult onset losses, which are typically associated mal-hearing parents. Delays associated in identifying
with aging. deafness, choosing responses to deafness, and the
Hearing loss onset and severity largely, but not en- time needed to implement communication accommo-
tirely, determine how a person with a hearing loss will dations typically delay a deaf childs introduction to
function in society. Three functional categories describe language. Many deaf children are not diagnosed until
people with hearing losses: (I) hard-of-hearing, (2) they experience significant delays in speech: conse-
deaf, and ( 3 ) deafened. Hard-of-hearing people have quently, educational interventions often start at an
mild to moderate hearing losses with onset at any age. age where normal-hearing peers have already ac-
Deaf people have severe to profound hearing losses with quired basic grammar, syntax, and working vocabu-
prelingual onset. Deafened people have severe to pro- laries in the hundreds or thousands of words. Special
found losses with postlingual onset. Because people accommodations to assist language learning (e.g.,
with hearing losses generally prefer disability-first lan- signing to the child, amplification) are often delayed
guage (e.g., deaf people is preferred to people with and inconsistently applied due to technical, resource,
deafness), disability-first language is used in this entry. and motivational obstacles. Consequently, prelingually
deaf children frequently experience delayed, nonstan-
Prevalence dard, and inconsistent language exposure during their
The prevalence of hearing loss varies primarily by age, critical language development years (birth to 6 years
and by gender and ethnicity. Although 8.6% of the U.S. of age). The vast majority of prelingually deaf chil-
population has a significant hearing loss, 1.8% of chil- dren consequently show significant and persistent def-
dren 3 to 17 years of age have a hearing loss, versus icits in oral speech, reading, and writing throughout
15.4% of people over 65 years of age. Gender and age their life span.
interact with hearing loss: whereas approximately Because prelingually deaf children have limited oral
equal numbers of males and females below seventeen language bases, and limited communication channels,
years of age have a hearing loss, twice as many males they exhibit significant and substantial delays in knowl-
as females 65 years or older have hearing loss. Likewise, edge acquisition. For example, normal-hearing children
the prevalence of hearing loss within people younger learn to read by associating visual images (letters,
than 18 years of age is approximately equal for Whites words) with their existing auditory language base (pho-
and Blacks, but among people 65 years or older, hear- nemes, speech). In contrast, deaf children can see let-
ing loss is nearly twice as common in Whites than ters and words, but have no auditory language base.
DEAFNESS AND H E A R I N G LOSS 443

Therefore, for deaf children, learning to read is often among deaf adults. Psychologists used to believe that
learning a language. paranoia was more common among deaf and deafened
Acquisition of other knowledge also suffers. Deaf people (because their hearing impairment would lead
children exhibit substantially lower academic achieve- them to believe that people were talking about them).
ment than their normal hearing peers in all domains, However, paranoia is no more common among deaf
but especially in language arts. The achievement gaps people, although it may be a short-term reaction to
between deaf children and normal-hearing peers in- recent hearing loss among deafened people.
crease with age. The majority of high-school graduates Normal social-emotional development, especially the
served in special education programs for deaf and hard- development of autonomy in young children, may bc
of-hearing youth have achievement levels below func- inhibited by limited communication between child and
tional literacy (i.e.. the fourth grade level). However, parent. Additionally, factors affecting all children with
deaf and hard-of-hearing children may acquire lan- disabilities (e.g., parental denial, grief, guilt regarding
guage and knowledge specific to deaf cultures, but such the childs disability: altered family relationships) may
knowledge is not formally measured. affect the emotional development of deaf children.
Once again, there is a continuing debate over the in-
Cognitive Development terpretation of behavioral and emotional differences be-
The impact of deafness on intelligence and cognitive tween deaf and normal-hearing people, with some re-
development is mixed. Although deafness inhibits cul- searchers viewing differences as evidence of elevated
turally specific knowledge and reasoning skills (i.e., pathology, and others viewing the differences as adap-
crystallized intelligence), it has little impact on nonver- tive responses to deaf people living in a normal-hearing
bal reasoning skills (i.e., fluid intelligence). Deaf chil- world.
dren show the same ordinal Piagetian development
stages as normal-hearing peers, although they may Social Identity
achieve stages somewhat later in age. Deaf children ap- The timing and severity of hearing impairment influ-
parently use information processing (e.g.. memory) ence social identity. People who are hard-of-hearing
strategies similar to normal-hearing peers, but they and postlingually deafened (especially late adult onset)
may be less efficient in invoking and using strategies. identify with normal-hearing culture(s). However, pre-
Other researchers suggest deaf children have differ- lingually deaf people with severe to profound hearing
ent (not less efficient) information processing frame- losses often identify with Deaf culture. These individu-
works. Factor analyses of intelligence tests suggest that als use American Sign Language (ASL) as their primary
young deaf children organize cognitive tasks quite dif- mode of communication, and they share linguistic, his-
ferently from their normal-hearing peers, but they be- torical, and cultural traditions based on ASL. Ironically,
come more similar to their normal hearing peers with somebody who is deaf (that is, has a severe hearing
age. The debate between those who argue deficits (e.g., impairment) is not necessarily Deaf (that is, a member
deaf children have lower verbal knowledge or reason- of the Deaf community).
ing skills) versus differences (e.g., deaf children have Deafness is unique in two ways. First, it is the only
similar knowledge and skills, but these skills are based disability whose members share a common language
in sign language and are not tapped by intelligence different from the dominant (normal-hearing) society.
tests) is unresolved. There is much less debate about Second, it is the only cultural group whose member-
the relative lack of influence of postlingual deafness on ship and language is not learned from the family.
cognitive abilities. Because postlingually deafened peo- Most deaf children are socialized into the Deaf com-
ple have a well-developed internal language base, the munity via educational programs (especially residen-
impact of deafness on their cognitive abilities and de- tial schools for deaf students) and social and fraternal
velopment is generally limited to an inability to over- organizations (such as the Junior National Association
hear ii.e., acquire incidental information). of the Deaf).
However, a minority (about 4%) of deaf children
Behavioral/Emotional Adjustment have two deaf parents. These families use ASL, and
Deaf children exhibit higher rates of externalizing be- they socialize their deaf children into the Deaf com-
haviors, and externalizing disorders. than their normal- munity. Research shows that deaf children of deaf par-
hearing peers. Whether these behaviors reflect insuffi- ents have higher academic achievement scores, better
cient internal regulation, or an adaptive response to social-emotional adjustment, fewer behavior disorders,
communication difficulties, is a hotly debated issue. and higher nonverbal IQs than deaf children of hearing
Deaf and normal-hearing adults have similar rates of parents. Although theye differences may be due to lan-
psychoses (e.g., schizophrenia), but mild behavioral and guage acquisition, parenting, and cultural assimilation,
psychological disorders (particularly externalizing or genetic factors may also enhance outcomes for deaf
impulse-control disorders) are slightly more frequent children of deaf parents.
444 DEATH A N D D Y I N G

isc.rit.edu/-q18www/) and Gallaudet llniversity (http:


Societal Responses to Deafness //www.gallaudet.edu/) are institutions of higher edu-
The question of how society should best respond to cation devoted to serving deaf and hard-of-hearing
deafness is extremely controversial. Educators vehe- adults.
mently disagree about the benefits of oral/aural ap- Jefferg E! Braden
proaches (that emphasize listeninglspeech), total com-
munication approaches (that emphasize concurrent
signing and speaking of English), and bilingual/bicul-
tural approaches (that emphasize teaching ASL before DEATH AND DYING. Psychology is usually regarded
English). Deaf community advocates oppose full inclu- as a social and behavioral science. It is also a life sci-
sion of deaf students in general education and cochlear ence, however, and, as such, cannot encompass its sub-
implants to cure deafness, because these initiatives seek ject matter without considering death. How could we
to assimilate or eliminate deafness. In contrast, hard- hope to understand childrens constructions of reality
of-hearing and deafened people welcome these initia- without learning what they make of withered plants
tives as providing better access to normal-hearing cul- and dead birds? How could we understand adolescent
ture. Because the debate regarding how society should behavior without attention to the risk-taking behavior
respond to deafness is more often controlled by ideology that all too often puts their lives in jeopardy? How could
than research, it is likely to continue unresolved for the we understand an adults disposition toward depression
foreseeable future. and disabling fear of relationship loss without recog-
[See also Auditory Impairment: Hearing: and Reha- nizing that it might represent the enduring effects of
bilitation Psychology.] childhood bereavement? How could we understand why
people sometimes withdraw from friends who are ter-
minally ill or bereaved? How can we understand why
Bibliography physicians have sometimes abandoned their terminally
ill patients? How can we understand thought and lan-
Holt, J., & Hotto, S. (1994).Demographic aspects of hearing guage without attention to the diverse ways in which
impairment: Questions and answers (3rd ed.). Washing- death is symbolized?How can we comprehend intimate
ton, DC: Center for Assessment and Demographic Stud-
relationships without insight into the fear of loss?
ies, Gallaudet University. This book provides informa-
Nevertheless, for many years the human encounter
tion about demographic aspects of deafness. This
information, and other information, is also available at with death had little place in psychological theory, re-
the Gallaudet Graduate Research Institute website: search, education, or services. The cultural taboo
http:l/gri.gallaudet.edul against acknowledging mortality encompassed scholars
Lane, H., Hoffmeister, R., & Bahan, B. (1996). A journey and professionals as well as the general public. Psy-
into the deaf-world. San Diego, CA: Dawn Sign Press. chologists, physicians, and clergy often completed their
This book provides an overview of issues related to professional training with little guidance for discussing
deafness from the perspective of Deaf culture advo- death or interacting with dying and grieving people.
cates. The subject of death was to be evaded in thought and
Marschark, M. (1993). Psychological development of deaf conversation. Those who were frequently exposed to
children. New York: Oxford University Press.
death-related situations had to rely upon a repertoire
There are many Internet resources addressing deafness
of stereotyped responses, usually marked by distancing
and hearing loss. The Alexander Graham Bell Associ-
ation (http://www.agbell.org/) promotes orallaural re- body language and stock phrases. Death,dead,dy-
sponses to hearing impairment: the American Speech ing, and cancer were among the words that could
and Hearing Association (http://www,asha.org/) rep- not be uttered. Even more unfortunately, people who
resents speech pathologists and audiologists; the (US.) had been touched by death were also to be avoided: I
National Association of the Deaf (http://www.nad.org/) wouldnt know what to say, was one typical appre-
and the British Deaf Association (http://www. hension: another was, If I said the wrong thing, she
bda.0rg.uk/) are fraternal organizations representing would just lose all hope-it would be awful. So it was
deaf people: the Center for Hearing Loss in Children that at midcentury, psychology was still proceeding as
(http://www.boystown.org/chlc/) and the (US.) Na- though life could be understood without death.
tional Institute on Deafness and Other Communication
Today, however, psychology contributes to the un-
Disorders (http://www.nih.gov/nidcd/) are federally
derstanding of the human encounter with death in
funded information sites: Deaf World Web (http:1/
dww.deafworldweb.org/) links deafness-relatedInternet many ways. Some of this work is carried out within
sites: Cued Speech (http://web7.mit.edu/CuedSpeech/) the established boundaries of psychology. Most studies
provides information about supplementing speech with of death anxiety and of childrens understanding of
hand cues to improve communication: and the Na- death, for example, have been conducted by psycholo-
tional Technical Institute for the Deaf (http://www. gists. However, psychologists also collaborate with
DEATH A N D D Y I N G 445

DEATH AND DYING. Table I. Stages of death childhood and that is not granted to all adults. Fur-
comprehension in childhood (Nagy, 1948) thermore, it is necessary to coordinate all these sepa-
rate concepts to achieve the basic adult construct of
Stage Age Range Interpretation of Death death. The gap between juvenile and adult conceptions
I 3-5 Death is separation. of death can be illustrated by the basic presence-
The dead are less alive. absence paradigm. Infants and young children live in a
Very curious about death. here-and-now world. When mother leaves the imme-
2 5-9 Death is final-but one diate timespace field there is no way to measure her
might escape it!
Death takes the form of a
distance except by response to a forlorn cry. The year-
person. ling cannot differentiate between mothers spatial dis-
3 q-adult Death is personal, univer- placement to the backyard or another city-or between
sal, final, and inevitable. a separation that will last for just a few minutes or
forever. Adults are better equipped to withstand ab-
sences that they understand are temporary, whereas
the young child responds to a departure with the anx-
health care professionals and scholars from a variety iety adults usually reserve for extended or permanent
of other disciplines, for example, in the study of death- separation. Something of the childs survival-oriented
bed scenes or the training of hospice volunteers. separation anxiety remains in adult life when people
respond to a brief leave-taking with what would seem
Death in Everyday Life to be disproportionate apprehension and sorrow.
Acceptance of the basic adult model of death re-
What is death? How should we cope with death? These
quires more than cognitive maturity: It also requires
two questions are closely related. The person who con-
the willingness to surrender faith in magical control.
ceives of death as the transition to a spiritually evolved
Observations suggest that, even among adults, this sur-
plane of being may live by a different set of rules than
render often is not complete. Stressful circumstances
the person who fears death as punishment for sin, and
may lead us to revert to the belief that we can alter
both may differ from the person who believes that per-
unwelcome reality through denial and the substitution
sonal existence vanishes with the last breath. The mass
of wish-fulfilling fantasies.
suicide of Heavens Gate members in 1997, for example,
Research has confirmed the propositions that chil-
was predicated upon an unusual belief system that
drens understanding of death is related to their general
combined biblical with science-fantasy elements. The
level of cognitive development, age, and experiences
relationship between conception of death and behavior
with death-related phenomena. Age is a helpful but
is far from simple, however, because belief systems
rough guide to charting childrens ideas about death.
themselves are products of complex individual and so-
By early adolescence, if not before, children with nor-
cietal interactions.
mal intellectual endowment generally have mastered
the set of constructs identified here. General level of
Thinking about Death
cognitive development provides a more refined index,
Whatever else death may be, it is a thought, a mental however. Children of the same chronological age differ
construct. Adult conceptions of death require the abil- to some extent in their grasp of such concepts as time,
ity to grasp abstractions that are considered beyond the causality, and constancy. As one might expect, those
cognitive scope of young children. These abstractions children who have a more advanced command of basic
include: concepts also have a more advanced understanding of
Futurity. Time is independent of our own experiences death.
and desires. Things will change. We will change. Time Field studies have added support for the influence of
will give and time will take away. experience as well as age and developmental level. For
Inevitability. Life will end no matter what one thinks, example, Bluebond-Langner (1996) observed that chil-
says. or does. dren with chronic life-threatening illness and their
Temporal uncertainty. One is always vulnerable to healthy siblings often have a much more realistic view
death, and death is certain to occur, but the time is of dying and death than parents and caregivers realize.
uncertain. Precisely how does the childs understanding of
Universality. All that lives will die. death develop? The most influential answer derived
Personal inclusion. It is not just that everybody else
from a study by Hungarian psychologist Maria Nagy
will die, I will die, too.
(1948) who interviewed children and asked them to
Permanence. The dead stay dead.
draw death-related pictures. auntie Death, as she was
Each of these concepts requires a degree of cognitive affectionately called, found a stage-like progression, as
maturity and experience that is not present in early summarized in Table I.
446 DEATH A N D D Y I N G

These findings provide a useful database for contem- The basic adult model of death identified here is not
porary studies although personifications of death in favored by all people. Buddhist and Hindu conceptions
childhood have been relatively uncommon in subse- of life and death offer alternative perspectives. The
quent studies, and the variables of developmental level new age construction of death is viewed as one tran-
and personal experiences with death have received sition among others: Death is just a change of
more attention. clothes; Death is only a door we pass through. Such
Five other points are worth consideration in com- characterizations represent a selective borrowing from
prehending the childs orientation toward death. Eastern religions, coupled with an optimistic meliorism
that is distinctively American.
I. Even the youngest children are aware of separation
There is no firm line between cognitive understand-
and its threat to their survival. One does not have
ing and belief system, but it is useful to distinguish
to understand the mature adult model of death in
order to respond to the experience of loss. between those who do not comprehend universality, in-
2. Young children do occasionally express spontaneous evitability, permanence, and related concepts on the
insight into the finality of death, as when encoun- one hand, and those who comprehend but reject those
tering a dead animal or withered plant; however, ideas.
there is often a retreat from this realization and a
return to more limited and wish-fulfilling ideas. Attitudes and Coping Strategies
3 . Children have a lively curiosity about death, leading How do we move through life with knowledge of our
at times to questions or little experiments that can
mortality? Xnxiouslyis the answer that has been pro-
unsettle adults (e.g., taking a caterpillar apart to see
posed by influential observers and theoreticians. It is
if it can be put back together again and made to go).
The brightest and most observant children usually asserted that we are highly anxious about death as in-
show the most curiosity. dividuals and as a society. This anxiety leads us into
4. Adults often exclude children from death-related avoidance and denial strategies, as though death will
conversations and respond to their questions with cease to exist if we stop thinking and talking about it.
evasion and anxiety. A rule of silence regarding These propositions are often linked with advocacy for
death applies in many homes, and with particular accepting death as a natural condition of life. Our focus
force to children. will therefore be on death anxiety, denial, and accep-
5. Adults who are committed to preparing children for tance, but we will also identify other attitudes and cop-
life should themselves be prepared to serve as men- ing strategies.
tors and guides as children encounter death in ei-
Two extreme positions have been staked out by the-
ther reality or fantasy. Many parents have reported
orists. The early psychoanalytic approach rejected the
their discomfort in trying to help their children deal
with death-related questions and experiences be- idea that it is even possible to fear death. Freud heard
cause they had so little guidance in their own child- many people express death-related fears, but he re-
hood. garded those as disguised expressions of some other
source of concern (e.g., a derivative of castration anx-
Adolescents improved understanding of death often iety or a general loss of security). Why are we unable
becomes part of a general anxiety about the future: All to fear death? Because death is an idea that does not
that one seeks lies ahead, but so does the risk of em- translate into the language and modus operandi of the
barrassment, disappointment and failure, and the cer- unconscious. Furthermore, we have never had the ex-
tainty of death. It is not uncommon for adolescents to perience of death, so how can we fear it?
develop a protective sheath of attitudes and a repertoire
of behaviors designed to cope with the newly perceived Our own death is indeed quite unimaginable, and
vulnerability to death. An exaggerated sense of invul- whenever we make the attempt to imagine it we can
nerability may be expressed, coupled with risk-taking perceive that we really survive as spectators. At bottom
behavior that appears to taunt death (followed by the nobody believes in his own death, or to put the same
thing in a different way, in the unconscious every one
pleasurable experience of relief after escape). Slash-
of us is convinced of his own immortality. (Freud,
and-gash horror films and comic books draw most of
1917/1959. P. 304)
their aficionados from the ranks of young men, al-
though adolescents share this enthusiasm. Concern These comments by Freud were seized upon by many
about body image and the increasing salience of sex- others who were reluctant to deal straightforwardly
uality may lead to intense and troubled interpretations with death-related fears. In his later years Freud took
of death. There may also be highly insightful and death far more seriously as a crucial issue, but it is the
imaginative interpretations. With their newly enlarged earlier formulation that proved more influential.
perspectives on life and death, some youth have created The existential position could hardly be more differ-
memorable poetry (including, for example, the I 7-year- ent, as articulated by Becker (1973). Fear of annihila-
old William Cullen Bryants Thanatopsis). tion is said to be the root of all human anxiety. A per-
DEATH A N D DYING 447

son who faces this terror without shield or illusion is scales in the first place if one reserves the right to ig-
in danger of psychosis. Becker believed that schizo- nore the findings.
phrenia is an attempt to make a heroic response to the 2. Death anxiety scores are consistently higher for
naked confrontation with mortality. Many other dis- women. The interpretation most in accord with re-
turbed patterns of thought and behavior are also at- search findings and field observations is that women
tributable to death anxiety. Moreover, according to are more aware both of their feelings and of psycho-
Becker, when we do keep ourselves normal, it is be- biological imperatives. It has long been evident in the
cause we are conforming to societal patterns of denying death awareness movement that women provide ser-
death. It is much easier to deny death if we are all in vices to terminally ill and grieving people much more
the game together. Many other observers joined Becker frequently than men, and also comprise the majority
in characterizing the United States as a society with a of people who enroll in death education courses. The
long-standing tradition of controlling death anxiety relatively higher self-reported death anxiety for women
through denial. Indeed, one of the first tasks of the appears, in general, to be a motivating rather than a
death awareness movement, which took hold in the disabling influence.
r970s, was to encourage people to break the anxious 3 . Death anxiety does not necessarily increase with
silence and enter into dialogue. The increased openness advancing age. Most studies either find no age-related
to discussion of dying and death created a more favor- differences or lower levels of anxiety among older
able climate for the introduction of hospice programs adults. This finding serves as a reminder that objective
for palliative care of terminally ill people. distance from death and subjective interpretation of
Despite their marked differences, psychoanalytic and mortality cannot be assumed to correspond.
existential approaches have important areas of agree- 4. Fears of pain, helplessness, dependency, and the
ment as well. Both hold that evasion and denial are not well-being of surviving family members are usually
effective strategies. Psychoanalysts emphasize the ex- more salient than anxiety about annihilation. Most
pensive investment in keeping death-related thoughts people are less concerned about the ontological nature
under wraps. whereas existentialists point to a lack of of death than about the palpable ordeal that might be
authenticity in human relationships when people can- experienced during the end phase of life. The theoreti-
not accept and express their mortal fears. Both sides cians death anxiety is replaced by individual and family
are joined by researchers and clinicians who emphasize concerns about the dying process.
the distortions, gaps, and misunderstandings in com- Clinical reports supplement these findings with the
munication that occur when people cannot bring them- observation that death anxiety increases when people
selves to share their thoughts and feelings about death. are overwhelmed by stress from any source. For ex-
Furthermore, there is a widespread belief that death ample, death may become a symbol for the sense of
anxiety, whatever its source, exists at a disturbingly having lost value, esteem, and control when an impor-
high level in the United States. tant relationship has been sundered. This condition
Neither the psychoanalytic dismissal nor the existen- (with its indirect support for the psychoanalytic hy-
tial enthronement of death anxiety have proven sus- pothesis) often subsides when the person again feels
ceptible to definitive research. In fact, most of the abun- worthwhile and in control. Concerns about death may
dant studies of death anxiety have been atheoretical. represent either an actual crisis regarding mortality
The typical study has employed fixed-choice question- and loss, or a symbolic way of expressing ones sense
naire measures in a one-time sampling of available re- of abandonment, dread, and overwhelming stress.
spondents. These studies have numerous limitations, A few studies have examined death anxiety at two
including reliance on verbal self-report, lack of dem- or more levels of assessment (e.g., self-report. percep-
onstrated relationships to behavior in real-life situa- tual response to death words or images, projective tests,
tions, and uncertainty regarding the meaning of low and psychophysiological responses). Those studies in-
scores (low anxiety or high defensiveness?). Despite dicate that people frequently have a more intense re-
these limitations, four consistent findings have emerged sponse to death-related signals outside their awareness
from the numerous academic studies of death anxiety. than what appears in verbal self-reports. When Feifel
1 . There is only a moderate level of self-reported and Branscomb (1973)posed the question, Whos
death anxiety in the general population, usually well afraid of death? the emerging answer was Every-
below the established scale midpoint. This finding is at body!-once we move past verbal self-report.
odds with the assumption that most people in the The role of death anxiety in everyday life has been
United States are highly anxious about death. A tempt- illuminated by research to some extent. For example,
ing explanation is that most people are well defended Sanner (1997)has found that people who donate blood
against death anxiety, hence the relatively low scores. are also more willing to donate their bodies for organ
This ex post facto explanation, however, raises its own transplantation. The bloodlbody donors seemed to have
questions. including the purpose of using death anxiety less anxiety about death, as well as less fear of physical
448 DEATH A N D D Y I N G

injury and loss of control. There are probably many the bosom of God. Of particular interest are the sexu-
other ways in which people with higher and lower lev- alized versions in which death is conceived as the op-
els of death anxiety differ in their decision making. It portunity for ecstasy that has been denied on earth.
has also been found by various studies that both high There have been episodes in cultural history in which
self-esteem and a well-developed sense of humor are sexualized death was celebrated in literature and drama
associated with a less anxious response to death-related and may have encouraged suicidal behavior. Romantic
stimuli and situations. and erotic transformations of death can be found today,
Perhaps it is useful to step back from the two grand most obviously in some areas of youth culture, but
theories of death anxiety, the psychoanalytic and the have not yet been studied systematically
existential, and consider a commonsensical alternative. That we live more fully and wisely when we have
The creatures who will live to see another day are those come to terms with our own mortality is a proposition
who will overcome various threats to their continued that has strong support from all major schools of
existence. It might not be justifiable to speak of a sur- thought and is consistent with the available research
vival instinct within the context of todays evolutionary findings.
biology, but there is abundant evidence for the existence
of a vigilance orientation that is followed by both gen- Confrontations with Dying
eral and particularized stress-adjustment responses. and Death
The chances of survival are improved by vigilance, and The emphasis shifts here from thinking about death in
vigilance has some of the experiential and behavioral the midst of everyday life to those situations in which
characteristics of anxiety. On this view, it would not be death has become a salient and immediate concern.
useful to impair the organisms ability to detect possible Particular attention will be given to the communica-
threats to its survival, just as it would not be useful to tional interactions through which we exchange either
be paralyzed or disorganized by excessive and prolonged guidance and comfort, or pain and confusion.
vigilance. In other words, some death anxiety may be Barriers to Death-Related Communication.
a necessary condition for continued survival. Several barriers to death-related communication have
The emphasis on anxiety as a response to death has been documented repeatedly since social and behav-
somewhat obscured the other ways in which people ori- ioral scientists turned their attention to this topic
ent themselves toward mortality. There are often feel- shortly after 1950:
ings of sorrow, regret, and resignation. The prevailing I. Weak response repertoire in death-related situa-
mood is not one of hyperalertness and apprehension, tions. What should we say to a person who has been
but, rather, sadness in contemplating the prospect of given a terminal diagnosis? To a person who is actively
lifes end. Individual variations on this theme are often dying? To the family? At a funeral? Many people are at
subtle and unique. We learn about sadness, regret, and a loss in such situations. Mainstream culture has pro-
resignation from conversation and personal documents vided little in the way of guidance or effective models
rather than fixed-choice questionnaires. With death in for interacting with people in the shadow of death. It
prospect, people often review their entire lives, attempt- is common to fall back upon homilies and evasions.
ing to affirm and discover meaning. These narratives 2. Fear of saying or doing the wrong thing. The lack
and diaries can tell us much about the perceived shape of effective preparation that many people bring with
of a completed life, as well as ones interpretation of them into death-related situations contributes to ex-
death. aggerated concern about the possible effects of their
Quite a different type of response occurs along a own interactions. Afraid that one slip of the tongue
dimension ranging from peaceful acceptance to ecstatic might destroy the other persons hope, there is a strong
fulfillment. These responses have been lodged primarily tendency to keep conversation within narrow limits if
in cultural and religious belief systems that have not it cannot be avoided entirely. In turn, the resulting ten-
often been studied empirically. Studies of death person- sion and artificiality increases the discomfort of both
ification, however, have yielded pertinent findings. The parties.
image of a gentle comforter has been the most preva- 3 . Development of rigid defensive strategies. Those
lent representation of death as a person in studies con- who interact repeatedly with terminally ill, dying, and
ducted in the 1970s and repeated in the l 9 9 0 S (Kas- grieving people have often adopted coping techniques
tenbaum, 2000). This image is most often presented as to protect themselves from the anxiety associated with
a firm but kind elder who places mortals at ease before limited ability to control the situation and reminders of
escorting them from life. Terrifying images of death are their own mortality. Physicians have most often been
not uncommon, but are consistently outnumbered by criticized for limiting themselves to brisk and perfunc-
the gentle comforter. The more extreme positions on tory interactions that do not respond to their patients
the acceptance dimension often take the form of antic- cognitive and emotional needs. Psychiatrists have been
ipated reunion with a loved one or being gathered to found to have particularly high levels of death anxiety.
DEATH A N D D Y I N G 449

The defense against what might be called secondary authoritarian medical model to shared responsibilities
death anxiety has itself become recognized as a source and a more open communication network.
of stress and disordered communication. Encouraging peer support groups for families coping
4. Institutionalized patterns of evasion. It is not just with chronic and terminal illness and the grief of
bereavement. Professional guidance is helpful in es-
the individual who often has difficulty interacting in
tablishing support groups and assisting them over dif-
death-related situations. Organizations have also main- ficult episodes, although much of the benefit is pro-
tained implicit rules against open communication. For vided by the members themselves.
example, workplaces have frequently invoked a code of Developing increased resourcefulness in dealing with
rigid protocol and near silence when a colleague be- death-related situations. A growing research base and
comes terminally ill, has died, or has lost a loved one. active death education programs provide the oppor-
Educational systems from grade school to graduate tunity for people to analyze situations, discover alter-
school tend to look the other way when a death occurs native approaches, and offer a wider variety of re-
particularly if by suicide. The most elaborate network sponses. For example. students of psychology and
of techniques for avoiding and minimizing death- related fields often develop a quantum leap in their
understanding when exposed to family members re-
related interactions has been documented in health
ports of responses that were helpful and not helpful.
care facilities. In their classic field studies, Glaser and
Recognizing that a moderate level of death anxiety i s
Strauss (1966, 1968) identified many types of institu- not only acceptable,but useful. It has been found that
tional evasion that made open communication almost empathy, openness, and the willingness to help vul-
impossible to achieve in hospitals. For example, mutual nerable and suffering people often is associated with
pretense was a common arrangement: both staff mem- a discernible level of death anxiety. Preoccupation
ber and patient acting as though the other did not with concealing or denying ones death anxiety seems
know the grim truth. Unfortunately, recent studies have to interfere with responsiveness to other peoples
found that institutional evasion remains standard pro- needs.
cedure in some of the nations major teaching and re- Improving our understanding of pain and suffering
search hospitals. will also improve communication and effective inter-
5 . Uncertainty about the status of the dying person. ventions. It is now agreed that pain cannot be com-
prehended adequately from an objectivistic stand-
Family and care providers are experiencing more diffi-
point alone. The same is true for the general sense of
culty in deciding if they are dealing with a dying per- suffering and despair that may be experienced in dy-
son, and therefore adjusting their expectations and in- ing and grieving. Phenomenological and gestalt/
teractions. People are now more likely to spend a longer holistic traditions in psychology can provide the di-
period of time in the interval between decline and mension that was too often neglected in the past.
death. Neither dying nor terminal quite fit the va-
riety of situations in which people find themselves. Additionally, studies suggest that whatever strength-
Health care professionals have come to recognize the ens a persons sense of purpose in life and connection
end phase or end stage as a distinct situation: The ma- with enduring values also improves ones ability to
jor physical systems have failed and death is imminent. withstand the stress of terminal illness, grief, and of-
But many people live with their eventually terminal fering services to those so afflicted (Schneider & Kas-
conditions for months or years, and, as a society, we tenbaum, 1993: Viswanathan, 1996). The current re-
have not yet learned how to comprehend and address vival of interest in the role of emotions and values in
this phenomenon. The fact that dying has become an human behavior is in keeping with the experiences of
increasingly imprecise term is contributing to ambigu- those who work with the dying and bereaved.
ity and hesitations in death-related communications.
Improvements to Death-Related Interactions. The Psychologist and Death
Psychologists and their colleagues in related fields have There is no turning back from the realization that psy-
been discovering effective approaches to improving the chology must address the human encounter with
quality of communication, and therefore the quality of death. The general public, professionals, researchers,
care. in death-related situations: educators, lawyers, clergy, and policy makers are all
engaged with death-related issues along a broad front.
Education and role-playing to improve perspective- Assisted suicide is the spotlight issue with all its ethical
taking and empathic skills. Training exercises have
and legal aspects. Nevertheless, it is palliative care for
proven valuable in helping the various professionals
the dying and counseling for the bereaved that affect a
involved in terminal care to respect each othersview-
points as well as appreciate the situation of patients larger number of people.
and their families. Psychologys constructions of death have taken sev-
Developing strategies for preserving a sense of control eral forms (Kastenbaum, 2000). Most prevalent was the
and efficacy on the part of all people involved in the implicit belief that death is irrelevant, except for occa-
terminal care situation. This includes a shift from an sional use of mortality statistics. This approach has
450 DECEPTION

usually been associated with a disconnect from natural Kastenbaum, R. (1998). Death. society, and human experi-
time and situational context. The focus of psychology ence (6th ed.). Boston: Allyn & Bacon.
in the United States has often been on characteristics Kastenbaum, R., & Kastenbaum, B. K. (Eds.). (1989). The
of individuals taken as individuals, rather than on peo- encyclopedia of death. Phoenix: Oryx Press.
Nagy, M. (1948). The childs theories concerning death.
ple moving through their life course in a biosocial con-
Journal of Genetic Psychology, 73, 3-27.
text. The first pass at including death within psycho-
Neimeyer, R. A. (Ed.). (1994). Death anxiety handbook.
logical theory has been its construction as a task to Washington, DC: Taylor & Francis.
be completed in the later adult years. Although not Nuland, S. B. (1993). How we die. New York: Knopf.
without value, this approach imposes a work-achieve- Sanner, M. A. (1997). Registered bone marrow donors
ment ethos, and establishes a kind of protective ghetto views on bodily donations. Bone Marrow Transplanta-
by isolating death as a concern primarily of the aged. tion, 19, 67-76.
The popularity of developmental task theory has yet to Schneider, S., & Kastenbaum, R. (1993). Patterns and
be earned through confirmatory research or contribu- meanings of prayer in hospice caregivers: An explora-
tion to everyday dealings with dying and death. Pop tory study. Death Studies, 17, 471-486.
psychology has created a fantasy meld in which Strack, S. (Ed.). (1997). Death and the quest for meaning.
nineteenth-century romancings of death are embodied Northvale, NJ: Aronson.
Vachon, M. L. S. (1987). Occupational stress in the care of
within the wrappings of modern media images. Depic-
the critically ill, the dying, and the bereaved. Washington,
tions of death as an inspiring adventure are greatly DC: Hemisphere.
removed from the experiences of most people who are Viswanathan, R. (1996). Locus of control, and purpose in
coping with the stress of terminal illness or grief. life of physicians. Psychosomatics. 37, 339-345.
Psychology has yet to offer a compelling, compre- Weisman, A. D. (1972). On death and denying. New York:
hensive, and realistic framework for understanding our Behavioral Publications.
relationship to death. This is a major challenge for the
Robert Kastenbaum
future. When this challenge is adequately met, it will
be one of the finest hours in the history of psychology
as a natural, as well as a human, science.

DECEPTION is the deliberate misrepresentation of


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DECEPTION 451

diagnostic of either of these types of deception across ample, microsecond changes in facial expressions have
individuals. Thus, detecting deception is a profoundly been recorded in individuals misrepresenting their emo-
difficult task. Psychologists have focused research and tional state. The rate and nature of some hand and arm
practice in three domains to detect deception: (a) be- movements have been found to change when a person
havioral cues, (b) verbal cues, and (c) tests of malin- is lying. Also, voice pitch may rise when a person is
gering. being deceptive. However, most observers cannot reli-
ably detect these behavioral changes. Scores of experi-
Behavioral Cues to Deception ments have found that people, usually undergraduate
Research on behavioral cues to deception has included students, perform only slightly better than chance
physiological responses, facial expressions, body lan- when asked to discriminate lying from truthfulness on
guage, and voice pitch. the basis of demeanor. However, much of the research
Physiological Measures. The most popular, and has two weaknesses: (a) there is little at stake for the
widely researched, technique to assess deception is the liars, which may reduce behavioral cues to deception:
polygraph. or lie detector test. The polygraph records and (b) the cues are compared between individuals
physiological responses that vary with stress, typically (e.g., it is possible that spending time with a person may
heart rate, skin conductance (related to sweating), and reveal personal, idiosyncratic demeanor cues to decep-
respiration (and sometimes blood pressure). These mea- tion). In any event, although training and experience
sures are recorded while the individual is asked a series may enhance detection of deception, no one has yet
of questions. With the control question test, responses demonstrated what training or experience is required.
to the critical questions are compared to responses to
stressful questions unrelated to the crime. Alternatively, Verbal Cues to Deception
the guilty knowledge test involves assessing the individ- A relatively recent development in deception research
uals reaction to questions concerning aspects of the has examined whether the content of what a person
case that would be known only to someone connected says can reveal deception. Beginning in the I g S O S ,
with the case (e.g., the use of an ice pick as a murder German psychologists developed the first systematic ap-
weapon). It is difficult lo apply this version of the poly- proach to analyzing statements. Although originally
graph when the media have reported critical aspects of developed for use with children, the procedure came to
the case. be applied to the statements of adults as well, partic-
The polygraph depends upon the assumption that a ularly to the statements of adults alleging a sexual as-
person will have an emotional response when lying, sault or sexual abuse as a child. With statement anal-
reflecting a fear of detection and/or guilt about lying. ysis the trained assessor applies a set of 19 criteria to
Lying is also thought to place demands on cognition the content of a statement(s). The criteria are based
that may be another source of physiological change. upon an assumption (the Undeutsch hypothesis) that
Although the polygraph is a useful investigative tool, it the description of memories for directly experienced
has the same problem that exists in most detection events is qualitatively different from the description of
techniques: There is no lie response, only a stress re- invented or coached memories. Research completed
sponse. It is assumed that stronger responses to critical with child and adult witnesses indicates that the pro-
questions are due to guilt, but they could be due to fear cedure performs better than chance at discriminating
of false arrest, or some other emotion felt by an anxious the descriptions of actual experiences from deceptions,
but innocent person. Thus, the polygraph test is prone although there are some limitations with younger chil-
to false-positive errors (wrongly concluding that a per- dren.
son is lying). It is also possible for deceptive individuals
to beat the test (false-negativeerror) by means of coun- Tests of Malingering
termeasures (e.g., cognitive effort during the control Malingering is the intentional distortion or misrepre-
questions). The extent of such errors is a matter of sentation of psychological symptoms for personal gain
considerable debate among researchers. or to avoid negative consequences (e.g., incarceration).
There have been recent attempts to identify more There have been a number of attempts to detect malin-
reliable physiological indicators of deception. Electrical gering with validity scales on pencil-and-paper tests,
and blood flow activity in the brain have been examined such as the Minnesota Multiphasic Personality Inven-
as possible cues to deception. The necessary research tory (MMPI). It is recognized that people malingering
on these cues has yet to be conducted but they offer will often endorse items that exaggerate the seriousness
some intriguing future possibilities. of pathology compared to people with a genuine men-
Demeanor. The demeanor of a liar has often been tal disorder. Another recent approach to identifying a
proposed as a clue to deception and has received some malingering patient is symptom suggestion, in which a
empirical support. Demeanor includes changes in facial psychologist suggests a false symptom to a suspected
expressions. body language, and voice pitch. For ex- malingerer. These clinical tools are often described as
452 DECISION MAKING

useful aids to clinicians in interpreting responses to two converging strategies in order to address this chal-
pencil-and-paper tests. However, to date, there are no lenge. One strategy relies on the statistical analysis of
reliable, valid tests of malingering. multiple decisions, involving complex tasks drawn from
a single domain. The second relies on the experimental
manipulation of simple decisions, looking at elements
Bibliography that recur in many different decisions (e.g., uncertain-
ties, trade-offs).
Ekman, P. (1992). Telling lies. New York: Norton. An au- The former strategy achieves greater ecological va-
thority on deceit provides a thorough review: the text lidity, in the sense of placing people in circumstances
also provides a detailed examination of the circum-
more closely approximating their actual decision mak-
stances that make lies difficult or easy to detect.
Graham, J. R. (1993). MMPI-z: Assessing personality and ing. However, it uses such complex situations that it
psychopathology. New York: Oxford University Press. An can be hard to tell which factors are driving peoples
overview of the most widely employed personality test choices. The latter strategy isolates factors. However, it
with information on how it handles the problem of de- also creates the inferential challenge of generalizing
ception with validity scales. from the small world of the experiment to the real
Lykken, D. T. (1981). A tremor in the blood: Uses and abuses world of actual decisions. Combining these strategies
of the lie detector. New York: McGraw-Hill. An overview offers the opportunity for a relatively balanced perspec-
of the polygraph by one of its strongest critics. tive on what is-and what can be-known about
Memon, A., Vrij, A., & Bull, R. (1998). Psychology and decision-making processes.
law: Truthfulness, accuracy and credibility. New York: A balanced perspective is essential to fulfill a goal
McGraw-Hill. An overview of the field of credibility as-
shared by both approaches: helping people to make bet-
sessment: the chapters vary in quality from excellent
to poor. ter decisions. That goal is ill-served by exaggerated
Raskin, D. (1986). The polygraph in 1986: Scientific, pro- claims of any sort. Practical concerns have also made
fessional, and legal issues surrounding the application evaluating decision-making performance a focus of
of polygraph evidence. Utah Law Review, 22, 29-74. An both research traditions. In some cases, the standard is
overview of the polygraph by one of its strongest ad- achieving a real-world objective (e.g., predicting an
vocates. event, achieving a return on investment). In other
Rogers, R. (Ed.). (1988). Clinical assessment of malingering cases, the performance standard is demonstrating con-
and deception. New York: Guilford Press. The best avail- sistency with a principle of decision theory (e.g., having
able review of the problems related to the detection of transitive preferences, ignoring irrelevant features of
malingering. tasks).
Yuille. J. C. (Ed.). (1989). Credibility assessment. Dordrecht,
The Netherlands: Kluwer. This volume includes chap- Statistical Models of
ters by the presenters at the first international confer- Decision Making
ence devoted to the detection of deception.
Psychology won its stripes (as worthy of public fund-
John C. Yuille and Stephen Porter ing) by its ability to process large numbers of people in
wartime. During World War 11, that processing included
diagnosing soldiers mental conditions. After the war,
interest grew in how effective those efficient decisions
DECISION MAKING. People face a great variety of were. The study of such clinical judgment began by
decisions in their lives. Some are fateful, such as whom examining the performance of psychologists deciding,
to wed, what to study, which causes to defend, and how say, whether clients were psychotic or neurotic. It grad-
to handle medical crises. Some have limited scope, such ually expanded to consider the judgments of such di-
as where to dine or shop, what to read or eat, and how verse experts as radiologists sorting images of tumors
to exercise or continue an unrewarding conversation. into benign and malignant, auditors deciding whether
Some decisions involve clear-cut choices, while others loans were nonperforming, and admission commit-
are shrouded in uncertainty. Sometimes that uncer- tees choosing graduate school applicants.
tainty concerns what will happen: sometimes it con- When many predictions of a particular type are
cerns what one really wants and values. Sometimes characterized on a common set of cues, one can create
there are opportunities to learn from experience: some- statistical models predicting either the clinicians own
times one must get it right the first time. Some decisions choices or the real-world event, using the information
offer time for deliberation; others must be made in an at the clinicians disposal. Many such studies have con-
instant. sistently found (a) simple statistical models do a good
Given the diversity of decisions, how could one job of predicting judgments that clinicians describe as
hope to develop systematic general knowledge about the result of complex inferential processes: and (b)
decision-making processes? Psychologists have adopted somewhat different but still simple statistical models do
DECISION MAKING 453

at least as good a job as clinicians in predicting actual tive attractiveness (or aversiveness). Successful proba-
events. bility assessment is evaluated in terms of (a) accuracy,
These are challenging results, with provocative im- how well peoples beliefs agree with statistical esti-
plications for how such decisions should be made. mates: (b) coherence, how well the relationships among
Much research (statistical and experimental) has gone beliefs follow the axioms of probability theory: and (c)
into explaining them, leading to some fundamental calibration, how well people understand the limits to
findings of decision-making research. One result is that their own knowledge. Successful outcome evaluation
people often have limited insight into their own cogni- requires (a) accuracy, peoples predicted (dis)pleasure
tive processes. Particularly when asked to summarize should correspond to their actual experience, (b) con-
multiple judgments. they may confuse what they did sistency, people should evaluate different representa-
with what they wanted to do or with what people gen- tions of the same problem similarly, and (c) articula-
erally do. They may misremember their own judgmen- tion, people should be able to translate their general
tal processes, confusing in hindsight what they saw values into preferences for specific choices.
(and said) in foresight. They may underestimate the In both respects, experimental work has found a
treatment effect created by their own predictions mixture of strengths and weaknesses. Overall perfor-
(which can shape subsequent events in their own im- mance is, perhaps, about as good as could be expected,
age). They may remember only an unrepresentative considering how little training people receive in
subset of their decisions, leading them to exaggerate decision-making processes and what poor conditions
their past consistency and success. the world offers for learning on their own (e.g., unclear
A second line of evidence arose from growing rec- and delayed feedback). A widely accepted account holds
ognition of the predictive power of simple (linear) sta- that people respond to complex, uncertain decision-
tistical models. If one can identify and measure the making tasks (and their limited information-processing
cues that individuals consider, then one can often capacity) by using heuristics. These are rules of thumb
mimic their summary judgments quite well with simple that are generally helpful, but can lead one astray when
additive models. However, the arithmetic rules for com- used outside their domain of validity.
bining those cues need not bear any direct relationship For example, people may judge the probability of an
to the underlying cognitive processes. Indeed, one can event by the availability (in memory) of examples of its
often predict well with a model that assumes that peo- occurrence. Generally speaking. commonly observed
ple simply count the number of factors favoring and events should be more frequent than rarely observed
opposing each option and then choose the alternative ones. Moreover, people are good at keeping a rough
with the best overall tally. And one can also do quite count of the frequency of the events that they observe,
well with a model using variables correlated with those even when they do not expect to be asked. However,
that directly occupy decision makers. there are cases when an event is disproportionately
Although the power of linear models is good news available for reasons that people do not realize or whose
for those hoping to predict peoples choices, it is bad effects they cannot undo (e.g., the crime rate as re-
news for those hoping to explain them. There may be vealed by local TV news). If so, then its probability will
many models that predict equally well, even though be overestimated.
they incorporate different variables-and hence repre- The most widely accepted normative standard for
sent different theories of the choice process. As a result, combining probabilities and values into a choice is util-
it may be hard, and even impossible, to determine ity theory. The pillar of modern economics. utility the-
which of a set of competing models really captures how ory evaluates options in terms of their expected utility,
people make their choices. Without that knowledge, defined as the sum of the utilities associated with the
one may lack the insight needed to help people improve different outcomes (e.g., how much money will the per-
those processes. How researchers have attempted to cir- son have, how much respect, how much prestige),
cumvent these fundamental limits is an interesting weighted by their probabilities. Psychological research
and important story. So is the reluctance of decision- has found that people are sensitive to features missing
making institutions to replace clinical judgment with from utility theory and insensitive to ones in it. Some
demonstrably superior statistical procedures. of the most dramatic demonstrations have shown fram-
ing effects, in which formally equivalent descriptions of
Experimental Studies of a decision elicit different choices (e.g.. describing a civil
Decision Making defense program in terms of the lives it will save or the
The complementary approach asks whether people lives that will still be lost; describing the payment for
have the basic cognitive skills needed to make effective an insurance policy as a premium or a sure loss.
decisions. Those skills include assessing the probability The central role of performance standards in
that different actions will lead to different outcomes, decision-making research has been a source of often
and evaluating those outcomes in terms of their rela- productive controversy. It has encouraged thinking
454 DEFENSE MECHANISMS

hard about the fairness of tasks, sharpening their for- von Winterfeldt,D., &Edwards,W. (1986). Decision analysis
mulation. It has created an obligation to develop inter- and behavioral research. New York: Cambridge University
ventions designed to overcome apparently robust judg- Press. An integrated approach to normative, descriptive
mental limitations. It has prompted the creation of and prescriptive decision making.
Yates, J. F. (1990). Judgment and decision making. New York:
alternative normative accounts, sometimes involving
Wiley. An authoritative upper-division text.
economists, philosophers, management scientists, and
others. Finally it has involved psychologists in public Baruch Fischhoff
policy debates focused on peoples competence, such as
adolescents control of their reproductive choices and
citizens involvement in environmental policy.
[See also Illusory Correlation: Political Decision Mak- DEFENSE MECHANISMS are patterns of feelings,
ing: Thinking, article on Problem Solving.] thoughts, or behaviors that are relatively involuntary.
They arise in response to perceptions of psychic danger
or conflict, to unexpected change in the internal or ex-
Bibliography ternal environment, or in response to cognitive disso-
nance (American Psychological Association, 1994).
Connolly, T.. Arkes, H., & Hammond, K. R. (in press). Judg-
They obscure or diminish stressful mental representa-
ment and decision making: An interdisciplinary (2nd ed.).
tions that if unmitigated would give rise to depression
New York: Cambridge University Press. A diverse col-
lection of articles sponsored by the Society for Judg- or anxiety. They can alter our perception of any or all
ment and Decision Making. of the following: subject (self), object (other), idea, or
Dawes, R. (1988). Rational choice in an uncertain world. San feeling. There is increasing evidence that choice of de-
Diego, CA: Harcourt Brace Jovanovich. A synthesis fensive styles makes a major contribution to individual
with special emphases on ethical issues, formal under- differences in response to stressful environments (Vail-
pinnings, and clinical judgment. lant, 1992).As in the case of physiological homeostasis,
Fischoff, B. (1999). Why (cancer) risk communication can but in contrast to so-called coping strategies, defense
be hard. Journal of National Cancer Institute Monographs. mechanisms usually are deployed outside of awareness.
25, 1-7. An introduction to research on health deci- The use of mechanisms of defense usually alters per-
sions.
ception of both internal and external reality. Often, as
Fischhoff, B., Lichtenstein, S., Slovic, P., Derby, S. L., & Kee-
with hypnosis, the use of such mechanisms compro-
ney, R. L. (1981). Acceptable risk. New York: Cambridge
University Press. Decision-making research applied to mises other facets of cognition.
the management of risks in society Adaptation to psychological stress can be divided
Hammond, K. R. (1997). Human judgment and social policy. into three broad classes of coping mechanisms. One
New York: Oxford University Press. A comprehensive class consists of voluntary cognitive or coping strate-
approach, emphasizing regression methods. gies, which can be taught and rehearsed: such strate-
Kahneman, D., & Tversky, A. (1979). Prospect theory in- gies are analogous to consciously using a tourniquet to
troduces a local psychological alternative to utility the- stop ones own bleeding. The second class of coping
ory. Econornetrica, 47, 263-291. mechanisms is seeking social support or help from oth-
Kahneman, D., & Tversky, A. (Eds.). (in press). Choice, val- ers: such support seeking is analogous to calling 911 in
ues and frames. New York: Cambridge University Press.
response to ones own bleeding. The third class of cop-
Articles on the formation and measurement of values.
ing mechanisms are the involuntary defense mecha-
PIOUS,S. (1993). The psychology of judgment and decision
making. New York: McGraw Hill. An accessible intro- nisms. Such coping mechanisms are analogous to de-
duction, with good treatment of related results in social pending on ones own involuntary clotting mechanisms
psychology. in order to stop bleeding.
Raiffa, H. (1968). Decision analysis: Introductory lectures on Nineteenth-century medical phenomenologists
choices under uncertainty. Reading, MA: Addison-Wesley. viewed pus, fever, pain, and coughing as pathological:
A seminal analysis of prescriptive decision making, sys- twentieth-century pathophysiologists have learned to
tematically incorporating judgment. regard these same processes as evidence of the bodys
Simon, H. (1957). Models of man: Social and rational. New healthy, if involuntary, efforts to cope with physical or
York: Wiley. The classic analysis of coping strategies for infectious insult. In analogous fashion, many of the
dealing with information-processinglimits. mental symptoms that phenomenologists classify as
Thaler, R. (1991). Quasi-rational economics. New York: Rus-
mental disorders can be reclassified by those with a
sell Sage Foundation. Articles from the Journal of Eco-
nomic Perspectives, describing psychological phenomena more psychodynamic viewpoint as manifestations of
challenging standard economic theory. the brains involuntary adaptive efforts to cope with
Tversky, A., & Kahneman, D. (1974). Judgment under un- mental stress. In recognition of the close association
certainty: Heuristics and biases. Science, 185, 1124- between psychological homeostasis and psychopathol-
1131. A well-known summary of heuristics approach. ogy, the latest edition of the Diagnostic and Statistical
DEFENSE MECHANISMS 455

Manual of Mental Disorders (DSM-IV APA, 1994), has I. Defenses were a major means of managing impulse
included a Defensive Functioning Scale as a proposed and affect.
2. Defenses were unconscious.
diagnostic axis for further study.
3. Defenses were discrete from one another.
Defenses operate in four major arenas. First, they
4. Although often the hallmarks of major psychiatric
can provide individuals with a period of respite (denial)
syndromes, defenses were dynamic and reversible:
to master changes in self-image that cannot be imme- they were states, not traits.
diately integrated: such changes in reality might result 5. Finally, defenses could be adaptive as well as patb-
from leg amputation (e.g., But I still have both my ological. Freud conceived of a special class of defense
legs.). Second, defenses can deflect or deny sudden in- mechanisms-sublimations-that could transmute
creases in affective states (e.g.. Im not angry-just conflicting affect not into a source of pathology but
perturbed.). Awareness of forbidden or conflicting into culture and virtue. (1905/1964, pp. 238-239)
wishes IS usually diminished; alternatively, antitheti- Freud also introduced the concept of an ontogeny
cal wishes may be passionately adhered to. Third, de- of defenses. Like projection, repression, and sublima-
fenses can keep anxiety, shame, and guilt within bear- tion, defenses not only lay along a continuum of rela-
able limits during sudden conflicts with conscience and tive psychopathology but along a continuum of person-
culture. Finally, defenses enable individuals to mitigate ality development. With the passage of decades, the
and alter internal representations and unresolved con- defense acting out (e.g., impulsive self-detrimental sex-
flicts with important people, living or dead (e.g., My uality) could become the parent of reaction formation
mother gave me a perfect childhood.). (sex is bad, celibacy is good) and a potential grandpar-
Choice of mental defensive mechanisms is a major ent of altruism (teenage mothers are troubled and de-
consideration in understanding differential responses to serve help).
environmental stress. Defenses are mental mechanisms
that alter the relationship between self and object, and Modern Conceptualizationsof
between idea and affect, in rather specific and differ- Defense in DSM-IV
entiated ways. For example, the defense of projection From the beginning, defenses have posed a problem for
enables someone conflicted over expressing anger to experimental psychology. First, there is no clear line be-
change I hate him to He hates me. In addition, tween character (enduring traits) and defenses (shorter-
defenses dampen awareness of and response to sudden lived responses to environment), behavior and mental
changes in reality, emotions and drives, conscience, and mechanisms, symptoms (psychopathology) and uncon-
relationships with people. For example, some people re- scious coping processes. Conflict-driven adaptive aber-
spond to danger or loss in a surprisingly stoic or altru- rations of a normal brain (defenses) cannot always be
istic fashion, whereas others become phobic or get the distinguished from the symptoms of neuropathology.
giggles or project responsibility. These responses can be Second, defense mechanisms can serve other purposes;
differentiated by assigning different labels to the mech- conversely, any of the minds functions, not just stan-
anisms underlying the responses. While cross-cultural dard defenses, can be employed in the service of de-
studies are still sorely needed, socioeconomic status, in- fense. Third, in any effort to produce a comprehensive
telligence. and education do not seem to be causal pre- list of defenses there will be enormous semantic dis-
dictors ot maturity of adult defensive style (Vaillant, agreement.
1992). Differentiated mechanisms of defense are clearest
when one can study the psychopathology of healthy
Freuds Discovery of the Concept everyday life in detail. Our appreciation of the defensive
of Defense nature of mature behavior awaited studies of normal
That emotions were significant to humans had been populations, such as those by Ernst Kris, Robert White,
known since ancient times, but our understanding of Heinz Hartmann, David Hamburg, and Anna Freud
their modulation through unconscious mechanisms of (1936). Every one of these investigators, however, pre-
defense originated with Sigmund Freud, who was sented a different nomenclature; no one supplied mu-
trained in both neurology and physiology. In delineat- tually exclusive definitions: few sought rater reliability
ing the nature of defenses, Freud not only emphasized or provided empirical evidence beyond clinical anec-
that upsetting affects, as well as ideas. underlay psy- dote. Over the last 30 years, several empirical studies
chopathology: he also suggested that no experience (e.g., Haan, 1977: Vaillant, 1977; Perry, 1994) that are
could have a pathogenic effect unless it appeared in- well reviewed by Cramer (199r), Skodol and Perry
tolerable to the patients ego and gave rise to efforts at (I993), and Conte and Plutchick (1995) have clarified
defense (Freud, 1906/1964, p. 276). our understanding of defenses with experimental and
Over a period of 40 years, Freud described most of reliability studies. By offering a tentative hierarchy and
the defense mechanisms of which we speak today and glossary of consensually validated definitions. DSM-IV
identified five of their important properties: sets the stage for further progress.
456 DEFENSE MECHANISMS

DEFENSE MECHANISMS. Table I. Defense levels and individual defense mechanisms


(adapted from DSM-IV)

I. Level of Defensive Deregulation.This level is characterized by failure of defensive regulation


to contain the individuals reaction to stressors, leading to a pronounced break with objective reality.
Examples are
delusional projection (e.g., psychotic delusions)
psychotic denial of external reality
psychotic distortion (e.g.. hallucinations)
11. Action Level. This level is characterized by defensive functioning that deals with internal or ex-
ternal stressors by action or withdrawal. Examples are
acting out passive aggression
apathetic withdrawal help-rejecting complaining
111. Major Image-Distorting Level. This level is characterized by gross distortion or misattribution
of the image of self or others. Examples are
autistic fantasy (e.g.. imaginary relationships)
splitting of self-image or image of others (e.g.. making people all good or all bad)
IV. Disavowal Level. This level is characterized by keeping unpleasant or unacceptable stressors,
impulses. ideas, affects. or responsibility out of awareness with or without a misattribution of these
to external causes. Examples are
denial
projection
rationalization
V. Minor Image-Distorting Level. This level is characterized by distortions in the image of the
self, body, or others that may be employed to regulate self-esteem. Examples are
devaluation
idealization
omnipotence
VI. Mental Inhibitions (Compromise Formation) Level. Defensive functioning at this level keeps
potentially threatening ideas, feelings, memories, wishes, or fears out of awareness. Examples are
displacement reaction formation
dissociation repression
intellectualization undoing
isolation of affect
VII. High-Adaptive Level. This level of defensive functioning results in optimal adaptation in the
handling of stressors. These defenses usually maximize gratification and allow the conscious aware-
ness of feelings, ideas, and their consequences. They also promote an optimum balance among con-
flicting motives. Examples of defenses at this level are
anticipation
affiliation
altruism
- self-assertion
self-observation
sublimation
humor * suppression

All classes of defenses in Table I are effective in de- mature defenses found in levels 2 to 4. They are often as-
nying or defusing conflict and in repressing or min- sociated with what DSM-IV calls Axis I1 disorders. Im-
imizing stress, but they differ greatly in the psychiatric mature defenses externalize responsibility and allow
diagnoses assigned to their users and in their conse- individuals with personality disorders to appear to refuse
quences for long-term biopsychosocial adaptation. At help. These categories are associated with adolescents,
level I, the most pathological category, are found denial immature adults, and individuals with personality disor-
and distortion of external reality, These mechanisms ders. It includes the paranoids projection, the schizoids
are common in young children, our dreams, and psy- autistic fantasy, and mutual passive-aggression (the sa-
chosis. Such a definition of denial is a far more narrow distic drill sergeant and the infuriating recruit). Like cig-
but specific use of the term than making the term denial arette smoking in a crowded elevator, such behavior may
synonymous with all defense mechanisms. Level I de- seem innocent to the user and deliberately irritating and
fenses rarely respond to simple psychological interven- provocative to the observer. Such defenses are consis-
tion. To breach them requires altering the brain by neu- tently and negatively correlated with global assessment
roleptics or waking the dreamer. of mental health and profoundly distort the affective
More common to everyday life are the relatively im- component of interpersonal relationships.
DEINDIVIDUATION 457

Defenses in this category rarely respond to verbal and Pessimism: Repression: Self-Consciousness: and
interpretation alone. They can be breached in two Stress.]
ways. First, by confrontation-often by a group of sup-
portive peers-or by highly focused but empathic psy- Acknowledgments. This work is from the Division of Psy-
chotherapy. Second, immature defenses can be chiatry, Department of Medicine, Brigham and Womens
breached by improving intrapsychic competence by Hospital and the Study of Adult Development, Harvard
rendering the individual less anxious and lonely University Health Services. It was supported by research
through empathy, less tired and hungry through rest, grants MH 00364 and MH 42248 from the National In-
less intoxicated through abstinence from alcohol, or stitute of Mental Health.
less adolescent through maturation.
The third class of defenses, those at level 6, are often
associated with what DSM-IV calls Axis I anxiety dis- Bibliography
orders and with the psychopathology of everyday life.
These include mechanisms like repression, intellectu- American Psychiatric Association. (1994). Diagnostic and
alization, reaction formation (i.e.. turning the other Statistical Manual of Mental Disorders (4th ed.). Wash-
cheek),and displacement (i.e.. directing affect at a more ington, DC: Author.
neutral object). In contrast to the immaturedefenses, Conte, H. R., & Plutchik, R. (1995).
Ego defenses: Theory and
the defenses of neurosis are manifested clinically by measurement. New York: Wiley.
phobias, compulsions, obsessions, somatizations, and Cramer, P. (1991).The development of defense mechanisms.
New York: Springer Verlag.
amnesias. Such users often seek psychological help, and
Freud, A. (1936). The ego and mechanisms of defense. Lon-
neurotic defenses respond more readily to interpreta-
don: Hogarth Press.
tion. Such defenses cause more suffering to the individ- Freud, S. (1964). Three essays on the theory of sexuality.
ual than to those in the environment. In J. Strachey (Ed.), Standard edition (Vol. 7, pp. 130-
The fourth and theoretically most mature class of 243). London: Hogarth Press. (Original work published
defenses includes those at level 7: humor, altruism, sub- 7905)
limation. and suppression. These mechanisms still dis- Freud, S. (1964). My views on the part played by sexuality
tort and alter feelings, conscience, relationships, and in the etiology of the neuroses. In J. Strachey (Ed.) Stan-
reality, but they achieve these alterations gracefully and dard edition (Vol. 7, pp. 27s-279). London: Hogarth
flexibly. These mechanisms allow the individual con- Press. (Original work published 1906)
sciously to experience the affective component of inter- Haan, N. (1977). Coping and defending. San Francisco:
Jossey-Bass.
personal relationships. but in a tempered fashion.
James, W. (1890). The principles of psychology. New York:
While mature defenses are arguably more conscious Henry Holt.
and certainly more coping than immature defenses, Perry, J. C. (1994). Defense mechanisms and their effects.
to dichotomize defenses as either coping or defend- In N. Miller, L. Luborsky, J. Docherty, & J. Barber (Eds.),
ing has proven both arbitrary and not helpful. The Psychodynamic research. New York: Basic Books.
defense most highly associated with mental health is Skodal. A., & Perry, J. C. (1993).Should an axis for defense
suppression, a defense that modulates emotional con- mechanisms be included in DSM-IV? Comprehensive
flict or internal and external stressors through stoicism, Psychiatry, 34, 108-119.
by postponing but not ignoring wishes, and by subjec- Vaillant, G. E. (1977). Adaptation to life. Boston: Little,
tively minimizing but not ignoring disturbing problems, Brown (reprinted by Harvard University Press).
feelings, and experiences. Vaillant, G. E. (1992). Ego mechanisms of defense: A guide
for clinicians and researchers. Washington,DC: American
Implicit in the concept of defense is the conviction
Psychiatric Press.
that it is not only genetic vulnerability and life stress
but also the patients idiosyncratic defensive response George E. Vuillunt
to such vulnerability and stress that shapes psychopa-
thology. Thus, despite problems in reliability, the valid-
ity of defenses makes them a valuable diagnostic axis
for understanding psychopathology.By including defen-
sive style as part of the mental status or diagnostic DEINDIVIDUATION is a psychological state of re-
formulation, clinicians are better able to comprehend duced self-awareness and a reduced sense of personal
what is adaptive as well as maladaptive about their pa- identity resulting in behavior that is influenced by cur-
tients defensive distortions of inner and outer reality. rent situational or group norms, rather than by per-
They may also learn to view qualities that initially sonal or societal norms. Deindividuation is most likely
seemed most unreasonable and unlikable about their to occur when individuals are submerged in a group,
patients as human efforts to cope with conflict. but may also occur outside a group when situational
[See also Coping; Learned Helplessness: Optimism cues draw attention away from the self. Deindividuation
458 DEINDIVIDUATION

may help explain many forms of collective antisocial clothes and name tags. Similarly, in an anthropological
behavior. For example, rioters may feel faceless and un- study of 27 cultures, Watson (1973) found that war-
accountable in the midst of a lynch mob, and sports riors who hid their identities during battle by using face
fans may yell obscenities at a referee when submerged and body paint or masks were significantly more likely
in a crowd of similar others. However, deindividuation to torture or kill enemy prisoners than were warriors
does not necessarily produce antisocial behavior, and who could be readily identified. However, anonymity
can lead to positive consequences if the group or situ- does not always result in negative behaviors. For ex-
ation creates positive standards for behavior. Indeed, ample, in a conceptual extension of Zimbardos exper-
people sometimes deliberately seek out potentially dein- iment, Johnson and Downing (1979) found that ano-
dividuating experiences such as parties, dances, and re- nymity only enhanced aggression when the costumes
ligious gatherings in the hope of enhancing positive bore a resemblance to Ku Klux Klan outfits, but actu-
emotions and feelings of closeness. ally reduced aggression when the costumes resembled
nurse uniforms.
Historical Background A clever study by Diener and colleagues (1976) of
In 1895, French theoretician Gustave Le Bon (The Halloween trick-or-treaters in Seattle further illustrates
Crowd, London) proposed that a crowd of people can the importance of anonymity. A greeter asked the chil-
become a unified entity that operates as though guided dren to take just one piece of candy, then left the room.
by a collective mind, with emotions and behaviors that Half of the children were asked to provide their names
are easily transmitted from one person to the next. Fes- and say where they lived. Hidden observers noted that
tinger, Pepitone, and Newcomb (1952) first coined the the anonymous children were more than twice as likely
term deindividuation and described it as a phenomenon to take extra candy than were the identified children.
in which individuals become so submerged in a group Reduced Self-Awareness. Experiences that dimin-
that they engage in disinhibited, deviant behaviors. ish self-awareness can also contribute to deindividua-
These ideas were expanded and refined in later years tion. A number of studies have found that, compared
by a variety of American and European social psy- with self-aware people, deinidividuated people behave
chologists. A variety of theories have been developed, in a manner that is less self-regulated, less consistent
and more than 60 laboratory and field experiments with their own attitudes and values, and more easily
have identified important factors that can lead to dein- influenced by situational cues. Thus, factors that can
dividuation. Although deindividuation research has reduce self-awareness, such as alcohol, arousal, and
provided much insight into collective behavior, it has distraction, can enhance ones responsiveness to situ-
also produced some inconsistencies and unanswered ational norms. However, factors that increase self-
questions. Future research is needed to determine more awareness, such as mirrors, cameras, name tags, and
precisely the conditions under which deindividuation is bright lights, increase self-regulation, enhance the con-
likely to occur and to produce positive and negative sistency between personal attitudes and behaviors, and
consequences, as well as the specific mechanisms serve as potential remedies to deindividuation.
through which deindividuation alters the behavior of Group Identification. Reicher, Spears, and Post-
individuals. mes (1995) suggested that deindividuation occurs when
individuals shift their attention from their personal
Key Factors Contributing identity to a more social or collective identity, and
to Deindividuation therefore attend more to group norms and social norms
Research has identified a number of factors that influ- in the immediate social context than to personal
ence the occurrence and magnitude of deindividuation. norms. Consistent with this logic, a recent meta-
Group Size. As the size of the group or crowd in- analysis by Postmes and Spears (1998) found that in-
creases, so does the potential for deindividuation. Mul- dividuals behavior in deindividuation experiments ap-
len (1986) illustrated the importance of group size in pears to be influenced more by situation-specific norms
a content analysis of newspaper accounts of 60 lynch- than by general social norms. Whether changes in self-
ings committed in the United States between 1899 and identity rather than other potential sources of deindi-
1946. Mobs were more likely to engage in savagery and viduation produce these patterns is currently unclear.
commit atrocities when the size of the mob increased
relative to the number of victims.
Anonymity. A number of studies suggest that an- Bibliography
onymity plays an important role in deindividuation. For
example, Zimbardo (1969) found that women who were Diener, E. (rg80). Deindividuation: The absence of self-
clothed in oversized lab coats and hoods were more awareness and self-regulation in group members. In
willing to administer supposed electric shocks to an- P. B. Paulus (Ed.), The psychology of group influence
other person than were women who wore normal (pp. 209-242). Hillsdale. NJ: Erlbaum. Provides a re-
DEINSTITUTIONALIZATION 459

view of early research and presents the first self- The magnitude of deinstitionalization can only be
awareness theory of deindividuation. appreciated through statistics. Increasing steadily since
Diener. E., Fraser, S. C., Bearnan, A. L., & Kelem, R. T. the early I ~ O O Sthe
, resident population of state/county
(1976). Effects of deindividuating variables on stealing mental hospitals peaked in 1955 at 558,922 patients.
among Halloween trick-or-treaters.Journal of Personal-
By 1980, this figure was one-quarter of its previous
ity and Social Psychology, 33, 178-183.
high. Interestingly, the number of hospitals stayed con-
Festinger, L., Pepitone. A.. & Newcomb, T. (1952). Some
consequences of de-individuation in a group. Journal of stant during this time period; admissions rose through
Abnormal and Social Psychology, 47, 382-389. Presents 1970 and then declined. The major effect of deinstitu-
the first deindividuation experiment and offers a theo- tionalization was on the number of beds per hospital
retical treatment. and length of stay.
Johnson, R. D.. & Downing, L. L. (1979). Deindividuation The process of deinstitutionalization was driven by
and valence of cues: Effects on prosocial and antisocial a confluence of social forces-conservative and liberal.
behavior. journal of Personality and Social Psychology, 37, Operation of public mental hospitals was an economic
1532-rs38. burden borne mainly by state governments. By 1955,
Mann, I,. (1981).The baiting crowd in episodes of threat- costs were consuming politically indefensible state rev-
ened suicide. Journal of Personality and Social Psychology,
enues, for example, 38% of New York States budget
41, 703-709, An archival analysis of the role deindi-
(R. J. Isaac and V. C. Armat, Madness in the Streets, New
viduating variables may have played in a number of
cases in which onlookers verbally encouraged a person York, 1990). Exposes of deplorable conditions in state
to jump from a building or bridge. hospitals combined with this economic burden to
Mulleu, B. (1986). Atrocity as a function of lynch mob heighten state concerns.
composition: A self-attention perspective. Personality The discovery of antipsychotic medications is fre-
and Social Psychology Bulletin, r 2 , 187-197. quently cited as the major cause of deinstitutionaliza-
Postmes, T., & Spears, R. (1998). Deindividuation and an- tion. Anne Johnson in Out of Bedlam (New York, 1990)
tinormative behavior: A meta-analysis. Psychological points out, though, that adoption of neuroleptic drugs
Bulletin, 123, 238-2 59. Synthesizes 61 publications on resulted primarily from promotions by entrepreneurial
deindividuation and reviews prior theories. pharmaceutical companies, invested heavily in market-
Prentice-Dunn,S., & Rogers, R. W. (1989). Deindividuation ing strategies targeted at state legislatures to increase
and the self-regulationof behavior. In P. B. Paulus (Ed.),
hospital drug budgets. Medication-based treatments
Tkc psychology of group influence (2nd ed., pp. 86-109).
Hillsdale, NJ: Erlbaum. Presents a comprehensive self- were attractive to fiscal conservatives as they promised
attention theory of deindividuation. to reduce institutional costs.
Reicher. S., Spears, R., & Postmes, T. (199s). A social iden- Deinstitutionalization was also driven by humani-
tity model of deindividuation phenomena. In W. tarian concerns. Rights protections, initiated through
Stroebe & M. Hewstone (Eds.),European review of social civil rights cases, were extended to other disadvantaged
pyrhology (Vol. 6. pp. 161-198). Chichester, England: groups, including psychiatric patients. Gerald Grob in
Wiley. The Mad Among Us (New York, 1994) notes that mental
Watson. R. (1973). Investigation into deindividuation us- health systems were also a focus for academic sociolo-
ing a cross-cultural survey technique. Journal of Person- gists, positing deviance as a social construction en-
ality and Social Psychology, 25. 342-345.
hancing group cohesion in times of social change. The
Zimbardo. P. G. (1969). The human choice: Individuation,
function of psychiatric diagnosis was to reify and legit-
reason, and order vs. deindividuation, impulse, and
chaos. In W. J. Arnold & D. Levine (Eds.).Nebraska Sym- imate the existing social order. In this antipsychiatry
posium on Motivation (Vol. 17, pp. 237-307). Lincoln: movement, mental illness, if it existed at all. was cre-
University of Nebraska Press. Presents an influential ated by the social institutions designed to cure it. Elim-
process theory of deindividuation and explores its im- inating mental hospitals would therefore eliminate
plications for a wide range of social problems. mental illness.
Psychological theories recognizing the influence of
Steven J. Karau
parenting practices on child development and later
adult outcomes contributed to rejection of illness and
hospital treatment models. Effective interventions
DEINSTITUTIONALIZATION was intended as a pro- needed to be in vivo, social and educational in nature.
cess in which institutional psychiatric care would be The mental hygiene movement espoused the potential
reduced but improved where necessary or replaced by of early interventions with families, schools, and com-
comprehensive, community-based services encompass- munities to prevent mental illness: in the future, hos-
ing treatment, rehabilitation, and support (Government pitals would not be needed.
Accounting Office, 1977). In common understanding, In response to these social and economic concerns,
however, deinstitutionalization has simply meant re- the U.S. Congress created the Joint Commission on
ductions in the census of public mental hospitals. Mental Illness and Health. In its 1961 report, Actionfor
460 DEINSTITUTION A L I Z A T I O N

Mental Health, Congress recommended upgrading state These processes reflect states shifting their costs in
hospitals to therapeutic levels, increasing psychiatric operating mental hospitals. Transinstitutionalization
treatment in general hospitals, and developing com- shifts costs to federal government revenues, homeless-
munity mental health centers to divert persons with ness and criminalization to local governments, and
mental illness from hospitals and provide aftercare for family burden to personal or private sources. But, of
those discharged yet incompletely recovered. The Com- course, the largest effect is on quality of care. Rather
munity Mental Health Centers (CMHC) Act (1962) was than receiving appropriate attention in a hospital, pa-
the legislative response. The act and its associated reg- tients live alone, stigmatized in the community and un-
ulations, however, placed an emphasis on prevention able to obtain jobs. Such conditions can exacerbate
and included no mechanisms or funding to improve symptoms, producing the revolving door phenomenon.
conditions in state hospitals-contrary to National In- Ironically, attempts to protect rights instigated by ad-
stitutes of Mental Health assurances in congressional vocacy groups (for example, mental patient liberation
hearings. The act also ignored the states role in imple- advocates including young, public interest attorneys fo-
mentation or monitoring CMHCs. Thus, state authori- cused on eliminating civil commitments, ending un-
ties were still without legitimate means to address the necessary detention, and upholding rights to refuse
responsibility of state hospitals. treatment) may have exacerbated these negative out-
Deinstitutionalization, representing an economic and comes by limiting treatment options even further.
political mandate, nevertheless, was already proceed- Some statistics have been amassed in support of
ing. Its immediate implementation, however, was seri- these allegations. E. Fuller Torey and colleagues in
ously flawed in most locations. Community facilities Criminalizing the Seriously Mentally Ill (Washington,
were not adequate to provide appropriate care for dis- D.C., 1992) provide data on the sizeable population of
charged and/or diverted patients. CMHCs had no func- persons with mental illness in local jails. Research on
tion nor any staff with training or interest in long- homelessness indicates that about 20 to 30% of home-
term mental illness. Their focus was on prevention and less populations have experienced long-term serious
services to less seriously disturbed individuals: mental illness. However, as persuasive as the advocates
therefore, rather than diversion or step-down programs, are, none of the documentation on homelessness, fam-
less appropriate mechanisms were used to reduce state ily burden, or criminalization can establish that with-
hospital census. out a deinstitutionalization policy, these individuals
Deinstitutionalization is seen as a failed policy or a with mental illness would have been cared for ade-
failure to implement policy by most. Many unintended, quately anyway.
negative results have been attributed to deinstitution- While the short-term failures of deinstitutionaliza-
alized patients allegedly discharged before they were tion are readily visible, the long-term positive conse-
ready, transferred or discharged to inappropriate sources, quences are not often identified. Deinstitutionalization
or refused admission in order to decrease hospital util- has at least contributed to the development and expan-
ization. The burden of care for these individuals was sion of innovative organizational forms (psychiatric
consequently borne by other sectors, resulting in the rehabilitation, clubhouses, assertive community treat-
following: ment), more humanistic treatment (rights protection
guarantees). and a social movement (former-patient ad-
Hornelessness: released patients without a home and/
vocacy, self-help groups for persons with serious mental
or capabilities to care for themselves wind up living
illness, and consumer-run programs). Examples can be
on the streets or discharged to shelters:
Transinstitutionalization: older patients transferred di- found of well-planned state hospital closures, accom-
rectly from state hospitals to nursing homes (through panied by exemplary treatment that is completely com-
federal Medicaid funding), where care is inadequate munity-based (Northampton State Hospital in Massa-
for serious psychiatric problems: others sent to board chusetts). Long-term data on mental health service
and care homes, funded through Supplemental Se- utilization (from 1970 to 1986) does resemble more the
curity Income: comprehensive definition of deinstitutionalization. Only
Crirninalization: unable to receive treatment through 24% of episodes are inpatient (compared to 77% in
hospitals when needed, individuals with mental ill- 1986): the number and size of public mental hospitals
ness engage in bizarre behaviors and/or illegal acts and additions to their census have decreased: and the
necessary for survival (for example, loitering, stealing resident population has been reduced by another two-
food, breaking or entering to obtain shelter, and so
thirds. Finally, despite allegations of poor andlor unsafe
forth). Their resulting treatment is jail:
Family burden: families that still have connections to community treatment, consumer preferences are al-
ill relatives have no choice but to care for them or most uniformly in favor of community residence rather
turn them out on the street. This increases the fam- than hospitalization (see Davidson et al., The experi-
ilys own stress and economic vulnerability, since it ences of long-stay patients returning to the community,
usually receives no assistance from public authorities. Psychiatry, 58. 122-132, 1995).
DEINSTITUTIONALIZATION 461

While deinstitutionalization presents a complicated tionalization and/or privatization must include a focus
story of causes and effects, it also contains many les- on these patient groups.
sons to learn. Deinstitutionalization was not a policy; Grob, G. N. (1991). From hospital to community: Mental
despite its significance, it just happened. Probably be- health policy in modern America. Psychiatric Quarterly,
62 (3), 187-212. A succinct summary of Grobs thesis
cause of extreme polemics, planning was totally inad-
presented more fully in his book, From Asyliim to Com-
equate, driven by dogma and self-interest rather than
munity: Mental Health Policy in Modern America (Prince-
patient concerns. Policy implementation did not match ton, 1991). The article reviews the fundamental
policy intent, but there were no checks or balances to changes in mental health policy in the United States
monitor this. Local programs needed oversight to as- from World War I1 through the 1970s. The legitimacy
sure policy congruence, but federal authorities could of institutional care was undermined by individuals
not do this; involvement of states or local constituen- and groups committed to an environmentalist psycho-
cies was needed. Furthermore, for meaningful change, dynamic and psychoanalytic psychiatry and to com-
all components of a system must be prepared to munity-oriented programs. The consequences of the
change-which requires adequate funding upfront and policy changes during these decades, however, differed
a long time frame. Most of all, deinstitutionalization in significant respects from the goals and intentions of
those who favored innovation.
needed an integrated and meaningful federal policy on
Kiesler, C. A., & Sibulkin, A. E. (1987). Mental hospitaliza-
treatment of mental illness.
tion: Myths and facts about a national crisis. Newbury
Deinstitutionalization is still underway with down- Park, CA: Sage. The authors present a reanalysis of
sizing and state hospital closures. As of 1995,the num- national data on inpatient psychiatric utilization and
ber of resident patients in state and county mental hos- expenditures. They analyze the overall system of men-
pitals was 69,177: 12.4% of the 1955 peak and 20% of tal health hospitalization and other institutional sub-
the 1970 census. The need for national policy and so- stitutions, e.g., nursing homes, as well as the changing
cial science involvement in deinstitutionalization still patterns of utilization and care. The book also reviews
exists. national policies concerning mental health treatment
and establishes the argument that mental health policy
in the United States is de facto rather than de jure.
Bibliography Lewis, D. A.. Shadish, W. R.. & Lurigio, A. J. (1989). Poli-
cies of inclusion and the mentally ill: Long-term care
Bachrach, I,. T,. (1996). The state of the state mental hos- in a new environment. Journal of Social Issues, 45 (3),
pital in 1996. Psychiatric Services, 47 (10).1071-1078. 173-186. Inclusionary policies refer to the fact that de-
Updates the authors 1976 monograph on deinstitu- institutionalization, and all the policy changes associ-
tionalization. Reviewing and integrating available data, ated with it, resulted in the forcible inclusion back into
the author concludes that individual state mental hos- society of patients formerly excluded by institutional
pitals vary in the composition of their resident popu- placement. This compelled both society and the patient
lations, the content of their services, and the overall to change in profound but often unpredicted ways. This
quality of care. Although superseded by community- conceptualization can explain and unite many phe-
based service structures in some places, they continue nomena associated with deinstitutionalization, for ex-
to occupy a critical place in systems of care. ample. how its problems resemble those of racial de-
Center for Mental Health Services. Mental Health. United segregation, why it results in increasing differentiation
States. 1996. R. W. Manderscheid & M. A. Sonnen- of types of patients, and how it turned what had for-
schein (Eds.). DHHS Pub. No. (SMA)g6-3098. Wash- merly been a mental health problem into a broader wel-
ington, DC: Supt. of Docs., U.S. Govt. Print. Office. This fare problem. Future research topics implied by this
seventh edition of this document presents mental conceptualization are suggested.
health epidemiological data for adults and children, Okin, R. L. (1995). Testing the limits of deinstitutionaliza-
data on mental health service utilization and staffing, tion. Psychiatric Services, 46 (6). 569-574. Reports on
information on geographical distribution of mental the distribution and funding of services in western
health services, and chapters on managed behavioral Massachusetts, where a comprehensive community-
health care, as well as mental health in MedicaidIMed- based mental health system was established to replace
icare. entirely Northampton State Hospital. Data indicate very
Fisher, W. H., Simon, L., Geller, J. L., Penk, W. E., Irvin, low utilization of inpatient services and/or nursing
E. A., & White, C. S. (1996). Case mix in the downsiz- homes. Total expenditures were similar to the rest of
ing state hospital. Psychiatric Services, 47 (3), 255-262. the state but reflected higher per capita spending on
Examined trends in case mix over a fourteen-year- residential, emergency services, and case management.
period at two Massachusetts state hospitals, differing in The author concludes that under certain conditions,
levels of community-based services. The authors con- state hospitals can be completely replaced.
clude that while alternative treatment settings allow di- Steadman, H. J., Morris, S. M., & Dennis, D. L. (1995). The
version of many types of patients, some patient sub- diversion of mentally ill persons from jails to commu-
groups have not been diverted, e.g., recidivists and nity-based services: A profile of programs. American
patients who are behavioral risks. Further deinstitu- Journal of Public Health, 85 (12).1630-1635. In a na-
462 DELBOEUF, JOSEPH-REMI-LEOPOLD

tional mail survey to all U.S. jails with a rated capacity Although viewed by Fechner himself as an opponent
of j o or more (resulting in a sample of 1,106), slightly of his beliefs, Delboeuf was actually one of his least
more than a third indicated they had a formal diversion virulent critics and the only psychologist of the era to
program for mentally ill offenders. Eighteen of these have adopted a logarithmic law.
were selected for on-site interviews. Programs were cat-
In his later career Delboeuf gradually devoted more
egorized and key factors found among the most effective
were identified. of his time to research on a variety of subjects includ-
Witkin, M. J., Atay, J., & Manderscheid, R. W. (1996). ing philology, philosophy, biology, and above all at the
Trends in state and county mental hospitals in the end of his life, hypnotism, a subject he had been inter-
U.S. from 1970-1992. Psychiatric Services, 47 ( IO), ested in since 1850. It was in the context of a book he
1079-1081. Documents changes in state mental hos- published in 188j on sleep and dreams in connection
pitals from 1970 to 1992 in four areas: the number with memory that he decided to study hypnotism. He
of hospitals, the average daily census, expenditures, visited the famous hypnosis researcher Jean Charcot in
and the number of staff. The authors conclude that 1885 in order to verify a phenomenon widely accepted
state hospitals will continue to reduce their popula- at the time: the total loss of memory after hypnosis for
tions, although at a slower rate than in the past, and events that took place during hypnosis. For Delboeuf,
will continue to care for individuals due to involun-
this memory loss was not a characteristic of the hyp-
tary admissions or lacking alternative living arrange-
ments. notic state and he cleverly showed that memories cre-
ated under hypnosis can, in fact, be evoked. On his re-
Carol T. Mowbrag and David l? Morley turn home he practiced hypnotism and published a
book on the Salpctriere school showing that many of
the regularly observed characteristics of hypnosis really
were due to influences unconsciously transmitted. Del-
DELBOEUF, JOSEPH-P MI-LEOPOLD (1831-1896), boeufs major conclusion about the role of suggestion
Belgian psychologist. Joseph-Remi-LCopold Delboeuf was also consistent with many of the early observa-
can be considered as the first significant Belgian psy- tions made at Nancy by investigators such as Liebault,
chologist. He earned a doctorate in philosophy in Bernheim, and Liegeois. Delboeufs ideas are now con-
1855 and in physical and mathematical science in sidered as precursors of modern ideas on both hypno-
1857 from the University of Liege. After working in tism and clinical psychology.
the area of geometry and logic, he was named profes-
sor of Philosophy at the University of Ghent (1863-
1866). As a philosopher and a mathematician, he Bibliography
naturally took an interest in then current scientific
work in psychology and more specifically in percep- Duyckaerts, F. (1992). Joseph Delboeuf: Philosophe et hyp-
notiseur uoseph DelboeuE Philosopher and hypnotist].
tion and psychophysics.
Paris: Delagrange.
An encounter with the physicist Joseph Plateau ap- Nicolas, S. (Iqqja). On the concept of memory in the
parently oriented Delboeuf toward the question of op- works of Joseph Delboeuf. Psychologica Belgica, 35, 45-
tical illusions. He advanced the concept of muscular 60.
strength in order to put forward a theory applicable to Nicolas, S. (199 jb). Joseph Delboeuf on visual illusions: A
all optical illusions (changes in muscular sensations en- historical sketch. The American Journal of Psychology,
able us to judge differences in extent). He tested his 108,563-574.
theory empirically in 1865 on a new optical illusion Nicolas, S., Murray, D. J., & Farahmand. B. (1997).The
known now as Delboeuf concentric circles, which psychophysics of J. R. L. Delboeuf. Perception, 26, 1237-
consists in a change in the perceived size of one circle 1315.
in the presence of a circle of a different size. Wolf, T. H. (1964). Alfred Binet: A time of crisis. American
Psychologist, 19. 761-762. Describes Delboeufs visit to
The first experimental researches by Delboeuf in the
Charcots hypnosis laboratory.
domain of psychophysics were executed at the Univer-
sity of Ghent between 1865 and 1866 before he was Serge Nicolas
nominated to the University of Liege as a philologist.
These studies led him to compile two important mem-
oirs and several articles where, with considerable orig-
inality, he defended the famous Fechners logarithmic DELGADO, HONORIO (1892-1969), Peruvian psy-
law relating sensation strength to stimulus strength. chiatrist and philosopher. Born in Arequipa, the sec-
His work in this area is characterized on the one hand ond largest city in Peru, Delgado studied medicine at
by an amendment to Fechners formula and on the San Marcos University in Lima where he became a
other hand by the utilization of a psychophysical tech- disciple of psychiatric pioneer Hermilio Valdizan
nique based on brightness contrast (bisection method). (1884-1929). In I q r j , while still in medical school,
DELINQUENCY 463

Delgado published an article in the newspaper El Bibliography


Comercio (Lima) entitled El psicoanalisis, one of the
first articles written in Spanish about psychoanalysis. Alarcon, R. (1968). Panorama de la psicologia en el Peru [An
In 1918 Delgado earned his medical degree and wrote overview of psychology in Peru]. Lima: Universidad Na-
cional Mayor de San Marcos.
a dissertation with the same title. During that same
Alarcon, R., & Leon, R. (Eds.). (1996). Tiempo, sabiduria y
year, Valdizan and Delgado founded the Revista de Psi- plenitud. Estudios sobre la vida y obra de Honorio Delgado
quatriu y Disciplinas Conexas (Review of Psychiatry [Time, wisdom, and completion. Studies on the life and
and Related Disciplines). Until 1930, Delgado dedi- work of Honorio Delgado]. Lima: Universidad Peruana
cated much effort to the dissemination of Freudian Cayetano Heredia.
theory in Latin America. During a trip to Europe in Leon, R., & Zambrano, A. (1992). Honorio Delgado: Un pi-
1922, Delgado met Freud, as well as Adler. Freud onero de la psicologia en Amdrica Latina [Honorio Del-
(History of Psychoanalytic Movement, 2nd ed.) de- gado: A pioneer in psychology in Latin America]. Re-
scribed Delgado as an important representative of vista Latinoamericana de Psicologia, 24, 401-423,
psychoanalysis in the Spanish-speaking world, and Mariategui, J. (1989). La psiquiatria en el Peru [Psychiatry
the Revista as the regional publication of his move- in Peru]. In J. Mariategui (Ed.), La psiquiatria en America
Latina (pp. 163-182). Buenos Aires: El Ateneo.
ment.
After r 930, Delgado gradually grew more and more RamBn Lebn
disassociated from psychoanalysis, finally becoming one
of its most bitter critics in Spanish-speaking psychiatry.
Instead, he developed a keen interest in German, phil-
osophically oriented psychologies, especially those of DELINQUENCY refers to the commission of acts pro-
Karl Jaspers (1883-1969) and Nicolai Hartmann hibited by the criminal law, such as theft, burglary, rob-
(1882-1950). Delgado viewed psychology as a Geistes- bery, violence, vandalism, and drug use, by persons
wissenschuft (a social or cultural science, as opposed to aged under 18. The minimum age for delinquency var-
a natural science), and tried to demonstrate the impor- ies in different places but is rarely less than seven.
tance of Hartmanns ideas for psychopathology. His There are many problems in using legal definitions of
critical attitude toward psychoanalysis grew increas- delinquency. The boundary between what is legal and
ingly apparent when he became chair of psychiatry at what is illegal may be poorly defined and subjective, as
San Marcos University after Valdizansdeath. Delgados when school bullying gradually escalates into criminal
papers and books diminished the diffusion of psycho- violence. Legal categories may be so wide that they in-
analysis in Peru. clude acts that are behaviorally quite different, as when
Delgado was active in a number of academic socie- robbery ranges from armed bank robberies carried out
ties, and in 1938 joined J. Oscar Trelles (1904-1990) in by gangs of masked men to thefts of small amounts of
founding the Revista de Neuropsiquiatria (Review of money perpetrated by one school child on another. Le-
Neuropsychiatry). He also served as psychiatrist at Vic- gal definitions rely on the concept of intent, which is
tor Larco Herrera Hospital, an institution devoted to the difficult to measure, rather than the behavioral criteria
treatment of psychiatric patients. He was appointed preferred by psychologists. Also, legal definitions
Minister of Education (1948), Dean of the San Marcos change over time: however, their main advantage is
University Faculty of Medicine (1961), and was the first that because they have been adopted by most delin-
rector (r962-1966) of the University of Medical and quency researchers, their use makes it possible to com-
Biological Sciences (the current name of the university pare and summarize results obtained in different pro-
is Cayetano Heredia University), which he helped to jects.
found. Delinquency is commonly measured using either of-
Delgado was a prolific author. Among his most im- ficial records of arrests/convictions or self-reports of of-
portant books are Sigmund Freud (Lima, 1926), Psicol- fending. The advantages and disadvantages of official
ogm (with M. Iberico: Lima, 1933), La formacidn espiri- records and self-reports are to some extent complemen-
tuul del individuo (The spiritual formation of the tary. In general, official records include the worst of-
individual: Lima, I933), La personalidad y el c a r d e r fenders and the worst offenses, while self-reports in-
(Personality and character: Lima, 1943), Curso de psi- clude more of the normal range of delinquent activity.
quiatria (The textbook of psychiatry: Lima, 1953); En- The worst offenders may be missing from samples in-
juiciamiento de la medicina psicosornutica (Critical evalu- terviewed in self-report studies. Self-reports have the
ation of psychosomatic medicine: Barcelona, 1960), De advantage of including undetected offenses but the dis-
la culturu y sus artfices (Of culture and its artifices: Ma- advantages of concealment and forgetting. By normally
drid. 196r), and Contribuciones a la psicologia y a la psi- accepted psychometric criteria of validity, self-reports of
copatologia (Contributions to psychology and psycho- offending are valid. Fortunately, the worst offenders ac-
pathology: Lima, 1962). cording to self-reports (taking account of frequency
464 DELINQUENCY

and seriousness) tend also to be the worst offenders commit different types of crimes almost at random dur-
according to official records, and the predictors and ing their criminal careers. As demonstrated in the Cam-
correlates of official and self-reported delinquency are bridge study, delinquents disproportionally tend to com-
generally very similar. mit many other types of deviant acts, including heavy
drinking, substance use, drunk driving, heavy smoking,
Epidemiology heavy gambling, and promiscuous sexual behavior.
The most useful information about epidemiology and Generally, there is significant continuity between de-
risk factors for delinquency is obtained in prospective linquency in one age range and delinquency in another.
longitudinal surveys of delinquency based on large In the Cambridge study, 73% of those convicted as ju-
community samples. For example, over 400 South Lon- veniles were reconvicted as young adults, and there was
don boys were followed up from age 8 to age 40 in the continuity for self-reported offending and for antisocial
Cambridge Study in Delinquency Development, and behavior in general. An early age of onset of juvenile
over 1,500 Pittsburgh boys were followed up from ages offending predicts a large number of juvenile offenses
7 to 25 in the Pittsburgh Youth Study. and a high probability of persisting into an adult crim-
Most research concerns males, because the preva- inal career.
lence of delinquency is greater for males than for fe-
males. About three times as many boys as girls are Risk Factors
arrested in the United States for the more serious in- Literally, thousands of factors differentiate significantly
dex crimes, and about six times as many boys as girls between official delinquents and nondelinquents and
are arrested for violent index crimes (murder, rape, rob- correlate significantly with self-reports of delinquency.
bery, and aggravated assault). There are also ethnic/ The major problem is to establish which risk factors
racial disproportionalities in arrest rates. Over five times have causal effects. There are many biological, individ-
as many African American juveniles as Caucasian ju- ual, family, peer, school, and community risk factors for
veniles per capita in the United States are arrested for delinquency, only a few of which can be mentioned
violent index crimes. The gender and ethnichacia1 dis- here.
proportionalities are generally lower in self-reports than Hyperactivity and impulsivity are among the most
in official records. important personality or individual difference factors
Even according to official records, the cumulative that predict later delinquency. Related concepts include
prevalence of delinquency is high. In a Philadelphia poor attention, a poor ability to defer gratification, and
follow-up study of over 27,000 children born in 1958, a short future-time perspective. The most extensive re-
Paul Tracy reported that the prevalence of juvenile ar- search on different measures of impulsivity was carried
rests for nontraffic offenses was 42% of African Amer- out by Jennifer White in the Pittsburgh Youth Study.
ican males, 23% of Caucasian males, 19% of African This showed that cognitive or verbal impulsivity (for
American females and 9% of Caucasian females. Ac- example, acts without thinking, unable to defer grati-
cording to self-reports, most juveniles commit delin- fication) was more strongly related to delinquency than
quent acts. David Huizinga, in a longitudinal study of was behavioral impulsivity (for example, clumsiness in
over 1,500 Denver children, found that 94% of boys psychomotor tests).
and 90% of girls reported that they had committed a Low IQ and low school attainment are important
delinquent offense before age 18. In the large-scale predictors of delinquency. In a prospective longitudinal
Denver, Pittsburgh, and Rochester studies, almost half survey of about 120 Stockholm males, Hakan Stattin
of 17-year-old boys admitted committing at least one found that low IQ measured at age 3 significantly pre-
street crime (such as burglary, serious theft, robbery, dicted officially recorded offending up to age 30. Fre-
and aggravated assault) in the previous year. quent offenders (with four or more offenses) had an
While the overall prevalence of delinquency is high, average IQ of 88 at age 3. whereas nonoffenders had
especially in the inner-city samples that are commonly an average IQ of 101. Similarly, Paul Lipsitt reported
studied, a small fraction of the population (the chronic that low IQ at age 4 predicted court delinquency up to
offenders) accounts for a large fraction of all serious age 17 in the Collaborative Perinatal Project. Delin-
delinquencies. In the 1958 Philadelphia birth cohort quents often do better on nonverbal performance IQ
study, 7% of the males accounted for 61% of all the tests, such as object assembly and block design, than
offenses. Terrie Moffitt of London University has sug- on verbal IQ tests. This is concordant with other re-
gested that it is important to distinguish between the search suggesting that they find it easier to deal with
more committed life-course-persistent offenders and concrete objects than with abstract concepts.
the less committed adolescence-limitedoffenders. The classic longitudinal studies by Joan McCord in
Generally, delinquents are versatile rather than spe- Boston and Lee Robins in St. Louis show that poor pa-
cialized in their offending. Most juveniles who commit rental supervision, harsh discipline, and a rejecting pa-
violent crimes are persistent offenders who appear to rental attitude are all important predictors of delin-
DELINQUENCY 465

quency. In the Cambridge study, the presence of any of vention, that is, interventions designed to prevent the
these family background features at age 8 doubled the development of delinquency potential in individuals,
risk of a later juvenile conviction. Also, there seems to targeting risk and protective factors discovered in stud-
be significant intergenerational transmission of violent ies of human development. Developmental prevention
behavior from parents to children, as Cathy Widom can be demonstrated most convincingly in randomized
found in a follow-up of over 900 abused and about 700 experiments with reasonably large samples. Only the
control children in Indianapolis. Children who were most significant experiments can be mentioned here.
physically abused up to age 11 were significantly likely Delinquency can be prevented by intensive home
to become violent offenders in the next 15 years. visiting programs. In New York State, David Olds ran-
Many studies show that broken homes or disrupted domly allocated 400 mothers either to receive home
families predict delinquency. In a follow-up of 1.000 visits from nurses during pregnancy, or to receive visits
children born in Newcastle-upon-Tyne, England, Israel both during pregnancy and during the first two years
Kolvin reported that marital disruption (divorce or sep- of life, or to a control group who received no visits. The
aration) in a boys first 5 years predicted his later con- home visitors gave advice about prenatal and postnatal
victions up to age 32. Similarly, in a follow-up of over care of the child, about infant development, and about
1,000 children born in Dunedin, New Zealand, Bill the importance of proper nutrition and avoiding smok-
Henry found that children who were exposed to paren- ing and drinking during pregnancy. The results showed
tal discord and many changes of the primary caretaker that, especially among socioeconomically deprived
tended to become antisocial and delinquent. Generally, mothers, home visits caused a decrease in child physi-
boys from homes broken by death are not particularly cal abuse, in the mothers offending, and in the childs
likely to be delinquent, in contrast to boys from homes delinquency.
broken by divorce or separation due to disharmony. One of the most successful early prevention pro-
Joan McCords research showed that boys reared in sin- grams has been the Perry preschool project carried out
gle-parent families with affectionate mothers were less in Michigan by Lawrence Schweinhart. This was essen-
likely to become delinquent than those reared in two- tially a Head Start program targeted on disadvan-
parent homes characterized by parental conflict, sug- taged African American children. The experimental
gesting that the quality of family relationships was children attended a daily preschool program, backed up
more important than the number of parents. by weekly home visits, usually lasting two years (cov-
Criminal parents tend to have delinquent children. ering ages 3 to 4). The aim of the plan-do-review
In the Cambridge study, the concentration of offending program was to provide intellectual stimulation, to in-
in a small number of families was remarkable. Less crease thinking and reasoning abilities, and to increase
than 6% of the families were responsible for half of the later school achievement. This program led to decreases
criminal convictions of all members (fathers, mothers, in school failure. delinquency, and other undesirable
sons, and daughters) of all 400 families. Having a con- outcomes. For every one dollar spent on the program,
victed mother, father, brother, or sister significantly pre- seven dollars were saved in the long term.
dicted a boys own convictions. Furthermore, convicted Behavioral parent management training, as devel-
parents and delinquent siblings were related to a boys oped by Gerald Patterson in Oregon, is also an effective
self-reported as well as official offending. technique. Pattersons careful observations of parent-
Large family size is another important predictor of child interaction showed that parents of antisocial chil-
delinquency. In the British National Survey of over dren were deficient in their methods of child rearing.
5,000 children, Michael Wadsworth found that the per- They failed to tell their children how they were ex-
centage of boys who were officially delinquent in- pected to behave, failed to monitor their behavior to
creased from 9% in families containing one child to ensure that it was desirable, and failed to enforce rules
24% in families containing four or more children. Large promptly and unambiguously with appropriate rewards
family size, together with hyperactivity, impulsivity,low and penalties. The parents of antisocial children used
school attainment, poor parental supervision, parental more punishment (such as scolding, shouting, or
conflict. an antisocial parent, a young mother, a broken threatening) but failed to make it contingent on the
family, and low family income, all proved to be replic- childs behavior. Patterson trained these parents in ef-
able predictors of delinquency in England in the 1960s fective child-rearing methods, namely noticing what a
(in the Cambridge study) and in the United States in child is doing, monitoring behavior over long periods,
the 1990s (in the Pittsburgh Youth Study). clearly stating house rules, making rewards and pun-
ishments contingent on behavior, and negotiating dis-
Interventions agreements so that conflicts and crises did not escalate.
The major methods of reducing delinquency involve de- His treatment was shown to be effective in reducing
velopmental, community, situational, and criminal jus- child stealing and antisocial behavior over short periods
tice prevention. The focus here is on developmental pre- in small-scale studies.
466 DELINQUENCY

The set of techniques variously termed cognitive- Them Being Good. Their teachers were trained in
behavioral interpersonal social skills training have also classroom management, for example, to provide clear
proved to be quite successful. The Reasoning and Re- instructions and expectations to children, to reward
habilitation program developed by Robert Ross in Ot- children for participation in desired behavior, and to
tawa, Canada, aimed to modify the impulsive, egocen- teach children prosocial (socially desirable) methods of
tric thinking of delinquents, to teach them to stop and solving problems. This program was effective in reduc-
think before acting, to consider the consequences of ing violent delinquency and heavy drinking up to age
their behavior, to conceptualize alternative ways of eighteen.
solving interpersonal problems, and to consider the im- Much has been learned from longitudinal studies
pact of their behavior on other people, especially their about development and risk factors, and much has been
victims. It included social skills training, critical think- learned from randomized experiments about effective
ing (to teach logical reasoning), values education (to interventions. More efforts are needed in future to co-
teach values and concern for others), assertiveness ordinate longitudinal and experimental studies to ad-
training (to teach nonaggressive, socially appropriate vance knowledge about causal influences and to ensure
ways to obtain desired outcomes), negotiation skills that the interventions are solidly grounded in theory
training, interpersonal cognitive problem solving (to and empirical knowledge.
teach thinking skills for solving interpersonal prob- [See also Gangs.]
lems), social perspective training (to teach how to rec-
ognize and understand other peoples feelings), role-
playing and modeling (demonstration and practice of Bibliography
effective and acceptable interpersonal behavior). This
program led to a large decrease in reoffending in a Farrington, D. P. (1996). The explanation and prevention
small sample of delinquents. of youthful offending. In J. D. Hawkins (Ed.), Delin-
Multimodal programs including both skills training quency and crime: Current theories (pp. 68-148). Cam-
and parent training are likely to be more effective than bridge: Cambridge University Press. Reviews knowledge
either alone. An important multimodal program was about continuity and versatility in delinquency careers,
risk factors for delinquency, and experimental interven-
implemented by Richard Tremblay in Montreal. He
tions to reduce delinquency.
identied about 250 disruptive (aggressive/hyperactive)
,oeber, R., & Farrington, D. P. (Eds.). (1998). Serious and
boys at age 6 for a prevention experiment. Between violent juvenile offenders: Risk factors and successful inter-
ages 7 and g, the experimental group received training ventions. Thousand Oaks, CA: Sage. Contains detailed
to foster social skills and self-control. Coaching, peer chapters about delinquency development, risk factors,
modeling, role playing, and reinforcement contingen- and interventions, with special emphasis on serious and
cies were used in small group sessions on such topics violent delinquency.
as how to help, what to do when you are angry, ,oeber, R., Farrington, D. P., Stouthamer-Loeber,M., &Van
and how to react to teasing. Also, the parents of the Kammen, W. B. (1998). Antisocial behavior and mental
boys were trained using Pattersons techniques. This health problems: Explanatory factors in childhood and ad-
prevention program was quite successful. By age 12, olescence. Mahwah, NJ: Erlbaum. Describes the Pitts-
burgh Youth Study and focuses especially on a wide
the experimental boys committed less burglary and
range of risk factors and comorbid conditions.
theft, were less likely to get drunk, and were less likely McCord, J., & Tremblay, R. E. (Eds.). (1992). Preventing an-
to be involved in fights than those in the control group. tisocial behavior: Interventions from birth through adoles-
At every age from 10to 15, the experimental boys had cence. New York: Guilford Press. Contains chapters on
lower self-reported delinquency scores than the control prevention experiments by leading researchers.
boys. Raine. A. (1993). The psychopathology of crime: Criminal be-
An important school-based prevention experiment havior as a clinical disorder. San Diego: Academic Press.
was carried out in Seattle by David Hawkins. This com- A wide-ranging text including extensive reviews of bi-
bined parent training, teacher training, and skills train- ological factors in offending.
ing. About 500 first grade children (aged 6) were ran- Rutter, M.. Giller, H., & Hagell, A. (1998).Antisocial behav-
domly assigned to experimental or control classes. The ior by young people. Cambridge: Cambridge University
Press. A wide-ranging text, including reviews of risk/
children in the experimental classes received special
protective factors, gender differences, and prevention.
treatment at home and school, which was designed to Snyder, H. & Sickmund, M. (1995).Juvenile offenders and
increase their attachment to their parent and their victims: A national report. Washington, DC: Office of Ju-
bonding to the school, on the assumption that delin- venile Justice and Delinquency Prevention. Provides ba-
quency was inhibited by the strength of social bonds. sic statistical information about juvenile delinquency in
Their parents were trained to notice and reinforce so- the United States, including types of offenses and dem-
cially desirable behavior in a program called Catch ographic characteristics of delinquents.
DELUSIONS 467

Stoff, D. M., Breiling, J., & Maser, J. D. (Eds.). (1997).Hand- individual. Thus, patients may have delusions that peo-
book of antisocial behavior. New York: Wiley. Contains ple are following them, or people are trying to influence
many chapters on development, biology, and preven- them, but one rarely finds patients, for example, who
tion. have delusions about isolated window shades, or about
Thornberry, T. P. (Ed.). (1997). Developmental theories of railroad trains, without any reference to the patient or
crime and delinquency. New Brunswick, NJ: Transaction.
his concerns.
Contains chapters by leading scholars reviewing devel-
opmental theories of delinquency. Kenneth Kendler and colleagues in their article Di-
mensions of Delusional Experience (1983), delineated
David I! Farrington five different dimensions of delusionality: ( I ) convic-
tion, ( 2 ) the degree of certainty by which the belief is
maintained, (2) extension, the degree of the patients
life experience that is absorbed by the belief. ( 3 ) bizarre-
DELUSIONAL DISORDER. See Paranoid Disorder and ness, the degree of improbability of the belief, (4) dis-
Delusional Disorder. organization, the degree of coherence of the belief, and
(5) pressure, the degree of urgency to action arising
from the delusion. Other investigators also have ana-
lyzed delusions by studying separate dimensions of de-
DELUSIONS have the essential feature of being reality lusions (Garety & Hemsley, 1944; Harrow, Rattenbury.
distortions or unrealistic ideas or beliefs. A delusion can & Stoll, 1988).
be defined as an improbable, often highly personal, idea
or belief system, not endorsed by ones culture or sub- Prevalence and Incidence
culture. This idea or belief is held with a high degree Delusions have come to represent one of the most im-
of conviction despite the availability of more probable portant defining factors in classification systems of di-
or more coherent hypotheses and is often maintained agnostic categories. Some researchers believe that de-
in the face of direct evidence to the contrary (Altman lusions may be the most important symptom of
& Jobe, r9y2). As can be seen from three clinical cases, schizophrenia.
delusions can range from the simple and disorganized The overall incidence and prevalence of delusions is
to the highly complex and precisely reasoned: dependent upon the type of disorder, or the diagnostic
A 24-year-old male salesman, with a diagnosis of de- group in which the patient belongs. For example, the
lusional disorder, reported that I am being followed percent of schizophrenia patients with delusions at the
by the C.I.A. and I know they are after me. acute phase of hospitalization is approximately 80%
A rh-year-old female patient with bipolar disorder re- while the percent of bipolar manic patients with delu-
cently admitted for an acute manic episode reported sions at the acute phase is over 60%.
that my right ear can receive messages from outer The question of the prevalence and incidence of de-
space, which helps direct my mission here on earth. lusions raises the issue concerning whether delusions
A 38-eight-year-old male patient with a diagnosis of are a traitlike feature or just a one-time aberration in
schizophrenia, reported that the bison overpower which the patient has at one period in his life a series
buffalo with tyromean ultraforce for world domina-
of pathological beliefs. Longitudinal evidence suggests
tion.
that delusions tend to recur for both schizophrenics and
Some available data suggest that rather than a pa- for other psychotic disorders as well (Harrow, MacDon-
tient being exclusively delusional or nondelusional, ald. Sands, & Silverstein, 1995). Thus, for most schi-
there are gradations, and the extent of delusional belief zophrenics and many psychotic affectively disordered
may fit on a continuum with normal beliefs. This phe- patients, delusions are not a one-time aberration but
nomena, called double awareness, represents an in- recur over time and appear to represent a traitlike fea-
between state (Sachs, Carpenter, & Strauss, 1974). ture.

Classification and Reliability and Validity Treatment of Delusions


There are countless ways to classify pathological beliefs, For schizophrenia and delusional disorder, neuroleptic
such as delusions. A large number of pathological be- agents that block dopamine, and specifically the D2 re-
liefs are ( I ) persecutory/paranoid, ( 2 ) delusions of ref- ceptor. have been effective, particularly in treating
erence, ( 3 ) grandiose delusions, (4) nihilistic delusions, acute delusions. Clozaril and other atypical neurolep-
(5) delusions of influence, (6) somatic delusions, and tics, which block both dopamine and serotonin 5HT-2
(7) delusions of metamorphosis. All of these types usu- receptors, have also been effective in treating delusions
ally relate directly to the person having the delusion as well as other features known as negative symptoms.
and are personally relevant to the life history of that In general, treatment with neuroleptics is not diagnosis
468 DELUSIONS

specific; rather, treatment with neuroleptics is specific come real, vital, and intense to the patient. After an
to certain symptom groupings, which include delu- individual becomes delusional, the delusions often be-
sions. Thus, the treatment of delusions cuts across di- come mixed up, and their origin becomes difficult to
agnosis and is not specific to a single diagnostic group. recognize.
Persistent or chronic delusions are impacted by medi- Other unknown factors are also involved in the gen-
cations, but less so than acute delusions. eration and maintenance of delusions, since both dis-
turbed and normal people have motives/goals that in-
Theories of Delusions fluence their perception. However, only select people are
The study of delusions has prompted more theories vulnerable to major reality distortions and delusions
than hard data. The theories include psychoanalytic over a sustained period of time. We still do not under-
views of repressed impulses in paranoid delusions, al- stand the biological factors involved in the generation,
teration of the view of ones self-structure, effects of control, and regulation of aberrant thoughts and be-
personality characteristics, existential factors, learning liefs. It may be that amygdaloid influences on frontal-
deficits, management of hostility, effects of social hu- temporal ideas, beliefs, and thinking become stronger,
miliation, effects of abnormal reasoning, effects of ab- or there may be weakened frontal inhibition, or disin-
normal perceptions, and effects of cognitive styles. hibition, with poorer cognitive monitoring.
From among these views, many promising theories This explanation, however, cannot completely ex-
about the genesis of delusions have arisen (Bentall, Kin- plain why many normal people who regularly jump to
derman, & Kaney, 1994; Butler & Braff, 1991; Garety & conclusions do not become delusional. Research (Har-
Hemsley, 1994; Oltmanns & Maher, 1988). row et al., 1988, 1989) suggests that faulty self-
The perceptual deficit theory of delusions proposes monitoring is involved in delusion formation. Faulty
that abnormal perception leads to the formation of de- self-monitoring, that is based on ineffective use of
lusions to explain how these perceptions occurred. stored knowledge (stored in long-term memory) about
Using this scheme, delusions could evolve out of ab- what types of ideas are socially appropriate may be an
normal perceptions that then lead to reasonable ex- important component of almost all psychotic symp-
planations of how such perceptions came about. This toms, including delusions, although other unknown
may be the genesis of delusional beliefs for select pa- factors are also involved.
tients, however, it is rare. Empirical assessments of this Manfred Spitzer, partly modifying a theory by Ralph
view have produced mixed results (Garety & Hemsley, Hoffman (1987), emphasizes the importance of self-
1994). On the other hand, a more promising lead for organizing neural networks. This type of network has
understanding delusions is in terms of the misinterpre- a local learning rule that changes the strengths of con-
tation of normal perception, which is due to back- nections between neural elements without the need for
ground motives/goals and associated emotions. In other an instructor and provides a more brain-related model
words, the interpretation or perception of the environ- of delusions (Spitzer, 1995).
ment is influenced by ones background motives/goals/ Overall, many aspects of delusions are still poorly
plans (Lazarus, 1991) and associated concerns and understood. More empirical research is needed regard-
needs (Harrow et al., 1988).The ideas or beliefs that ing the formation and persistence of delusions and the
result are generated from these background motives/ relationship between delusions and other forms of psy-
goals and associated emotions as a guiding force for chopathology such as thought disorder and hallucina-
interpretation. tions (for example, most sustained hallucinations in-
Data suggest delusions are not primarily logical er- clude some delusional beliefs). New techniques such as
rors but are derived from emotional material. Under brain imaging may play a role in helping to provide
high cognitive arousal, memories from the patients af- additional insight.
fective past, and wishes and preoccupations from cur-
rent affective life, thrust themselves into, or are inter-
mingled with the persons ongoing thinking (Harrow, Bibliography
Lanin-Kettering, Prosen, & Miller, 1983). The intermin-
gling becomes more prominent in a state of high ten- Altman, E., & Jobe, T. H. (1992). Phenomenology of psy-
chosis. Current Opinion in Psychiatry, 5: 33-37.
sion and heightened cognitive arousal, when cognitive
Bentall, R. F!, Kinderman, P., & Kaney, S. (1994). The Self,
disruption occurs. Under such circumstances, the guid- attributional processes and abnormal beliefs: Towards a
ing motives/goals, wishes, and preoccupations also in- model of persecutory delusions. Behaviour Research and
fluence and temporarily bias components of longterm Therapy, 3.2 ( 3 ) : 331-341.
memory that, under normal circumstances, would help Butler, R. W., & Braff, D. L. (1991). Delusions: A review and
to self-monitor ones own ideas and beliefs (Harrow, integration. Schizophrenia Bulletin, 17 (4), 633-647.
Lanin-Kettering, & Miller, 1989). The delusions can be- Garety, F,! & Hemsley, D. R. (1994).Delusions: Investigations
D E M A N D C H A R A CTERISTI CS 469

into the psychology of delusional reasoning. Institute of (represented by systematic differences in some depend-
Psychiatry, Maudsley Monographs, No. 36, Oxford Uni- ent variable, or DV) by expressly manipulating the hy-
versity Press. pothesized causal variable (that is, independent varia-
Harrow, M., Lanin-Kettering,I., & Miller, J. G. (1989). Im- ble, or IV) while holding constant or equating any other
paired perspective and thought pathology in schizo- potential contributory conditions. If variation in the IV
phrenic and psychotic disorders. Schizophrenia Bulletin,
produces corresponding changes in the DV to an extent
r5, 605-623.
Harrow, M., Lanin-Kettering,I., Prosen, M., & Miller, J. G . that is probabilistically greater than the natural, ran-
( 1 ~ 8 3 )Disordered
. thinking in schizophrenia:Intermin- dom variation of the DV in the population, then a
gling and loss of set. Schizophrenia Bulletin, 9, 354-367. causal relation can be inferred. Unfortunately, the ex-
Harrow, M., MacDonald 111, A. W., Sands, J, R., & Silver- perimental method may be compromised when the sub-
stein, M. L. (1995). Vulnerability to delusions over time ject of investigation is a sentient, reasoning organism,
in schizophrenia, schizoaffective, and bipolar and uni- capable of perceiving (or misperceiving) the purpose of
polar affective disorders: A multi-followup assessment. the research. The usual prescription for identifying cau-
Schizophrenia Bulletin, zr, 95-109. sation is inadequate because of the investigators ina-
Harrow. M., Rattenbury, F.. & Stoll, F. (1988). Schizo- bility to control the degree to which the participants
phrenic delusions. In T. Oltmans and B. A. Maher behavior may be contaminated by expectations and re-
(Eds.). Delusional beliefs: Interdisciplinary perspectives
sponsiveness to situational cues relevant (or irrelevant)
(pp. 184-211). New York: Wiley,
Hoffman. R. E. (1987). Computer simulations of neural in- to the experimental hypothesis.
formation processing and schizophrenia-mania dichot- In a research context, a volunteer enters into a so-
omy. Archives of General Psychiatry, 44, 178-188. cial contract with the investigator to assume the role
Kendler. K. S., Glazer, W., & Morgenstern, H. (1983). Di- of subject for the purpose of advancing scientific
mensions of delusional experience. American Journal of knowledge. Under these circumstances, the behavioral
Psychiatry, 140, 466-479. scientist is likely to elicit behaviors that are not typical
Lazarus, R. S. (1991). Cognition and motivation in emo- for the participants under investigation. We have ob-
tion. American Psychologist, 46, 352-367. served, for example, that research volunteers are will-
Oltmanns. T., & Maher, B. A. (Eds). (1988). Delusional be- ing to perform clearly meaningless tasks for several
liefs: Interdisciplinary perspectives. New York Wiley.
hours-such as completing successive sheets of 224
Sacks, M. H.. Carpenter, W. T., Jr.. & Strauss, J. S. (1974).
addition problems, only to follow instructions to tear
Recovery from delusions: Three phases documented by
patients interpretation of research procedures. Archives up each sheet before proceeding to the next. When que-
of General Psychiatry, 30, 117-120. ried by an independent investigator about their percep-
Spitzer. M. (1995).A neurocomputational approach to de- tions of the purpose of the study, participants invaria-
lusions. ComprehensivePsychiatry, 36 (z), 83-105. bly impute considerable meaning to their endeavors,
viewing their activities as a test of endurance or some-
Thomas lobe and Martin Harrow
thing similar.
The demand characteristics of an experiment can be
subtle-personnel in white laboratory coats, the repu-
tation of the senior investigator, the wording of in-
DEMAND CHARACTERISTICS is the term given for formed consent documents, as well as the expectation
the totality of cues and mutual role expectations that that ones participation will contribute toward the un-
inhere in a social context (for example, a psychological derstanding of an important scientific problem. Nev-
experiment or therapy situation), which serve to influ- ertheless, they can affect not only the external validity
ence the behavior and/or self-reported experiences of (i.e., generalizability beyond the laboratory) of an in-
the research participant or patient. The expression was vestigation but its internal validity as well (that is, how
adapted by the first author in 1959 (Journal of Abnormal confident one can be that the IV was uniquely respon-
and Social Psychology, 58, 277-299) from a related con- sible for the observed changes in the DV). The use of
cept-Aufforderungscharaktere, which refers to the de- quasi-control procedures, such as a postexperimental
mand value that the psychological environment exerts inquiry carried out by a second investigator who is un-
upon the behavior of an individual-derived from Kurt aware of the assigned experimental condition and cor-
Lewins field-theoretical analysis of personality ( A Dy- responding performance of the participant, is one way
namic Theory of Personality: Selected Papers, New York, of detecting the contribution of demand characteristics
1935). The behavioral impact of the demand charac- in social and behavioral research. [See Artifact, article
teristics of a given situation will vary with the extent on Artifact in Research.]
to which they are perceived, as well as with the moti- Although generally regarded as artifact by the sci-
vation and ability of the person to comply. entific community, demand characteristics remain a po-
Scientific experiments seek to explain phenomena tent, and often unrecognized, source for therapeutic
470 DEMENTIA

change in the clinical context. Rather than relegating These drugs, used as sedatives and hypnotics in the
demand characteristics to the realm of artifact, they past, are now rarely used as their margin of safety is
should be acknowledged as a pervasive influence upon narrow, tolerance to their effects develops rapidly, and
all human interaction. Both researchers and clinicians most have a relatively high abuse liability.
can benefit from determining what meaning an indi- The drug class of choice for treatment of insomnia
vidual attributes to the totality of cues in any given is the benzodiazepine receptor agonist. The class name
situation. is derived from the recognized site of action of the
drugs. Some have the benzodiazepine chemical struc-
ture, while others do not. All share the characteristic
Bibliography of occupying benzodiazepine receptors on the gamma-
amino-butyric-acid (GABA) receptor complex, with re-
Orne, M. T. (1962). On the social psychology of the psy- ceptor occupation opening ion channels and thereby
chological experiment: With particular reference to de-
facilitating GABA, the predominant inhibitory neuro-
mand characteristics and their implications. American
Psychologist, 17, 776-783. Outlines the potential con- transmitter. This drug class also remains the mainstay
tribution of demand characteristics to experimental in treatment of anxiety disorders, although some tri-
outcomes in psychological research. cyclic antidepressants and specific serotonin reuptake
Orne, M. T. (1969). Demand characteristics and the con- inhibitors have been used with success in panic disor-
cept of quasi-controls. In R. Rosenthal & R. Rosnow der, mixed anxiety and depression, and generalized
(Eds.),Artgact in behavioral reseurch (pp. 143-179). New anxiety disorder.
York: Academic Press. Discusses the role of demand Many placebo-controlled studies have shown the ef-
characteristics in psychological research as well as ficacy of benzodiazepine receptor agonists for insomnia.
methods for detecting their presence. All hasten sleep onset, reduce wakefulness after sleep
Orne, M. T., & Bauer-Manley, N. K. (1991). Disorders of onset, and reduce the amount of light (that is, stage I
self: Myths, metaphors, and demand characteristics of
nonrapid-eye-movement) sleep. This has been demon-
treatment. In J. Straws & G. R. Goethals (Eds.), The selJ
Interdisciplinary approaches (pp. 93-106). New York: strated in insomniacs and in individuals experiencing
Springer-Verlag. Articulates the often unrecognizedrole transient sleep problems. The drugs differ in their phar-
of demand characteristics in the context of psycho- macokinetic profiles and metabolic pathways. Most
therapy. have a rapid onset of action (that is, Tmax 5 2 hrs)
Rosnow, R. L., & Rosenthal, R. (1997). People studying peo- and effectively induce sleep. All the short- (that is, T1/2
ple: Artijiacts and ethics in behavioral research. New York: 5 5 hrs) and intermediate-acting (that is, T1/2 = 6-
W. H. Freeman. Provides a concise and contemporary 12 hrs) drugs sufficiently maintain sleep for seven to
overview of artifacts in behavioral research. eight hours. Those that are long-acting or have long-
Martin T. Orne and Wagne G. Whitehouse acting metabolites (that is, T1/2 ? 12 hrs) have the
potential of producing residual sedation the following
day. The characteristic pharmacokinetics of oxidated
drugs are altered in elderly and in liver disease as seen
DEMENTIA. See Alzheimers Disease. by an increased area under the plasma concentration
curve. With some drugs this occurs by increasing the
peak plasma concentration and others by extending the
duration of action, or both. Those drugs metabolized
DEPENDENT VARIABLES. See Research Methods. by conjugation are potentially safer for aged patients or
patients with liver disease as their pharmacokinetics do
not change.
The sedative action of the benzodiazepine receptor
DEPRESSANTS, SEDATIVES, AND HYPNOTICS. agonists is the desired effect in anxiety disorders. Anx-
These categories of drugs all depress central nervous iolytic effects are achieved at lower doses than doses
system (CNS) activity. Some are nonselective, while oth- producing hypnotic effects. Although a given benzodi-
ers are more selective in their actions and effects on the azepine receptor agonist may have an anxiolytic indi-
CNS and behavior. Sedatives, more typically termed cation, at higher doses it will have hypnotic effects and
anxiolytics. are drugs indicated for the treatment of vice versa. Again, many placebo-controlled studies have
anxiety and hypnotics for insomnia. Depressant is an demonstrated the efficacy of these drugs in various
older term used prior to introduction of the benzodi- anxiety disorders. However, the therapeutic dose differs
azepines in the 1960s. Currently, the term is used to for the various disorders. Parenthetically, it should be
refer to older, non-CNS selective drugs including bar- noted that these drugs also have muscle relaxant and
biturates, alcohol, and alcohol-aldehyde-based drugs. anticonvulsive effects. The primary issues in the use of
DEPRESSION 471

benzodiazepine receptor agonists as anxiolytics and does not generalize to daytime use (that is, does not
hypnotics are their side effects and abuse liability occur outside of the therapeutic context).
In some insomnia conditions, residual sedation the Clinicians generally agree that pharmacotherapy
following day is an undesired side effect, while in anx- alone rarely cures insomnia or anxiety disorder: it is
iety disorders it is the desired effect. The duration of symptomatic treatment. Cognitive-behavioral therapies
action, determined by the drugs half-life and dose, pre- are typically used to treat some insomnia and anxiety
dicts the likelihood of residual sedation for that drug. disorders. The role of adjunct pharmacotherapy is
Another side effect related to dose and half-life is re- highly debated. One view is that pharmacotherapy, in
bound insomnia. Upon discontinuation, sleep may be either insomnia or anxiety, blocks or delays the neces-
disturbed beyond that of baseline for one to two nights. sary unlearning required in treating the specific dis-
Rebound insomnia occurs after high doses (that is, order. The other view is that the drug can in the short
above the therapeutic range) and is avoided by dose term relieve symptoms and the burden of the disorder
tapering or long half-life drugs. An oft-mentioned cor- and reinforce the behavior therapy. There are few well-
ollary to rebound insomnia is rebound anxiety, but it conducted outcome studies that resolve this question.
has not been scientifically demonstrated. Rebound in- [See also Drugs; and Drug Abuse.]
somnia is not the expression of a withdrawal syndrome
or physical dependence. It is a single symptom that can
even occur after a single night of a high-dose short- Bibliography
acting drug.
Amnesia is another well documented effect of ben- Curran, H. V. (1991).Benzodiazepines. memory and mood:
A review. Psychopharmacology, 105, 1-8. Reviews am-
zodiazepine receptor agonists. It is desirable when these
nesic effects of benzodiazepines in relation to mood and
drugs are used as premedicants for surgery and other
arousal state and discusses their beneficial or harmful
invasive medical procedures. Its clinical significance effects as adjuncts to psychological therapies.
when used for insomnia and anxiety depends on pa- King, D. J. (1992). Benzodiazepines, amnesia, and sedation:
tient characteristics and circumstances. The extent of Theoretical and clinical issues and controversies.Human
tolerance to this effect is not known. The amnesia is Psychopharmacology, 7,79-8 7.Reviews amnesiceffectsof
found after both IV and oral administration, is anter- benzodiazepines in the context of hypnoticuse and relates
ograde in character (that is, events occurring after, but the amnesiceffects to the sedative actionsof the drugs.
not before, drug administration), and is dose related. In Roehrs, T., Vogel, G., & Roth, T. (1990). Rebound insomnia:
dispute is whether the amnesia is secondary to the sed- Its determinants and significance. American Journal of
ative effects of these drugs or to their direct effects on Medicine, 88, 39S-42S. Reviews the determinants and
clinical significance of rebound insomnia.
hippocanipal memory systems or to both.
Roth, T.. Roehrs, T. A., Vogel, G. W., & Dement, W. C.
Finally, of concern is the abuse liability (that is, the
(1995). Evaluation of hypnotic medications. In R. F.
likelihood of physical and behavioral dependence) of Prien & D. S. Robinson (Eds.), Clinical Evaluation of Psy-
the benzodiazepine receptor agonists. Both epidemio- chotropic Drugs, Principles and Guidelines (pp. 579-592).
logical and laboratory studies suggest it is relatively low. New York: Raven Press. Reviews the efficacy and side
Survey data indicate a I to 3% annual prevalence of effects of hypnotic medications and provides tools to
non-medical use; it is rare in the general population critically evaluate the literature.
but more frequent in identified drug abuse populations. Rickels, K., Schweizer, E., Case, W. G.. & Greenblatt, D. J.
Surveys of medical use indicate the majority of patients (1990). Long-term therapeutic use of benzodiazepines
use sedatives and hypnotics for two weeks or less. How- I and 11. Archives of General Psychiatry, 47, 899-915.
ever. a percentage of individuals use hypnotics nightly Clinical studies of patients discontinuing long-term
(14%)) and anxiolytics daily (25%) on a chronic basis benzodiazepine use.
Woods, J. H. & Winger, G. (1995).Current benzodiazepine
yet with no dose escalation. Whether this pattern of
issues. Psychopharrnacology, 118, 107-115. Reviews and
medical use reflects addiction (that is, physical and/or discusses the adverse effects of benzodiazepines and
behavioral dependence) is disputed. Although there are specifically reviews their abuse liability.
reports of physical dependence at therapeutic doses in
long-term daytime anxiolytic use, no study of long- Timothg A. Roehrs and Thomas Roth
term hypnotic use has been done. Daytime studies of
the reinforcing effects of these drugs indicate they have
a low behavioral dependence liability. Studies of their
behavioral dependence liability in the context of their DEPRESSION has been one of the most intensely stud-
use as hypnotics have come to a similar conclusion. ied mental disorders. Theorizing about depression be-
Hypnotic use by patients with insomnia is therapy- gan in ancient times. Early concepts were generally
seeking behavior, does not lead to dose escalation, and physical in nature, and this emphasis continued into
472 DEPRESSION

the nineteenth century. Some early speculations about even though his follow-up periods lasted up to 40 years.
depression viewed it as a general debility of the exci- More recent studies have found a much higher inci-
tatory vascular system of the brain (Benjamin Rush) dence of recurrence. This may reflect that biological or
or a disturbance of nutrition to the cerebral cortex social changes are increasing patients proneness to re-
(Richard von Krafft-Ebing). With the development of lapse, or it may simply reflect methodological inade-
Sigmund Freuds ideas, however, there was a distinct quacies in early studies.
shift toward psychological paradigms of depression. Mood disorders may coexist with almost any other
One of the most important conceptual advances was psychiatric disorder. Some of the most common of
made in the early twentieth century when Emil Krae- these are anxiety disorders, substance abuse, and eat-
pelin noted that depression and mania were closely as- ing disorders. Depression with psychiatric or physiolog-
sociated. He viewed these as alternative manifestations ical comorbidity has a poorer prognosis than depression
of the same disease process, and he brought them to- without accompanying disorders. There is a high level
gether under one diagnosis. Leonhard (1957) later em- of comorbidity between major depression and panic dis-
phasized the importance of distinguishing between uni- order, and to a lesser degree, between major depression
polar and bipolar depression because of differences in and other anxiety disorders such as social phobia.
the courses of the disorders, degrees of genetic trans- Mood disorders are also very commonly associated with
mission, and premorbid temperament. He defined bi- psychoactive substance use disorder (PSUD). They ac-
polar depression as a mood disorder having a course count for one half of all Axis I disorders accompanying
that included episodes of mania during the individuals PSUD, and approximately one fourth of PSUD patients
lifetime. are at risk to have a mood disorder.

Epidemiology Psychological Theories of Depression


Depression and mania affect a significant number of Modern psychological theorizing about depression may
persons in our society, with a point prevalence in the be said to have begun primarily with Freud, who de-
United States of 3% for unipolar major depression and veloped a complex formulation comparing depression
0.7% for bipolar depression. Based on data from the to mourning. Freud theorized that an early disappoint-
Epidemiologic Catchment Area Study, 6% of persons in ment in the depressed persons life, particularly the loss
the United States have had unipolar major depression of a relationship, led to reconstructing and substituting
at some point in their lives. The likelihood of having an image of the desired person within, resulting in an
depression is higher for women than for men by a ratio ambivalent emotional cathexis of the lost person (i.e,,
of approximately 2 to I. The prevalence of depression both longing for and anger toward him or her). Since
among individuals presenting to primary care physi- the image of the desired person had been taken into
cians has been demonstrated to be as high as 25%. the self as a way of compensating for the disappoint-
Despite improved treatments for depression, there is ev- ment, anger was also turned inward at the self. With
idence that the incidence of affective disorders is in- the loss of a love object in adulthood, anger again was
creasing with each generation. experienced and directed inward toward a representa-
The presence of increased levels of stressful events tion of the recently lost love object, thus causing de-
preceding the onset of depression has received consid- pression.
erable empirical support (e.g., Brown & Harris, 1978): Modern analytic theory has significantly departed
nevertheless, the actual variance accounted for by from this conceptualization. One of the most influential
stressful events in predicting depression is only about neoanalytic theorists regarding depression was Edward
10%. In order to understand the relationship between Bibring. He viewed depression as resulting not from in-
the two better, investigators have increasingly examined trapsychic conflict but from loss of self-esteem caused
the role of moderating variables, such as coping style, by environmental loss. Arieti and Bemporad (1980) hy-
social support, and personality (Cronkite & Moos, pothesized that reactive depression results from an
1995).At least 50% of individuals who recover from an overreliance either on a dominant other or a dominant
episode of depression have a recurrence of symptoms goal for a sense of meaning and self-worth. When these
within one year. When there has been more than one external supports to self-esteem are lost, a drastic loss
episode, the probability of recurrence rises still further. of self-esteem ensues. They also theorized that a third
The key to treating depression appears to lie in aggres- type of depression, characterological depression, results
sive treatment. Early intervention has been shown to when the individual cannot find pleasure, meaning, or
shorten the duration of new episodes. self-worth from any source-internal or external. All
Data on the long-term course of bipolar disorder is three types of depression share in common anxiety
inconsistent. Emil Kraepelin followed cases at the turn over the direct attainment of pleasure . . , fear that
of the nineteenth century and found that 45% of per- spontaneous activity will result in rejection or criticism
sons with manic depression have only single episodes, from others (p. 1363). In addition, all three types of
DEPRESSION 473

depressed persons overvalue the opinions of others, active to the environment) on the other, the overall
and . , . overestimate their own effects on the inner lives evidence regarding the nature of unipolar depression
of others (p. 1363). This analytic formulation shows suggests that both physical and psychological processes
some convergence with cognitive theories of emotional are involved. The causal sequence that brings about an
disorders. initial episode of unipolar depression remains some-
One theory that has stimulated a great deal of re- what obscure, but appears to include psychological, bi-
search has been the theory of learned helplessness, ological, and environmental processes.
developed by Seligman (1975). Seligman used an ani- The nature of dysthymia (chronic mild depression)
mal analog model from the laboratory to study depres- is somewhat less well understood than major depres-
sion. Dogs exposed to inescapable shocks were less able sion. It is not known if it is primarily a disorder of the
to learn to avoid future aversive events than dogs ex- personality or a mild variant of clinical depression. The
posed to similar levels of escapable shock. Hiroto and concept of double depression has gained increasing at-
Seligman (1975) showed that the helplessness effect tention. Double depression is defined as a major de-
could occur in humans also, and subsequent research pression superimposed on dysthymia. Some studies
focused on similarities between depressed persons and have shown that persons with double depression (as
persons subjected to a learned-helplessness induction in opposed to simple unipolar depression) have greater im-
the laboratory. Later, a model was constructed that in- pairment, more depressive symptoms, greater comor-
corporated human cognition as a moderator of help- bidity, and more personality disturbance. They are also
lessness effects in humans. This revised learned- less likely to recover fully and are more likely to relapse
helplessness model generated considerable research, into depression.
examining attributions made by persons in uncontrol- Another highly studied subtype has been atypical
lable, unpleasant situations, and also attributions made depression, which includes symptoms such as over-
by depressed individuals. According to the revised sleeping, overeating, marked decrease in energy
model. once persons perceive their situation as uncon- (leaden paralysis), and rejection sensitivity. This type
trollable, they begin to make attributions to explain of depression appears to respond preferentially to
their loss of control (Abramson, Seligman, & Teasdale, monoamine oxidase inhibitors over tricyclic antidepres-
1978). Attributions for helplessness are either internal sants.
(believed to be due to characteristics of the person) or
external (due to the environment); global (applying to Psychotherapy for Depression
many situations) or specific (applying to a limited range Modern psychological research into depression treat-
of situations); and stable (persisting over time) or un- ment began in two ways: in studies about behavior
stable (limited in time). Loss of self-esteem is theorized therapy in the 1970s conducted by Peter Lewinsohn
to occur when persons decide that their helplessness is (e.g., Lewinsohn. Biglan, & Zeiss, 1976) and Lynn Rehm
due to personal deficiencies rather than to reasons that (e.g., Rehm. Fuchs, Roth, Kornblith, & Romano, T979).
would universally affect almost anyone in that situa- and in three studies funded by the National Institute of
tion. Stable. global, and personal attributions for help- Mental Health (NIMH). The NIMH studies tested inter-
lessness and/or failure have generally been found to personal therapy (Klerman, DiMascio, Weissman. Pru-
produce the greatest degree of depressive deficits. soff. & Paykel, I974), group therapy, and marital ther-
apy.
Subtypes of Depression Similar to some other behaviorists, Peter Lewinsohn
Depression i s now actually known to be a heterogene- hypothesized that when persons encountered a lack of
ous group of disorders that require multiple alternative response-contingent positive reinforcement, a decrease
treatment strategies. Awareness of the characteristics in adaptive behaviors was likely to result. The reasons
of the subtypes can enhance recognition of depression for a lack of positive reinforcement might be poor social
in general as well as lead to improved decision making skills, environmental changes, or failure to engage in
in treatment planning. activities that would be pleasant and rewarding. Thus,
Some types of depression have been shown to have one strategy was to provide feedback to depressed per-
very strong biological foundations. Bipolar disorder, for sons on their interpersonal skill deficits. Because evi-
example, is closely linked to biological causes. Although dence had demonstrated a positive covariation between
there is a wealth of evidence demonstrating this con- participation in pleasant events and positive mood, and
clusion, one particularly convincing piece of data is the between aversive events and negative mood. both of
very high monozygotic concordance rate (70%) for bi- these were targeted in his behavioral therapy. Partici-
polar disorder. With unipolar depression, the picture is pants were coached to increase pleasant events in their
somewhat more complex. Whereas some unipolar de- lives. Social skills training was also emphasized (e.g.,
pressions may be almost purely endogenous (i.e., pre- assertiveness training).
sumably biological) on the one hand, or exogenous (re- One of the most intensely studied of all psycholog-
474 DEPRESSION

ical treatments of depression has been cognitive ther- sons have difficulty fulfilling their roles as both parents
apy (Beck, Rush, Shaw, and Emery, 1979). It is based and spouses. The children and spouses of depressed
on the theory that negative cognitions are critical in persons are at increased risk for psychological distress
the development and maintenance of depressive symp- and psychiatric problems.
toms. The roots of cognitive therapy for depression can
be traced at least as far back as Alfred Adler, who as- The NIMH Treatment of
serted that behavior arises from beliefs. Cognitive tech- Depression Collaborative
niques were further developed by Albert Ellis (1962), Research Program
who also emphasized the need for individuals to change With the development of cognitive, behavioral, and
their irrational attitudes about life. But it was Aaron interpersonal therapies for depression, the National
Beck who applied cognitive principles most systemati- Institute of Mental Health (NIMH) decided to test psy-
cally to depression. Beck guided individuals to test neg- chotherapies of depression through a collaborative in-
ative expectations and specific self-statements as well as vestigation involving several treatment sites at the end
to work on their underlying beliefs. He advocated a So- of the 1970s. This study is highlighted because of the
cratic method, termed collaborative empiricism, of lead- great care taken methodologically and because of its
ing the individual to examine negative thinking in a very large sample size. Cognitive-behavioral therapy
logical manner. According to Beck, the judgment of and interpersonal psychotherapy were chosen to be
self-worth and of the meaning of situations is accom- compared with imipramine plus clinical management,
plished with the aid of an enduring, implicit cognitive and placebo plus clinical management. Analysis of
structure termed the schema. The schema acts as a tem- acute treatment results revealed no significant differ-
plate to make sense of incoming information. In de- ences among the three active therapies after 16 weeks
pression, the schema is generally a negative view of of treatment, but there was a statistically significant
self, world, and future. Examples of schemas causing difference between imipramine plus clinical manage-
vulnerability to depression would be excessive require- ment and placebo plus clinical management (Elkin et
ments for approval or for achievement in order to deem al., 1989). Imipramine was more effective than the
oneself worthwhile. psychotherapies at 8 and 12 weeks, but not at the 16-
Another major psychological therapy of depression week termination point. (A later analysis using ran-
is interpersonal psychotherapy (IPT). Klerman, Weiss- dom regression analysis suggested that imipramine
man, Rounsaville, and Chevron (1984) based the treat- plus clinical management had in fact been statistically
ment on traditional psychotherapy techniques and on more effective than either of the two psychothera-
the results of epidemiological studies. Paykel et al. pies.)
(1969) found that undesirable life events and events in-
volving exits or losses in the social field of the individ- The Problem of Nonsignificant
ual (marital separation, children growing up and leav- Differences
ing home) were more frequent in the recent histories One of the perplexing issues facing depression research-
of depressed than nondepressed persons. Partially for ers is the lack of strong differences in efficacy among
this reason, IPT was focused on recent rather than re- various psychological treatments. Only rarely have
mote events. In clinical trials for acute depression, it studies comparing cognitive-behavioral, interpersonal,
was found to be generally as effective as tricyclic anti- and short-term analytic therapies found significant dif-
depressants and as effective as cognitive-behavioral ferences. A similar perplexing finding has been that
therapy. IPT theory posited that there were four major combinations of psychological treatments and medica-
areas of interpersonal disruption accompanying de- tions do not consistently lead to better outcome than
pression: role transitions, interpersonal disputes (e.g., individual treatments alone. In addition, despite the dif-
marital arguments), unresolved grieving, and interper- fering theoretical bases of the psychotherapies, treat-
sonal deficits. In addition to being an effective treat- ments sometimes fail to differ significantly from each
ment for the acute phase of many depressions, there is other, even in areas of functioning that are directly and
also evidence that it has a delayed beneficial impact on differentially targeted.
social functioning, which may appear 6 to 12 months One explanation for these findings is that most treat-
following the end of acute treatment. When given as a ments have several elements in common: (a) they are
maintenance treatment, it also appears to extend the directive in encouraging clients to work on changing
time until relapse. their perceptions, their thoughts, their social partici-
The value of family therapy for depression has been pation, or some other central aspect of depression: (b)
increasingly explored. Family stress, conflict, and loss they generally utilize a one-to-one therapist-client re-
have been shown to be associated with the onset of, lationship: and (c) they emphasize the importance of
and relapse into, depressive disorders. Depressed per- the client making attempts to change depressive behav-
DEPRESSION 475

ior from very early on in therapy. Another possible ex-


planation for the similarity in effectiveness is that for The Role of Pharmacological
many persons depression may be a relatively unstable Treatment
homeostasis. Negative cognitions, inefficient coping be- In the I ~ ~ O the
S , primary antidepressants in use have
haviors (e.g., social withdrawal), altered brain biochem- been the selective serotonin reuptake inhibitors (SSRIs;
istry, and negative feedback from the social environ- e.g., Paxil, Zoloft, and Prozac). These have a reduced
ment may all serve to reinforce each other. For many frequency of side effects (e.g., anticholinergic effects,
depressed persons. these are abnormal conditions, and orthostatic hypotension) and a lower incidence of car-
so the positive feedback loops supporting these negative diotoxic effects. They may also be safer when patients
conditions are likely to be somewhat fragile. Given an attempt to overdose compared to the tricyclic antide-
adequate therapeutic relationship and sustained assis- pressants. On the other hand, many of the newer
tance in altering any one of these conditions, the ho- agents have a few side effects that still pose problems,
meostasis may begin to deteriorate. This would not be such as inhibition of sexual functioning.
true for chronic depressions, however. One of the most interesting, and clinically press-
ing, issues in treatment research is whether psycho-
Biological Processes in Depression therapy or pharmacotherapy is more efficacious in
Numerous biological processes have been found to be the acute treatment of major depression. A detailed
altered in major depression. Any final theory will un- analysis of this topic would be beyond the scope of
doubtedly include numerous physiological factors in the this article. However, there is no consistent finding
distal and/or proximal causality for severe depression. that can easily be summarized here. The same may
Nevertheless. at the end of the twentieth century it is be said of comparisons between treatments combining
still very difficult to establish particular biological pro- psychotherapy and pharmacotherapy versus treat-
cesses as being essential causes of depression rather ments using psychotherapy or pharmacotherapy
than merely being concomitant processes. alone. The most that can be said with considerable
Most biological research has focused on the neuro- certainty is that there is no evidence that psychother-
transmitters norepinephrine, and serotonin. These are apy and pharmacotherapy conflict with or undermine
monoamines. and the hypothesis that dysregulation of each other when used together. The combination of
one or both of these neurotransmitters causes depres- psychotherapy with pharmacotherapy appears to be a
sion is termed the monoamine hgpothesis. Most antide- generally effective treatment, but there are no consis-
pressants have a demonstrable effect on the presynaptic tent data that it is more effective than psychotherapy
or postsynaptic receptors for one or more of these alone or pharmacotherapy alone. Psychotherapy and
transmitters. The monoamine hypothesis states that ei- pharmacotherapy both tend to be efficacious. Al-
ther there is a deficiency in the neurotransmitter at the though current research yields some clues about
synapse or that there is some disturbance in the ability which individuals may respond best to these two gen-
of neurons to chemically transmit stimulation received eral classes of treatment, no firm conclusions can yet
from monoamines in order to lead to further neural be drawn. It is likely that severity of depression and
firing. other variables will determine the relative efficacy of
Another major area of biological research has been these two major types of treatment.
in the area of sleep. Sleep in depressed persons is often [See also Mood Disorders: and Seasonal Affective Dis-
disturbed-not only in the form of insomnia, but also order.]
in basic sleep architecture. Depressed persons have a
shortened rapid eye movement (REM) latency, and most
somatic treatments of depression will suppress REM to Bibliography
some degree.
Positron emission tomography (PET) has been used Abramson, L. Y., Seligman, M. E. I?, & Teasdale, J. D.
to study cerebral metabolism in depression. Such stud- (1978). Learned helplessness in humans: Critique and
ies have generally shown a decrease in frontal activity reformulation. Journal of Abnormal Psychology, 87, 49-
in persons with severe depression. This generally 74. Contains the revision of the learned helplessness
theory as it applies to humans.
improves as the depression remits. Another area of
Arieti, S., & Bemporad, J. R. (1980). Psychological orga-
biological research in depression has focused on the nization of depression. American Journal of Psychiatry,
hypothalamic-pituitary-adrenal (HPA) axis. Approxi- I37, 1360-1365. A modern psychoanalytic view of de-
mately one half to three fourths of hospitalized de- pression.
pressed patients have elevated glucocorticoids. Through Beck, A. T., Rush, A. J., Shaw, B. F., & Emery, G. (1979).
feedback mechanisms, these high levels may in turn Cognitive therapy of depression. New York: Guilford Press.
negatively affect HPA axis functioning. One of the first treatment manuals for depression,con-
476 DEPRIVATION

taining practical as well as theoretical information E. E. Beckham & W. R. Leber (Eds.),Handbook of depres-
about cognitive therapy of depression. sion (2nd ed., pp. 213-279). New York: Guilford Press.
Beckham, E. E., & Leber, W. R. (1995). Handbook of depres- An excellent overview of biological research into de-
sion. New York: Guilford Press. A comprehensive hand- pression.
book of psychological knowledge regarding depression.
B. Edward Beckham
Brown, G. W., & Harris, T. (1978). Social origins of depres-
sion: A study of psychiatric disorders in women. New
York: Free Press.
Cronkite, R. C., & Moos, R. H. (1995).Life context, coping
processes, and depression. In E. E. Beckham & W. R. Le- DEPRIVATION. See Poverty, article on Childhood Pov-
ber (Eds.), Handbook of depression (2nd ed., pp. 569-
erty.
587). New York: Guilford Press.
Elkin, I.. Shea, M. T., Watkins, J. T., Imber, S. D., Sotsky,
S. M., Collins, J. E, Glass, D. R., Pilkonis, P. A., Leber,
W. R.. Docherty, J. P., Fiester, S. J., & Parloff. M. B.
(1989). National Institute of Mental Health Treatment DEPTH PERCEPTION. One of our most remarkable
of Depression Collaborative Research Program: General perceptual capacities is our ability to recover the three-
effectiveness of treatments. Archives of General Psychi-
dimensional structure of our environments. All of our
atry, 46, 971-982. A major and extremely well-
designed study comparing psychotherapy and phar- actions rely on the ability to recover information about
macotherapy for depression. the positions, shapes, and material properties of objects
Ellis, A. (1962). Reason and emotion in psychotherapy. Se- and surfaces as they exist in three-dimensional space.
caucus, NJ: Citadel. In vision, the term depth perception refers to the ability
Hiroto, D. S., & Seligman, M. E. P. (1975). Generality of to recover depth from the two-dimensional images pro-
learned helplessness in man. Journal of Personality and jected to our two eyes. The information used to recover
Social Psychology, 31~311-327. depth can be divided into two broad kinds: information
Klerman, G. L., DiMascio, A., Weissman, M. M., Prusoff, from a single view of a scene (so-called pictorial depth
B. A., & Paykel, E. S., (1974). Treatment of depression cues); and information available when two or more
by drugs and psychotherapy. American Journal of Psy- views of a scene can be compared (for example, the
chiatry, 131, 186-191. One of the first outcome studies
slightly different views from the two eyes or the results
of psychotherapy of depression.
Klerman, G. L., Weissman, M. M., Rounsaville, B. J., & of motion).
Chevron, E. (1984). Interpersonal psychotherapy of de- Many pictorial depth cues arise when the three-
pression. New York: Basic Books. An excellent introduc- dimensional world is projected onto the backs of our
tion to interpersonal psychotherapy for depression. eyes. As distance from an observer increases, parallel
Leonhard, K. (1957). Aufteilung der Endogenen Psychosen lines on a ground plane appear to converge in the two-
[The classification of endogenous psychoses]. Berlin: dimensional image (linear perspective, Figure I). Tex-
Akademieverlag. Contains the proposal to split manic- ture becomes increasingly compressed and more dense
depression into unipolar and bipolar disorders. along the line of sight, creating texture gradients (Fig-
Lewinsohn, P. M., Biglan, T., & Zeiss, A. (1976). Behavioral ure 2 ) . For example, when a circular disc is tilted away
treatment of depression. In P. Davidson (Ed.), Behavioral
from the observer, it projects the image of an ellipse.
management of anxiety, depression, andpain (pp. 91-146).
The aspect ratio of the ellipse depends on the degree of
New York: BrunnerIMazel.
Paykel E. S. (Ed.). (1992). Handbook of affective disorders. tilt relative to the observers line of gaze, and the size
New York: Guilford Press. A handbook of depression of the ellipse depends on both object size and viewing
with a medical and psychiatric emphasis. distance. If a series of circles are placed on the ground
Paykel E. S., Myers, J. K., Dienelt, M. N., Klerman, G. L., and viewed from an angle, the circles will project a
Lindenthal, J. J., & Pepper, M. P. (1969). Life events and series of ellipses that become smaller and flatter as
depression: A controlled study. Archives of General Psy- distance from the observer increases, producing a tex-
chiatry, 21, 753-760. ture gradient. Contrast decreases from atmospheric
Rehm, L. P., Fuchs, C. Z., Roth, D. M.. Kornblith, S. J., & haze, commonly referred to as aerial perspective.
Romano, J. M. (1979). A comparison of self-control and Shading and shadows can also provide vivid impres-
social skills treatments of depression. Behavior Therapy, sions of depth in images (Figure 3 ) . The amount of
10, 429-442.
light reflected from a surface to a point of observation
Seligman, M. E. P. (1975). Helplessness: On depression, de-
velopment, and death. New York: Freeman. A ground- depends on the surface properties of the reflecting sur-
breaking book proposing an experimental analogue of face, and the angle formed between the light source and
depression. the surface. In general, surfaces have complex reflec-
Thase, M. E., & Howland, R. H. (1995).Biological processes tance properties with varying degrees of scatter and
in depression: An updated review and integration. In specularity. These properties determine whether sur-
DEPTH PERCEPTION 477

DEPTH PERCEPTION. Figure I. Linear perspective.

faces look hard, soft, squishy, flaky, smooth, rough, and Finally, the size of familiar objects also provides in-
so forth. For example, if the surface is matte or dull in formation about depth: if the true size of an object is
appearance, the light striking that surface will be scat- known, then the angular size of the object on the ret-
tered and reflected in many different directions. For a ina can provide information about the distance to that
purely specular surface (like a mirror), light will essen- object.
tially bounce off of the surface like a billiard ball, gen- One of the most powerful sources of information
erating the familiar law of optics (the angle of inci- about depth is provided by the parallax generated from
dence equals the angle of reflection). This optical law multiple views of a scene. Parallax refers to the appar-
relating the angle at which light strikes and bounces ent change in relative position of objects when they are
off of surfaces is also responsible for shading: the viewed from different positions. The apparent shift in
amount of light reflected to a point of observation de- the relative positions of objects in the two views gen-
pends on the surfaces orientation relative to the direc- erated by binocular parallax can be experienced by al-
tion of the light source. Our visual systems can use ternately opening and closing your two eyes. The im-
patterns of shading to infer the three-dimensional pression of depth generated from binocular parallax is
shape of surfaces. known as stereopsis. The importance of binocular par-
The interruption of more distant surfaces by nearer allax in giving precise information about depth can be
occluding surfaces also provides information about the seen by the fact that virtually all animals that have
depth order of objects in a scene (also known as inter- stereopsis are predators. This ability comes at a cost,

- -- -
position). However, unlike other sources of monocular however, since this requires viewing the same region
depth information, monocular occlusion information of the world from two perspectives, and hence, a frontal
does not provide any explicit information about the size placement of the eyes. In contrast, most prey have lat-
of the intervals separating the near and more distant erally placed eyes, which sacrifices the high resolution
surfaces. depth information afforded by stereopsis in favor of a

0 0 -0 0
0 - 0 0 0
-0
-0- 0 -

c3
D-
DEPTH PERCEPTION. Figure 2. Texture gradients.
478 DEPTH PERCEPTION

DEPTH PERCEPTION. Figure 3. Shading and shadows.

larger visual field but has the distinct advantage of be- portional to an objects distance in depth from the fix-
ing able to spot a predator coming from all directions. ation point. The sign determines whether a feature ap-
In order to extract depth information from binocular pears closer or farther than the fixation point. If the
parallax, the visual system must determine how to image in the left eye is to the right of the image in the
combine or fuse the two images into a single three- right eye, disparity is crossed and the feature appears
dimensional representation. When binocular fusion oc- closer than fixation. If the image in the left eye is to
curs, an impression of a single, three-dimensional the left of the image in the right eye, disparity is un-
world is experienced. A failure to fuse images can pro- crossed and the feature is more distant than fixation.
duce diplopia (or double vision) or binocular rivalry, a In addition to disparity, the binocular viewing of
perceptual battle between the two monocular images. solid objects provides information about stereoscopic
Fusion requires that the images in the two eyes must depth by generating features that are visible to only one
be brought into correspondence. To understand this eye. You can observe this by alternately opening and
problem, imagine that the retinal images have been closing your left and right eyes while attending to the
copied onto two transparencies. Your goal is to line up right edge of this book. Notice that your right eye can
the images as best as possible. Because of the shift of see a portion of the area behind the edge of the book
the relative position of the objects caused by binocular that is not visible to your left eye. The opposite is true
parallax, the images can never be perfectly aligned, but along the left side of the book: the left eye sees more
the overall difference between the positions of objects of the background than the right. These monocular (or
in the two images can be made larger or smaller. Bin- half-occluded) regions provide information about the
ocular fusion and stereopsis only occur when the dif- presence of occluding contour that the visual system
ferences between the two images are less than some uses to separate objects from backgrounds.
value, known as the fusion limit. There are strong parallels between the depth from
The images are brought within the fusion limit by binocular parallax and the depth from motion parallax.
appropriately crossing or uncrossing the eyes When an observer moves, she acquires a continuous
(known as vergence movements). Once appropriate eye stream of new views. In stereopsis, the multiple views
movements have been made, there remains the problem are always in a fixed spatial relationship relative to one
of extracting depth from the two views. Some of the another, since the eyes are in a fixed relative position
regions in the two images will correspond to a common in our heads. However, since we are capable of moving
portion of an objects surface seen from two slightly in three dimensions, the same is not true for motion
different positions. The relative difference in retinal po- parallax. The amount of motion parallax generated by
sition of these surface regions is known as binocular an observer depends on how fast the observer is mov-
disparity, which gives rise to a vivid sense of depth. The ing, whereas the maximal amount of binocular paral-
region that is binocularly fixated will fall on the fovea lax is limited by the distance between the eyes. More-
in both eyes and has zero disparity. Nonzero disparity over, a variety of different motion patterns can be
has a size and a sign. The size of the disparity is pro- generated by motion parallax, and these patterns im-
DEPTH PERCEPTION 479

part different experiences of depth. The parallax field


most similar to that generated by binocular vision oc-
curs when an observer moves his head laterally to the
left or right. For example, if you fixate any object in a
scene and move your head laterally to the right, the
objects closer to the point of fixation appear to move
the left. whereas those farther than the fixation appear
to move to the right. The speed that a surface patch
moves relative to the point of fixation will increase as
distance from the fixation point increases. The differ-
ence in the relative velocities of objects is analogous to
the disparity differences generated binocularly. More-
over, just as binocular parallax generates features that
are visible in only one eye, motion parallax generates
features that appear (or accrete), and features that dis-
appear (or delete) behind occluding surfaces. This ac-
cretion and deletion of partially occluded objects pro- DEPTH PERCEPTION. Figure. 4. Necker cube.
vides compelling information about three-dimensional
structure. Motion parallax can therefore provide infor-
mation about relative depth in much the same way as
binocular disparity. will appear to rotate first one way and then the other
However, motion generates more than one kind of even when no changes occur in the physical rotation.
parallax field that imparts a sense of depth. When an The multistability of the KDE occurs because the mo-
observer walks through a three-dimensional world and tion information is consistent with two plausible recon-
loolts straight ahead, a global optic flow pattern is gen- structions of the three-dimensional world. This is just
erated: The entire visual field appears to expand and one of many examples where a depth cue is ambiguous
flow out of the point of fixation and around the ob- (see, for instance, the Necker cube in Figure 4).
server. Under natural conditions, this pattern of optic There are two main schools of thought about how
flow only occurs when an observer moves relative to a three-dimensional structure is recovered by our visual
his environment and therefore provides an unambigu- systems. One perspective assumes that the visual sys-
ous source of visual information about self-motion. In- tem acts as a kind of detective. Different visual cues
deed, when this flow pattern is reproduced in an arti- are independently measured. Each provides some evi-
ficial environment and shown to stationary observers, dence that is used to make an educated guess about the
an extremely compelling sense of self-motion through true three-dimensional structure. The need for such de-
a three-dimensional world is experienced. Note that this tective work arises from the underconstrained nature
type of parallax field is unique to motion: one eye of the two-dimensional image. Returning to the Necker
would have to be placed well in front of the other to cube (Figure 4), the two-dimensional image is consis-
generate a similar parallax field in binocular vision. tent with an infinite number of three-dimensional re-
In addition to the parallax generated by a moving alities. For instance, the lines that look like a cube could
observer, the relative motion of regions within a mov- actually represent a flat pattern on a page. To overcome
ing object can also provide information about relative this ambiguity, assumptions must be made about the
depth, even for stationary observers. The kinetic depth likely cause of a given image, and the different cues to
effect (or KDE) refers to the experience of depth gen- depth must be combined into a single, three-
erated by the relative motion of surface regions within dimensional representation.
an object. An example of this effect can be constructed The other school of thought asserts that depth per-
with the aid of a piece of white paper, a bright flash- ception does not rely on ambiguous cues in images
light (or projector), and wire (such as a paper clip). to recover depth. Rather, depth is recovered by directly
Bend the wire into a random three-dimensional shape, sensing complex relationships between optical proper-
hold it up behind the sheet of white paper, and use a ties that uniquely specify the three-dimensional rela-
flashlight to cast a shadow of the paper clip on the tionships between surfaces (Gibson, 1979).In this the-
paper. If you rotate the paper clip, this will create a oretical framework, the starting point of visual
two-dimensional image in which the portions of the processing is not the images formed on the eye, but
paper clip move with different velocities. Nonetheless, rather the three-dimensional optical structure formed
we are able to use the differential velocities in the image by the reflections of light from surfaces into the optical
to recover the shape of a three-dimensional object ro- media (air). This perspective assumes that our experi-
tating in depth. The shadow stimulus is ambiguous. It ence of depth arises from the presence of invariants
480 DERMATOLOGICAL DISORDERS

that have a one-to-one correspondence with the three- In a prevalence study conducted through the Health
dimensional structure of our environments. All that is and Nutrition Examination Survey of 1971-1974, it
putatively required is a system capable of sensing these was estimated that one third of the U.S. population had
invariant patterns: no visual detective work is needed. one or more significant skin conditions. Among the
Instead, the problem is to understand how nature most common complaints mentioned were psoriasis,
equipped us with sensors that respond directly to atopic dermatitis, acne, and contact dermatitis. One
these complex, invariant patterns. third of the respondents felt that their skin condition
posed a social handicap, and one tenth believed it af-
fected their employment or housework. In I992 there
Bibliography were a total of 29 million visits to dermatologists in the
United States: in addition, it was estimated that 18.3%
Anderson, B. L. (1994). The role of partial occlusion in of all visits to primary care physicians were for skin
stereopsis. Nature, 367. 365-368. complaints.
Anderson, B. L. (1997). A theory of illusory lightness and
Dermatological patients are extremely reluctant to
transparency in monocular and binocular images: The
role of contour junctions. Perception, 26 (4). 419-454. accept a referral to a mental health professional be-
Anderson, B. L., & Julesz, B. (1995). A theoretical analysis cause there is still a stigma associated with mental ill-
of illusory contour formation in stereopsis. Psychologi- ness and because such patients, by consulting a der-
cal Review, 102, 705-743. matologist, have defined themselves as having a
Clowes, M. B. (1971). On seeing things. Artgcial Intelli- medical, rather than an emotional or psychological, ill-
gence, 2. 79-116. ness (Koblenzer, 1987). A variety of studies has found
Huffman, D. A. (1971).Impossible objects as nonsense sen- that the incidence of psychological symptoms is higher
tences. Machine Intelligence, 6, 295-323. in dermatological disorders than in a normal popula-
Gibson, J. J. (1979). The ecological approach to visual percep- tion. It appears that depression, anxiety, and obsessive-
tion. Boston: Houghton Mifflin.
compulsive disorders are among the most common
Guzman, A. (1968). Decomposition of a visual scene into
symptoms. However. the exact type of psychological
three-dimensional bodies. In A. Grasselli (Ed.), Auto-
matic interpretation and classijkation of images. New disorder and the true prevalence of these disorders in
York: Academic Press. dermatological patients are still unknown. Much of the
Malik. J. (1987). Interpreting line drawings of curved ob- clinical literature suggests that the incidence of psy-
jects. International Journal of Computer Vision, I , 73-103. chological difficulties is higher among women, al-
Nakayama, K., & Shimojo, S. (1990). DaVinci stereopsis: though this is based on clinical treatment studies rather
Depth and subjective occluding contours from unpaired than true epidemiological data. Specific information on
image points. Vision Research, 30. 1811-1825. ethnic, racial, or age-related differences is rarely re-
Rogers, B., & Graham, M. (1982). Similarities between mo- ported.
tion parallax and stereopsis in human depth perception. Spitz (1g65), in his classic studies of institutionalized
Vision Research, 22, 261-270.
infants. found that early impairment in mother-child
Wallach, H., & OConnell, D. N. (1953). The kinetic depth
relationships led to an increase of infantile eczema. His
effect. Journal of Experimental Psychology, 45, 205-217.
work is an early example of a model postulating an
Barton L. Anderson interaction between biological vulnerability and envi-
ronmental stressors in dermatological disorders. Since
this early clinical observation, clinical research has
demonstrated that psychological disorders can lead to
DERMATOLOGICAL DISORDERS. The contribution an increase in dermatological disorders, and psycholog-
of psychological factors to dermatological disorders was ical disturbances can result from having a dermatolog-
first discussed by Wilson in his book about diseases of ical disorder.
the skin published in 1842. Modern psychosomatic re- Early theories for understanding the etiology and
search in dermatology began in the 1930s. when a course of psychocutaneous disease relied on psycho-
number of physicians wrote about the relationship be- analytic and behavioral models. Contemporary re-
tween specific skin diseases and unconscious conflictual search emphasizes the diathesis-stress model in which
and personality constellations (Koblenzer. 198 7). The genetically vulnerable individuals may develop derma-
psychological aspects of skin disease appear infre- tological diseases under stress due to allergies andlor
quently in the literature but this is slowly changing psychosocial stressors (Gatchel & Blanchard. 1993).
with the publication of specialty journals such as Psy- A classification of psychocutaneous disorders (Kob-
che and Cutis. However, what has been published con- lenzer, 1987) for use by clinicians includes three cate-
sists primarily of clinical case examples and theoretical gories: (a) conditions strictly psychological in origin
speculation, rather than systematic empirical and ex- (e.g., delusions as they relate to the skin, delusions of
perimental observation. parasitosis); (b) dermatological conditions in which psy-
D E SANCTIS, S A N T E 481

chological factors are purported to be involved in eti- preceded by an outline of the anatomy and physiology of
ology and maintenance ( e g , urticaria or hives): and the skin. London: J. Churchill. A difficult to obtain but
(c) those conditions dependent on genetic, environmen- interesting historical volume.
tal, and stress factors (e.g., acne, psoriasis, and eczema). Steven Friedman
Case studies have suggested the usefulness of be-
havioral treatment for a wide range of dermatological
disorders. Techniques such as relaxation training, bio-
feedback. and for child cases, behavioral procedures DE SANCTIS, SANTE (1862-1935), Italian psycholo-
such as noncontingent attention for scratching, have gist and psychiatrist. De Sanctis studied under Cesare
been utilized. These interventions are based on the Lombroso and Giuseppe Sergi but departed from their
speculation that emotional reactions in dermatological positions by adhering to the ideal of the philosophical
conditions may lead to altered autonomic activity re- impartiality of scientific inquiry. Referring to himself as
sulting in peripheral vascular changes, a lowering of a medical psychologist he maintained in his autobi-
itch thresholds, and the development of a vicious itch- ography that he was above all and essentially a phy-
scratch cycle. Behavioral procedures have been devel- sician (de Sanctis, 1936).
oped to combat different aspects of this theory. The clin- In 1899, de Sanctis founded the Asili schools for the
ical literature also has a number of reports on the use- assistance and social rehabilitation of mentally handi-
fulness of supportive and dynamic psychotherapy for capped children and adolescents. In 1905, he received
individuals suffering with dermatological disorders. the first chair in the history of Italian psychology in
In summary, there is a relatively large body of lit- experimental psychology. Then, for 25 years (1906-
erature implicating stressful life situations in precipi- I93I), he directed the Psychology Institute of the Fac-
tating or exacerbating dermatological disorders. The lit- ulty of Medicine of the University of Rome, dedicating
erature is marked by clinical case reports and himself to both teaching and research in various fields
theoretical speculation with very few well controlled of psychology. He introduced clinical and psychopath-
outcome studies. Dermatological disorders of all types ological methods through his contributions to general
can cause an untold amount of suffering for the af- and experimental psychology, educational psychology,
flicted. Psychological factors such as stress play an im- judicial psychology and criminology, the psychology of
portant role for a significant proportion of such indi- religion, and above all. psychotechnics and child psy-
viduals. An important new direction is to view chopathology. He strongly defended the autonomy and
dermatological disorders in a truly comprehensive di- the scientific status of experimental psychology. upon
athesis-stress model. Health psychologists are just be- which applied psychology and psychopathology should
ginning to answer some of the fundamental questions be founded. Yet it was in the field of psychotechnics-
that have long existed in the dermatological literature. grounded in vocational psycho-physiology and con-
Psychologists can have a major impact in the lives of cerned with the study of the human biopsychicalper-
countless individuals and. at the same time, contribute sonality-that de Sanctis, recognizing the importance
to an underqtanding of the relationship between psyche of mental tests, made significant contributions. He de-
and soma. vised a number of tests to assess the degree of mental
retardation in children and adolescents and promoted
the translation and the Italian adaptation of Binets
and Simons well-known test.
Bibliography
With his 1925 volume La neuropsichiatria infantile, de
Gatchel. R. J , & Blanchard, E. B. (Eds.). (1993).Psycho- Sanctis gave rise to the new discipline of child neuro-
physiological disorders: Research and clinical applications. psychiatry. In this work, he identified the dementia pre-
Washington, DC: American Psychological Association. cocissima syndrome and suggested a scheme for the
A state-of-the-art review of health psychology with a identification and classification of abnormal children
chapter on dermatological disorders. that Kraeplin acknowledged as a novel and relevant
Koblenzer. C. S. (1987). Psychocutaneous disease. New York: contribution.
Grune & Stratton. A comprehensive review by a leading In 1929,de Sanctis published a treatise on experi-
dermatologist-psychiatrist in this field that discusses mental psychology in two volumes-the first of its kind
disorders, theory, and treatment. in the history of Italian psychology. Written for Italian
Spitz. R . A. ( I 965). The first year of life: A psychoanalytic
scholars who wished to extend their knowledge of psy-
study 01 normal and deviant development of object rela-
tions. Madison, CT international Universities Press. A
chology in order to achieve practical results, the treatise
classic in the literature on human development. attempted to prove that it is possible to conceive a
Wilson, E. (1842). A practical and theoretical treatise on the modern, scientific and generally acknowledged psy-
diagnosis, pathology, and treatment of diseases of the skin, chology. De Sanctis thus advocated the necessary sep-
arranged according to a natural system of classification and aration of scientific psychology-an autonomous dis-
482 DESCARTES, R E N E

cipline by intent and method-from the philosophical


disciplines. In its attempt to create a scientific repre- Life and Works
sentation of human psychophysical activity, scientific Descartes was born at La Haye (later renamed Des-
psychology, de Sanctis further maintained, could not cartes), near Tours in the Poitou region of France. His
adopt a specific gnoseological perspective. mother died when he was 13 months old. He lived with
His unique attitude toward psychoanalysis and the his maternal grandmother before entering the newly
psychoanalytic movement should be emphasized. In established Jesuit college at La Fleche, where he studied
1899 he had, in fact, published his work I sogni, studi from 1606 to 1614. The standard curriculum included
clinici e psicologici di un alienista (Dreams: Clinical and grammar, rhetoric, literature, logic, mathematics, nat-
Psychological Studies of an Alienist), and he had con- ural philosophy, ethics, and metaphysics. In 1616, he
tinued extending and refining this theme in the follow- received a law degree from the University of Poitiers,
ing years, considering the Freudian innovations. Sante where he probably also studied medicine. Two years
de Sanctis had established a correspondence with Freud later, while traveling as a gentleman soldier, Descartes
in 1900, and he supported the growing Italian psycho- met the Dutch natural philosopher Isaac Beeckman,
analytic movement. He refused, however, to adhere to who kindled his interest in mathematical approaches to
the movement, seeking to defend his freedom of nature. He dedicated his first written work to Beeck-
thought. Nevertheless, he hoped that psychoanalysis man, the Compendium rnusicae (published posthumously
would officially become part of psychology and psycho- in Holland in 16jo), which was translated as Cornpen-
pathology, asserting that Freudism should be ac- d i m on Music (Rome, 1961).
knowledged in the history of the two disciplines.Hence, In November 1619, while in Germany, Descartes re-
in de Sanctiss view, experimental psychology would, corded three powerful dreams that he believed con-
after due consideration, control, test, or confute psy- firmed his quest for a new scientific system. During the
choanalysis by subjecting it to methodological, and 1620s, living in Paris, he discovered the sine law of
therefore comparable, observation, and perhaps even to refraction (also discovered by Willebrord Snel). He
pure experimentation. started a book on universal mathematics, which con-
tained examples from optics and also a rudimentary
theory of cognition and the senses, but abandoned the
Bibliography project in 1628. The incomplete draft was published as
Regulae ad directionern ingenii (Amsterdam, I ~ O I ) , or
De Sanctis, S. (1899). I sogni, stud clinici e psicologici di un
Rules /or the Direction of the Mind. In 1629, Descartes
alienista. Turin, Italy: Bocca.
moved to the Netherlands. where he lived for the next
De Sanctis, S. (1925). Neuropsichiatria infantile: patologia e
20 years, with frequent changes of address. That same
diagnostica. Rome: Stock.
De Sanctis, S. (1929). Introduzione alla psicologia sperimen- year his attempts to understand parhelia (appearances
tale. Scuola Positiva. of multiple suns) led him to expand his studies to all
De Sanctis, S. (1931). Visual apprehension in the maze be- of natural philosophy, including human physiology and
havior of normal and feebleminded children. Journal of sensory psychology.
Genetic Psychology. From 1629 to 1633, Descartes worked on Le Monde,
De Sanctis, S. (1934). Psicologia e psicopatologia. Rivista or The World. which was to comprise three treatises: on
di Psicologia. light (covering the physical world), on man (meaning
De Sanctis, S. (1936). In C. Murchison (Ed.), A history human beings in general), and on the soul. He had
of psychology in autobiography (Vol. 3, pp. 83-120).
nearly completed the first two treatises when, in 1633,
Worcester, MA: Clark University Press.
he learned of Galileos condemnation by the Roman
Nino Dazzi Catholic Inquisition. He abandoned these works and
they were published posthumously as Le Monde, ou Le
Truite de la Zumiere (Paris, 1664), translated as The
World, or Treatise on Light (New York, 1979). and
DESCARTES, RENE (I596-16 jo), French philosopher LHornme (Paris, 1664), translated as the Treatise of Man
and mathematician. Descartes attempted a total reform (Cambridge, Mass., 1972). The first work contained the
of philosophy, especially metaphysics and natural phi- elements of Descartess physics, including his theory
losophy (the science of all natural things). Drawing on that matter is constituted by small corpuscles of inert,
contemporary theory and his own dissections of animal extended stuff, varying only in size, shape, and motion;
parts, he advanced a speculative physiology of the his three general laws of motion, including an early
whole organism, including major vital, sensory, and statement of the principle of rectilinear inertia; and his
motor functions. In metaphysics he proposed that mind cosmological theory of the formation of the solar sys-
and body are distinct substances, a position subse- tem and the earth. The second work contained a spec-
quently known as mind-body dualism. ulative physiology of the human body, including the
DESCARTES, RENE 483

role of sensory stimulation in initiating and guiding ing to his dualistic position, some thoughts, such as
movements of the whole organism. acts of will or intellect, can occur without any brain
In ~ 6 3 7Descartes
, published, anonymously, his Dis- activity. Other thoughts, such as sensations or willings
cows de la mtthode (Leiden), or Discourse on the Method, of bodily motion, require that mind and brain interact.
which summarized the development of his philosophy Descartess metaphysical writings on mind focused
and described the need for hypotheses and empirical largely on the theory of cognition, especially on the
confirmation in natural science. It served as a preface means for achieving true cognition. He argued that the
to his essays. the Geometry, which applied algebraic most fundamental and secure knowledge is gained in-
techniques to geometrical problems, the Meteorology, dependently of the senses. Knowledge of geometry, of
which examined atmospheric phenomena, including ones own mind, and of an infinite deity were his par-
the rainbow, and the Dioptrics, which examined the adigm cases of purely intellectual cognition, devoid of
general properties of light and the physiology and psy- sensory content. He held such knowledge to be innate
chology of vision, including size and distance percep- in the sense that it is available to the intellect indepen-
tion. Descartess most significant metaphysical work dently of sensory experience, and he believed that in-
was the Meditationes de prima philosophia (Paris, 1 6 4 ~ ) , tellectual cognition can yield the fundamental tenets of
or Meditations on First Philosophy. It contained his cel- metaphysics and physics. But he did not think that all
ebrated inference from I think to I exist, offered as of science can be known independently of sensory ob-
an instance of certain knowledge, and his argument servation, nor did he consider sensory cognition to be
for mind-body dualism. generally deceptive or faulty. In the sixth of his Medi-
In 1644, Descartes published Principia philosophiae tations, and in parts I and 4 of the Principles. he de-
(Amsterdam). or Principles of Philosophy, summarizing scribed the function of the senses as providing guidance
his metaphysics and physics. During this time he re- for avoiding bodily harm and locating benefits. He also
tained interest in physiology and medicine, and worked wrote in the Discourse (part 4). Principles (part 4), and
on La Description du corps humain (published posthu- Letters (from 1637 and 1638) that sensory perception
mously in Paris in 1664), or Description of the Human was essential for testing alternative hypotheses in sci-
Bodg. The final work published in his lifetime, Les Pas- ence.
sions de lurne (Amsterdam and Paris, 1649), or Passions Descartes was notorious in the seventeenth century
of the Soul. was written in response to queries from for his claim that (nonhuman) animals are soulless ma-
Princess Elizabeth of Bohemia. It contained a general chines. He compared the animal body to a complicated
theory of the emotions, their physiological causes, hydraulic machine, driven by a rapidly moving, vapor-
functions, and relationships to one another, along with ous bodily fluid called the animal spirits. He held that
means for their control. In 1649, Descartes moved to the blood is heated in the heart and passes through the
Stockholm at the behest of Queen Christina of Sweden, arteries to all parts of the body, while its most subtle
and died of pneumonia the next year. His Lettres, pub- parts (material animal spirits) are filtered out in the
lished in three volumes (Paris, r657-1667), contained brain, where they are shunted into various nerves and
discussions of his philosophical, mathematical, and sci- ultimately cause muscles to inflate, grow taut, and con-
entific works, as well as much pharmaceutical and tract in length. He believed all animal behavior could
medical advice for his friends. be explained in these terms and applied the same purely
mechanical analysis to the human body. Contrary to
Mind and Psychology common doctrine, he maintained that bodily processes
As a theorist about mind, Descartes is best known for such as digestion and growth can be explained mech-
asserting that mind is wholly distinct from body. This anistically (in terms of matter in motion), and that
theory contradicted the dominant Aristotelian view of most sensory-motor processes can occur without men-
his time, according to which the soul is the animating tal intervention. In the Treatise of Man he described
and organizing principle of the body and all of its func- mechanisms for the reception of sensory stimulation.
tions, from digestion to rational discourse. The Aristo- the storage of sensory patterns in memory, the control
telian theory did not sharply divide physiological from of behavior to seek food and avoid danger, and learned
mental processes. Descartes postulated a strict division changes of behavioral pattern. Consonant with his hy-
of mind and body into distinct substances, each capable draulic theory, he postulated a clever sensory-motor
of existing independently of the other. He was the first control device in the brain. Famously, Descartes held
to articulate clearly the view that the mental is defined that the pineal gland (in the center of the brain) is the
by the contents of consciousness, so that pains, sen- seat of mind-body interaction, but he postulated that
sations, imaginings, present memories, acts of will, and the gland also serves to mediate between sensory and
intellectual thoughts are all part of a single domain, motor processes in a purely mechanical way. The ani-
which he called the domain of thought (by contrast mal spirits that inflate the muscles spew forth from the
with the domain of extension, i.e., of matter). Accord- pineal and make their way to the muscles through hol-
484 DESCARTES, RENE

low neural tubes (nerves were usually conceived as hol- wonder, love, hatred, desire, joy, and sadness. In a 1647
low tubes at the time). They enter one nerve or another letter to his friend Pierre Chanut he related adult emo-
depending on which nerves are open (Figure I). This, tions to prenatal and childhood associations between
in turn, depends on activity in the sensory portion of emotions and bodily functions, holding that joy, love,
the nerves. sadness, and hate were the only prenatal emotions. Be-
Descartes envisioned sensory functions to be carried fore birth, they were only sensations or very confused
out by thin fibrils running in neural tubes from the thoughts, because the soul was so attached to matter
sense organs to the surface of a cavity surrounding the that it could not yet do anything else except receive
pineal gland in the center of the brain. A pattern of various impressions from it. Some years later it began
activity at a sense organ-say, on the retina of the to have other joys and other loves besides those which
eye-causes motion in the nerve fibrils: this motion depend only on the bodys being in a good condition
causes the nerve tubes lining the central cavity to open and suitably nourished, but nevertheless the intellec-
in a corresponding pattein; animal spirits then flow tual element in its joys or loves has always been ac-
down the tubes and cause the muscles to contract in companied by the first sensations which it had of them,
one way or another, leading to a bodily motion, such and even by the motions or natural functions which
as pointing (Figure I). Descartes asserted that purely then occurred in the body (Descartes, Philosophical
mechanical changes in the brain can account for the Writings, vol. 3 , p. 308).
behavioral manifestations of learning and memory in Descartess theoretical commitment that all mental
both humans and animals. phenomena are conscious did not lead him to propose
Although Descartes described elaborate mechanical that we explicitly notice all our thoughts and mental
processes for the control of behavior, he held that hu- processes. As in the case of unnoticed perceptual judg-
man mental life cannot be explained in a purely me- ments, habitual or rapidly occurring emotional factors
chanical way but requires the postulation of an im- may go unnoticed.
material mental substance. In his view, mind was
necessary to explain three aspects of human psychol- Influence on Subsequent Psychology
ogy: conscious experience, general reasoning ability, Descartess work had the immediate influence in psy-
and linguistic ability. He accounted for conscious sen- chology of encouraging examination of the neural con-
sory experience through mind-body interaction at the ditions of sensory experience and other mental phe-
pineal gland, with the mechanical pattern caused at the nomena. An example of this influence is the discussion
pineal by sensory stimulation serving as the basis for of sensory perception and the moon illusion in Pierre
perceptual experience. In vision, the shape of the pineal Regiss Physique (Lyon, 1691) or Physics. Descartess
pattern leads to a corresponding imaged shape, and the mechanistic physiological approach to behavior helped
mechanical characteristics of the stimulation cause the inspire Julien La Mettries LHomme machine (Leiden,
experience of various colors. 1748). or Man a Machine (Indianapolis, 1994). In Sci-
To explain size and distance perception, Descartes ence and Culture, the nineteenth-century biologist Tho-
hypothesized purely psychophysical mechanisms, as mas Henry Huxley praised Descartes as a physiologist
well as judgmental processes. He called the use of con- of the first rank.
vergence to perceive distance natural geometry, since In the twentieth century, Descartes has been invoked
it involves determining the altitude of a triangle (the as both a hero and a villain. He was a hero for those
distance to an object) from two angles and the length committed to the reality of mental phenomena and the
of a side (the angles of convergence of the eyes, and need for mental explanations in psychology-even if
interocular distance). He postulated mechanical brain his admirers did not accept substance dualism. He was
correlates of accommodation and convergence that di- portrayed less favorably by those needing a symbolic
rectly cause the idea of distance in the mind and fur- target for an attack on mentalism and was sometimes
ther theorized that distance can be judged by relating as a pure metaphysician who had no interest in natural
image size to known size, and that sue can be judged science and who denied the need for empirical obser-
from image size and perceived distance (yielding size vation. More recently, his contributions to the rise of
constancy). Descartes later explained that such judg- modern science and his discussions of scientific method
ments occur rapidly and habitually, and so go unnot- have become more widely known.
iced (Meditations, Sixth Replies). Unnoticed judgments Descartess deepest and most lasting influence on
must nonetheless count as conscious for Descartes, psychology is twofold. First, he proposed that the con-
given his theoretical stance that all mental events are tents of consciousness reveal a unified domain of men-
conscious. tal phenomena, ranging from pains and tickles to ab-
In the Passions of the Soul, Descartes examined the stract thoughts. In effect, he discovered the concept of
physiological causes and mental expression of the emo- the mental as a unitary natural kind. Second, he ini-
tions. He divided the emotions into six primitive types: tiated a long tradition of explaining sensory-motor phe-
DESCARTES, R E N E 485

DESCARTES, RENE. Figure I. Sensory mo-


tor processes according to Descartes. Exter-
nal object ABC causes retinal pattern 1-3-5,
which is conveyed by the optic nerves to the
internal cavity of the brain at 2-4-6. Animal
spirits leaving pineal gland H from point b
proceed to point 4 and also into tube 8,
which leads to muscle 7, which the spirits
cause to inflate and contract, causing the
arm and finger to point at location B. When
animal spirits go from point c to tube 8. the
muscle is inflated so that the arm points at
C. The pineal flow from points b and c (and
intermediate points) causes the soul to expe-
rience external objects at B and C (and in
between). (From LHomme, 2nd edition.
1677, 104.1

nomena by appealing to physiological mechanisms and Oxford, England: Clarendon Press. Emphasizes the
processes. Thus he stands behind both the mechanistic scientific motivation and content of Descartess
and the mentalistic traditions in the history of modern work.
Hatfield, G. (1995).Remaking the science of mind: Psy-
psychology.
chology as a natural science. In C. Fox, R. Porter, & R.
Wokler (Eds.), lnventing human science (pp. 184-231).
Bibliography Berkeley, CA: University of California Press. Discusses
the reception of Descartess writings on mind and the
Cottingham. J. (Ed.). (1992). Cambridge companion to Des- formation of psychology as a natural science.
cartes. Cambridge: Cambridge University Press. Con- Hatfield, G., & Epstein, W. (r979). The sensory core and
tains many helpful interpretive essays, including a the medieval foundations of early modern perceptual
chapter on Descartess physiology and psychology. theory. lsis, 70, 363-384. Discusses Descartess theory
Cottingham. J. (Ed.). (1994). Reason, will and sensation: of perception in relation to its predecessors and suc-
Studies in Descartess metaphysics. Oxford, England: Clar- cessors.
endon Press. Huxley, T. H. (1884). Science and culture. New York: Apple-
Descartes, R. (1972). Treatise of man (T. S. Hall. Ed. & ton.
Trans.) Cambridge, MA: Harvard University Press. Rosenfield, L. C. (1940). From beast-machine to man-
(Original work published 1664.) Contains extensive an- machine: The theme of animal soul in French lvtters from
notations by Hall on Descartess physiology. Descartes to La Mettrie. New York: Oxford University
Descartes. R. (~984-1991). Philosophical writings (Vols. Press.
1-3. J. Cottingham. R. Stoothoff, D. Murdoch. & A. Voss, S. (Ed.). (1993). Essays on the philosophy and science
Kenny, Trans. ) Cambridge, England: Cambridge Uni- of Rene Descartes. New York: Oxford University Press.
versity Press. The standard translation, containing Wolf-Devine, C. (1993). Descartes on seeing: Epistemology
full or abridged versions of Descartess major philo- arid visuul perception. Carbondale, 11,: Southern Illinois
sophical and scientific works, and excerpts from his IJniversity Press.
letters.
Gaukroger. S. (1995). Descartes: An intellectual biography. Gary Hatfield
486 DESENSITIZATION

DESENSITIZATION. See Systematic Desensitization. glish translation the next year as Outlines of the History
of Psychology (1912). Dessoirs history, concurrent with
that of G. S. Brett, offered a comprehensive, erudite ac-
count of psychologys philosophical background and
DESPAIR. See Emotion. reinforced the idea held by many turn-of-the-century
psychologists that psychology was an established, re-
spectable field with fundamental connections to classi-
cal philosophy. Though many disagreed, most notably
DESSOIR, MAX (1867-1947), German psychologist. E. G. Boring, this is still the standard view of the history
Born in Berlin, the son of Ludwig Dessoir, a famous of psychology today. [See the biography of Boring.] Be-
classical actor, Dessoir attained a doctorate in philoso- yond this, Dessoir was deeply interested in psychic phe-
phy in 1889 at Berlin, a medical doctorate in 1892 at nomena and was credited by many-including himself
Wurzburg, and an assistant professorship in philosophy (Stuttgart, 1931. p. vii)-for introducing the term para-
at the University of Berlin in 1897, where he remained psychology (Ger. Parapsychologie) into psychology in
for over forty years. One of Wilhelmine Germanys elite 1889 to refer to events outside of ordinary mental ex-
academicians, he was a colleague of some of the most periences that can be studied systematically. He wrote
prominent German intellectuals of his time including extensively on such subjects throughout his career: his
Ernst Cassirer, Wilhelm Dilthey, and Georg Simmel. A last work, Das lch, Der Traum, Der Tod (Self, dream, and
prolific scholar equally sympathetic to philosophy. psy- death, Stuttgart, I947b), is concerned with, among
chology, history, and art, Dessoirs primary activities other things, the survival of bodily death. Yet few mod-
were teaching philosophy and system building in aes- ern parapsychologists cite him, as he was, regarding
thetics. In 1906 he established a journal, the Zeitschrit paranormal phenomena, a fierce though tolerant skep-
f u r Asthetik und allgemeine Kunstwissenschaft, and in tic.
1909 a professional society, the Gesellschaft f u r Asthetik
und allgemeine Kunstwissenschaft, both of which suc-
cessfully promoted the scholarly study of aesthetics and Bibliography
related psychological issues for many years. Dessoir was
an influential member of the intellectual establishment Dessoir, M. (1888). Bibliographie des rnodernen Hypnotis-
whose students entered all areas of German cultural rnus [Bibliography of modern hypnotism]. Berlin: C.
and academic life, including German psychology as it Duncker.
developed from a philosophical specialty to its autono- Dessoir, M. (1890). Das Doppel-Ich [The duplicate I]. Leip-
mous applied-scientific phase in the 1930s (Geuter, zig: E. Gunther.
1992). He suffered a complete interdiction of his schol- Dessoir, M. (1912). Outlines of the history of psychology (D.
arly activity by the Nazis in 1940, survived the war in Fisher, Trans.). New York: Macmillan.
Germany, and published his memoirs (1947a). Dessoir, M. (1931). Vorn Jenseits der S e e k Die Geheirnwis-
senschaffen in krifischer Betrachtung [From the far side
Dessoirs influence on American psychology was less
of the soul: A critical examination of the occult]. (6th
direct than that of his contemporaries. The relatively ed.). Stuttgart: F. Enke.
few American psychologists who studied at Berlin pre- Dessoir, M. (1947a). Buck der Erinnerung [Memorysbook].
ferred his more experimentally oriented colleagues. His (2nd ed.). Stuttgart: F. Enke.
aesthetics, largely descriptive and based on ideas of Dessoir. M. (1947b). Das lch, Der Traurn, Der Tod [Self,
classic beauty, receded into the background in an era dream, and death]. Stuttgart: F. Enke.
in which revolutionary art movements succeeded each Geuter, U. (1992). The professionalization of psychology in
other almost yearly. Other German psychologists who Nazi Germany. New York: Cambridge University Press.
proposed explicit explanatory mechanisms for aesthetic Hilgard, E. (1987). Psychology in America: A historical sur-
experience, for example Lipps or the Gestalt psycholo- vey. San Diego. CA: Harcourt Brace Jovanovich.
gists, fared better with functionalist Americans. Dessoir David C. Devonis
began his career by publishing on then-fashionable top-
ics, a bibliography on hypnosis (1888) followed by a
study of dissociation (1890). But he soon turned to-
ward philosophy while, at the same time, American in-
terest in hypnosis began to wane (Hilgard 1987). Prob- DETERMINANTS OF INTELLIGENCE. [This entry
ably his most important influence on American comprises six articles:
psychology was his history of German psychology (Ges- Heritability of Intelligence
chichte der neueren deutsche Psychologie, Berlin, 1894) Socialization of Intelligence
whose shorter version in 1911, the Abriss einer Geschi- Culture and Intelligence
chte der Psychologie (Heidelberg, 1911)appeared in En- Schooling and Intelligence
DETERMINANTS O F INTELLIGENCE: Heritability of Intelligence 48 7

Teaching of Intelligence child's vocabulary. On the other hand, parents who


Nutrition and Intelligence have large vocabularies could pass along genes that al-
For discussions related to intelligence, see also Drugs and low their children to acquire large vocabularies. Unless
Intelligence; Intelligence: and Measures of Intelligence.] environmental and genetic sources of variation are ex-
plicitly identified, it is not possible to determine which
of these alternatives is correct. In the history of psy-
Heritability of Intelligence
chology, failing to separate genetic and environmental
Heritability ( h 2 )is the proportion of phenotypic vari- sources of variation is one of the most frequent and
ance in a population attributable to genetic variation. serious errors made. This error partly explains why the
Narrow heritability (hw2)is the proportion of pheno- nature-nurture issue has been such a persistent debate.
typic variance due to additive genetic variance. Narrow When heritability is assessed, it is possible to identify
heritability indexes genetic variability that breeds true two broad sources of environmental influence. The first
and is of most use to agricultural breeders. Broad her- type is environmental influences common to a partic-
itability (hB2) includes all sources of potential genetic ular family. These influences are the same for all mem-
variability and is the indicator of greatest interest in bers within a family, but differ across families and are
the behavioral sciences. Discussion here will be con- called between-family or common environmental influ-
fined to broad heritability. ences. They make members of a family more alike. The
Figure I is a diagram of potential sources of genetic second type of environmental influence is called unique,
and environmental variance. The phenotype refers to specific, or within-family environmental effects. These in-
any measurable characteristic like height or intelligence. fluences make family members different and arise from
For many psychological phenotypes, error of measure- unique experiences specific to a single family member.
ment can be substantial and will reduce estimates of Two other sources of variation can be identified.
heritability. Genotypic variation is due to differences in These are the interaction or correlation of genetic and
our genes. The 23 pairs of human chromosomes are environmental influences. The first of these is a geno-
composed of genes, which can be thought of as individ- type by environment interaction. Certain environments
ual packets of information that code the genetic portion may be more favorable to specific genotypes. For ex-
of our phenotype. Humans are estimated to have ample, dairy cows bred over many generations for milk
~oo,ooogenes and half of those may be involved in production in Wisconsin will not be outstanding milk
brain function. Genetic variation exists because each producers when they are moved to Texas because of
gene has alternate codes, called alleles, which occur with differences in grass characteristics in the two places.
different frequencies in a population. New alleles can The second potential source of variation is the covari-
arise through the process of mutation, which is one way ance or correlation of the genotype and environment.
of ensuring genetic variation in a species. Tall boys in the United States may be more likely to
Genetic variance can be divided into two main cat- seek out opportunities to play basketball than short
egories: additive and nonadditive. Additive genetic var- boys, thereby providing themselves with better environ-
iance is the phenotypic result of all of the simple, ad- mental chances to become good at basketball.
ditive effects of the alleles. Nonadditive genetic variance
is the interactive effects of dominance and epistasis. How Is Heritability Measured?
The two alleles of a gene at homologous sites on paired One way of estimating heritability would be to know
chromosomes may have an effect beyond what would which genes contribute to intelligence, allowing exact
be predicted from each allele alone. This is known as specification of an individual's genotype. This is within
dominance. Iipistasis is similar to dominance except the the realm of possibility but still far from reality. Of the
alleles that affect each other are at different locations many genes that could potentially affect intelligence,
on the chromosome. one has been identified (Chorney et al.. 1998). The
One of the most important reasons for understand- gene, IGF2R on chromosome 6, is for insulin-like
ing the genetic contribution to a trait is to separate it growth factor-2 receptor. It was identified by showing
unambiguously from the environmental contribution. that frequencies of the alleles at the location of this
For example. a child's vocabulary has been related to gene were different in people of high and average in-
the parents' vocabulary (the words a child hears and telligence. Though this result is very encouraging, it
books in the home are among other variables). Al- will take some time to identify directly all the genes that
though such studies are useful for descriptive purposes, make major contributions to intelligence.
it is impossible to tell what the cause of vocabulary Current estimates of heritability are less direct than
development is without explicitly separating environ- identifying the specific genes involved. Because each off-
mental from genetic causes. What the child hears, how spring receives half of its genes from each parent. the
often the child is read to, and other assumed environ- expected genetic relationship of individuals can be es-
mental variables could be the only determinants of the timated. This knowledge of genetic similarity, along
488 DETERMINANTS O F INTELLIGENCE: Heritability of Intelligence

DETERMINANTS OF INTELLIGENCE: Heri-


tability of Intelligence. Figure I. The puzzle
of nongenetic variance. A representation of
total phenotypic variance into potential
components,.These components can be esti-
mated using quantitive genetic technique.
(Modified from Jensen, 1997. Copyright 1997
by Cambridge University Press.)

with some special situations like adoption and twins, when persons with similar genetic heritage are raised
allows an estimate of heritability. If a trait like intelli- in different environments. Monozygotic twins reared
gence is heritable, the more closely individuals are re- apart are an important example of the adoption
lated, the more similar they should be on the trait. By method. Since adopted monozygotic twins share all of
correlating scores on the trait, it is possible to compare their genes in common, any similarity between them
the correlation actually obtained to what would be ex- can only be due to genetic differences (or selective
pected from predictions based on genetic similarity. placement, which, at least in more recent studies, is
Specgcally, siblings, who have the same parents, carefully measured). The phenotypic correlation be-
will, on average, have half their genes in common. tween monozygotic twins provides a direct estimate of
Since each child gets a random half of the parents heritability. Monozygotic twins reared apart are rare;
genes, it is only possible to say that siblings will have fewer than zoo cases have been reported in the litera-
an average of half their genes in common. They could ture.
have anything from all genes in common to no genes Nonadditive sources of variation can be estimated
in common but, on average, would share half. Similarly, with studies of inbreeding depression and hybrid vigor.
hal-siblings would share one quarter of their genes When genetically related individuals like cousins mate,
and cousins would share one eighth of their genes, on they are more likely to have similar genes including
average. deleterious recessive genes. The offspring of related in-
A very special case is monozygotic or identical twins. dividuals are, therefore, more likely to have two genes
Because they result from a single egg and sperm, mon- that together produce a negative effect on the trait, re-
ozygotic twins are genetically identical. On the other ferred to as depression. Outbreeding produces just the
hand, dizygotic or fraternal twins each result from a opposite effect. If members of two formerly indepen-
separate egg and sperm and are no more genetically dently breeding groups mate, there is a lowered prob-
similar than other siblings. A comparison of the cor- ability of matching two deleterious genes and there will
relations between monozygotic and dizygotic twins on be a positive effect on the trait in their offspring, called
a trait can be used to obtain a rough estimate of her- hybrid vigor. Both inbreeding depression and hybrid
itability. Broad heritability is about twice the difference vigor are known to exist for intelligence, providing ev-
in the correlation between monozygotic and dizygotic idence for nonadditive genetic effects.
twins. Although estimates of heritability can be obtained
Obviously, siblings who have been raised in the same from monozygotic twins reared apart, a comparison of
home not only share genes in common but share a monozygotic and dizygotic twins, or almost any other
common environment. An important control for envi- genetic relationship, the best way to obtain an estimate
ronment is adoption. Children adopted away from their is through model fitting. The models used are complex
biological parents early in life show what happens and beyond the scope of this discussion. The advantage
DETERMINANTS O F INTELLIGENCE: Heritability of Intelligence 489

of these mathematical models is that they use all avail-


able data and include most, if not all, of the factors
that can affect estimates of heritability.
Predictions assume random mating, but people mate
nonrandomly for intelligence. Individuals select mates
of similar intelligence and this phenomenon is known
as assortative mating; typically, the correlation between
mates is . 3 3 . When significant assortative mating oc-
curs and is not controlled for, estimates of heritability
will be inflated.

What Is the Evidence Regarding


the Heritability of Intelligence?
Bouchard and McGue (1981) compiled all the worlds
DETERMINANTS OF INTELLIGENCE: Heritability of In-
literature on the correlation of IQ for genetically related
telligence. Figure 2 . The distribution of environmental
individuals either raised in their family environment or
and genetic sources of variation for siblings obtained by
adopted away. There were more than 200 studies in-
model fitting.
cluding over 50,000 pairs of individuals of various re-
lationships surveyed. Some average correlations were:
monozygotic twins raised together (.86), monozygotic
twins raised apart (.72), dizygotic twins raised together
(.60), siblings raised together (.47), single parent-
Bouchard and McGue (1981) were heavily weighted
offspring together (.42), adopted-biological siblings with children and adolescents. When examined by age,
reared together ( . z g ) and
, adopting parent-adopted sib- heritability is found to increase substantially in adult-
ling (.rq). The ordering of these correlations is strongly hood, approaching .80. This increase in heritability of
suggestive that intelligence is a heritable trait. Doubling intelligence is accompanied by a decrease in common
the difference between the correlation for monozygotic environment to levels approaching zero. This finding
and dizygotic twins [2(.86-.60)] produces a heritability makes sense because, when young adults leave home,
of .52. This is lower than the .72 estimate obtained family environment should have decreasing impact.
The increase in heritability with age confirms the old
from monozygotic twins raised apart, but most individ-
saying that we become more like our parents as we
uals in that group were adults when tested.
Chipuer, Rovine, and Plomin (1990) used Bouchard grow older. At the other end of the age range, herita-
and McGues ( 1 9 8 ~compilation
) of data to fit a mul- bility of IQ for children under six is close to .40, with
tivariate genetic model, simultaneously accounting for common environment also being about .40. At all ages,
assortative mating, nonadditive and additive genetic ef- unique environmental influences are constant at about
.20.
fects. and common and unique environmental influ-
ences. Figure 2 shows the results for the best-fitting
model for siblings. Broad heritability (the sum of ad- What Heritability Is and Is Not
ditive and nonadditive genetic components) is .51. Al- Some cautions must be kept in mind when interpreting
though this is probably the best single estimate of her- any estimates of heritability. Heritability does not mean
itability. nearly all other results can be characterized as fixed or unchangeable. If conditions change. heritability
finding heritabilities between .40 and .80. Intelligence can change. Furthermore, genes turn on and off during
appears to be the most heritable of all psychological the course of development. Heritability does not apply
traits. to a particular individual. It is a population average
and, like all averages, there may be no person in the
Is Heritability Different for population who exactly represents that average. A her-
Different Groups? itability of .51 cannot be interpreted as meaning that
Since heritability is a population estimate, the herita- a particular persons intelligence is 51% due to genetic
bility obtained will depend on the population used. Her- influences.
itability is not necessarily fixed and unchangeable. It is Even with these caveats, heritability is an extremely
important to remember that heritability reflects the important statistic. It provides a map of the terrain that
particular conditions that exist in a particular popula- must be explored to know what causes differences in
tion at a particular time. When conditions change, her- intelligence. It also provides a methodology for the ex-
itability can change, plicit identification of various sources of variance, both
Is there any evidence that heritability actually does genetic and environmental. In the future, the genetic
change for intelligence? The studies summarized by methods used to estimate heritability may find their
490 DETER MI N A N T S OF I NTE LLI G E N CE : Socialization of Intelligence

most important application in the identification of en- tellectual development and context provides the fuel
vironmental variables that affect intelligence. Currently, and steering wheel to determine how far and in what
there are few environmental variables that have been direction it goes (1994. p. 404). This article considers
unambiguously identified as affecting intelligence, al- the ways in which childrens social context (e.g., fam-
though it is known that common and unique sources ilies, schools, and cultural groups) facilitates and hin-
of environmental variance contribute to its develop- ders their intellectual development.
ment.
Family Influences
Acknowledgments. Parts of this work were supported by Two major approaches have been employed to examine
Grant No. HDo7176 from the National Institute of Child parental influences on childrens intellectual develop-
Health and Human Development, Office of Mental Retar-
ment. One approach has been to study specific aspects
dation.
of parental beliefs and behaviors and their relations to
childrens performance on cognitive tasks thought to be
directly related to those aspects of parenting (e.g., the
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families interacted with their young children and the
In R. J. Sternberg & E. L. Grigorenko (Eds.), Heredity,
intelligence, and environment (pp. 42-88). Cambridge, relations between parenting and childrens language
England: Cambridge University Press. A brief review of learning, and IQ. The young children were observed for
behavior genetics and speculation on sources of non- one hour every month from the time they were 6
genetic variance. months old until they were 3 years old. Multiple aspects
Jensen, A. R. (1998). The gfactor: The science of mental abil- of parenting were assessed including (a) the diversity
ity. Westport, CT Praeger. A comprehensive review of of parent language (e.g., number of different words
the literature on general intelligence including a dis- spoken by parent during an hour): (b) the affective
cussion of behavior genetics and intelligence. quality of the parent-child interactions (e.g., expres-
Plomin, R., Defries, J. C., & McClearn. G. E. (1990). Behav- sions of approval): (c) the emphasis parents placed on
ioral genetics: A primer (2nd ed.). New York: Freeman. telling children about objects and events: (d) the ways
A general introduction to behavior genetics, including
in which parents prompted and corrected childrens be-
modeling.
Plomin, R., & McClearn, G. E. (1993). Nature, nurture, and haviors: and (e) parents responsiveness to the child.
psychology. Washington, DC: American Psychological Using very specific, detailed descriptions of parent be-
Association. A discussion of behavior genetics and en- haviors with their children over a long period of time,
vironment. Hart and Risley were able to highlight the cumulative
difference in parenting behaviors. For example, there
Douglas K . Detterman
was a vast range in the amount the parents talked to
the child from a low of about 50 utterances per hour
to a high of approximately 800 utterances per hour
Socialization of Intelligence
when the children were I I to 18 months of age. In
From the 1960s through the 1980s, the major ap- addition, the amount the parent talked to the child
proaches to understanding intellectual development when the child was an infant was highly correlated
emphasized basic cognitive processes with little atten- with the amount the parent talked to the child at age
tion to the content or context of cognitive processing. 3 (r = .84). This consistency in parenting behavior
In the late 1980s, however, theories of intellectual de- leads to a cumulative difference in childrens environ-
velopment began to consider seriously the influence of ments. If a child hears 50 utterances an hour for an
context on cognition (e.g., Ceci; 1990, Rogoff, 1990; average of 14 waking hours per day, that child will be
Sternberg, 1985). Stephen J. Ceci, a prominent cognitive exposed to about 700 utterances each day. On the other
psychologist, suggested that the basic psychological hand, if parents address their child 800 times per hour,
and biological processes are the engines that drive in- the child will hear more than 11,000 utterances each
DETERMINANTS O F INTELLIGENCE: Socialization of Intelligence 491

day. Hart and Risley argued that cumulative differences contribution to their childrens development. Some re-
in parenting behaviors can lead to profound differences searchers have used measures of parents intelligence
in childrens intellectual development. They found, for (e.g., IQ scores) to take parents genetic contribution
example, that (a) greater diversity in parents language into account. Studies examining the relations among
was associated with more rapid growth in childrens childrens intelligence, home environment, and mater-
vocabulary: (b) more positive affect during parent-child nal intelligence have yielded mixed results. Luster and
interactions was associated with higher IQ scores at age Dubrow (1992), however, demonstrated that when mul-
3: and (c) the ways in which parents guided and cor- tiple aspects of the home environment are measured
rected their childrens behavior were related to chil- and children are assessed at younger ages (i.e., when
drens 10 scores. In a regression analysis, the five as- the home environment should have a stronger influ-
pects of parenting were able to account for 59% of the ence on intellectual performance relative to other ex-
variancz (or individual differences) in childrens IQ periences, such as school), then home environment
scores. When the children were in third grade, 29 of predicts childrens cognitive performance after control-
the original children were given language development ling for mothers IQ scores. Their work provides evi-
tests. Parents interactions with their children at ages dence that parenting influences childrens intellectual
I and z were related to childrens language develop- development beyond what is explained by genetic in-
ment at ages g and 10. By third grade, family socio- heritance.
economic status (SES) explained 30% of the variance
in childrens language scores. In contrast, parenting Educational Influences
variables accounted for 61% of the variance in lan- Developmental psychologists have posited that quality
guage scores. This study demonstrates that the lan- and amount of schooling help explain individual dif-
guage environment that surrounds the child during the ferences in intelligence test performance. and that
first three years of life can have long-term conse- schooling shapes the way individuals reason about in-
quences for the childs verbal ability. formation. Both arguments are discussed below. (For
Studies examining the relations between parenting excellent reviews of this research, see Ceci, 1990, and
style and childrens development take a broader view Rogoff, 1981.)
of the nature of parenting. Parenting style is an anal- Researchers have consistently found strong correla-
ysis of parenting behavior including discipline, respon- tions between IQ scores and years of schooling. Some
siveness to child. structure, and warmth with child. De- have interpreted these correlations to mean that people
velopmental researchers have found that parenting with higher intelligence are better able to complete
style is related to childrens intellectual development. In more years of education: others have argued that more
studies with children and adolescents, researchers have time in school boosts IQ scores. Whereas no single
found that authoritative parenting (a parenting style in study has definitively resolved this debate, consideration
which parents have high expectations for their chil- of multiple types of studies provides sufficient evidence
dren, cultivate warm, nurturing relationships with to argue that educational context affects intellectual de-
their children, and help develop childrens autonomy) velopment.
is associated with higher performance on cognitive
tasks and school achievement. I. Swedish psychologists, for example, have capitalized
on mass IQ testing of children in third grade and
The Home Observation for Measurement of the En-
subsequent IQ testing of young men in military
vironment Inventory (HOME) is another widely used
service. When third-grade IQ scores and SES were
global assessment of parenting and the home environ- controlled, men who had more years of schooling
ment. It measures multiple dimensions of the home en- had higher IQ scores.
vironment including maternal responsiveness to child, 2 . Comparisons of children whose birthdays were im-
maternal acceptance of child, provision of appropriate mediately before and after their school entry cutoff
play materials for the child, language stimulation, and dates have shown that children who have had one
encouragement of social maturity. Several researchers year more schooling by a given age (e.g., age 8) have
have found that scores on the HOME inventory are re- higher IQ scores than their peers who just missed
lated to childrens current and subsequent cognitive the school entry cutoff date.
performance. For example, Bradley, Caldwell, and Rock 3. A consistent finding over several studies is that IQ
scores drop after summer vacation, particularly for
(1988)found that HOME scores taken when children
low-income children. Researchers have hypothesized
were 2 years old were related to childrens school
that the drop occurs primarily for low-income chil-
achievement test scores at age 10. dren because their summer activities are least likely
Finally, strong correlations between parenting and to be related to academic tasks.
childrens cognitive performance are not necessarily the 4. Studies in the mid-1900s documented that when
result of what parents do with and for their children. African American families migrated to northern
The correlations may be a function of parents genetic cities, childrens IQ scores rose relative to their
492 DETERMINANTS O F INTELLIGENCE: Socialization of Intelligence

southern peers. Researchers attributed the im- questions you need knowledge (p. 138). For those Rus-
provement in test scores to differences in quality of sian peasants, the social context of an experimental
schooling. interview simply did not permit them or help them to
5. Finally, studies in the early rgoos of children who ask questions. Whether or not those adults had a role
had little or no schooling (e.g., children of gypsies
in their society in which they spontaneously sought in-
in Great Britain, children raised in isolated com-
formation from authority figures was unclear. What-
munities in the Blue Ridge Mountains of the
United States) have shown that the average IQ ever the case, in the strange social context of an ex-
scores of younger children (4 to 6 years old) were perimental interview in which the researcher asked
only a little below normal (e.g., IQs of 90), but the them to perform odd tasks for no apparent reason, the
average IQ scores of older children dropped to the social expectations and behaviors the peasants carried
retarded range (e.g., IQs of 60). Psychologists have with them from their everyday social contexts did not
maintained that the lower IQ scores of the older give them the clues to decipher and comply with the
siblings reflect the cumulative effect of the lack of experimenters request.
schooling. Finally, a series of cross-national studies by Harold
Stevenson, an American developmental psychologist,
Taken together, these data provide evidence that
and his colleagues highlights the impact that differ-
time in school affects childrens intellectual develop-
ences in cultural values, home environment, and
ment as measured by IQ tests.
schooling have on childrens intellectual performance.
Researchers have also argued that formal schooling
Based on their comparisons of students from multiple
develops specific types of cognitive abilities. In a critique
nations (e.g., Chen. Lee, & Stevenson, 1996; Stevenson
of research on the impact of education on intellectual
et al., I990), Stevenson and his colleagues posited a
development, Rogoff (1981) suggested that among
cultural-motivational theory of academic achievement.
other skills, formal education improves childrens abil-
They proposed that a general cultural emphasis on ed-
ities to memorize unrelated pieces of information, to
ucation and a general cultural belief in the importance
organize objects according to taxonomic rules rather
of effort in intellectual achievement, as opposed to in-
than functional rules, to interpret two-dimensional
nate ability, create an environment in which children
drawings, and to do Piagetian formal operational prob-
develop a high level of motivation and achievement-
lems. Schooling provides experience and practice in
related behaviors, which in turn yield better intellectual
specific types of problem solving. The importance of
performance. These cultural beliefs are translated into
these skills depends on their relation to the types of
specific parenting and educational practices that affect
problems children encounter outside school and later
intellectual development. For example, in a study of
on as adults. Much cognitive research today focuses on
first-grade children in the United States, Japan, and Tai-
individuals ability to transfer skills learned in one set-
wan, U S . children did not do as well in math as the
ting (e.g., school) to other settings (e.g., work).
East Asian children did. However, there were virtually
no overall differences among the three groups on basic
Cultural Influences cognitive tasks (e.g., spatial reasoning, perceptual
Cultural context shapes intelligence in a multitude of speed, and verbal memory), and in reading, the US.
nontrivial ways. In a review of research on cultural children did better than Japanese first graders did, but
influences on intellectual development, Okagaki and not as well as the Chinese students. Thus, although
Sternberg (1991)concluded that cultural context func- basic cognitive abilities, such as perceptual speed, did
tions in four ways to shape intellectual development: not differ across groups, their performances on math
(a) provides the content-the objects and ideas-of our and reading tests did. Aside from providing evidence
thinking; (b) sets the functions or ways in which these that the amount and type of school instruction in math
ideas and objects are normally used; (c) establishes the and reading contributed to these differences, Stevenson
social contexts in which ~e act and shapes our expec- and his colleagues maintained that parents beliefs af-
tations within these settings: and (d) specifies what con- fected childrens performance. U.S. parents were more
stitutes an acceptable answer. A classic cross-cultural satisfied with both their childrens schooling and with
study conducted by Alexander Luria (1976), a Russian their childrens performance than were other parents.
psychologist, demonstrates one of the ways social con- When the children were in eleventh grade, a Io-year
text shapes intellectual performance. In the 1930%Lu- follow-up was conducted. In all three countries, chil-
ria presented a variety of cognitive tasks to groups of drens home environment during first grade (including
Russian peasants. One task called for the individual to parental involvement in childs learning and overall
generate spontaneously three questions on any topic. home intellectual environment) was positively corre-
Of the 21 illiterate peasants, 13 politely refused to ask lated with eleventh-grade math, reading, and general
any question: I cant imagine what to ask about-I knowledge test scores. These cross-national studies
only know about spadework, nothing else. . . to ask bring together the multiple influences of parenting, ed-
DETERMINANTS O F INTELLIGENCE: Culture and Intelligence 493

ucation, and culture on childrens cognitive develop-


Culture and Intelligence
ment.
The adaptation of the human species relies on trans-
formation of the natural environment by means of cul-
Bibliography ture accumulated over the course of history. As a result
of their different social histories, human groups around
Bradley, R. H., Caldwell, B. M., & Rock, S. L. (1988).Home the world vary considerably in the particular system of
environment and school performance: A lo-year practices, artifacts, and symbols that makes up their
follow-up and examination of three models of environ- culture. Cross-cultural variation is thus related to in-
mental action. Child Development, 59, 852-867. telligence in several ways: as a system of meanings,
Ceci, S. J. (1990). On intelligence. . . more or less: A bio-
each culture informs the way in which intelligence is
ecological treatise on intellectual development. Englewood
Cliffs, NJ: Prentice Hall. Includes discussionsof the roles conceptualized; as a nurturant environment for per-
of heredity and environment in shaping intelligence. sonal growth, it places particular demands on the de-
Ceci. S. J. (1994). Contextual trends in intellectual devel- velopment of an individuals intelligence; and as a
opment. Developmental Review, 1 3 ~403-435. forum, each culture frames its own debates about the
Chen, C., Lee, S., & Stevenson, H. W. (1996). Long-term significance of intelligence in terms of a particular set
prediction of academic achievement of American, Chi- of topical concerns.
nese, and Japanese adolescents. Journal of Educational The web of meanings that informs peoples lives in
Psychology, 18, 750-759. a given community defines the cluster of mental char-
Hart, B., & Risley, T. R. (1995). Meaninaful differences in the acteristics that qualify for the designation intelligent. In
everyday experience of young American children. Balti- contemporary, industrialized societies, intelligence is
more: Paul H. Brookes.
strongly associated with individual excellence on liter-
Luria. A. K. (1976). Cognitive development: Its cultural and
social foundations (M. Lopez-Morillas & L. Solotaroff, ate, mathematical, or scientific tasks emphasized by ac-
Trans., M. Cole, Ed.). Cambridge, MA: Harvard Univer- ademic curricula. However, in a community without
sity Press. Luria, a Russian psychologist, provided clas- schools, those indicators have no indigenous meaning.
sic examples of the way in which cultural context Several studies in subsistence, agrarian societies of Af-
shapes individualsthinking. rica have found that indigenous conceptualization of
Luster, T.. & Dubrow, E. (1992). Home environment and intelligence focuses on social productivity, and cognitive
maternal intelligence as predictors of verbal intelli- alacrity is only valued as a mental trait when it is re-
gence: A comparison of preschool and school-age chil- sponsibly applied to benefit society.
dren. Murill-Palmer Quarterly, 38, 151-175. Even within the United States, members of the gen-
Okagaki. I,.. & Sternberg, R. J. (1991). Cultural and paren-
eral public generally place greater emphasis on social
tal influences on cognitive development. In L. Okagaki
competence in their conceptions of intelligence than do
C(r R. 1. Sternberg (Eds.), Directors of development: Influ-
entrs on the development of childrens thinking (pp. IOI- expert researchers, as reflected in published theories,
120). Hillsdale, NJ: Erlbaum. standardized tests, and responses to surveys. Alterna-
Rogoff, B. (r98r). Schooling and the development of cog- tive theories responding to this challenge have proposed
nitive skills. In H. C. Triandis & A. Heron (Eds.),Hand- a distinction between the normative view of academic
book of cross-cultural psychology: Developmental psychol- intelligence and other dimensions such as practical, so-
ogy (Vol. 4, pp. 233-294). Boston: Allyn & Bacon. cial, or emotional intelligence. Critics object that this
Rogoff, B. (1990). Apprenticeship in thinking: Cognitive de- obscures important technical distinctions between cog-
velopment in social context. New York: Oxford University nition and motivation, between ability and disposition,
Press. A sociocultural approach to understanding cog- and between general competence and special talents.
nitive development.
But the popularity of these texts suggests that they res-
Steinberg, L., Dornbusch, S. M., & Brown, B. B. (1992).
onate with widely held preoccupations of contempo-
Ethnic differences in adolescent achievement: An eco-
logical perspective. American Psychologist, 47, 723-729. rary Western culture.
Sternberg, R. J. (1985).Bpyond IQ: A triarchic theory of hu- According to Piaget, intelligence is a state of equi-
man Intelligence. Cambridge, England: Cambridge Uni- librium in which understanding approximates closely
versity Press. This theory brings together information- to the world as it really is, which the developing indi-
processing. psychometric, and contextual views of vidual gradually constructs over time through active
intelligence. exploration and experimentation. This extremely influ-
Stevenson, H. W.. Lee. S., Chen, C., Stigler, J. W., Hsu, C., ential theory rests on several philosophical premises
& Kitamura, S. (1990). Contexts of achievement: A that have purchased for Western science a certain clar-
study of American, Chinese, and Japanese children. ity at the expense of other types of understanding: a
Monographs of the Society for Research in Child Develop-
dualistic separation of mind from body, prioritization of
ment. 55, (1-2, Serial No. 221).
detached contemplation over emotional and moral en-
Lynn Okagaki gagement, a mechanistic orientation. and a teleological
494 DETERMINANTS OF INTELLIGENCE: Culture and Intelligence

theme of progress toward an ideal end state. Given this within which those functions were conceptualized. The
sociohistorically situated character of Piagets theory, pioneering design of intelligence tests was constrained
critics have questioned whether the cognitive stages he by considerations of speed, affordability, simplicity, and
described mark a process of substantive discovery and reliability. Background assumptions included the age-
enlightenment about the world as it is, or rather the graded school curriculum of institutionalized public ba-
progressive assimilation of a particular cultural per- sic schooling, so that intellectual aptitude was indexed
spective on the interpretation of experience. in a manner that corresponded closely with scholastic
Empirical investigations designed to assess the cross- precociousness. Thus, individuals introduced to literacy
cultural validity of Piagets theory have generally rep- at a relatively late age, and/or socialized in a cultural
licated the basic sequence of stages that he postulated, tradition that places a lower premium on speed, may
but the rate at which children progress from one stage appear relatively incompetent on these tests.
to the next is highly variable across cultures. Indeed, In the early 1970s a great debate erupted in the
even the stage of concrete operations, characteristic of forum of American society about the degree to which
eight-year-olds in Geneva, was not found among a ma- an individuals intelligence is open to influence by ed-
jority of the adults tested in several less industrialized ucational and other cultural experiences, and to what
countries. More precisely focused studies have shown extent it is determined by genetic endowment. The de-
that the ecological press for children to develop an un- bate has continued over ensuing decades and will prob-
derstanding of different domains varies across desert, ably continue to command public attention, given the
forest, and city cultures with predictable consequences volatile nature of race relations in the United States.
for their rates of cognitive development in each partic- Although various ideological commitments have con-
ular domain. tributed to both sides of the debate, one of the central
Other cross-cultural studies of perceptual and math- issues at stake remains what is meant by intelligence
ematical skills conclude that decontextualized tests of and the methodology of assessing it. Defenders of a
performance generally afford an invalid estimate of mainstream orthodoxy contend that the technology of
general competence. Different human communities or- psychometrics has established valid and reliable meth-
ganize the physical and social environment so differ- ods for measuring intelligence. Many critical research-
ently for their children that behavioral adaptation can ers, however, have advanced alternative conceptions of
only be understood and evaluated with reference to the intelligence and how it should be measured, which may
constraints of an ecoculturally particular, developmen- generate a quite different cultural consensus in the fu-
tal niche. The context of human development is not ture. Meanwhile, the general public tends to encounter
merely a source of external stimulation, but constitutes professional assessments of intelligence with respect to
an incorporating system of social activity, informed by decisions on resource allocation for individuals at the
a cultural system of meanings. According to Vygotskys two extremes of a continuum from low to high intel-
cultural-historical perspective, Bronfenbrenners eco- ligence.
logical theory and others, the developing child appro- The condition of severe intellectual disability or rnen-
priates the system of meanings encoded in language taI retardation is widely recognized across most of the
and other shared cultural resources by participating in worlds societies, and is attributed by contemporary bio-
structured activities. Cognition arises from interactive medical science to organic impairment that gives rise
processes such as intersubjectivity and coconstruction, (unless secondary preventive measures are taken) to
which support the growth of competence within the functional disability, which in turn places the individual
childs zone of proximal development. at risk for handicap. The degree to which a functional
The study of developmental change in cognition is disability is handicapping depends on social factors, in-
relevant to an understanding of the nature of intelli- cluding cultural beliefs and practices. Thus, individuals
gence, and as a frame of reference for evaluating in- with severe mental retardation are stigmatized as in-
dividual differences. Yet very little of the theoretical competent in the cultural context of institutionalized
conceptualization of cognitive development is explicitly schooling, but may be effortlessly included in the every-
reflected in the design of the most widely used intelli- day social life of some subsistence agricultural com-
gence tests. Instead, the rationale of these tests is gen- munities, and are even accorded special privileges
erally phrased in speculative terms, combined with within the religious institutions of some societies.
statistical evidence of psychometric reliability and em- Milder degrees of learning difficulty have been the
pirical correlations with external criteria, such as scho- subject of intense controversy. Placement of children in
lastic achievement, as evidence of validity. special educational programs designed to support their
Intelligence testing is an historically situated cul- learning sometimes incurs social stigma, leading some
tural practice, whose formal procedures and instru- parents to resist assiduously such placement. Ethnic
ments reflect not only their manifest psychological and cultural minority groups in the United Kingdom
functions, but also the institutional arrangements and the United States are significantly overrepresented
DETERMINANTS O F INTELLIGENCE: Culture and Intelligence 495

in such special programs. Given the questionable cross- mental niche that it informs) more thoroughly than
cultural validity of the measures used to classify stu- those valued and promoted in minority cultural groups.
dents, the arbitrariness of the cutoff points between Some practitioners attempt to counter the cultural
categories, and the rarity with which those labeled with bias of existing tests by adjusting the standard criteria
special needs are readmitted to the mainstream, critics for individuals from disadvantaged groups. However,
and political activists have argued that intelligence test- the practice of simply adding points or lowering the bar
ing serves to legitimate oppressive discrimination lacks scientific validity. Culturally appropriate tests need
against culturally different minority groups by restrict- to be sensitive both to the task demands of future ed-
ing their educational opportunities. ucational and occupational contexts, and to the learn-
The use of intelligence and aptitude tests for edu- ing Opportunities of the testees antecedent learning
cational selection has been equally controversial. One contexts. Development of such culture-specific tests has
rationale invokes the elitist principle that scarce in- been attempted in some third-world countries and US.
structional resources should be invested in those per- cultural minority groups, with an emphasis on distinc-
sons with the greatest potential payoff. Empirical vali- tive dimensions of intellect valued in the indigenous
dation of measures used to assess potential in this meaning systems, on skills widely promoted in indige-
context is hindered by the tendency for selection to nous activity settings, and on caution in the use of
match students intellectual abilities and dispositions performance in Western-origin school settings as vali-
with the character of the curriculum, generating a cir- dation criteria. Such tests should be of particular value
cular pattern of mutual confirmation between selection to practitioners for identifying individual strengths and
criteria and curriculum development. The rationale of supportive resources in the home and community.
matching modes of instruction to the learning char- Whenever an intelligence test standardized on a cul-
acteristics of individual minds implies a need for mu- turally different population is used for assessment, great
tual adaptation by both students and educational pro- caution is needed in interpreting the scores, including
grams. Since different kinds of intelligence are an estimate of the direction and degree of error likely
demanded by the different eco-cultural settings that ex- to arise from taking them at face value. It is especially
ist or are planned for the next generation in different hazardous in such cases to summarize assessment in
societies around the world, educational selection using the form of a single score such as an IQ, which mis-
tests standardized with reference to past experience in leadingly implies the availability of a technically valid
Western industrialized societies is liable to restrict in frame of reference for ranking the individual relative to
culturally conservative ways the range of intellectual others. A culturally sensitive report would present each
traits in the pool available to the professions. For non- test score, with a suitably moderated interpretation, as
Western societies, the use of such tests implies a com- part of a multidimensional profile of strengths and
mitment to the Western pattern of socioeconomic needs, together with suggestions for how these can best
transformation methods determining placement of chil- be responded to by resources available in the context
dren are open to the charge of cultural hegemony. for which assessment is being conducted.
The concept of cultural bias in intelligence tests has The psychometric practices standardized in the
been interpreted in several different ways. From a psy- twentieth century are informed by a view of intelli-
chometric perspective, a test shows no predictive bias gence that reflects three broad themes of contemporary
against a given group if its correlation with outcomes Western culture: decontextualization, quantification,
on a validation criterion such as educational achieve- and biologization. Restricting the definition of intelli-
ment is similar to that found for relevant comparison gence in this way has perhaps enabled Western indus-
groups. Although this is the case for African Americans trialized societies to address some of the pressing needs
with respect to several standardized IQ tests, the socio- of their particular historical circumstances, but it has
political reality of their massive underrepresentation in also narrowed the field in ways that need to be un-
the educational programs and professions to which packaged and reformulated in much broader, less defin-
such tests serve as admission criteria constitutes prima itive terms for application to the concerns and needs of
facie evidence of outcome bias. The inconsistency be- other social groups in other places and in other times.
tween these two conceptions of bias can perhaps be [See also Cross-Cultural Psychology: and Culture.]
resolved with reference to the notion of sampling bias.
The tests that currently dominate psychometric prac-
tices in the United States derive their legitimacy from
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496 DETERMINANTS O F INTELLIGENCE: Schooling and Intelligence

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anan, H. S., Rao, P. M., Thorburn. M. J., Halim, A. J., The following discussion outlines seven effects of
Shrestha, D. M.. Hasan, 2. M., Tareen, K. I., Qureshi. schooling on intelligence.
A. A., & Nikapota, A. D. (1988). Assessment criteria for 1. Intermittent School Attendance. Around
severe intellectual disability in various cultural settings. 1900, the London Board of Education commissioned
International Journal of Behavioural Development, II( I), Hugh Gordon to study children who had very low IQs.
I 17-144. Some children were in London classrooms, others at-
Robert SerpeU
tended school only intermittently, either because of
physical disabilities or their status as children of gyp-
sies, canal boat residents, and so on. As reported by
Freeman (1934):
Schooling and Intelligence
Intelligence quotients of children within the same fam-
The benefits of staying in school are pervasive. Over ily decreased from the youngest to the oldest, the rank
their lifetimes, high school graduates will earn correlation between the intelligence quotients and
$212,000 more than nongraduates, college graduates chronological age being -.75. Not only that, but the
will earn $812,000 more than high school dropouts, youngest group (4 to 6 years of age) had an average
and graduate students with professional degrees will IQ of 90. whereas the oldest children (12 to 22) had
earn nearly $1,600,000 more than college graduates an average IQ of only 60, a distinctly subnormal
(Bronfenbrenner, McClelland, Wethington, Moen, & level. . . , The results of the investigation suggest that
Ceci, 1996). School attendance is also associated with without the opportunity for mental activity of the kind
lower rates of teen pregnancy, welfare dependency, and provided by the school-though not restricted to it-
intellectual development will be seriously limited or
criminality (Bronfenbrenner et al., 1996).
aborted. (p. 115)
Why does schooling increase income or decrease
criminality? To some, it is because schooling is a marker Thus, the longer youngsters stayed out of school,
for intelligence. High school dropouts tend to score the lower their IQs became.
lower on intelligence tests and earn less than those who In 1932, Sherman and Key studied children reared
graduate (Bronfenbrenner et al., 1996). High correla- IOO miles west of Washington, D.C., in hollows that rim
tions are found between measures of intelligence and the Blue Ridge Mountains. Sherman and Key selected
DETERMINANTS OF INTELLIGENCE: Schooling and Intelligence 497

four hollows with differing levels of isolation. Colvin, 3. Remaining in School Longer. What systematic
the most remotely situated hollow, had only three liter- factor could be responsible for men born on, say, 9 July
ate adults, no movies or newspapers, and virtually no 1951 being more intelligent than men born on. say, 7
access roads to the outside. There was a single school, July 1951? No ready explanation springs to mind. Con-
but it had been in session only 16 of 127 months be- sider, though, that toward the end of the Vietnam War,
tween 1918 and 1930. The other three hollows had in- a draft priority score was established with each day of
termediate levels of contact with the outside world. the year being assigned a number, from I to 365. If a
Sherman and Key (1932) observed that the IQ scores mans number was low, his chance of being drafted was
of the hollows children fluctuated systematically with heightened if he did not have a student deferment or a
the level of schooling available in their hollow. Advan- medical exemption. Thus, staying in school was a sure
tages of 10 to 30 points were found for the children way to avoid being drafted. It is well established that
who received the most schooling. As with the gypsy men born on the first draft date (9 July 1951) stayed in
children, IQ decreased dramatically with age. Six-year- school longer, on average, than their peers born on the
olds 10s were not much below the national average, last draft date (7 July 1951).
but by age 14 the childrens IQs had plummeted into Men born on 9 July 1951 earned approximately a
the retarded range. Similar cumulative deficits in IQ 7% rate of return on their extra years of schooling
with age have been reported among African American (Angrist & Krueger, 1991). This figure of 7% rate of
and British working-class children (Ceci, 1991). return is very close to the estimates derived from stud-
2. Delayed School Start-up. In South Africa, ies of being born early or late in a given year (see Neal
Ramphal (1962) studied the intellectual functioning of & Johnsons study as cited in Heckman, 1995). Al-
Indian children whose schooling was delayed for up to though these data do not demonstrate a direct causal
four years because of the unavailability of teachers. effect of schooling on IQ. they imply such a link be-
Compared to children from nearby villages who had cause IQ was presumably the same for both groups
teachers, these children experienced a decrement of five prior to their divergence in schooling.
IQ points for every year of delay. 4. Discontinued Schooling. Researchers have
Schmidt (1967) reported similar results in his anal- demonstrated the detrimental effect of dropping out of
ysis of a different South African community of East school before finishing. In his study of Swedish boys,
Indian settlers. Schmidt measured the impact of school- Harnqvist (1968) randomly selected 10% of the Swed-
ing on both IQ and achievement within children of the ish school population born in 1948 who, at the age of
same age, socioeconomic status (SES),and parental mo- 13, were given IQ tests. In 1966 at the age of 18,4,616
tivation. When age, SES, and motivation were removed of these Swedish boys were retested as part of their
from the picture, the correlation between the number countrys national military registration. Harnqvist
of years of school attended and IQ ranged from .49 to compared children who were comparable on IQ, SES,
.68 depending on the measure of intelligence used. and school grades at age 13, and determined the impact
Schmidt (1967) also found that years later, those of dropping out of school. He found that for each year
who began school late had substantially lower IQs than of high school (gymnasium) not completed, there was
those who began school early: another instance of a a loss of 1.8 IQ points, up to maximum of nearly 8 IQ
cumulative deficit. Finally, Schmidt reported that the points difference between two boys who were similar in
relationship between the number of years of schooling IQ, SES, and grades at age 13, but who subsequently
completed and achievement test scores was no stronger differed in the amount of schooling completed by up to
than between schooling and IQ. This suggests that IQ four years of high school. (Similar findings have been
scores are as influenced by schooling as is something reported by others using different samples and analytic
explicitly taught in school, namely, academic achieve- procedures.)
ment. 5. Summer Vacations. Two independent studies
Another instance of delayed school start-up oc- have documented, with large samples, the systematic
curred in the Netherlands during World War 11. Nazi decline in scores that occur in American children over
occupation forced school closures, which resulted in summer. With each passing month away from school,
many children entering school several years late. Those children lose a small but consistent amount of ground
childrens 10s dropped approximately seven points, from their end-of-year scores on both intellectual and
probably as a result of their delayed entry into school. academic tests.
These results strongly suggest that schooling affects 6. Early-Year Birth Dates. Consider the effect on
IQ independent of parental motivation. Moreover, none intelligence of being born early versus late in the year.
of the findings supports the proposition that the IQ- Most states restrict the minimum age of school entry,
schooling relationship can be attributed to intelligent and mandate compulsory attendance until age 16 or
children beginning school earlier or staying there 17. Because of these laws, individuals born in the last
longer. 3 months of the year are likely to miss the age cutoff
498 DETERMINANTS O F INTELLIGENCE: Teaching of Intelligence

for school entry and enter school a year later than their who experience an elevation in IQ may decide to re-
birth-year cohort. These individuals reach the end of main in school longer than individuals who experience
mandatory attendance (16 or 17) when they have been a decline). Resolution of these issues must await future
in school one less year then the rest of their birth-year research.
cohort. Upon coming of age, some individuals decide
to leave school. Hence, late-year births are likely to stay
in school one year less thav early-year births because Bibliography
they reach the age for school-leaving after one less year
of school attendance. Angrist, J.. & Krueger, A. B. (1991). Does compulsory
Given the random nature of birth dates, we can as- school attendance affect schooling and earnings? Quar-
terly Journal of Economics, 106, 979-1014.
sume that the genetic potential for intelligence is the
Baltes, P., & Reinert, G. (1969). Cohort effects in cognitive
same in these groups. However, late-year births, as a development in children as revealed by cross-sectional
group, have lower IQ scores than early-year births. Neal sequences. Developmental Psychology, I, 169-177.
and Johnsons study (citied in Heckman, 1995) showed Bronfenbrenner, U., McClelland, P., Wethington, E.. Moen,
that, for each completed year of schooling, there is an P., & Ceci, S. (1996). The state of Americans. New York:
IQ gain of approximately 3.5 points. Angrist and Krue- Free Press.
ger (1991) found that those who spent an extra year in Cahan, S., & Cohen, N. (1989). Age versus schooling ef-
school earned between 7 and 10% more than their fects on intelligence development. Child Development,
peers who dropped out a year earlier but at the same 60, 1239-1249.
chronological age. These lower IQs and lower incomes Ceci, S. J. (1991).How much does schooling influence gen-
among late births are entirely a function of being more eral intelligence and its cognitive components!: A reas-
sessment of the evidence. Developmental Psychologg, 27,
likely to attend one less year of school than their early-
703-72 2.
birth peers. Freeman, F. (1934). Individual differences. New York: Holt.
7. Cross-Sequential Trends. Baltes and Reinert Gottfredson, L. S. (1997). Why 4matters: The complexity
(1969) randomly sampled 630 children from 48 ele- of everyday life. Intelligence, 24, 79-132.
mentary schools in Saarbrucken, Germany. Three Harnqvist, K. (1968). Changes in intelligence from 13 to
groups of 8- to 10-year-olds, who were separated in age 18. Scandinavian Journal of Psychology, g , 50-82.
by 4-month intervals, completed a German version of Herrnstein, R., & Murray, C. (1994). The BelZ curve: Intel-
the Primary Mental Abilities. Because the German ligence and class structure in American life. New York:
school system at that time required entering children Free Press.
to be 6 years of age by I April, it is possible to compare Morrison, F. J., Griffith, E. M., & Frazier. J. A. (1996).
Schooling and the 5 to 7 shift: A natural experiment.
same-aged children who had received up to a year of
In A. J. Sameroff & M. M. Haith (Eds.), Thefive to seven
difference in schooling. For example, we can compare
year shift: The age of reason and responsibility (pp. 161-
a child born on 15 March to a child born on 15 April 186). Chicago: University of Chicago Press.
(after the cutoff) who entered school I year later. The Ramphal, C. (1962). A study of three current problems in
former child would have one additional year of school- education. Unpublished doctoral dissertation, University
ing by the time he or she was 8 years old despite only of Natal, India.
a I-month difference in chronological age. Baltes and Scarr, S. (1992). Developmental theories for the 1990s: De-
Reinert found a substantial correlation between the velopmental and individual differences. Child Develop-
length of schooling completed and intellectual perfor- ment, 63, 1-19.
mance among same-aged, same-SES children. In fact, Schmidt, W.H.O. (1967). Socio-economic status, schooling,
highly schooled 8-year-olds were actually closer in intelligence, and scholastic achievement in a commu-
nity in which education is not yet compulsory. Paedo-
mental abilities to the least-schooled 10-year-olds than
gogica Europa, 2 , 275-286.
they were to the least-schooled 8-year-olds! Similar Sherman, M., & Key, C. (1932).The intelligenceof isolated
findings have been reported by Cahan and Cohen mountain children. Child Development, 3, 279-290.
(1989) and Morrison, Griffith, and Frazier (1996).
Stephen J. Ceci and Livia L. Gilstrap
Conclusion
Due to space constraints, we have not discussed some
Teaching of Intelligence
variables that might complicate our argument. For ex-
ample, we were not able to delve into the possibility Can people l e a r n - c a n they be taught-to be more in-
that schooling may not be static. It may be that as IQ telligent? How one answers this question must depend
changes over the life course, it influences decisions to on how one defines intelligence, how one assesses it,
stay in school. Hence, what looks like a schooling effect what one takes learning or teaching it to mean, and
on IQ may in actuality be an influence of changes in what one is willing to consider as evidence that it has
IQ on the decision to remain in school (e.g., individuals increased. If intelligence is defined as the cognitive po-
DETERMINANTS O F INTELLIGENCE: Teaching of Intelligence 499

tential with which one is born, then, clearly, it cannot tors remains an ongoing debate. The pendulum repre-
be modified by training, but if it is taken to be the ca- senting the predominant view has swung from a
pacity to learn at any time throughout the life span, position emphasizing heredity to one emphasizing
then its mutability is not ruled out as a matter of def- environment, and back, several times since the 1820s,
inition. If ones score on a standardized IQ test is taken but the swings have become progressively less extreme
to be a reliable measure of the amount of intelligence and the pendulum now appears to be resting in the
one has, then the question of whether that amount can middle position (Plomin & Petrill, 1982).
be increased by training is easily answered by testing; With respect to environmental influences on intel-
however, if one considers intelligence to include capa- ligence, we should distinguish between the question of
bilities, qualities, or characteristics not fully captured how intelligence is influenced by environmental factors
by such tests, answering the question is not so easy. during the first few years of life, and whether it can be
Most theoretical treatments of intelligence stress its increased later through formal instruction.
multidimensional, or multicomponent, nature, al- The idea that ones intellectual development can be
though they do not all identify the same dimensions or greatly influenced by environmental factors during
components. Even among psychologists who stress the ones infancy and preschool years has been widely held
multifaceted nature of intelligence, many recognize a among developmental psychologists. The fact that av-
general ability component that is believed to support erage IQ, as represented by scores on standardized tests,
intellectual performance across a broad variety of con- has been increasing by about three points per decade
texts, especially those involving complex information over the last half of the twentieth century has been
processing. Some views distinguish different types of seen as evidence that performance on such tests is sub-
intelligence or different intelligences (Gardner, 1983). ject to environmental factors (e.g., nutrition, schooling,
One widely accepted distinction is that between crys- child-rearing practices), inasmuch as changes in ge-
tallized intelligence, which is assumed to relate more netic effects would not be expected to occur over such
directly to intellectual performance on the kinds of for- a short time (Neisser, 1997).
mal tasks typically imposed in educational contexts, The question of whether intelligence can be in-
and fluid intelligence, which is more closely associated creased by explicit efforts to raise it through instruction
with reasoning and problem solving in novel situations has become of interest recently, as it relates to the cog-
that call for flexibility and creativity in response. nitive demands that people may face in the workplaces
A major limitation in our knowledge of intelligence of the future. Whether those demands will be greater,
stems from the fact that most of the studies about it on balance, than they are today is an open question.
have taken place in classrooms and psychological lab- Given the rapidity of technological development, pro-
oratories. and the extent to which the findings gener- jecting how the cognitive requirements of jobs are likely
alize to other situations more representative of those to change even over a few decades is very difficult and
encountered outside these contexts is not clear. Prob- experts do not present a unified view.
lems used to study or measure intelligence in the lab- Beyond its implications for work, high intelligence is
oratory typically are well defined, self-contained, and generally considered advantageous, especially in a com-
have known solutions, whereas many of those encoun- petitive world. It is assumed that the higher ones in-
tered in everyday life are not well defined, lack essential telligence, the greater the range of opportunities one is
information, and their solutions are unknown. The dif- likely to have, and the greater ones chances of success
ferences between the kinds of challenges represented are. This assumption motivates interest in the possibil-
by traditional tests of intelligence and those presented ity of raising intelligence through instruction, but it
by real life have been considered sufficiently great by also suggests a rephrasing of this question: Can people
some investigators to justify a distinction between ac- learn whatever is necessary to increase the range of
ademic and practical intelligence: the former being opportunities they will have and their chances of suc-
what is needed to do well on academic tasks, and the cess at whatever they choose to do? This is a different
latter what is required to cope effectively outside the question than whether or not people can learn to im-
classroom (Sternberg & Wagner, 1986). prove their scores on IQ tests. There are many books
The relative importance of heredity and environ- that assure readers that they will be able to raise their
ment as determinants of cognitive capability has been scores on such tests if they learn what the authors have
explored in many ways, notably through the study of to teach about the structure and contents of IQ tests
genetically unrelated (e.g., adopted) children raised in and follow their advice in taking them. There is little
the same environment and identical twins reared apart. reason to doubt that the promise of improved test
Interpretation of the results of such studies can be scores can be realized in many cases; there is consid-
quite complicated: in the aggregate they make it clear erable evidence that one can learn to improve ones
that both heredity and environment contribute to adult performance on academic tests, conventional tests of
intelligence. but the relative importance of the two fac- intelligence included. Whether what they learn as a
500 DETERMINANTS OF INTELLIGENCE: Teaching of Intelligence

consequence of efforts to improve their test scores psychologists since Thorndike contested it over 80 years
transfers as more intelligent behavior in practical situ- ago. However, evidence has been obtained in recent
ations is less clear. On the other hand, people can learn years that performance on deductive reasoning tasks
to behave in ways that would be perceived as more can be improved by training in certain pragmatic rea-
intelligent in practical situations, but whether what is soning schemas that people appear to have in their
learned in this case will be reflected in higher scores on repertory (Cheng, Holyoak, Nisbett, & Oliver, 1986).
formal tests of intelligence is also not certain. 6. Much of the reasoning that is required in every-
The question of greatest interest for present pur- day life is probabilistic in nature, involving the need to
poses is this: What, if anything, can be done in the deal with uncertainties of various sorts. Many studies
context of formal education to increase the ability of have documented ways in which probabilistic thinking
people to behave in what are generally considered in- goes astray. Studies have also shown that training in
telligent ways? The evidence supports several answers statistics and probability can be effective in improving
to this question. the way in which people approach problems of reason-
I. To the extent that intelligent behavior in specific ing under uncertainty (Nisbett, Fong, Lehman, &
contexts is dependent on domain-specific knowledge Cheng, 1987).
and technical skills, it can be increased by increasing 7. Teaching heuristic strategies has been prominent
such knowledge and skills. Probably no one doubts that in many approaches to the enhancement of problem-
this can be done. A person with experience in carpen- solving ability. Strategies include finding effective ways
try, or journalism, or surgery will function more intel- to represent a problem, breaking down a problem into
ligently as a carpenter, or journalist, or surgeon than manageable subproblems, finding analogous problems
will one who lacks that experience. Some researchers that are familiar or relatively easy to solve, working
have argued that the importance of domain-specific backward from a goal state to the initial state, and con-
knowledge and skills to high-level cognitive perfor- sidering extreme examples of a problem type. Brief de-
mance is generally underestimated, and that the teach- scriptions and examples of some of these heuristics,
ing of them deserves more emphasis than many pro- which have been shown to work in various contexts,
grams to enhance intellectual performance give them are given in Nickerson, Perkins, and Smith (1985).
(Glaser, 1984). 8. Teaching self-management and other meta-
2. Much of the knowledge and many of the skills cognitive skills and techniques has been stressed by
on which effective cognitive functioning in modern so- some investigators, and the effectiveness of this ap-
ciety depends are layered in the sense that the devel- proach has been demonstrated in several studies. An
opment of knowledge or skills at one level of complex- increasing emphasis on metacognition has been seen
ity depends on the existence of more foundational as a distinctive way in which approaches to the teach-
knowledge or skills. Knowledge of arithmetic is basic to ing of thinking and problem solving have changed over
the learning of higher mathematics, for example, and time (Presseisen, 1987).
the ability to read is essential to the acquisition of nu- There are many factors that are not usually consid-
merous other capabilities. The acquisition of founda- ered causally related to intelligence that unquestionably
tional knowledge and skills enables the development of help determine the effectiveness with which people
higher level capabilities, and failure to acquire them meet challenges, including those that have major cog-
early puts one at a serious disadvantage. nitive or intellectual components. Motivation is a case
3. People can improve their learning skills: They can in point: it may be a determinant, among others, of
learn to learn. Educational psychologists have identified course, even of performance on intelligence tests, and
a variety of learning strategies that can be goals of is clearly susceptible to change. Social and organiza-
instruction, and have presented evidence of their ef- tional skills, which are not necessarily associated with
fectiveness in facilitating learning (Weinstein & Under- high academic intelligence, can be important to success
wood, 1983). in the workplace and in everyday life, and these too
4. Training in the use of mnemonic methods has a deserve attention as targets for improvement (Organ,
long history and is demonstrably effective in enhancing 19941.
both short- and long-term memory. Descriptions of a The importance of beliefs about the malleability of
variety of mnemonic techniques can be found in most intelligence as determinants of behavior has been dem-
texts on human memory; self-help books on how to onstrated in many studies. The belief that ones intel-
improve ones memory, written for a general audience, ligence is unchangeable can demotivate students from
abound. making an effort to learn, whereas the contrary belief
5 . The idea that training in logic improves the way that ones cognitive capabilities can be enhanced
in which people deal with cognitively demanding prob- through learning can motivate effort (Dweck & Eliot,
lems in daily life has had few strong supporters among 1983).Thus, ones belief regarding the mutabilty or im-
DETERMINANTS OF INTELLIGENCE: Nutrition and Intelligence 501

mutability of intelligence can become a self-fulfilling ex- Weinstein, C. E., & Underwood, V. L. (1983). Learning
pectation. strategies: The how of learning. In J. Segal, S. Chipman,
Success in the workplace and in everyday life de- & R. Glaser (Eds.), Thinking and learning skills: Relating
pends on a variety of competencies, not all of which instruction to basic research (pp. 241-258). Hillsdale, NJ:
Erlbaum.
are cognitive. A high level of general intelligence, as
evidenced by performance on IQ tests, is unquestiona- Rasmond S. Nickerson
bly an asset, but it appears to be neither a necessary
nor a sufficient cause of success. The goal of raising
Nutrition and Intelligence
intelligence through education and other environmen-
tal means is not an unreasonable one, although it is Many studies have shown that children who are well
one that we do not yet know how best to realize, and nourished have better cognitive skills than children
it should not be pursued at the cost of neglecting to who are poorly nourished. However, the interpretation
develop other competencies and character traits that of the link between nutrition and intelligence is difficult
are important to a meaningful and productive life. because many factors, such as family income. illness,
When intellectual performance has been improved and genetic background, are correlated with both the
through training, it may not be possible to determine adequacy of nutrition and childrens cognitive skills.
conclusively whether intelligence has been increased, For this reason, the often-noted small, but significant,
or the individuals involved have become better at tap- association between childrens physical size, a marker
ping the intelligence they have. For practical purposes, of nutritional adequacy, and their intelligence could be
this distinction is not very important. What is impor- due to these related factors. In this case, good nutrition
tant is that performance can be enhanced: People can would be a correlate, but not the cause, of higher in-
learn to act more intelligently in dealing with the prob- telligence.
lems and opportunities of everyday life. The most powerful research evidence that nutrition
contributes directly to cognitive development comes
from supplementation studies in which kilocalories,
Bibliography protein, vitamins, and minerals have been provided.
The abilities and achievements of children with en-
Cheng. I? W., Holyoak, K. J., Nisbett, R. E., & Oliver, L.
riched diets were contrasted with those of children
(1986). Pragmatic versus syntactic approaches to train-
ing deductive reasoning. Cognitive Psychology, 18, 293- who had nonsupplemented or less fully supplemented
328. diets. The most consistent beneficial effect of supple-
Dweck, C. S., & Eliot, E. S. (1983). Achievement motiva- mentation on young infants has been on their motor
tion. In l? H. Mussen (Series Ed.) & E. M. Hetherington skills. Supplementation also improved mental abilities
(Vol. Ed.), Handbook of child psychology: Vol. 4. Sociali- in older infants, preschool, and school-age children,
zation. personality, and social development (4th ed., although the effects were smaller than the effects on
pp. 643-691). New York: Wiley. motor abilities, and were more inconsistent both
Gardner, H. (1983). Frames of mind: The theory of multiple within and across studies. The strongest, long-term
intelligences. New York: Basic Books. results came from a study in Guatemala in which
Glaser, R. (1984). Education and thinking: The role of
supplementation was carried out for the first seven
knowledge. American Psychologist, 39. 93-104.
years of the childrens lives, and the effects of supple-
Neisser. U. (1997). Rising scores on intelligencetests. Amer-
ican Scientist, 85, 440-447. mentation were found many years later in arithmetic
Nickerson. R. S., Perkins, D. N., & Smith, E. E. (1985). The skills, vocabulary, reading achievement, and overall
teaching of thinking. Hillsdale, NJ: Erlbaum. knowledge.
Nisbett, R. E.. Fong, G. T., Lehrnan, D. R., & Cheng, l? W. Whereas such studies suggest that nutrition is caus-
(1987). Teaching reasoning. Science, 238, 625-631. ally related to academic achievement, some of the crit-
Organ. E. W. (1994). Organizational citizenship behavior ical components of good nutrition are not identified for
and the good soldier. In M. G . Rumsey, C. B. Walker, & two reasons. First. most of the well-executed studies
J. H. Harris (Eds.), Personnel selection and classijication have been conducted in developing countries where the
(pp. 53-67). Hillsdale, NJ: Erlbaum. level of malnutrition is fairly severe. Thus, the effects
Plomin. R., & Petrill. S. A. (1997). Genetics and intelli-
of more limited forms of malnutrition are less well un-
gence: Whats new? Intelligence, 24, 53-77.
Presseisen, B. Z. (1987). Thinking skills throughout the cur- derstood. Second, intakes of calories and protein were
riculum: A conceptual design. Bloomington, IN: Pi not manipulated independently from intakes of vita-
Lambda Theta. mins and minerals. For this reason. the separate con-
Sternberg, R. 1.. & Wagner. R. K. (Eds.). (1986). Practical tribution of calories, protein, and micronutrients could
intelligence. Cambridge, England: Cambridge University not be assessed.
Press. An extensive body of research shows that iron de-
502 DETERMINANTS O F INTELLIGENCE: Nutrition and Intelligence

ficiency anemia has serious consequences in child de- observation that the quality of schooling interacts
velopment. Moreover, the effects of early iron deficiency with nutrition in influencing cognitive achievements.
anemia may not be completely reversible because chil- The results of these studies suggest that the link be-
dren who were iron deficient in infancy often have tween nutrition and cognition is functional rather
lower cognitive abilities than comparison children than structural: hence, the effects of malnutrition can
many years after their anemia has been treated suc- be reversed with combined dietary and educational
cessfully. The other evidence for the importance of vi- mediation.
tamins and minerals comes from a study, carried out
in Egyptian, Kenyan, and Mexican communities in
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American Journal of Nutrition, 125, 2245s-2254s.
cognitive functioning than either experimental manip-
ulation alone. Additional support is derived from the Marian D. Sigman
4ID CONTINUED

DEVELOPMENTAL 4GENDA. Biological processes set


the parameters of the possible for individual devel- Infancy
opmental tasks over the life course. Sociocultural The first two years of life are universally recognized as
context, however, provides the developing individual a period of special vulnerability. Thus, the first devel-
with both opportunities and limitations at all stages opmental task of the infant is to ensure its own survival
of life. The interaction between biology and context past this vulnerable period. Bowlby (1969) proposed
create a developmental agenda characterized by both that the infants attachment to its mother was shaped
species-specific universals and culturally determined through human evolution by the infants need for re-
specifics. liable care. Subsequent elaboration of attachment the-
The most well-known formulation of a life-course ory has established three different styles of attachment,
developmental agenda is that of psychologist Erik Er- of which only one, secure attachment, would be con-
ikson, who proposed that there are eight normative cri- sidered successful (the other two are variants of in-
ses of development that occur over the life span (1993). secure attachment).However, cross-cultural studies of
Successful development. he suggested, results from the attachment have demonstrated that population rates of
individuals positive resolution of each of these crises insecure attachment vary considerably, and that
as they come up. Although Eriksons formulation has these variations seem to mirror the cultural norms of
been influential for thinking about development over child rearing. This finding is of significance to Ameri-
the life span, most researchers now recognize that it is can policy debates about the possibly harmful effects of
culturally biased and does not accurately reflect real day care on infants attachment to their mothers. Most
developmental changes even for individuals in middle- researchers today agree that although continuity of
class Western societies (Gardiner, Mutter, & Kosmitski, care is important for infants and young children, it is
1998). possible for infants to form successful attachment re-
Despite the limitations of Eriksons formulation, lationships to their mothers and others under a variety
however, it does capture some central themes of devel- of caretaking arrangements.
opment in Western societies, and it establishes the idea An important developmental task for both the infant
that the life span c i a be conceptualized in terms of a and its caretakers is the establishment of more mature
series of stages, each with its own challenges for suc- and regular patterns of eating and sleeping. Cross-
cessful development. Cross-cultural evidence suggests cultural research has shown that there are wide vari-
that all societies recognize the age-related stages of in- ations in how soon babies begin to sleep through the
fancy. early childhood, middle childhood, adolescence, night, with much later establishment of mature sleep
adulthood, and old age. However, there are cultural dif- schedules in cultures where babies can easily wake up
ferences at the age!; when the stages (especially after and nurse during the night (Harkness & Super, 1995).
infancy and childhood) are considered to begin and The location of the infant during sleep also varies cross-
end, and developmental tasks may be further differen- culturally and within U.S. society, with cosleeping (in
tiated according to social class and gender. Current the- the same bed or same room) more prevalent among
ories of life-course development have proposed specific African American, Hispanic, and Appalachian families
developmental taskmiwithin each of these major age as well as in other traditional societies around the
stages. world.

I
2 DEVELOPMENTAL AGENDA

that school children face four major developmental


Early Childhood tasks (1988). First, they must learn to be motivated to
As anyone who has interacted with toddlers or pre- work for remote goals promised by doing well in school:
schoolers knows, early childhood is an exciting time of second, they must learn to perform individually rather
life. Margaret Meads terms knee child and yard child than being identified only with ones family; third, they
highlight the rapidly expanding social world of these must learn to manage competition with peers; and fi-
children as they move from close proximity to caretak- nally, they may need to learn to interact with children
ers to a world that includes peers as well as siblings and adults from different backgrounds. These tasks may
and adults (Whiting & Edwards, 1988). Whereas de- not be as new to children who come from highly lit-
velopmentalists usually define the transition from in- erate home environments or who may have already en-
fancy to early childhood in terms of the acquisition of countered cultural differences in preschool or daycare.
new skills-notably walking and talking-cultural def- Nevertheless, children in the middle childhood years
initions of this transition may be based on other events are expected to negotiate these new tasks more inde-
outside the child. For example, in traditional African pendently of parents or parent substitutes than are
societies, the birth of a younger sibling marks the end younger children.
of the special attentions given to babies, who now For schoolchildren in Western societies, two devel-
spend less time in the company of their mothers and opmental tasks are particularly important. First, chil-
more with older siblings. dren must establish competence in areas related to their
Nevertheless, there are some universally recognized future success in the adult world. Second, children in
developmental tasks of this life stage. Edwards suggests the middle years must learn how to create and main-
that these include increased autonomy and indepen- tain positive relationships with peers, as Collins, Harris,
dence, the emergence of a sense of self, the beginnings and Susman suggest (1995). Failure at either one of
of self-control, and the ability to empathize with others, these tasks creates risks for future development, as chil-
to learn moral rules, and to identify oneself in relation dren enter the later school years lacking necessary
to gender (1995).As this list makes clear, young chil- competence, self-confidence, and motivation, or find
dren, in contrast to infants, are expected everywhere to themselves socially isolated in the peer settings that
take their place as contributing members of their fam- now occupy a large portion of their time. For parents,
ilies and social groups. Within this general framework, likewise, the middle childhood years present a new kind
there are significant cultural differences in which as- of challenge for organizing opportunities for successful
pects of development are considered most important for development and monitoring their childrens progress
the childs future success within its culture. For middle- from a greater distance.
class Western children, the early acquisition of lan-
guage is a sign of cognitive competence crucial for suc- Adolescence
cessful development, and as the child reaches preschool A common view among both psychologists and histo-
age, the acquisition of communicative competence rians of the family is that adolescence as a recognized
comes to include preliteracy skills as well. In contrast stage in the life cycle is relatively new, the product of
even to some European societies, however, middle-class industrialization, the growth of cities, and the need for
U.S. parents tend to underemphasize the development schooling past childhood to prepare for adult life. Er-
of social skills. A more extreme contrast can be made iksons conceptualization of the central task of adoles-
with young children in sub-Saharan African commu- cence as establishing a separate identity is consistent
nities, who are expected to take on responsibilities for with this view, in which development toward adult em-
child care and household tasks that would be thought ployment becomes a central concern. Cross-cultural ev-
beyond the capabilities of Western children even well idence, however, has led anthropologists Schlegel and
into the middle childhood years. Barry (1991)to different conclusions. Based on their
study of a large worldwide sample of societies, they
Middle Childhood conclude that social adolescence is a universally rec-
Around the ages of 5 to 7 years, children go through ognized developmental stage for both boys and girls,
qualitative shifts in development, recognized for exam- and that its primary purpose is not vocational devel-
ple by Piagets formulation of the achievement of con- opment but rather preparation for adult reproductive
crete operational thinking. These changes are also rec- Iife, generally in the context of marriage. This idea is
ognized by cultures around the world as ushering in a consistent with the observation that in societies where
new stage of development in which children can begin girls marry too young to experience a prolonged ado-
school, take on more responsible tasks at home, or gain lescence, such as in India, they tend to marry into the
new status within their religion. School in particular family of their husband and become subject to intimate
becomes a primary context for the development of chil- supervision by their mother-in-law. Even in such soci-
dren in todays world. Whiting and Edwards suggest eties, however, both boys and girls may be allowed a
DEVELOPMENTAL AGENDA 3

period of relative fr zedom from childhood supervision workplace and at home. From a cross-cultural perspec-
and adult responsib.lities. tive, however, this developmental agenda seems overly
If the most basic universal developmental task of focused on individual achievement, as well as exces-
adolescence is preparation for adult social rather than sively concerned with individual age-related decline
vocational life, then the development of mature sexu- (Shweder, 1998). In traditional cultures, development
ality takes center st;ge, along with the training for au- and change during adulthood are more readily concep-
tonomy and responsibility. From this perspective, vo- tualized in terms of changing family and community
cational training car be seen as a necessary component roles. Anthropologists have suggested that in all cul-
for the support of mature life in the community, rather tures, womens biological changes in mid-life are asso-
than as a primary developmental goal in itself. As ciated with an increase in status, power, and autonomy
young people move ioward the successful achievement (Kerns & Brown, 1992).
of this agenda, the boundary between late adolescence
Later Adulthood and Old Age
and early adulthood becomes blurred.
All cultures recognize a period at the end of the life
Adulthood cycle when work and social relationships are modified
Probably nowhere during the life span is the idea of by the effects of aging. Although Erikson called the life
developmental tasks so present in the consciousness of crisis of this stage integrity versus despair as the in-
the developing individual as when making the transi- dividual comes to terms with the successes and failures
tion to early adulthood. Increasingly for American of life, it is likely that people in most cultures are not
young people, this transition occurs after the comple- more preoccupied with self-evaluation at this point in
tion of college or postsecondary vocational training, their lives than they were earlier. Rather, cultural uni-
generally in the ear1.y 20s. Within the span of a few versals point to a recognition of elders as deserving
short years, the individual is now expected to make recipients of increased respect as well as physical care
vital life-long decisions and commitments-to a career, (Keith et al., 1994). From this perspective, the devel-
a life partner. and perhaps to a community or geo- opmental challenge for older adults is to manage a suc-
graphic area of residence-all without the direct su- cessful transition to greater dependence on others while
pervision of adults that has characterized early.deve1- maintaining their sense of authority and connection
opmental niches. In contrast, traditional cultures with family and community.
typically pave the way to adulthood through parental
involvement in mate choice and through vocational Bibliography
preparation that begins in childhood. In modern West-
ern European societies, the transition to adulthood is Berger, K. S. (1998). The developing person through the life
also eased by a gentler expectation of independence span. New York: Worth.
and separation of young people from their parents, cou- Bowlby, J, (1969). Attachment and loss: Vol I . Attachment.
pled with a strong state-funded social support system. New York: Basic Books.
Developmental text books generally divide adulthood Collins, W. A., Harris, M. I,., & Susman, A. (r99j) Parent-
into several stages (early, middle and late adulthood), ing during middle childhood. In M. C. Bornstein (Ed.),
each with its own developmental agenda. In reality, the Handbook of parenting: Vol. I . Children and parenting
(pp. 65-90). Mahwah, NJ: Erlbaum.
increasing diversity in life-course trajectories makes
Edwards, C. P. (1995).Parenting toddlers. In M. C. Born-
any age-based developmental agenda of adulthood stein (Ed.), Handbook of parenting: Vol. I . Children and
problematic. Not only is the empty nest left by young parenting (pp. 41-64). Mahwah. NJ: Erlbaum.
adults refilled as thzy seek respite from failed mar- Erikson. E. H. (1963). Childhood and society (2nd ed.). New
riages or employment problems, but the processes of York: Norton.
family building and career development may take var- Gardiner, H. W., Mutter, J. D., & Kosmitski, C. (1998).Lives
ied paths. Rather than conceptualize the developmental across cultures: Cross-cultural human development. Bos-
agenda of adulthood in terms of early, middle, and late ton: Allyn & Bacon.
age stages. it may be more useful to think in terms of Harkness, S., & Super, C. M. (199j).Culture and parenting.
early. middle, and late tasks, as these necessarily follow In M. C. Bornstein (Ed.), Handbook of parenting: Vol. 2.
their own deve1opmen.d sequences. Biology and ecology of parenting (pp. 211-234). Mahwah.
NJ: Erlbaum.
As conceptualized by Western social scientists, the
Keith, J., Fry, C. L., Glascock, A. P., Ikels, C., Dickerson-
major tasks of adulthood center around achieving a
Putman, J., Harpending, H. C., & Draper, P. (1994). The
sense of fulfillment through intimate relationships, aging experience: Diversity and commonality across eul-
work. and parenting IlBerger, 1998). In this agenda, tures. Thousand Oaks, CA: Sage.
successful engagement may include developmental cri- Kerns, V , & Brown, J. K. (1992).In her prime: New views
ses as well as periods of stability and satisfaction, as of middle-aged women (2nd ed.). Urbana, IL: University
the individual adapts to changing circumstances in the of Illinois Press.
DEVELOPMENTAL DISORDERS 5

ing to early intervention services: Head Start, poverty nition continued to incorporate broader and more di-
and developmental care, and university-based training verse developmental conditions as time went on. The
of professionals working in the field of developmental major changes over the prior definitions involved the
disabilities (Summary, 1992). elimination of specific references to the specific cate-
Over the next 27 years (1970-1997), the definition gories of disabling conditions, such as mental retarda-
of DD changed in scope and in complexity. In 1975, tion and epilepsy and the more current emphasis on
Public Law 94-103 broadened the DD definition to in- substantial functional limitations. In addition, the term
clude autism and a few specific learning disabilities impairment was advocated for use because categories or
(e.g., dyslexia, if those learning disabilities related to conditions were thought to be confusing and potentially
existing and concurrent developmental disorders). Not divisive among various groups and organizations in-
all specific learning disabilities were included in this volved in the process (Thompson & OQuinn. 1979).
classification. Subseqiiently, Public Law 94-103, Devel-
opmentally Disabled 4ssistance and Bill of Rights Act, Contemporary Issues in Defining
was amended as a result of a national task force on Developmental Disorders
the definition of deve,opmental disabilities, and a report There has been a move toward using functional per-
was provided (Presidents Committee on Mental Retar- spectives to classify persons with particular develop-
dation, 1977). This definition, adapted as part of Public mental disorders or disabilities. This approach focuses
Law 95-605 (1978). lollows: on the description of skills, most often adaptive behav-
iors, that children or young adults need to perform in
For purposes of the Developmental Disab
regard to their daily activities. Again, the relationship
developmental disability is a severe, chronic disability
between specific diagnostic etiologies and disorders does
of a person which
I . Is attributable to a mental or physical impairment
not capture what most people need with respect to their
or combination of mental and physical impairments: assistance and functioning on a daily basis. A current
2 . Is manifest before age 2 2 ; trend reflects the importance of support-based para-
3. Is likely to continue indefinitely; digms in defining treatments and services for individ-
4. Results in substantial functional limitation in 3 or uals with developmental disorders (Luckasson et al.,
more of the following areas of major life activity: 1992). A movement away from a deficit (within the
a. Self-care. person) orientation toward an outcome-based orienta-
b. Receptive and expressive language, tion emphasizes the social and community roles for per-
c. Learning,
sons with developmental disorders. Fundamental issues
d. Mobility,
underlying this model are that individuals should be
e. Self-direction,
E Capacity for independent living, or maintained and supported in inclusive settings to en-
g. Economic self-sufficiency; and sure successful learning, work experiences, and adjust-
5. Reflects the need for a combination and sequence of ment to the demands of daily community living. An
special, interdisciplinary, or generic care, treatment, example of this change is in the philosophy evident in
or other services which are: the American Association on Mental Retardation
a. A lifelong 01- extended duration and (AAMR; Luckasson et al., 1992) definition of mental
b. Individually planned and coordinated. retardation that emphasizes level of supports as a de-
Of specific intercat is the fact that some of the in- scription of the needs of individuals instead of previous
dividuals who generated this definition on the task force levels of disability classification (e.g., mild-moderate-
were not satisfied u ith particular terminology, namely, severe-profound mental retardation). Proponents of
mental or physical impairments. Consequently, ad- this support-based orientation of defining disabilities
ditional clarification was offered to Part I of the defi- clearly emphasize the opportunity for greater flexibility
nition as follows: in diagnosing and classifying such developmental dis-
orders generally. This shift in thinking is not without
Is attributable to mental retardation, cerebral palsy ep- controversy. For example, others caution that this ap-
ilepsy. or autism: or is attributable to any other condi- proach may promote an overemphasis on clinical judg-
tion of a person zimilar to mental retardation, cerebral ment, rather than empirical sources for decision mak-
palsy. epilepsy, or autism because such condition results ing, and cite the lack of research and instrumentation
in similar impairinent of general intellectual function-
to support AAMRs adaptive behavior domains as they
ing and adaptive behavior, and requires treatment and
services similar to those required for such persons. are defined in the new system.
(Summary, 1992, p. 5 ) The emphasis on these new functionally oriented def-
initions focuses on chronicity, age-specific onset, mul-
This new law. signed in 1978 by President Carter, tiple areas of functional limitations, and the need for
enabled further clarification of the operating definition an extended array of long-term services from a multi-
for developmental disabilities. As is evident, this defi- plicity of providers that are fundamentally unrelated to
6 DEVELOP M E N T A I, DI S 0 R D ER S

specific categories of disability, Medical diagnosis, al- cations (Capute & Accardo, 1996). Delays that are more
though relevant, is not useful in designing most treat- severe or more global often imply biological etiologies.
ments for developmental disorders. Interestingly, under As noted by Capute and Accardo, Xlthough the sever-
the newer definitions of developmental disorder, a per- ity of delay does appear to be directly correlated with
son with mental retardation who is competent and the ease of identifying a specific etiology, the absence
functioning in his or her environment would not nec- of a specific etiology in cases of milder delay should not
essarily be considered developmentally disabled. The be interpreted as supportive of nonorganic etiologies
seemingly simple idea of providing a general diagnostic (p. 3 ) . However, developmental delay is often used to
label based upon functional differences raises many reflect a less definitive state of disability in a young
questions about service provision, inclusion, and who child (up to 5 years old) when the diagnostic data are
has a developmental disorder. equivocal generally. Such confusing and sometimes
vague diagnostic statements are often applied to young
Conceptual Issues in children with milder learning disorders and less per-
Developmental Disorders vasive developmental disorders.
Defining what is a developmental disorder raises nu- Dissociation suggests a difference between the devel-
merous problems from a practical intervention, as well opmental rates of two areas or skills of development,
as a scientific, standpoint. One of the key issues in de- with one area significantly delayed by comparison (Ca-
fining DD is the concept of severity and substantiality. pute & Accardo, 1996). The dissociation phenomenon
Recall that one of the major reasons for the definition is relevant to our understanding of children with more
of DD and its subsequent legislation is to enable treat- specific learning disorders (e.g., dyslexia). Dissociation
ment and intervention across an array of congenital in this instance reflects a major discrepancy between
disorders with different etiologies, but often with similar the general cognitive skills of a child and his or her
functional impacts in adaptive behavior. The goal was reading skills, often a characteristic of a specific lan-
inclusive diagnostics for functional needs. The defini- guage or reading disability.
tion of DD focuses on defining a degree of functional Deviancy is evidenced by nonsequential unevenness
limitations (e.g., severity and substantiality). This dis- in the attainment of particular milestones or skills
crimination of adaptive skills has been viewed as a non- within one or more areas of development (Capute &
categorical issue that might broaden the DD label, at Accardo, 1996). The pattern and presentation of de-
least in terms of its service inclusion. Furthermore, this velopmental progress is significantly and clinically dif-
delineation of functional status is often a clinical deci- ferent in rate and context, irrespective of age. Such ex-
sion despite its evaluation based upon adaptive instru- amples are found in rote expressive language skills,
ments. These key issues (e.g., severity and pervasiveness unusual memory and mnemonics found in certain
of impairment) often are the defining factors in obtain- communication disorders (e.g., autism). and hyperver-
ing treatment and interventions. However this aspect bal language associated with hydrocephalus.
of the DD definition lacks operational clarity and is very In summary, developmental disorders are classified
difficult to place into administrative rules for service as developmental disabilities, sharing similar chronic
delivery. A current dilemma of this DD label is evi- duration, early onset, multiple physical or mental im-
denced by the occasional finding of early normative pairments, and are often pervasive in their lifelong
milestones in infants with Down syndrome who are not functional effects. Developmental differences in rate,
labeled as developmentally delayed or displaying mental level, and pattern are also reflected in the concepts of
retardation at that time in their development, and sub- delay, dissociation, and deviancy in the common devel-
sequently are denied early intervention services at a opmental disorders (e.g., mental retardation, learning
time when they are likely to receive a high benefit and disabilities, autism).
impact from such treatment. When differences are not
present, though highly likely, the DD classification can Key Developmental Disorders
become an administrative impediment to services. In A brief chronological history of mental retardation, au-
point of fact, this is a misinterpretation of the DD def- tism, and learning disabilities follows.
inition, but testifies to problems of operational clarity. Mental Retardation. The history of mental retar-
Finally, when considering the DD category, some dation is well defined by others and represents a com-
clarification is necessary with respect to the issues of plex social and scientific chronology covering several
delay, dissociation, and deviancy (Capute & Accardo. decades (Irwin & Gross, 1990; Madle & Niesworth,
1996). These concepts are applied in varying degrees to 1990). Much debate currently exists in defining pri-
developmental disorders, particularly mental retarda- mary key aspects in the category of mental retardation
tion, during the initial stages of identification. Delay as they relate to particular variables, such as IQ score,
often refers to a significant lag in one or more areas of age, functional disabilities, and sociocultural circum-
development. The degree of delay has biological impli- stances. The current definition of mental retardation is:
D E VEI, 0 P ME N T A L D I S 0 R D ER S 7

Mental retardation refers to substantial limitations in disorders, environmental toxins, infections). Etiologies
present functioning. It is characterized by significantly for mental retardation clearly represent a multifactorial
subaverage intellectual functioning, existing concur- continuum of biological and social factors. Finally, the
rently with related limitations in two or more of the developmental consequences and life outcomes for in-
following applicable adaptive skill areas: Communica- dividuals with particular levels and degrees of mental
tion, self-care. horne living, social skills, community
retardation are related to their associated disabilities,
use, self-direction, health and safety, functional aca-
timing of early interventions, and maintenance of on-
demics. leisure and work. Mental retardation manifests
before age J X . (Luckasson et al.. 1992,p. IS) going support systems within their daily environments
(Capute & Accardo, 1996).
This AAMR definition has raised significant discus- Autism. Autism is a behavioral syndrome of neu-
sion among the cornmunity of scholars focusing on rologic dysfunction, characterized by impaired recipro-
mental retardation (IMacMillan, Gresham, & Siperstein, cal social interactions, impaired verbal and nonverbal
1993). Classification of individuals with mental retar- communication, impoverished or diminished imagina-
dation is no longer based primarily on an IQ score, and tive activity, and a markedly restricted repertoire of ac-
the categories of mild, moderate, severe, and profound tivities and interests relative to age (Gillberg & Coleman,
mental retardation are no longer in vogue. This is not 1993). Research in the area of autism has exploded in
true for the Diagnosi.ic and Statistical Manual of Mental the 1990s. Numerous studies are focusing on neuro-
Disorders (DSM-1V American Psychiatric Association, behavioral, neuropsychological, genetic, and behavioral
J 994) or Tnternational Classification of Diseases (ICD-lo, functioning.
World Health Organization, 1989). Instead, AAMR Although specific etiologies of autism are generally
classification is based on particular types and intensities unknown, often an underlying and associated brain
of supports and services needed by the individual, cat- disease can be identified (Gillberg & Coleman, 1993).
egorized as intermittent, limited, extensive, and perva- Such examples include congenital infections, develop-
sive. This supports-based paradigm represents a shift mental brain abnormalities, metabolic diseases, post-
away from the defit:it (within the person) orientation natally acquired destructive disorders, neoplasms, and
toward an outcome-based orientation that emphasizes genetic disorders (e.g., tuberous sclerosis and fragile X
the social and comcnunity roles of persons with mental syndrome: Gillberg & Coleman, I99 3 ) . The relation-
retardation. Although controversial, fundamental as- ship of etiology to behavioral functioning and adap-
sertions behind this model are that individuals should tive improvement remains equivocal: historical psy-
be maintained and supported in inclusive settings to chogenic explanations are no longer viewed as
ensure successful learning, work experiences, and ad- etiologically valid.
justment to the demands of community living. These The life outcomes of individuals with autism remain
issues of inclusion are not inconsistent with earlier highly variable. Factors that affect outcome relate to
models of defining mental retardation or the contem- initial cognitive levels, language capability, and associ-
porary definitions of DSM-IV or ICD-ro. However, ated central nervous system disabilities. Treatment of
AAMKs I 992 defi:nition of mental retardation makes individuals with autism requires a strong behavioral
the diagnosis and definition contingent upon these is- and special education emphasis with a primary focus
sues. Key arguments in the application of this definition on the enhancement of communication skills and
center around cautions suggesting that AAMRs (Luck- adaptive behavioral management. In concert with com-
asson et al., rgg2) approach may promote an over- munication, socialization skills must be given high pri-
emphasis on clinicma1 judgment, rather than empirical ority as well.
sources for decision making, and those who question it A major determinant of the prognosis of individuals
often cite the lack of research and instrumentation to with autism is the presence or absence of an underly-
support the development of this definition, specifically ing disorder of the brain and accessibility to treatment
adaptive behavior domains (MacMillan et al.. 1993). for associated disorders and impairments that accom-
Such paradigm shifts in the definition of such major pany the disorder. Future outcomes of individuals with
categorixations of developmental disorders can have autism relate to their initial levels of functioning, lan-
profound implications for millions of citizens, primarily guage skills, and continuous and available support sys-
in eligibility for services and long-term educational as- tems to promote functioning in adaptive behavioral
sistance. skills within community environments (Gillberg &
Mental retardation may be the end result of one or Coleman, 1993).
more of the following categories of risk: biomedical, Learning Disabilities. Learning disabilities (LDs)
social. behavioral, educational, and multiple factors represent a very broad group of developmental disor-
(Capute & Accardo, 1996). Evidence is increasing that ders that have a deficit in a particular area of learning
biomedical factors have a deleterious impact on the as a common characteristic; individuals with LDs dis-
childs developing central nervous system (e.g., genetic play some type of academic or achievement problem.
8 D E V E I, 0 P M E N T A L D I S 0 R D E R S

To get more specific consensus than this among experts active area of educational and neuropsychological re-
is clearly problematic. Contemporary definitions of search (Gerber, ~ 9 9 3 ) .Specific generalizations about
learning disabilities tend to stress specific disorders, of- outcomes can only be made with respect to very gen-
ten independent of general deficits (usually cognitive), eral statements, since many of the disorders that are
and are defined within a neurocognitive or a neuro- included in this category have highly specific impacts
behavioral framework (Obrzut & Hynd, 1991). on cognitive and neuropsychological functioning.
Defining learning disabilities is an ongoing issue for [See also Autistic Disorder: Learning Disabilities: and
practice and science. Generally, the identification and Mental Retardation.]
conceptualization of learning disabilities evolved from
the work of Strauss and Werner in 1955 (Kavale,
. initial definition of learning disabilities was
~ 9 8 8 )This Bibliography
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Learning disability is a general term that refers to a A comprehensive review of the biomedical understand-
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presumed to be due to central nervous system dysfunc- 533-542.
tion, and may occur across the life span. Problems in Irwin, A. R.. & Gross, A. M. (1990). Mental retardation in
self-regulatory behaviors, social perception, and social childhood. In M. Hersen & C. Last (Eds.), Handbook of
interaction may exist with learning disabilities but do child and adult psychopathology: A longitudinal perspective
not by themselves constitute a learning disability. (pp. 325-336). New York: Pergamon Press. A contem-
Although learning disabilities may occur concomi- porary review of the issues of research and practice in
tantly with other handicapping conditions (for example, mental retardation in children.
sensory impairment, mental retardation, serious emo- Kavale, K. A. (Ed.). (1988). Learning disahilitics: State of the
tional disturbance) or with extra influences (such as art and practice Boston: Little, Brown.
cultural differences, insufficient or inappropriate in- Luckasson, R., Coulter, D. L., Polloway, E. A., Reiss, S..
struction) they are not the result of those conditions or Schalock, R. L., Snell, M. E., Spitalnik, D. M., & Stark,
J. A. (1992). Mental retardation: Definition, classification,
influences. (NJCLD, 1988)
and systems of support (9th ed.). Washington. DC:
For a comprehensive treatment of this history, see Ger- American Association on Mental Retardation. The
ber ( ~ 9 9 3 )Findings
. in this area are moving away from 1992 manual on mental retardation, including a brief
a traditional descriptive medical model and are explor- history and rationale for the revision.
MacMillan, D. L., Gresham, E M., & Siperstein, G. N.
ing complex brain-behavior relationships. Research is
(1993). Conceptual and psychometric concerns about
exploring neurophysiology, brain imaging, event-related the 1992 AAMR definition of mental retardation.
cortical potentials, regional cerebral blood flow, and American Journal on Mental Retardation, 98, 325-335.
brain electrical activity mapping (Obrzut & Hynd, Madle. R. A., & Neisworth, J. T. (1990). Mental retardation
1991). Outcomes in relation to learning disability cat- in adulthood. In M. Hersen & C. Last (Eds.),Handbook
egories and their relationships to particular interven- of child and adult psychopathology: A longitudinal perspec-
tion programs remain an extremely complicated and tive (pp. 337-352). New York: Pergamon Press. A con-
DEVELOPMENTAL PSYCHOLOGY: History of the Field 9

temporary review of the issues of research and practice


in mental retardation in adults. Prescientific Antecedents
Obrzut, J. E.. & Hynd. G. W. (Eds.). (1991).Neuropsycho- Views of development have always reflected the culture
logical fixindatians 3f learning disab in which they emerged. In one of the earliest views of
issues. methods, and practice. San Diego. CA: Academic the child, preformationism, a homunculus or miniature
Press. A state-of-the-art text on contemporary research
adult was believed to be contained in the semen or egg
and practice in learning disabilities.
Presidents Committee on Mental Retardation. (1977). MR at conception. The homunculus was only quantitatively
76. Mrrital retardation: Past and present (Stock No. 040- different from the adult. Preformationist views were
000-o038g-I). Washington. DC: US. Government Print- largely abandoned on the biological level with the de-
ing Office. velopment of modern science.
Sumrnarq of existing regislation aflecting people with disabili-
ties (1992).Washington, DC: Office of Special Education Philosophical Bases
and Rehabilitative Services, U S . Department of Edu- From a philosophical perspective, John Locle ( I 632-
cation. t Contract #433J47100266) This is a compre- 1704) and Jean-Jacques Rousseau (1712-1778) are the
hensive summary of extant legislation affecting people usual starting points for Western discussions of devel-
with disabilities. opment. Locke is considered the father of modern
Thompson, R. J., & CIQuinn, A. N. (1979). Developmental
learning theory. For him, the child was a tabula rasa or
disabilities: Etiologies, manifestations, diagnoses, and treat-
rnowts. New York: Oxford University Press. blank slate on which experience writes. The role of
Wiegerink. R.. & Pelosi. J. W. (Eds.). (7979). Developmental Locke and later learning theorists was to emphasize the
disabilities: The D1) movement. Baltimore: Paul Brooks. role of the environment in development.
World Health Organization. ( ~ 9 8 9 )International
. class$- Rousseau is often identified as the father of classical
cation ?/ diseuses (10th ed.). Geneva: Author. developmental psychology. In his book Emile (r762),he
championed a view that emphasized the natural un-
Dennis C. Harper
folding of the child based on a n innate blueprint. He
was one of the first to argue that development took
place in stages.

DEVELOPMENTAL PSYCHOLOGY. [This entry com- Baby Biographies


prisrs thrcie articles: a n overview of the broad history of Early attempts to understand development can be found
the field jrom its inception to the present; a survey of the in baby biographies, descriptive accounts of children,
principal theories that have determined the course of de- usually written by a parent, and often biased. The
velopment of the JicZd; and a general descriptive review and German philosopher, Dietrich Tiedemann ( 1748-1803).
rvaluation of methuds and assessments that have been em- is credited with creating the first baby biography
ploged i n this field. I (1787). but there was little follow-up to his work. Al-
most IOO years later, another German, biologist Wil-
helm Preyer (1847-1897). kept a detailed account of
History of the Field
the mental development of his son during his first four
Human development is the concern of many disci- years. He published the results as Die Seele des Kindes
plines. including Diology, sociology, anthropology, edu- (The Mind of the Child) (1882), a work frequently cited
cation, and medicine. In addition, the topic cuts across as beginning the modern child psychology movement.
nations and cultures, adding to the diversity of subject In America, the best known baby biography was a col-
matter and approaches. lection of observations of her niece, by Milicent Shinn
Developmental psychology is concerned with con- (1858-1940), which she began in 1890. A popular ver-
stancy and change in psychological functioning over sion was later published as The Biography of a Baby
the life span. As a discipline, it arose shortly after the (1900).
emergence of scientific psychology in the latter part of
the nineteenth century. Its antecedents were different The Impact of Darwin
from those that led to the founding of experimental The theory of evolution contained in The Origin of Spe-
psychology. cies (1859) by Charles Darwin (1809-1882) was the
In it5 early years, developmental psychology was pri- starting point for many Western developmental psy-
marily concernej with child and adolescent develop- chologists, both European and American. In addition.
ment. Later, adult development and aging began to as- Darwins emphasis on individual differences and ad-
sume more importance. Developmental psychology aptation became important components of develop-
began as a corrdational science, focusing on observa- mental psychology.
tion, not on experimentation. and thus differed from The German physiologist, Wilhelm Preyer, was in-
traditional research psychology. spired by Darwin and, in turn, was the inspiration for
10 D E V E L O P M E N T A L P S Y C H O L O G Y : History of the Field

other European developmentalists including Karl his contributions to philosophy and education, but he
Buhler (1879-7963). Charlotte Buhler (1893-1974), also wrote on developmental issues. In contrast to
and William Stern (r871-1938).Darwins approach many of his American contemporaries, his theory had
also led to the ethological school of development, which a contextual emphasis which has sometimes been com-
includes the work of Konrad Lorenz (rqo3-1989)and pared to that of Vygotsky. He focused on education. in
Nilto Tinbergen (1907-rg88).The research and writing part, because he believed it would establish the agenda
of John Bowlby (rgo7-1ggo) and Mary Ainsworth for development. He established a laboratory school
(1913-1999)on loss and attachment are later expres- at the University of Chicago in order to observe and
sions of this school. More recently, a Darwinian-based experiment with children in a more natural setting.
approach. evolutionary psychology,has emerged. Some of the questions he posed are still being asked
Among the American pioneers deeply affected by today. Which aspects of development are universal?
Darwin were G. Stanley Hall, one of Americas first psy- Which are expressions of local culture? Alfred Binet
chologists, and James Mark Baldwin, also a pioneer psy- (r857-~91~), a Frenchman. and the father of modern
chologist. Halls main approach to development, reca- intelligence testing, conducted research on cognitive
pitulation theory, was derived from Darwin through a functioning, including memory. In addition to being a
German biologist, Ernst Haeckel (1834-TgTg).Bald- prolific writer, he was an advocate for educational re-
wins approach has been linked to the theories of both form. The experimental laboratory school he founded
Jean Piaget and Lev Vygotsky. was probably the first in Europe. Binets work in intel-
lectual development introduced many concepts which
The Child Study Movement and are still in use today. Maria Montessori (1870-1952).
G . Stanley Hall (1844-1924) an Italian educator, also wrote extensively on child de-
Among the many contextual forces which contributed velopment. Trained as a physician, she first worked
to the rise of developmental psychology in the [Jnited with developmentally disabled children. She investi-
States, the child study movement was the most impor- gated the writing of Jean-Marc Itard (~774-1838).
tant. This movement, which emerged during the latter whose work is often associated with the beginning of
part of the nineteenth century, focused on the welfare special education and his disciple Edouard Seguin
of children and, among other things, helped to bring (1812-1880). Many of the techniques she learned from
about the passage of laws governing child labor and them later became part of her Montessori method.
compulsory education. Its leadership was assumed by
G. Stanley Hall. Psychoanalytic Approaches
Hall linked the new psychology and the movement. Psychoanalytic approaches did not enter mainstream
We promised to make an understanding of the child academic psychology until the 1930s-but their influ-
scientific, an approach that held appeal for many ence was eventually profound. Moreover, Sigmund
groups, particularly educators. He published a series of Freud (1856-~939), the founder of the movement, had
questionnaire studies which, though flawed, attempted an impact on popular culture unequalled by any other
to establish norms for children in a variety of areas. psychologist. While his method of psychotherapy is well
In 1891, Hall published the first journal of devel- known, it is not always appreciated that his theory is
opmental psychology, Pedagogical Seminary, later a theory of development. His followers were numerous
renamed the Journal of Genetic Psychology (the word ge- and produced many different approaches.
netic in these early years was a synonym for develop- Two important followers were his daughter Anna
ment). He wrote Adolescence (19041,a two-volume book, Freud (1895-rg82). who became a distinguished psy-
which revived an archaic word and offered a theory of chologist in her own right, and Erik Erikson (7902-
development broader than the title suggested. He also 1994).Both are ego psychologists, since they were
wrote Senescence (r922)which was concerned with the more concerned with the conscious, rational part of
second half of life. For all these efforts and more, he is the personality. Erikson is best known for his book
frequently identified as the father of American devel- Childhood and Society (rgso), and for his description of
opmental psychology. the eight stages of man. While accepting S. Freuds no-
tions of psychosexual development. he discussed them
Four Pioneer Developmentalists within a broader cultural context.
James Mark Baldwin (1861-1934)proposed a stage the- Other psychoanalysts who had an impact on devel-
ory of development which initially focused on cognitive opmental psychology include Karen Horney (1885-
development. Later, he extended it to include social de- 1952).particularly for her work on feminine psychology
velopment as well. He was largely a theoretician, not and her emphasis on life-span growth and self-
an experimentalist, and there is evidence that his work actualization. Carl G. Jung (1875-1961) was a theoret-
influenced both Vygotsky and Piaget. John Dewey ical innovator in adult development and aging. Melanie
( I 8 59-1952). an American, is probably best known for Klein (1882-1960). who developed object relations the-
D E V E L O P M E N T A L P S Y C H O L O G Y : History of the Field 11

or!!. was a rival oi Anna Freud. and emphasized the particularly suited for the contextualist theoretical
first 2 years of life particularly the importance of the framework which has became popular in recent years.
mother. Born and raised in Russia, Vygotsky was a Marxist n7ho
believed in the importance of the social and historical
Normative Developmental Psychology context to development. At the same time, he had an
lJntil the T 9 4 0 S , riuch of developmental psychology appreciation of the internal features of development.
was descriptive and normative. Arnold Gesell (1880- This ability to consolidate these two diverse positions
1961)was important in promoting this approach. Al- has led some to see his work as forming the basis for
though his mentor, G. Stanley Hall, had tried to develop an integrative theory of development.
normative data on children, it was the work of Gesell Although he is often compared to Piaget. Vygotsky
that proved of lasting value. Gesell collected volumi- differed from him in substantial ways. For instance, he
nous data on infants and children, particularly on their placed much more emphasis on the role of the parent
physical and motor development. Moreover, he organ- and teacher in cognitive development. He emphasized
ized the information to make it useful and available to the function of speech, particularly as a n aid to the
parents. childs development. His zone of proximal develop-
The effbct of his work was to encourage parents to ment, a construct describing the ability of children to
relax and to trust more in nature. In the tradition of perform beyond their current level, has been found par-
Rousseau. the natural unfolding of the child was more ticularly useful for teachers.
important than any interference on the part of parents
or educators. Thus he became a spokesman for the Learning Theory
maturation position. Many of Gesells developmental John Watson (T878-1958), the father of behaviorism.
norms are still in use today. ushered in a movement that differed in important ways
from classical developmental psychology. Learning be-
The Testing Malvement came the central issue for study. Hence, a niociel based
lhere had been many early attempts to develop mea- on Locke rather than Rousseau became the standard.
sures of intelligence. notably by Francis Galton (1822- In his famous Little Albert experiment (1920). Wat-
I y I I ), but they proved unproductive. However, Alfred son attempted to show how a childs emotional devel-
Binet. in Paris. tried a new approach and the tests were opment could be understood in terms of learning. Later,
almost ininiediately ,juccessful. Binet published scales in Mary Cover Jones (1896-1987). with Watsons guid-
I yoj. I goX. and 191T , the year of his death, each scale ance, conducted a study of a three-year-old boy lo dem-
more sophisticated than the last. onstrate how undesirable fears could be eliminated, and
An American. and former student of G. Stanley Hall. by so doing, began the field of behavior modification.
Henry 1. (;oddad (1866-1957) brought a version of After his departure from academic psychology, Wat-
Binets scale to the [Jnited States. After trying it on a son continued to write about child development. and
number of children, both normal and disabled. he de- his work became popular among parents. He was in-
clared the measure a success and immediately began strumental in promoting a scientific basis for child care.
sending copies of his translated version around the Eventually. he was replaced as the leader of the child-
country. care movement by less rigid and more child-oriented
Another former s~.udentof G. Stanley Hall, Lewis M. specialists such as Benjamin Spock.
Terman (1877-1956), also an American. developed the Influences were still felt from outside of learning
most widely used version of the Binet-Simon scales, theory. Kurt Lewin ( I 890-1947), for instance. was
eventually referred to as the Stanford-Binet, which be- more interested in motivation and conflict than learn-
came the standard against which all measures of in- ing. He conducted some well-designed field studies
telligerice were compared. Terman also initiated the first which had a practical impact on changing develop-
longitudinal study of development, beginning in L 92 I . mental psychology. Still, the focus of psychological re-
His sample. selected for being gifted in intelligence, con- search at this time was on learning. although some of
tinues to bt. followed today. Later longitudinal studies it strayed from Watsons thinking.
included the Harvarcl Growth Study (1922). the Berke- One variation included the research of a group at
ley Growth Study (11328). and the Fels Institute Study Yale University under the intellectual leadership of
of liurnan Development (1929). Clark Hull (1884-1952). This group began a program
of research that tried to combine learning theory and
Lev Vvgotsky (1896-1934) psychoanalytic theory. A member of the group, Robert
and Contextualbm Sears (1908-1 989). applied learnirig principles to a n
Although Vygotsky has been dead for more than six understanding of the socializatioir of children. His
decades, tic is sometimes referred to as the most im- work. with others, resulted in the book Patturns of Child
portant contemporary developmentalist. His ideas are Rearing (Sears. Maccoby, & Levin. lcfi;;). a frequently
12 DEVELOPMENTAL PSYCHOLOGY: History of the Field

cited assessment of child-rearing practices and out- simply about loss and decline, but was an occasion for
comes. While the group was ultimately unsuccessful in growth and perfectibility. Adolphe Quetelet (I796-
uniting learning theory and psychoanalysis, they suc- 1874) was probably the first to collect data on physical
ceeded in moving developmental psychology away from and psychological variables across the life span. Francis
a descriptive science to an empirically testable one. By Galton ( 1822-I~II), inspired by Quetelet, established
the 1950s and 1960s in America, developmental psy- an anthropometric laboratory in London in 1884,
chology was dominated by these learning theory ap- where he collected measurements on more than 9,000
proaches. people. His data constituted an early cross-sectional
Notable among more recent learning theorists was view of selected physical and psychological character-
B. F. Skinner (1904-1990). a strict behaviorist, who istics across the life span.
stressed the role of operant learning. He and his follow- The work of these pioneers in life-span development
ers performed many experiments demonstrating the was largely ignored. It was not until the 1920s and
role of reinforcement in everyday development. Skin- I930S, with the publication of several textbooks on de-
ners work led to widespread use of behavior modifi- velopment, that life-span approaches became promi-
cation techniques, particularly among autistic children nent again. There was additional interest in later de-
and the developmentally disabled. A highly influential velopmental periods when several longitudinal studies
contemporary behaviorist, Albert Bandura (1925- ) began to come of age. Robert Havighurst (1900-1991)
has focused more on social learning than Skinner. He and Bernice Neugarten (1916- ), at the University of
has emphasized the importance of modeling, and has Chicago, were active researchers on development in the
conducted many experiments demonstrating how so- middle and later years. Later, the University of West
cialization takes place, including the development of Virginia became an important site for research in life-
aggression, altruism, and sex roles. More recently he span development.
has focused on issues of health psychology.
Centers of Research
The Genetic Epistemology of The Iowa Child Welfare Research Station was founded
Jean Piaget (1896-1980) after World War I through the efforts of an Iowa house-
The impact of Jean Piagets theory on U S . developmen- wife, Cora Bussey Hillis. She argued that if useful re-
tal psychology can hardly be overestimated. Although search could be conducted in order to understand an-
he contributed a chapter to the first Handbook of Child imals, equally effective research should be directed to
Psychology (1931), his early work was largely ignored an understanding of the child. The Iowa Station was
in the United States. By the 1950s. however, a revival the first of many child development research centers to
of his work began. His stage theory soon became the be established in the United States. Beginning in the
T 9 2 0 S . a number of institutes were established through
centerpiece for American developmental psychology, at-
taining its most important role in the 1970s. His theory the efforts of Lawrence K. Frank, initially with money
was not only essential for most psychologists, it became provided by the Laura Spelman Rockefeller Memorial
essential for educators as well. Fund.
Piaget saw the child as a scientist, actively con- Organizations and Journals
structing increasingly more complex views of the There are literally hundreds of organizations which are
world. At each stage of development, the child is con- concerned with issues of human development. Many
strained by the cognitive structures available. Piaget developmental psychologists belong to the American
was criticized for his methodology and his apparent un- Psychological Association (APA), which includes divi-
willingness to address the approaches of other promi- sions devoted to Developmental Psychology: Adult De-
nent developmentalists. Although the era of his velopment and Aging: and Child, Youth and Family
greatest prominence has passed, his theory still contin- Services. The APA publishes several relevant journals,
ues to have an impact on a broad range of develop- including Developmental Psychology and Psychology and
mental issues. Aging. The American Psychological Society is also the
Life-Span Psychology organizational home for many American developmen-
tal psychologists. Increasingly. however, developmental-
Initially, most developmental psychology focused on the ists are found in specialty organizations. One prominent
child and adolescent. However, there were some early developmental organization is the Society for Research
attempts to investigate the entire life span. In 1777, in Child Development, begun in 1933. with its own
Johann Tetens (1736-1807). a German physicist and journal, Child Development, and a monograph series.
philosopher, published a book which addressed many
life-span issues still of concern today. Friedrich Carus The Future
(1770-1808) had a view of development that was sim- Theorists no longer seem to be working on a grand
ilar to that of Tetens. He wrote that aging was not theory of development: they are content with offering
DEVELOPMENTAL PSYCHOLOGY: Theories 1-j

miniature theories. Greater attention has been paid to of child development research (Vol. 5, pp. T-73). Chicago:
all ages of development so that the phrase life-span University of Chicago Press. A history by one of the
development more accurately reflects the science. As important contributors to the field.
developmental psycliologists have become more aware Senn, M .J .E. (1975). Insights on the child development
movement in the United States. Monographs of the So-
of the importance 01 context in development, they have
ciety for Research in Child Development, 40 (Serial No.
become more vocal advocates for improving that con-
161).
text, particularly arguing for changes in government
policy. There is increased awareness that values matter John D. Hogan
in development, and that science cannot provide those
values. Although developmental psychology has tradi-
Theories
tionally emphasized research, a new subspecialty called
applied developmenl a1 psychology, has emerged. Human beings, and their families, communities, and
societies develop; they show systematic and successive
changes over time. These changes are interdependent.
Bibliography Changes within one level of organization, for example,
developmental changes in personality or cognition
Aries, P. i 1962).Cent,iries of childhood. New York: Random
within the individual, are reciprocally related to devel-
House. A view of children through history.
opmental changes within other levels, for example,
Borstelmann, I,. J. ( 1983). Children before psychology:
Ideas about children from antiquity to the late 1800s. changes in caregiving patterns or spousal relationships
In P. H. Mussen (:d.),Handbook of child psyrhology: Vol. within the familial level of organization (Lewis & Ro-
r. Hisfor!], throry, and methods (4th ed., pp. 1-40). New senblum, 1974).
York: Wiley. Moreover, the reciprocal changes among levels of
Cairns. R . B. (1997). The making of developmental psy- organization are both products and producers of the
chology. In W. Damon (Ed.), Handbook of child psychol- reciprocal changes within levels. For example, over
ogy (5th ed.. pp. 25-105). New York: Wiley. A compre- time, parents manner of behavior and of rearing influ-
hensive history of developmental psychology. ence childrens personality and cognitive functioning
Charles. D. C. ( 1 970). Historical antecedents of life-span and development: in turn, the interactions between per-
developmental psychology. In L. R. Goulet & ? B. Bakes sonality and cognition constitute a n emergent charac-
(Eds.1. Life-span dtwlopmental psychology: Research and
teristic of human individuality that affects parental be-
theony. New York: Academic Press.
Dixon. R. A,. & Lerner. R. M. (1988). A history of systems haviors and the quality of family life.
in developmental psychology. In M. H. Bornstein & These interrelations illustrate the integration of
M. 1.: I a n b (Eds.I, Developmental psychology: An advanced changes within and among the multiple levels of orga-
textbook (pp. 3-50 Hillsdale, NJ: Erlbaum.
r. nization comprising the ecology of human life. Human
Ecltardt. G., Bringman. W. G., & Spring, L. (Eds.). (1985). development within this ecology involves organized and
Coritributions to a history of developmental psychology. successive changes-that is, systematic changes-in
Berlin: Morton. Cmtains several important essays on the structure and function of interlevel relations over
European contributors to developmental psychology. time. In other words, the human development system
Hilgard. E. K. (1987). Psychology in America. New York: involves the integration, or fusion (Tobach & Green-
Harcourt Brace. The chapter on developmental psy-
berg, 19841, of changing relations among the multiple
chology is spiced with relevant personal anecdotes and
levels of organization that comprise the ecology of hu-
remembrances.
Kessen. 11. (196,). The child. New York: Wiley. An excellent man behavior and development. These levels include
sourcc for original readings. biology, culture, and history.
1,erner. R. hl. ( I 983), Developmental psychology: Historical Given that human development is the outcome of
m 1 pl~ilosopphicnloerspectives. Hillsdale, NJ: Erlbaum. changes in this developmental system, then, for indi-
Particularly usefu for its emphasis on life-span devel- vidual ontogeny, the essential process of development
opmen t . involves changing relations between the developing per-
Iarlte. R. I).. Ornstein. P. A,, Rieser, J. J., & Zahn-Waxler. C. son and his or her changing context. Similarly, for any
(Eds.). ( 1994). A century of clevelopniental psychology. unit of analysis with the system (for example. for the
\\kshington, 1)C: .4merican Psychological Association. family, studied over its life cycle, or the classroom, stud-
(Original work published 1992.) A collection of excel-
ied over the course of a school year). the same devel-
lent historical articles including some useful overview
material. opmental process exists. In other words, development
Ross, I). ( I 972). G. Slmley Hall: The psychologist as prophet. involves changing relations between that unit and vari-
Chicago: University of Chicago Press. A rich biography ables from the other levels of organization within the
of the father of American devclopmental psychology. human development system. Accordingly, the concept
Sears. K. R. (1975).Your ancients revisited: A history of of development is a relational one. Development is a
child cieielopment.In E. M. Hetherington (Ed.), Review concept denoting systemic changes-that is, organized.
14 D E V E L O P M E N T A L P S Y C H O L O G Y : Theories

successive, multilevel, and integrated changes-across ations in the dynamic relations among structures from
the course of life of an individual (or other unit of multiple levels of organization, the scope of contem-
analysis). porary developmental theory and research is not lim-
A focus on process, and particularly on the process ited by a unidimensional portrayal of the developing
involved in the changing relations between individuals person (for example, the person seen from the vantage
and their contexts, is the predominant conceptual point of only cognitions, or emotions, or stimulus-
frame for research in the study of human development response connections, or genetic imperatives). Contem-
in the early twenty-first century. Previously, theories porary developmental theory consists of four interre-
about human development often involved causal splits lated dimensions.
between nature and nurture (Gottlieb, 1997: Overton, Change and Relative Plasticity. Contemporary
1998). These theories emphasized either predetermined theories stress that the focus of developmental under-
organismic bases of development, for instance, as in standing must be on systematic change (Ford & Ler-
attachment theory (Bowlby, 1969), ethological theory ner, ~ 9 9 2 )This
. focus is required because of the belief
(Lorenz, 1965), behavioral genetics (Plomin, r986), that the potential for change exists across the life
psychoanalytic theory (Freud, 1949). and neopsy- span (Bakes, 1987). Although it is also assumed that
choanalytic theory (A. Freud, 1969; Eriltson, I959), or Systematic change is not limitless (for example, it is
environmental, reductionistic, and mechanistic bases of constrained by both past developments and by con-
behavior and behavior change (Bijou & Baer, ~ 9 6 1 ) . temporary contextual conditions), contemporary the-
Other theories stressed more of an interaction be- ories stress that relative plasticity exists across life-
tween organismic and environmental sources of devel- although the magnitude of this plasticity may vary
opment (Piaget, 1970). Nevertheless, there remained in across ontogeny.
the discipline a presupposition that there were two dis- There are important implications of relative plastic-
tinct sources of development, that is, that there was a ity for the application of developmental science. For in-
split between organism and environment. As such, it stance, the presence of relative plasticity legitimates a
was the role of theory to explain the contributions of proactive search across the life span for characteristics
these two separate domains of reality to human devel- of people and of their contexts that, together. can in-
opment (Overton, 1998). fluence the design of policies and programs promoting
The stress in contemporary theories, however. is on positive development (Fisher & Lerner, 1994).
a healingof the naturelnurture split (Gottlieb, 1997). Relationism and the Integration of Levels of
and on accounting for how the integrated developmen- Organization. Contemporary theories stress that the
tal system functions, that is, for understanding proba- bases for change, and for both plasticity and constraints
balistic epigenesis. Gottlieb defined this process as being in development, lie in the relations that exist among
characterized by an increase of complexity or organi- the multiple levels of organization that comprise the
zation-that is, the emergence of new structural and substance of human life (Ford & Lerner, 1992:
functional properties and competencies-at all levels of Schneirla, 1957: Tobach, 1 9 8 ~ )These
. levels range from
analysis (molecular, subcellular.cellular, organismic) as the inner biological level, through the individual psy-
a consequence of horizontal and vertical coactions chological level and the proximal social relational level
among its parts, including organism-environment co- (involving dyads, peer groups, and nuclear families), to
actions. (1997, p. 90) the sociocultural level (including key macro-institutions
As such, the forefront of contemporary developmen- such as educational, governmental, and economic sys-
tal theory and research is represented by theories of tems) and the natural and designed physical ecologies
process, of how structures function and how functions of human development (Bronfenbrenner. 1979; Riegel,
are structured over time. For example, most contem- 1975). These levels are structuraIly and functionally in-
porary research about human development is associ- tegrated, thus requiring a systems view of the levels
ated with theoretical ideas stressing that the dynamics involved in human development (Ford & Lerner, 1992;
of individual-context relations provide the bases of be- Sameroff, 1983: Thelen & Smith, 1994).
havior and developmental change. Indeed, even models Developmental contextualism is one instance of
that try to separate biological or, more particularly, ge- such a developmental systems perspective. Develop-
netic, influences on an individuals development from mental contextualism promotes a relational unit of
contextual ones are at pains to (retro)fit their approach analysis as a requisite for developmental analysis: Vari-
into a more dynamic systems perspective (Ford & Ler- ables associated with any level of organization exist
ner, 1992; Thelen & Smith, 1994). (are structured) in relation to variables from other lev-
els: the qualitative and quantitative dimensions of the
Four Dimensions function of any variable are shaped as well by the re-
Thus, in emphasizing that systematic and successive lations that variable has with variables from other lev-
change (that is, development) is associated with alter- els. Unilevel units of analysis (or the components of, or
D E V E L O P M E N T A L P S Y C H O L O G Y : Theories 15

elements in, a relation) are not an adequate target of zation (Baltes, 1987); in addition, it means that the
developmental analysis: rather, the relation itself-the structure, as well as the function, of variables changes
interlevel linkage--should be the focus of such analysis over time.
(Riegel. 1975). Indeed, at the biological level of organization, one
Relationism and integration have a clear implication prime set of structural changes across history is sub-
for unilevel theories of development. At best, such the- sumed under the theory of evolution: evolution can be
ories are severely limited, and inevitably provide a non- applied also to functional changes (Darwin, r872: Got-
veridical depiction of development, because of their fo- tlieb, 1997). In turn, at more macro levels of organi-
cus on what are essentially main effects embedded in zation many of the historically linked changes in social
higher-order interactions (Walsten, 1990); at worst, and cultural institutions or products are evaluated in
such theories are neither valid nor useful. Accordingly the context of discussions of the concept of progress
neither biogenic theories, for example, genetic reduc- (Nisbet, 1980). The continuity of change that consti-
tionistic conceptions such as behavioral genetics or so- tutes history can lead to both intra-individual (or, more
ciobiology (Freedman, 1979: Plomin, 1986); psycho- generally, intralevel) continuity or discontinuity in de-
genic theories. for example, behavioristic or functional velopment-depending on the rate, scope, and partic-
analysis models (Bijou & Baer, 1961); nor sociogenic ular substantive component of the developmental sys-
theories, for example, social mold conceptions of so- tem at which change is measured (Brim & Kagan,
cialization (Homanri, 1961: Hartup, 1978) provide ad- 1980). Thus, continuity at one level of analysis may be
equate theoretical frames for understanding human de- coupled with discontinuity at another level: quantita-
velopment. Simply, neither nature nor nurture theories tive continuity or discontinuity may be coupled with
provide adequate conceptualizations of human devel- qualitative continuity or discontinuity within and
opment ((iottlieb, r997). For instance, theories that across levels: and continuity or discontinuity can exist
stress critical periods of development (Bowlby, 1969: Er- in regard to both the processes involved in (or the ex-
ikson, I c) 59: Lorenz. 1965), that is, periods of ontogeny planations of) developmental change and in the fea-
constrained by biohgy (for example, by genetics or by tures, depictions, or outcomes (that is, the descrip-
maturation) are seen from the perspective of theories tions) of these processes.
that stress relationism and integration as conceptually These patterns of within-person change pertinent
flawed (and empirically counterfactual). to continuity and discontinuity can result in either
Moreover, many nature/nurture interaction theories constancy or variation in the rates at which different
also fall short in t h s regard: theories of this type often individuals develop in regard to a particular substan-
treat nature and nurture variables as separable entities tive domain of development. Thus, any pattern of in-
and view their connection in manners analogous to the tra-individual change can be combined with any in-
interaction term in an analysis of variance (Bijou & stance of inter-individual differences in within-person
Baer. ~ g L :h Erikson, 1959; Plomin, 1986; Walsten, change, that is, with any pattern of stability or insta-
I 990). The cutting ledge of contemporary theory moves bility. In other words, continuity-discontinuity is a di-
beyond the simplistic division of sources of develop- mension of intra-individual change and is distinct
ment in to nature-related and nurture-related variables from, and independent of. stability-instability-which
or processes; instead the multiple levels of organization involves between-person change and is, therefore, a
that exist within the ecology of human development group, and not an individual. concept (Baltes. 1987:
are seen a s part of an inextricably fused developmental Lerner. 1986).
system. In sum, since historical change is continuous, tem-
Historical Embeddedness and Temporality. The porality is infused in all levels of organization. This in-
relational units of analysis of concern in contemporary fusion may be associated with different patterns of con-
theories are under::tood as change units. The change tinuity and discontinuity across people. The potential
component of these units derives from the ideas that array of such patterns has implications for understand-
all of the above-noted levels of organization involved in ing the importance of human diversity.
human deve1opmer.t are embedded in history, that is, The Limits of Generalizability, Diversity, and
they are integrated with historical change (Elder, Mo- Individual Differences. The temporality of the
dell, & Parke. ~ 9 9 3 )Relationism
. and integration mean changing relations among levels of organization means
that no level of organization functions as a conse- that changes that are seen within one historical period
quence of its own. isolated activity (Tobach, 1981). (or time of measurement), and/or with one set of in-
Each le\el function:; as a consequence of its fusion (its stances of variables from the multiple levels of the ecol-
structural integratim) with other levels. History is a ogy of human development, may not be seen at other
level of organization that is fused with all other levels. points in time (Baltes, 1987: Bronfenbrenner, ~ 9 7 9 ) .
This linkage means that change is a necessary, an in- What is seen in one data set is only an instance of what
evitable. feature of variables from all levels of organi- does or what could exist. Accordingly, contemporary
16 DEVELOPMENTAL PSYCHOLOGY: Theories

theories focus on diversity-of people, of relations, of cesses. In other words, to study any process and, more
settings, and of times of measurement. basically, to study any change phenomenon, cross-
Individual differences within and across all levels of temporal (multi-occasion) data must be gathered, and
organization are seen as having core, substantive sig- it would be both theoretically interesting and important
nificance in the understanding of human development and empirically useful to recast many extant cross-
(Baltes, 1987; Lerner, 1998). Diversity is the exemplary sectional data as longitudinal investigations.
illustration of the presence of relative plasticity in hu- Indeed, change-sensitive (that is, longitudinal) de-
man development. Diversity is also the best evidence signs must be used in research that is intended to ap-
that exists of the potential for change in the states and praise adequately the alterations over time that are as-
conditions of human life (Brim & Kagan, 1980). sociated with individual behavior across the life span.
Moreover, the individual structural and functional As noted, these designs must involve the use of mea-
characteristics of a person constitute an important sures that are developed to be able to detect change:
source of his or her development. The individuality of however. it is typically the case that measures of traits
each person promotes variation in the fusions he or she are not developed to be sensitixre to developmental
has with the levels of organization within which the change. Furthermore, multivariate measurement mod-
person is embedded. For instance, the distinct actions els must be used to appraise the several individual and
or physical features of a person promote differential ac- contextual levels integrated within and across devel-
tions (or reactions) in others toward him or her. These opmental periods.
differential actions, which constitute feedback to the However, a dynamic, systems theory, such as devel-
person, shape at least in part further change in the opmental contextualism, would move the study of hu-
persons characteristics of individuality (Lerner, I 986: man development beyond just the point of promoting
Schneirla, 1957). For example, the changing match, multivariate-longitudinal designs involving change-
congruence, or goodness-of-fit between the develop- sensitive measures. In addition, developmental contex-
mental characteristics of the person and of his or her tualism would lead scholars to design research studies
context provide a basis for consonance or dissonance that involve
in the ecological milieu of the person; the dynamic na-
ture of this interaction constitutes a source of variation 1. dynamic (fused) relations among levels of organi-
in positive and negative outcomes of developmental zation (Ford & Lerner, 1992:Tobach & Greenberg,
1984) involved in the ecology of human develop-
change (Thomas & Chess, 1977).
ment:
2 . the appraisal of levels ranging from the inner-
Methodological Implications
biological, and individual-psychological, to the
The temporality involved in contemporary theories of physical ecological, the sociocultural, and the his-
human development necessitates change-sensitive mea- torical, and concepts that stress the ways in which
sures of structure and function and change-sensitive levels interrelate. or are fused-such as the good-
(that is, longitudinal) designs (Baltes, 1987; Brim & Ka- ness of fit notion (Thomas & Chess, rg77)-may
gan, 1980). The key question vis-a-vis temporality in be particularly helpful;
such research is not whether change occurs: rather, the 3 . the individual differences (the diversity) that derive
question is whether the changes that do occur make a from variation (for example, in the timing) of the
difference for a given developmental outcome. interactions among levels; and
4. as necessary, a co-learning model for the design
Moreover, given that the study of these changes will
of research (and intervention) programs. which
involve appraisal of both quantitative and qualitative would rely on the contributions of individuals them-
features of change, which may occur a+multiple levels selves to further knowledge about the issues, assets,
of organization, there is a need to use both quantitative and risks affecting their lives.
and qualitative data collection and analysis methods.
In essence, then, the concepts of historical embedded- Such research thus diminishes problems of alien-
ness and temporality indicate that a program of devel- ation between researchers and participants (Riegel.
opmental research adequate to address the relational, 1975) and suggests that any quantitative appraisal of
integrated, embedded, and temporal changes involved human development rests on a qualitative understand-
in human life must involve multiple occasions, meth- ing of their life spaces and meaning systems. Since
ods, levels, variables, and cohorts (Schaie, 1965). such understanding is shaped at least in part by the
Empirical appraisals of cross-time variation and co- participants input, research, and especially programs
variation are more veridical with the character of derived from such information, is more likely to be ef-
change phenomena. Moreover, such analyses would af- ficacious for the participants.
ford examination of whether changes are consistent Thus, developmental contextualism underscores the
with theoretical propositions about developmental pro- need for policies and programs that are derived from
DEVELOPMENTAL PSYCHOLOGY: Theories 17

research to be diversity sensitive and to take a change- growth and decline. Developmental Psychology. 23. 611-
oriented, multilevel, integrated, and developmental sys- 626.
tems approach (Ford & Lerner, 1992). The integrated Bijou, S. W., & Baer, D. M. (Ed.). (1961). Child development:
A systematic and empirical theory. New York: Appleton-
nature of this system means that change can be ef-
Century-Crofts.
fected by entering the system at any one of several lev-
Bowlby, J. (1969). Attachment and loss: Vol. I. Atta(hment.
els or at several levels simultaneously-depending on New York: Basic Books.
the precise circumstances within which one is working Brim, 0. G., Jr., & Kagan, J. (Ed.). (1980). Constancy and
and on the availability of multidisciplinary and multi- change in human development. Cambridge, MA: Harvard
professional resources. University Press.
Bronfenbrenner, U. (1979).The ecology of human develop-
Conclusions
ment. Cambridge, MA: Harvard University Press.
Theoretical views such as developmental contextualism Cairns, R. B. (1998). The making of developmental psy-
not only provide a n agenda for a developmental, dy- chology. In W. Damon (Series Ed.) & R. M. Lerner (Vol.
namic. and systems approach to research about human Ed.), The handbook of child psychology: Vol. I. Theoretical
development but also allow for the promotion of posi- models of human development. (5th ed., pp. 25-106). New
tive developmental trajectories in people. When actu- York: Wiley.
alized, developmenl al systems, along with policies and Darwin. C. (1872). The expression of emotion in men and
programs. can ensure a continuous social support sys- animals. London: J. Murray.
tem across the life course. Such a system would be a Elder. G. H., Jr., Modell, J.. & Parke, R. D. (1997). Studying
children in a changing world. In G. H. J. Elder, J. Modell,
network encompassing the familial, community, insti-
& R. D. Parke (Eds.), Children in time and place: Devel-
tutional, and cultural components of the ecology that opmental and historical insights (pp. 3-21). New York:
impact7 a person's behavior and development across his Cambridge University Press.
or her life (Bronfenbrenner, 1979). Erikson. E. H. (1959). Identity and the life-cycle. Psycholog-
There is growing recognition that traditional and ar- ical Issurs, I. 18-164.
tificial distinctions between science and service and be- Fisher, C. B.. & Lerner. R. M. (Eds.). (1994). Applied devel-
tween knowledge ;eneration and knowledge applica- opmental psychology. New York: McGraw-Hill.
tion and practice need to be reconceptualized. Scholars, Ford, D. L., & Lerner. R. M. (1992). DevelopmentaI systems
practitioners, and policy makers are increasingly rec- theory: An integrative approach. Newbury Park. CA: Sage.
ognizing the important role that developmental science Freedman, D. G. (1979). Human sociobiology: A holistic ap-
can play in stemm ng the tide of insults to the quality proach. New York: Free Press.
Freud, A. (1969). Adolescence as a developmental distur-
of life caused by poverty, premature births, school fail-
bance. In G. Caplan & S. Lebovier (Eds.), Adolescence
ure. child abuse, crime, adolescent pregnancy, sub-
(pp. 5-10). New York: Basic Books.
stance abuse. unemployment, welfare dependency, dis- Freud, S. (1949). Outline of psychoanalysis. New York: Nor-
crimination, ethnic conflict, and inadequate health and ton.
social resources. Gottlieb. G. (1997). Synthesizing nature-nurture: Prenatal
Research designs that examine topics of immediate roots of instinctive behavior. Mahwah, NJ: Erlbaum.
social concern, that consider both normative and atyp- Hartup, W. W. (1978). Perspectives on child and family in-
ical developmental pathways as means of promoting teraction: Past, present, and future. In R. M. Lerner &
and enhancing human welfare, that take into account G. R. Spanier (Eds.).Child influences on marital andfamily
the contextual nature of development and employ eco- interaction: A life-span perspectivr (pp. 23-4 5). New York:
logically valid means of assessing functioning, and that Academic Press.
Homans, G. C. (1961). Social behavior: Its elementary forms.
are sensitive to the ethical dimensions of action re-
New York: Harcourt, Brace, & World.
search arc required if science is to make a difference in Lerner, R. M. (1986). Concepts and theories of human devel-
the life of the community. Without such research, the opment (2nd ed.). New York: Random House.
knowledge produced by developmental scientists risks Lerner, R. M. (1998). Theories of human development:
being ignored or misused by practitioners, educators, Contemporary perspectives. In W. Damon (Series Ed.) &
policy makers, and the public itself. R. M. Lerner (Vol. Ed.). The handbook of child psychology:
[See also Behavixal Genetics: and Psychoanalysis.] Vol. I. Theoretical models of human development. (5th ed..
Acknowlrdgments. The preparation of this chapter was sup- pp. 1-24). New York: Wiley.
ported III part by a g:rant from the W. T. Grant Foundation. Lewin, K. (1943). Psychology and the process of group
living. Journal of Social Psychology, 17, 113-1 3 1 .
Lewis, M., & Rosenblum, L. A. (Ed.). (1974). Thr (ffeect of
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Lewontin, R. C.. Rose, S . . & Kamin, L. 1. (1984). Not in our
Bakes, P. B. (1987) Theoretical propositions of life-span genes: Biology, ideology. and human nature. New York:
developmental psychology: On the dynamics between Pantheon.
18 DEVELOPMENTAL PSYCHOLOGY: Research Methods

Lorenz, K. (r965). Evolution and modification of behavior.


Chicago: University of Chicago Press. Developmental Research Designs
Nisbet, R. A. (1980). History of the idea of progress. New The topic of developmental research designs has been
York: Basic Books. broached many times during the past 75 years. As
Overton, W. F. (1998). Developmental psychology: Philos-
Wohlwill (1973) argued, the most basic aim of devel-
ophy, concepts, and methodology. In W. Damon (Series
opmental science is to study change in behavior ( B )
Ed.) & R. M. Lerner (Vol. Ed.), The handbook of childpsy-
chology: Vol. I. Theoretical models of human development as a function of time (T),or B = AT). Hence, devel-
(5th ed., pp. 107-189). New York Wiley. opmental research designs should promote the mod-
Piaget, J. (1970). Piagetstheory In P. H. Mussen (Ed.), Car- eling of change in behavior across time. Time can,
michaels manual of child psychology (pp. 703-732). New however, be measured in many ways (Schroots & Bir-
York: Wiley. ren, 1990). and different ways of indexing time have
Plomin, R. (1986). Development, genetics, and psychology. important implications for representing and under-
Hillsdale, NJ: Erlbaum. standing behavioral change. Because researchers are
Riegel, K. F. (1975). Toward a dialectical theory of devel- typically interested in the ontogenetic development of
opment. Human Development, 18, 50-64. behaviors, the most common index of time is chron-
Sameroff, A. J. (1983). Developmental systems: Contexts ological age, or time since birth. Under this approach,
and evolution. In W. Kessen (Ed.), Handbook of childpsy-
the goal of developmental psychology is the determi-
chology: Vol. r. History, theory, and methods (pp. 237-
294). New York: Wiley. nation of the relationship between a behavior of in-
Schaie, K. W. (1965). A general model for the study of terest and the chronological age of participants, often
developmental problems. Psychological Bulletin. 64. 92- symbolized as B = f(A), reflecting the assumption
107. that behavior (B) is a specifiable function of age ( A ) .
Schneirla, T. C. (1957). The concept of development in But, Schroots and Birren offered many other indica-
comparative psychology. In D. B. Harris (Ed.), The con- tors of psychological age or time that are related to
cept of development (pp. 78-108). Minneapolis, MN: Uni- chronological age but that may govern, or at least
versity of Minnesota Press. better track, developmental change, so chronological
Thelen, E., & Smith, L. B. (1994). A dynamic systems ap- age should be considered only an approximation of
proach to the development of cognition and action. Cam- the optimal time dimension along which behavioral
bridge, MA: MIT Press.
development should be charted.
Thomas, A., & Chess, S. (1977). Temperament and develop-
ment. New York: Brunner/Mazel.
One option that must be faced when designing a
Tobach, E. (1981). Evolutionary aspects of the activity of developmental study is whether the same individuals or
the organism and its development. In R. M. Lerner & different individuals will be measured at the multiple
N. A. Busch-Rossnagel (Eds.),Individuals as producers of ages. Most researchers recognize the benefits of assess-
their development: A life-span perspective (pp. 37-68). ing the same individuals at the several times of mea-
New York: Academic. surement, as this allows the direct determination of age
Tobach, E., & Greenberg, G. (1984). The significance of changes, or the age-related change in a given behavior
T. C. Schneirlas contribution to the concept of levels of by each individual (Bakes & Nesselroade, 1979). Of
integration. In G. Greenberg & E. Tobach (Eds.). Behav- course, this approach can slow the progress of research
ioral evolution and integrative levels (pp. 1-7). Hillsdale, if the aim of the investigation is to portray behavioral
NJ: Erlbaum.
change across a considerable age span. To tackle this
Walsten, D. (1990). Insensitivity of the analysis of vari-
ance to heredity-environment interaction. Behavioral issue, Bell (1953) presented a method of approximating
and Brain Sciences, 1 3 ~109-120. long-term age changes by means of shorter term study
of several samples. This could be accomplished by as-
Richard M. Lerner and Marcella E. Korn sessing multiple groups of subjects belonging to differ-
ent birth cohorts across more restricted age spans and
then organizing the partially overlapping trends as a
Research Methods
function of chronological age. This notion was formal-
The topic of research methods in developmental psy- ized by Schaie (1965) as a general developmental model
chology encompasses an array of methodological and that recognized the potential influences on behavior of
statistical issues that arise when attempting to study the chronological age (A) and birth cohort (C) of the
development, or change in behavior as a function of individual as well as the historical moment or period
time. To organize ideas about research methods, it is ( P ) at which measurements are taken. The resulting
useful to distinguish among three domains-the design conception was organized around the potential effects
of developmental research, measurement issues that on behavior of age, period, and cohort, signified as
are of particular relevance in developmental work, and B = f(A, R C), and the interpretation of these effects
the statistical models and methods that characterize re- on behavior, as will be discussed below.
search efforts in the field. Clear distinctions among three simple developmental
18 DEVELOPMENTAL PSYCHOLOGY: Research Methods

Lorenz, K. (r965). Evolution and modification of behavior.


Chicago: University of Chicago Press. Developmental Research Designs
Nisbet, R. A. (1980). History of the idea of progress. New The topic of developmental research designs has been
York: Basic Books. broached many times during the past 75 years. As
Overton, W. F. (1998). Developmental psychology: Philos-
Wohlwill (1973) argued, the most basic aim of devel-
ophy, concepts, and methodology. In W. Damon (Series
opmental science is to study change in behavior ( B )
Ed.) & R. M. Lerner (Vol. Ed.), The handbook of childpsy-
chology: Vol. I. Theoretical models of human development as a function of time (T),or B = AT). Hence, devel-
(5th ed., pp. 107-189). New York Wiley. opmental research designs should promote the mod-
Piaget, J. (1970). Piagetstheory In P. H. Mussen (Ed.), Car- eling of change in behavior across time. Time can,
michaels manual of child psychology (pp. 703-732). New however, be measured in many ways (Schroots & Bir-
York: Wiley. ren, 1990). and different ways of indexing time have
Plomin, R. (1986). Development, genetics, and psychology. important implications for representing and under-
Hillsdale, NJ: Erlbaum. standing behavioral change. Because researchers are
Riegel, K. F. (1975). Toward a dialectical theory of devel- typically interested in the ontogenetic development of
opment. Human Development, 18, 50-64. behaviors, the most common index of time is chron-
Sameroff, A. J. (1983). Developmental systems: Contexts ological age, or time since birth. Under this approach,
and evolution. In W. Kessen (Ed.), Handbook of childpsy-
the goal of developmental psychology is the determi-
chology: Vol. r. History, theory, and methods (pp. 237-
294). New York: Wiley. nation of the relationship between a behavior of in-
Schaie, K. W. (1965). A general model for the study of terest and the chronological age of participants, often
developmental problems. Psychological Bulletin. 64. 92- symbolized as B = f(A), reflecting the assumption
107. that behavior (B) is a specifiable function of age ( A ) .
Schneirla, T. C. (1957). The concept of development in But, Schroots and Birren offered many other indica-
comparative psychology. In D. B. Harris (Ed.), The con- tors of psychological age or time that are related to
cept of development (pp. 78-108). Minneapolis, MN: Uni- chronological age but that may govern, or at least
versity of Minnesota Press. better track, developmental change, so chronological
Thelen, E., & Smith, L. B. (1994). A dynamic systems ap- age should be considered only an approximation of
proach to the development of cognition and action. Cam- the optimal time dimension along which behavioral
bridge, MA: MIT Press.
development should be charted.
Thomas, A., & Chess, S. (1977). Temperament and develop-
ment. New York: Brunner/Mazel.
One option that must be faced when designing a
Tobach, E. (1981). Evolutionary aspects of the activity of developmental study is whether the same individuals or
the organism and its development. In R. M. Lerner & different individuals will be measured at the multiple
N. A. Busch-Rossnagel (Eds.),Individuals as producers of ages. Most researchers recognize the benefits of assess-
their development: A life-span perspective (pp. 37-68). ing the same individuals at the several times of mea-
New York: Academic. surement, as this allows the direct determination of age
Tobach, E., & Greenberg, G. (1984). The significance of changes, or the age-related change in a given behavior
T. C. Schneirlas contribution to the concept of levels of by each individual (Bakes & Nesselroade, 1979). Of
integration. In G. Greenberg & E. Tobach (Eds.). Behav- course, this approach can slow the progress of research
ioral evolution and integrative levels (pp. 1-7). Hillsdale, if the aim of the investigation is to portray behavioral
NJ: Erlbaum.
change across a considerable age span. To tackle this
Walsten, D. (1990). Insensitivity of the analysis of vari-
ance to heredity-environment interaction. Behavioral issue, Bell (1953) presented a method of approximating
and Brain Sciences, 1 3 ~109-120. long-term age changes by means of shorter term study
of several samples. This could be accomplished by as-
Richard M. Lerner and Marcella E. Korn sessing multiple groups of subjects belonging to differ-
ent birth cohorts across more restricted age spans and
then organizing the partially overlapping trends as a
Research Methods
function of chronological age. This notion was formal-
The topic of research methods in developmental psy- ized by Schaie (1965) as a general developmental model
chology encompasses an array of methodological and that recognized the potential influences on behavior of
statistical issues that arise when attempting to study the chronological age (A) and birth cohort (C) of the
development, or change in behavior as a function of individual as well as the historical moment or period
time. To organize ideas about research methods, it is ( P ) at which measurements are taken. The resulting
useful to distinguish among three domains-the design conception was organized around the potential effects
of developmental research, measurement issues that on behavior of age, period, and cohort, signified as
are of particular relevance in developmental work, and B = f(A, R C), and the interpretation of these effects
the statistical models and methods that characterize re- on behavior, as will be discussed below.
search efforts in the field. Clear distinctions among three simple developmental
D E V E L O P M E N T A L P S Y C H O L O G Y : Research Methods 19

designs are possible, based on considerations of age, founded with, chronological age of participants at the
period, and cohort effects. The most commonly used different times of measurement, so historical period ef-
simple developmental design is the cross-sectional de- fects are alternative explanations of any purported age-
sign, in which all measurements are obtained at a sin- related trends in data.
gle time or period of measurement. Two or more sam- The longitudinal design has one major advantage
ples of participants who differ in chronological age are over the cross-sectional design: the longitudinal design
obtained, and empirical results are arrayed as a func- allows the researcher to study age changes, as changes
tion of the chronological age of the samples of partic- in behavior by individuals are assessed directly by
ipants. But, year of birth, or birth cohort, is perfectly tracking the same subjects at two or more ages. This
correlated with, and therefore perfectly confounded allows the modeling of individual differences about the
with, chronological age in a cross-sectional design, so developmental trend in addition to charting the mean
cohort effects are viable alternative explanations for developmental trend. Unfortunately, the typical longi-
any age-related trends in data. tudinal design also must confront at least two impor-
Furthermore, because the performance of different tant methodological problems. The first of these in-
samples is compared, cross-sectional designs can pro- volves retesting effects. Simply testing subjects a second
vide. at best, information on age-related differences, or time on a particular test often leads to some change in
age differences, as opposed to assessing directly changes scores. In most longitudinal studies, participants are as-
with age. Several essumptions must be met in order to sessed at three or more times of measurement. increas-
have confidence that age differences from a cross- ing the likelihood that retesting will confound results
sectional design represent trends that would likely re- of age changes. For example, Nesselroade and Baltes
sult from individuals changing or developing across the (1974) presented evidence that retesting effects ex-
age span of the study. Chief among these is the as- plained approximately one half of the mean age
sumption that comparable sampling of participants was changes on several dimensions of mental ability. The
conducted for each of the samples. Even unintended second problem concerns sample representativeness
differences in sampling may distort trends, yielding and the presence of the differential dropout of partici-
mean aging trends that no individual person would ex- pants across time. Often, participants willing to commit
hibit. For example, consider drawing random samples to participation in a longitudinal design are not repre-
of students in school in grades 6, 8, 10,and 12. Stu- sentative of the population at large, and later dropping
dents who drop OL t of school tend to perform at lower out of a longitudinal study is usually nonrandom. Both
levels on many variables (for example, school achieve- of these problems limit the generalizations that may be
ment) than do students who remain in school through made from longitudinal studies.
the completion of high school. Thus, a random sample The time-lag design is a third simple developmental
of sixth graders would likely be more representative of design, although it is rarely used. In the time-lag de-
all I 1-year-olds than would a random sample of twelfth sign, measurements are obtained from participants all
graders selected to be representative of all I 7-year-olds, of whom are the same age, but who are tested at dif-
given the progressive dropout of students during junior ferent points in historical time. That is, one could study
and senior high schools. 10-year-olds in 2010, 2020, and so on. In a time-lag
Even if one could verify equal representativeness of design, cohort and period are perfectly confounded.
sampling at each age level, a cross-sectional design can- Further, because age is held constant. the time-lag de-
not yield information about the stability of individual sign is most useful for tracking secular trends. Because
differences from age to age, because different individ- developmental psychology has a primary goal of study-
uals are assessed iit each time of measurement. Given ing age-related trends and because age is held constant
the importance of understanding both the general de- in this design. the time-lag design has less direct rele-
velopmental trend for any behavior of interest as well vance for the field than do the other two simple designs,
a s individual differences around this trend. the inability but timely applications of the time-lag design should
to study individml differences in change is an impor- not be overlooked.
tant shortcoming of the cross-sectional design. Returning to the general developmental model pro-
A second common design is the longitudinal design, posed by Schaie (1965), three more complex develop-
in which all measurements are obtained from a single mental designs are possible within this framework.
sample of participants, persons who are usually of a These are (a) the cohort-sequential design, obtained by
single birth cohori . This single sample is then observed the factorial crossing of cohort and age; (b) the time-
at two or more times of measurement. Results from sequential design, arising from the factorial crossing of
longitudinal studies are often arrayed as a function of period (or time of measurement) and age; and the
the chronological age of the sample at the several times cross-sequential design, defined by the factorial crossing
of memrement. But, historical time or period is per- of cohort and period (or time). Although Schaie ini-
fectly correlated with, and hence completely con- tially contended that the effects of age, cohort, and pe-
20 D E V E L O P M E N T A L P S Y C H O L O G Y : Research Methods

riod could be identified separately, subsequent commen- on any of a set of numerical units-for example,
tators (for example. Mason & Fienberg, 1985) have inches, feet, or centimeters-to represent the height of
concluded that the influences of age, cohort, and period each of a set of individuals. Here, the measuring device
cannot be disentangled in a simple mathematical way. is the ruler, the characteristic of interest is height, and
The lack of separate identification of these effects is a direct ratio mapping exists between the length on the
portended by the dependence among age, period, and measuring scale and the numbers to be assigned to ob-
cohort in any of the three designs discussed by Schaie. servations.
For example, consider the cohort-sequential design, in Measurement is a crucial, if undervalued, aspect of
which cohort and age are crossed factorially. In this all research endeavors in psychology, with profound im-
design, the time of measurement (or period) is fixed by plications for representing relations among variables
the need to assess a given cohort at a particular chron- and hence for the theories designed to account for these
ological age (for example, children born in 2000 and phenomena. Nowhere is the importance of measure-
assessed at 10years of age must be assessed in the year ment more obvious than in developmental psychology.
2010). Thus. one cannot vary factorially and indepen- When attempting to study the relation of behavior to
dently all three factors of age, period, and cohort in a age, as B = f(A), measurement is paramount, for one
single design: once levels of two of these factors are must ensure that the units of a measurement scale are
fixed, the levels of the third are fixed as well. comparable across the age span and that one is assess-
Because effects of the three factors of age, period, ing the same characteristic at all ages for the function
and cohort cannot be estimated separately, the choice related behavior and age to have any interpretation.
of a design should be dictated by theory regarding Researchers frequently assume that their measure-
which factors will have important influences on ments embody desiderata such as comparability of
change. For example, the effects in a cohort-sequential units across age levels but rarely are these assumptions
design, in which cohort and age are crossed, are inter- tested directly.
preted most simply under the assumption that period Scales of measurement are often discussed in terms
(or historical time) has no influence on the behavior of of the well-known classification into nominal, ordinal,
interest. If this assumption is accurate, the cohort- interval, and ratio scales. Numbers on a nominal scale
sequential design yields age trends for each of several serve only to identify the class into which a person falls
cohorts, enabling the researcher to study the form of and do not imply an ordering of individuals on any
general age trends and how these are moderated by continuum. In contrast, numbers on the remaining
cohort. Similar conditions hold for the two remaining three scales provide an ordering of individuals: an or-
designs: the time-sequential design offering clear inter- dering with unequal intervals using an ordinal scale,
pretations if cohort effects are negligible, and the cross- with equal intervals on the interval scale, and with
sequential design yielding unconfounded interpreta- both equal intervals and a nonarbitrary zero point with
tions if age effects are assumed to be zero. Given these a ratio scale.
considerations, the cross-sequential design appears to Cross-cutting the preceding classification, at least
be the least adequate of the three complex designs, as partially, is the distinction between qualitative and
age effects must be assumed to be zero, and the cohort- quantitative variables. A nominal scale clearly repre-
sequential design is the most optimal, because both age sents qualitative differences among persons, but the re-
and cohort are explicitly included in the design. Ironi- lations between the three remaining scale types and the
cally, the cross-sequential design has been the most qualitative-quantitative distinction are less clear. For ex-
widely used of the designs (for example, Nesselroade & ample, an ordinal scale might represent an ordered
Baltes, 1974),and the cohort-sequential design has ar- categorical or qualitative variable, with numbers
guably been the least used of the designs. The reasons representing different, qualitatively distinct, and hier-
for the differential use of designs are clear, as the archically ordered stages. Or, the ordinal scale may rep-
cohort-sequential design takes a longer number of resent an initial, unrefined attempt to assess a quanti-
years to complete and yields developmental functions tative continuum. The confusion between scale types
across a smaller number of age levels. Still, the cohort- and the qualitative-quantitative distinction has been
sequential design deserves wider use in the future to muddied by researchers in certain domains (for exam-
corroborate and place on firmer empirical footing the ple, moral development, ego development) who have ar-
findings generated by other designs. gued for the viability of qualitative, hierarchically or-
dered stages in the particular domain, but these same
Measurement Issues researchers have provided instruments with scoring op-
Measurement involves the assignment of numbers to tions that yield scores that seemingly fall on interval
observations (for example, persons) to represent the scales, suggesting the presence of a quantitative dimen-
magnitude of a particular characteristic for each ob- sion. Complications of this sort continue to concern the
servation. Thus, one may use a ruler to assign numbers field of developmental psychology.
DEVELOPMENTAL P S Y C H O L O G Y : Research Methods 21

Early longitudir a1 studies, such as the Berkeley representing different strategies for solving problems of
Growth Study by Bayley (1956; Bayley & Jones, 1937) a given type. Regardless of whether strategy choice
employed measures from multiple domains, and many continues unabated throughout life or a person finally
of the variables hiid either ratio or at least interval adopts his or her optimal strategy and uses this strategy
status. For example, Bayley (1956) displayed charts of consistently, the qualitative advances in strategies may
growth in height and weight, which are usually as- underlie the quantitative improvements in reaction
sumed to meet the stipulations of a ratio scale. These time (Widaman, 1991). Thus, researchers may miscon-
scales enabled the fitting of informative age functions strue the research problem as the understanding of the
to data but were of greater utility in portraying physical form of the function relating the quantitative reaction
growth than psychological development. For psycholog- time variable to age, whereas the important develop-
ical development, Bayley developed an interesting ap- mental finding is the qualitative changes producing the
proach to constructing derived scales for psychological quantitative improvements in performance. This is but
variables (for example, her 16-D scale was normed to one example of the measurement problems arising in
the mean and standard deviation exhibited by a sample developmental contexts. Future advances in both sub-
of 16-year-olds) that would allow one to study changes stantive theory and measurement theory may lead the
in both mean and variance across age levels. However, way to clearer thinking about such problems-studying
the idea never took hold, and measurement concerns the measures of behavior that matter the most, rather
have a less central role than in the past. Most contem- than studying measures of behavior that are easiest to
porary work uses measures designed for use with par- amass.
ticipants in fairly restricted age ranges, circumventing
problems of comparability across extended age ranges Statistical Models and Procedures
and, in the process, hindering the study of develop- During the I 950s and 1960s. Wohlwill (1973)detected
mental changes across these broader age levels. More- a clear invasion of the experimentalists into devel-
over, the only measures that tend to be used across a opmental psychology. This invasion took the form of
wide range of ages during the developmental period researchers trained in experimental studies of mature
from infancy throLgh adolescence are measures of in- persons, usually college students, opting to design stud-
telligence. These measures typically provide an IQ, ies that included multiple age groups, to test whether
which is normed in a nondevelopmental fashion-to similar results would be found at all points on the age
yield a mean of 1110 and standard deviation of I5 in continuum. This invasion had both strengths and
the population at each age level. Hence, modeling the weaknesses. For example, the rigor of developmental
mean developmental trend is hazardous or impossible research was perhaps improved, and research topics
given the measurcbment properties of most measures certainly were expanded in interesting directions, but,
used in current research. the results generated often had less relevance to tradi-
One dependent variable that may provide a common tional issues that defined the field than did typical re-
metric across age levels and is widely used in studies search results.
of cognitive processes is reaction time, a variable that Experimentalism has become firmly ensconced as
appears clearly to have ratio scale properties. In aging one approach to developmental science. Statistical
work. several met+analyses have been performed on methodologists, however, have brought to the field the
the general slowin:: hypothesis. Under general slowing, most modern analytic techniques available. Neverthe-
the rate of mental processes may slow (Birren, 1965) less, the standard methods of statistics-including cor-
or information mcly be lost in a consistent fashion relation, regression, and the analysis of variance
(Myerson, Hale, Wr3gstaff,Poon, & Smith, 1990) during (ANOVA)-continue to be the most commonly used in
the aging period. Regardless of the basis for the effect, developmental studies and will likely be the standard
various mathematical and statistical models have been for some time to come.
fit to reaction time data to represent the extent and Before discussing the newer methods of representing
consistency of the slowing. Some work has been done and analyzing developmental data, some comments
to model the speeding up of processing, represented by should be made about the kinds of questions tradition-
reductions in reaction time, during childhood and ad- ally framed within developmental theories. The stan-
olescence The basis of the speeding up of processing dard techniques of ANOVA and correlation and regres-
during the developmental period, however, is treated as sion analysis are frequently used in developmental
a quantitative imp-ovement in performance, and this is research and are often used as intended, but these tech-
clearly a problems-ic assumption, as it may be for slow- niques are subject to misuse and may fail to capture
ing during aging. certain important aspects of developmental data. For
For example, in the domain of numerical processing example, ANOVA, designed to analyze mean differences
(for example. addition, subtraction), children appear to across levels of qualitative independent variables, is
proceed through a series of qualitatively distinct stages, used to test developmental changes as a function of age
22 DEVELOPMENTAL PSYCHOLOGY: Research Methods

in many contexts. However, when used with longitu- tal research is multiple-group confirmatory factor anal-
dinal, repeated measures data, researchers cannot ysis (CFA) to study the factorial invariance of a set of
model the pattern of individual differences over time, measures (Widaman & Reise, 1997). Using this multi-
as these are relegated to the within-group covariance ple-group CFA approach, the investigator can test
matrices, which are frequently ignored and almost al- whether a consistent relation holds between the un-
ways unreported in research publications. derlying factors and their observed indicators across
With correlationhegression methods, crucial tests age levels. Factorial invariance of this type is evidence
of differences across groups often are not conducted, that the same theoretical constructs are assessed at the
leaving the research literature in disarray. For example, different age levels. Moreover, researchers may then in-
when investigating gender differences in development, vestigate differences in mean level and variance on the
researchers commonly test whether correlations or re- latent variables identified, as well as the structural re-
gression weights differ significantly from zero, and they lations among the latent variables. In the future, ap-
do this separately for samples of males and females. If plications of item response theory methods, which are
a correlation or regression weight is significant for one related to CFA models (Reise, Widaman, & Pugh, 1993),
group and not for the other, this is construed as evi- offer hope of establishing the comparability of the met-
dence of a difference in the development of the genders. ric of measured variables across age levels, a problem
The crucial tests of the difference between the corre- that continues to plague the field.
lations (or regression weights) for the two groups, how- Another application of SEM that has special rele-
ever, might reveal nonsignificance, suggesting a lack of vance to developmental research is the specification of
difference across genders in developmental processes. growth curve models. Under this approach, data from
Tests of the significance of the difference between in- multiple times of measurement are the primary mea-
dependent correlations are often viewed as unpowerful, sured variables, and the latent variables that are spec-
however, failure to utilize the proper tests results in a ified represent both initial level at the first time of
research literature that is open to many, conflicting in- measurement and growth since the first time of mea-
terpretations. surement. Because individual differences in both level
Regardless of their inadequacies and potential mis- and growth are identified in this manner, variance on
use, ANOVA and correlation and regression analysis these latent variables may be predicted from other var-
have helped frame statistically the important questions iables in the model. In this way, the investigator may
asked in developmental research. ANOVA emphasizes find the key explanatory variables that account for in-
the understanding of the mean developmental trend, dividual differences in initial level and subsequent
and correlation and regression analysis are used to growth in a particular behavior of interest. Contribu-
study individual differences about the mean trend. In- tions in this vein continue to mount, and fruitful ap-
deed, correlational measures were the mainstay for in- proaches for dealing with planned or unplanned miss-
vestigations of the differentiation of abilities and other ing data, a common woe in longitudinal studies, are
processes during childhood and adolescence. The in- being developed.
vasion of the statistical methodologists may be seen as Yet another approach to the identification of level
an attempt to introduce new methods of analysis that and growth factors within longitudinal data is a generic
correct problems in both ANOVA and correlationlre- approach often identified as hierarchical linear model-
gression analysis and that represent more adequately ing (HLM) (Bryk & Raudenbush, 1987,1992).HLM rec-
developmental processes and developmental change. ognizes the hierarchical structure of data. For example,
In a special issue of Child Development published in children are nested within families, families are nested
early 1987, several researchers promoted the utility of within socioeconomic strata, and so forth. In a longi-
structural equation modeling (SEM) for developmental tudinal study, measurements at different ages are
psychology, although others offered rational concerns nested within individuals, so initial level and growth
about how the techniques would be used and interpre- can be represented in HLM models, along with predic-
tations would be drawn. Despite misgivings, the man- tors of both initial level and subsequent growth.
ner in which SEM can structure ideas and results can- Whether SEM or HLM models are able to fit easily or
not be discounted. Indeed, ways of addressing many well growth data in which individuals may have differ-
key problems-including the distinctions between state ent intercepts, growth rates, and asymptotes is a topic
and trait constructs as well as the proper causal lag in for future research.
longitudinal studies-are uniquely applied with SEM. Another statistical model that will be of increasing
These benefits have been so clearly realized that appli- importance for developmental psychology goes by the
cations of SEM in developmental research are becoming name of survival analysis (Willett & Singer, 1997).
quite common. Here, an important transition or event-such as dying
One way of using SEM informatively in developmen- or dropping out of school-is the outcome variable.
DEVELOPMENTAL PSYCHOLOGY: Research Methods 23

The survival model represents the likelihood or proba- Bayley, N. (1956). Individual patterns of development.
bility of the event as a function of age, and covariates Child Development, 27, 45-74.
may be added that ;iff& the likelihood of occurrence. Bayley, N.. &Jones, H. E. (1937).Environmental correlates
Although survival modeling is rare in developmental of mental and motor development: A cumulative study
from infancy to six years. Child Development. 8 , 329-
research, applications of the method are almost certain
341.
to increase in the future.
Bell, R. Q. (1953). Convergence: An accelerated longitudi-
Advances have been made in representing qualita- nal approach. Child Development, 24, 145-1 52.
tive developmental advances as well. For example, Col- Birren, J. E. (1965). Age changes in speed of behavior: Its
lins and Cliff (1990) discussed a longitudinal extension central nature and physiological correlates. In A. T.
to the Guttman scale for representing unitary, cumu- Welford & J. E. Birren (Eds.),Behavior, aging, and the ner-
lative development. In 1997, Collins and colleagues vous system (pp. 191-216). Springfield, IT,: Charles C.
(Collins, Graham, Rousculp, & Hansen, 1997) developed Thomas.
computer programs and analytic procedures for latent Bryk. A. S., & Raudenbush, S. W. (1987). Application of
class analysis and latent transition analysis (LTA). LTA hierarchical linear models to assessing change. Psycho-
is useful for represmting the unidirectional changes logical Bulletin, IOI, 147-1 58.
Bryk. A. S., & Raudenbush, S. W. (1992). Hierarchical linear
that characterize certain domains of behavior, such as
models: Applications and data analysis methods. Newbury
stages of drug use or stages of arithmetic competence.
Park, CA: Sage.
LTA yields probabilities of making the transition from Collins, I,. M., & Cliff, N. (1990). Using the longitudinal
one level or stage tc another more advanced stage and Guttman simplex as a basis for measuring growth. Psy-
can test assumptioris of lack of regressions to earlier chological Bulletin, 108, 128-~34.
levels or stages. Mcreover, covariates can be included Collins, L. M., Graham. J. W.. Rousculp, S. S.. & Hansen.
that explain individual differences in probabilities of W. B. (1997). Heavy caffeine use and the beginning of
stage transition. the substance use onset process: An illustration of la-
One common requirement of all of the preceding tent transition analysis. In K. J. Bryant. M. Windle, &
new methods of analysis is the need for large sample S. G. West (Eds.), The science of prevention: Methodologi-
sizes. This is perhaps the single largest stumbling block cal advanc~sfrom alcohol and substance a b u s ~research
(pp. 79-99). Washington, DC: American Psychological
to widespread, confident use of these methods, as the
Association.
standards in the field-given the temporal and mone-
Mason, W. M.. & Fienberg. S. E. (Eds.).(1985). Cohort anal-
tary expenses associated with longitudinal studies-are ysis in social research: Beyond the identification problem.
for sample sizes thai. are not optimal for the application New York: Springer-Verlag.
of sophisticated methods of analysis. With the elegant Myerson. J.. Hale, S., Wagstaff, D., Poon, I,. W., & Smith,
methods of analysis that have been and are being de- G. A. (1990). The information-loss model: A mathe-
veloped, the field of developmental psychology will be matical theory of age-related cognitive slowing. Psy-
well equipped to understand growth, stability, and de- chological Review, 97, 475-48 7.
cline across the life span in unprecedented ways if a Nesselroade. J. R., & Baltes. l? B. (1974). Adolescent per-
solid commitment is made to collection of adequate sonality development and historical change: r97o-
measurements on samples of adequate size. 1972. Monographs of the Society for Research in Child
Development. 39 (I. Ser. No. 154).
Summary Reise. S. P.. Widaman, K. F., & Pugh, R. H. (1993). Confirm-
atory factor analysis and item response theory: Two
The research methods used in developmental psychol-
approaches for exploring measurement invariance. Psy-
ogy are undergoing tremendous change, abetted by the chological Bulletin. 114, 552-566.
invasion of the statistical methodologists. Continuing Schaie, K. W. (1965). A general model for the study of
advances in the design of studies, the construction of developmental problems. Psychological Bulletin, 64, 92-
measures and their proper scoring, and the methods 107.
used to analyze data promise exciting advances in the Schroots. J. J. F., & Birren, J. E. (1990). Concepts of time
substantive understanding of the growth and develop- and aging in science. In J. E. Birren & K. W. Schaie
ment of individuals across the life span. (Eds.). Handbook of the psychoIogy 01 aging (3rd ed.,
pp. 45-64). San Diego: Academic Press.
Widaman, K. F. (1991). Qualitative transitions amid quan-
Bibliography titative development: A challenge for measuring and
representing change. In L. M. Collins & J. L. Horn (Eds.),
Baltes. F. B., & NessIAroade, J. R. (1979). History and ra- Best methods for the analysis of change: Recent advances,
tionale of longitudinal research. In J. R. Nesselroade & unanswered questions, future directions (pp. 204-217).
P. B. Rakes (Eds.), Longitudinal research in the study of Washington, DC: American Psychological Association.
behavior and development (pp. 1-39). New York: Aca- Widaman, K. E. & Reise. S. P. (1997). Exploring the mea-
demic Press. surement invariance of psychological instruments: Ap-
24 DEVELOPMENTAL SCIENCE

plications in the substance use domain. In K. J. Bryant, nested developmental processes of maturation and ex-
M. Windle, & S.G. West (Eds.),The science of prevention: periences. The characteristic features of these processes
Methodological advances from alcohol and substance abuse are determined in a continuous interaction among
research (pp. 281-324). Washington, DC: American mental, biological, and behavioral person-bound factors
Psychological Association.
and social. cultural, and physical characteristics of the
Willett. J. B., & Singer, J. D. (1997). Using discrete-time sur-
environment.
vival analysis to study event occurrence across the life
course. In I. H. Gotlib & B. Wheaton (Eds.), Stress and The overriding goal for scientific psychology is to
adversity over the life course: Trajectories and turning contribute to the understanding and explanation of
points (pp. 273-2941. New York: Cambridge University why individuals think, feel, act, and react as they do in
Press. real life, and to understanding and explaining the de-
Wohlwill, J. F. (1973). The study of behavioral development. velopmental background to the current functioning of
New York: Academic Press. individuals at different stages of the life course. For ef-
fective research toward this goal, the view of individual
Keith E Widaman
functioning and development briefly summarized here
has two consequences. First, knowledge from a number
of specialized scientific disciplines must be considered.
The total space of phenomena involved in the processes
DEVELOPMENTAL SCIENCE. A common character- of lifelong individual development forms a clearly de-
istic of scientific progress in empirical disciplines is in- fined and delimited domain for scientific discovery,
creasing specialization. In natural sciences, when spe- which constitutes a scientific discipline of its own: de-
cialization has reached a certain stage, the engaged velopmental science (Magnusson & Cairns, 1996). Ac-
researchers recognize that the important next step for cordingly, developmental science refers to a fresh syn-
further understanding of the structures and processes thesis that has been generated to guide research in the
with which they are concerned is in integration with social, psychological, and biobehavioral disciplines
neighboring disciplines. An important step forward for (Carolina Consortium on Human Development, 1996,
understanding and explaining the function and devel- p. I). This domain is located in the interface of devel-
opment of the physical world was taken when special- opmental psychology, developmental biology, physiol-
ization in physics and chemistry as distinctly different ogy, neurospsychology, social psychology, sociology,an-
disciplines was followed by integration in the interface thropology, and neighboring disciplines. Indications of
of the two and the establishment of a new field: phys- the relevance of this proposition appear at an increas-
ical chemistry. During the last decades of the twentieth ing pace. Under the auspices of the Royal Swedish
century, the most important scientific progress has Academy of Sciences, which is responsible for most of
taken place in the interface, first, of chemistry and bi- the Nobel prizes, and funded by the Nobel Foundation,
ology, and later of chemistry, physics, and biology, all a symposium was held in 1994 that clearly demon-
highly specialized fields. The characteristic iterative pro- strated the motives for the new discipline (Magnusson,
cess of specialization and integration can be seen in the 1996). The establishment of the Center for Develop-
contributions to scientific progress that have been mental Science at the University of North Carolina in
awarded Nobel prizes during the postwar period. Chapel Hill (Cairns, Elder, & Costello, 1996), and the
A prerequisite for this iterative process has been the newly established scientific journal, Applied Developmen-
fact that subdisciplines in natural sciences function tal Science, are among other manifestations of this de-
within the same common general model of nature. velopment.
Since the end of the seventeenth century, the Newto- Second, for research in this new field to be effective,
nian model of the physical world served two interre- it needs a common theoretical framework, serving the
lated general purposes: (a) it offered a common theo- same purposes as the common theoretical framework
retical framework for planning and implementation of in natural sciences. Such a theoretical perspective has
empirical research on specific problems; and (b) it of- to consider the proposition that the individual functions
fered a common conceptual space for effective com- and develops as an integrated whole, and is part of an
munication among researchers concerned with prob- integrated person-environment system, that is, it must
lems at very different levels of the total universe. take on a holistic perspective (Magnusson, 1995).
A Holistic Perspective. A modern holistic view
A n Emerging Scientific Discipline emphasizes an approach to the individual and the per-
The way that the total system of mental, biological, son-environment system as organized wholes, function-
behavioral, and social factors functions in a specific sit- ing as integrated totalities. The individual develops as
uation is the result of a developmental process, starting an integrated, complex, and dynamic organism. and
at conception. From the beginning, constitutional fac- the individual is an active, purposeful part of an inte-
tors form the potentialities and set the restrictions for grated, complex, and dynamic person-environment sys-
24 DEVELOPMENTAL SCIENCE

plications in the substance use domain. In K. J. Bryant, nested developmental processes of maturation and ex-
M. Windle, & S.G. West (Eds.),The science of prevention: periences. The characteristic features of these processes
Methodological advances from alcohol and substance abuse are determined in a continuous interaction among
research (pp. 281-324). Washington, DC: American mental, biological, and behavioral person-bound factors
Psychological Association.
and social. cultural, and physical characteristics of the
Willett. J. B., & Singer, J. D. (1997). Using discrete-time sur-
environment.
vival analysis to study event occurrence across the life
course. In I. H. Gotlib & B. Wheaton (Eds.), Stress and The overriding goal for scientific psychology is to
adversity over the life course: Trajectories and turning contribute to the understanding and explanation of
points (pp. 273-2941. New York: Cambridge University why individuals think, feel, act, and react as they do in
Press. real life, and to understanding and explaining the de-
Wohlwill, J. F. (1973). The study of behavioral development. velopmental background to the current functioning of
New York: Academic Press. individuals at different stages of the life course. For ef-
fective research toward this goal, the view of individual
Keith E Widaman
functioning and development briefly summarized here
has two consequences. First, knowledge from a number
of specialized scientific disciplines must be considered.
The total space of phenomena involved in the processes
DEVELOPMENTAL SCIENCE. A common character- of lifelong individual development forms a clearly de-
istic of scientific progress in empirical disciplines is in- fined and delimited domain for scientific discovery,
creasing specialization. In natural sciences, when spe- which constitutes a scientific discipline of its own: de-
cialization has reached a certain stage, the engaged velopmental science (Magnusson & Cairns, 1996). Ac-
researchers recognize that the important next step for cordingly, developmental science refers to a fresh syn-
further understanding of the structures and processes thesis that has been generated to guide research in the
with which they are concerned is in integration with social, psychological, and biobehavioral disciplines
neighboring disciplines. An important step forward for (Carolina Consortium on Human Development, 1996,
understanding and explaining the function and devel- p. I). This domain is located in the interface of devel-
opment of the physical world was taken when special- opmental psychology, developmental biology, physiol-
ization in physics and chemistry as distinctly different ogy, neurospsychology, social psychology, sociology,an-
disciplines was followed by integration in the interface thropology, and neighboring disciplines. Indications of
of the two and the establishment of a new field: phys- the relevance of this proposition appear at an increas-
ical chemistry. During the last decades of the twentieth ing pace. Under the auspices of the Royal Swedish
century, the most important scientific progress has Academy of Sciences, which is responsible for most of
taken place in the interface, first, of chemistry and bi- the Nobel prizes, and funded by the Nobel Foundation,
ology, and later of chemistry, physics, and biology, all a symposium was held in 1994 that clearly demon-
highly specialized fields. The characteristic iterative pro- strated the motives for the new discipline (Magnusson,
cess of specialization and integration can be seen in the 1996). The establishment of the Center for Develop-
contributions to scientific progress that have been mental Science at the University of North Carolina in
awarded Nobel prizes during the postwar period. Chapel Hill (Cairns, Elder, & Costello, 1996), and the
A prerequisite for this iterative process has been the newly established scientific journal, Applied Developmen-
fact that subdisciplines in natural sciences function tal Science, are among other manifestations of this de-
within the same common general model of nature. velopment.
Since the end of the seventeenth century, the Newto- Second, for research in this new field to be effective,
nian model of the physical world served two interre- it needs a common theoretical framework, serving the
lated general purposes: (a) it offered a common theo- same purposes as the common theoretical framework
retical framework for planning and implementation of in natural sciences. Such a theoretical perspective has
empirical research on specific problems; and (b) it of- to consider the proposition that the individual functions
fered a common conceptual space for effective com- and develops as an integrated whole, and is part of an
munication among researchers concerned with prob- integrated person-environment system, that is, it must
lems at very different levels of the total universe. take on a holistic perspective (Magnusson, 1995).
A Holistic Perspective. A modern holistic view
A n Emerging Scientific Discipline emphasizes an approach to the individual and the per-
The way that the total system of mental, biological, son-environment system as organized wholes, function-
behavioral, and social factors functions in a specific sit- ing as integrated totalities. The individual develops as
uation is the result of a developmental process, starting an integrated, complex, and dynamic organism. and
at conception. From the beginning, constitutional fac- the individual is an active, purposeful part of an inte-
tors form the potentialities and set the restrictions for grated, complex, and dynamic person-environment sys-
DEVELOPMENTAL S C I E N C E 25

tem. At each level, the totality derives its characteristic contributed essential knowledge to the understanding
features and propert: es from the interaction among the and explanation of individual development and func-
elements involved. not from the effect of each isolated tioning.
part on the totality. Each aspect of the structures and 2 . During the last decades of the twentieth century
processes that are operating (perceptions, plans, values, in biological and medical sciences developments have
goals. motives, biological factors, conduct, etc.), as well helped fill the empty holistic model with new content
as each aspect of the environment, takes on meaning from three main interrelated directions.
from the role it pla:js in the total functioning of the
individual. The first contribution concerns detailed knowledge
'Two comments ar'e pertinent here. First, the role and about the brain. how it develops from conception over
the life span in a process of interaction between con-
functioning of a holistic model is not to offer a specific
stitutional factors and context factors, and how it
hypothesis or a n explanation for all problems. The
functions at each stage of development, as an active
Newtonian model did not answer all questions in nat- organ, selecting, interpreting, and integrating infor-
ural sciences about the structure and functioning of mation from the environment. The rapid development
the physical world, but it served the two purposes sum- of research on brain functioning and its role for un-
marized earlier. The same role would be played by a derstanding mental processes has helped bridge the
holistic model of individual functioning and develop- gap between biological and psychological models that
ment. Second. the holistic. integrated model for individ- had obstructed a deeper understanding and expla-
ual functioning and individual development does not nation of mental and behavioral processes (Barinaga.
imply that the entire system of an individual must be 1997).
studied in every research endeavor. Acceptance of a The second contribution lies in new insights into
the role of internal biological structures and proc-
common model of nature for research in natural sci-
esses in the total functioning and development of in-
ences has never implied that the whole universe should
dividuals. Research into the role of biochemicals in
be investigated in every study. the developmental processes of individuals, and in the
The Modern Hallistic Model. A holistic view, that individual's way of dealing with current situational-
is. making the individual the organizing principle for environmental conditions is developing at an increas-
individual functioning and development, is not a new ing pace (Susman, 1993).
idea in scientific psychology. During the first part of the Third. research in molecular biology, fostered by the
twentieth century, some of the most distinguished psy- discovery of DNA, has opened up new perspectives
chologists. among them Gordon Allport, Alfred Binet, for understanding the mechanisms behind genetic
Wilhelm Stern, Egon Brunswik, and Kurt Lewin factors in developmental processes.
strongly argued, from different perspectives, for a holis-
3 . The third important source for the application of
tic position. However, for a long time, the propositions
a holistic perspective in psychological research lies in
put forward had little if any impact on empirical psy-
the general modern models that have been developed
chological research. A main reason for this state of af-
in the natural sciences for the study of dynamic, com-
fairs was that the traditional holistic model lacked spe-
plex processes. In psychology, the most influential of
cific content about the functioning and interplay of
these models has been the general systems theory (The-
hological. biological, and social elements op-
len. 1989).The modern models for dynamic complex
erating in the processes of the integrated organism.
processes are important for research on developmental
What occurred between the stimulus and the response
phenomena in several interrelated respects.
was regarded as unknown and inaccessible for scientific
inquiry: it was concealed in the black box. The models emphasize the holistic. integrated nature
However, later in the twentieth century, the holistic of dynamic. complex processes. At all levels, the sys-
perspective was enriched in a way that not only em- tems involved in the total person-environment system
phasized the old claim for the necessity of a holistic are undivided in function.
cipproach t o psycholDgical inquiry, but also helped turn The models emphasize the interactive, often nonlinear
such an approach into a solid theoretical foundation character of the processes within the organism and
for planning, implementing, and interpreting empirical in the organism's interaction with the environment.
research on specific problems. The interactive character of dynamic processes
Thc new. scenery is the result of influences from four means that the models highlight the concept of con-
text. The role of context is important for understand-
main interrelated sources.
ing individual development at all levels of the total
I . For a long time, a consequence of the postwar
system, from the cellular level to the individual's in-
dominance of stiniixlus-response models was the ne- teraction with the environment. In most developmen-
glect of mental processes. However, since the 1960s. tal research, the concept of context has been used to
research 011 information processing, memory, and de- denote the environment in which an individual grows
cision making has made dramatic progress, and has up and functions (Lerner & Kauffman, 1985). The de-
26 DEWEY. TOHN

velopmental science perspective draws the attention scientific discipline. Physics, chemistry, and biology did
to a broader view of the role of context. not lose their special merits as a result of new devel-
The models provide a theoretical basis for the devel- opments in the interfaces among them. Rather, by con-
opment of effective methodological tools for the in- tributing essential knowledge to the field of develop-
vestigation of the interactive, dynamic processes un-
mental science, psychology strengthens its position as
derlying individual functioning and development. The
basis for the claim that the processes of individual a n active partner in the mainstream of scientific pro-
development are accessible to systematic, scientific in- gress in the life sciences.
quiry is that these processes are not random: They [ M a n y of the people mentioned in this article are the
occur in a specific way within organized structures subjects of independent biographical entries.]
and are guided by lawful principles. In natural sci-
ences the formulation of the new models has led to
a strong methodological development. It is important Bibliography
for further real progress in psychological research
that we create methodological tools appropriate to the Barinaga. M. (1997). Visual system provides clues to how
nature of the phenomena of primary concern in de- the brain perceives. Science, 275, 1583-1585.
velopmental science. Cairns, R. B.. Elder, G. H., Jr.. & Costello, E. J. (1996). De-
4. The fourth main source lies in the revival of lon- velopmental science. Cambridge. England: Cambridge
University Press.
gitudinal research. Inadequacies of the piecemeal or
Carolina Consortium on Human Development. (1996). De-
variable-oriented approach to the study of developmen- velopmental science: Toward a unified framework. In
tal issues become obvious in well-planned longitudinal R. B. Cairns, G. H. Elder, Jr., & E. J. Costello (Eds.), De-
studies that track individuals over time and contexts. velopmental Science (pp. 1-6). Cambridge. England: Cam-
Such a design is necessary for understanding develop- bridge Iiniversity Press.
mental processes for a number of reasons. One is that Lerner. R. M., & Kauffman. M. B. (1985). The concept of
operating factors necessarily shift over time, both with development in contextualism. Developmental Review 5,
respect to which factors operate, their distinct character 309-3 33 .
per se, and their significance and role in the total in- Magnusson, D. (1995). Individual development: A holistic
tegrated interactive processes of the individual. It is integrated model. In I? Moen, G. H. Elder, Jr., & K.
only the organism that remains distinct and identi- 1,iischer (Eds.), Linking lives and contexts: Perspectives on
the ecology of human development (pp. r9-60). Washing-
fiable.
ton, DC: American Psychological Association.
The Holistic Perspective in the Mainstream of Magnusson, D. (Ed.). (1996). The life-span development of
Life Sciences Research. The definition of develop- individuals: Behaviorid. neurobiological, psychosocial per-
mental science as a well-defined field for scientific in- spwtives. A synthesis. Cambridge, England Cambridge
quiry rests on the holistic view of individual function- University Press.
ing and development. This view is in line with Magnusson. D., & Cairns, R. B. (1996). Developmental sci-
developments in other disciplines concerned with dy- ence: Toward a unified framework. In R. B. Cairns,
namic, complex processes, for example, meteorology, G. H. Elder, Jr., & E. J. Costello (Eds.), Developmental sci-
ecology, chemistry, and biology. ence (pp. 7-30). Cambridge. England: Cambridge Uni-
The contributions from cognitive research, research versity Press.
in biology and medicine, modern models for dynamic Susman. E. J. (T993). Psychological, contextual, and psy-
chobiological interactions: A developmental perspective
complex processes, and longitudinal research have en-
on conduct disorder. Development and Psychopathology,
riched the old holistic view of individual development 5, 18I-T89.
in a way that makes it a fruitful theoretical framework Thelen, E. (1989). Self-organization in developmental pro-
for planning, implementing, and interpreting empirical cesses: Can systems approaches work? In M. R. Gunnar
research in the field of developmental science. The & E. Thelen (Eds.), Systems theory and development
modern holistic view offers us a stable platform for fur- (pp. 77-117). Hillsdale, NJ: Erlbaum.
ther scientific progress in developmental science, ena-
David Magnusson
bling us to fall into step with what happens in other
scientific disciplines in life sciences.

The Role of Psychology in


Developmental Science DEWEY, JOHN (1859-1952), American philosopher,
The proposition that research on individual develop- educator, and psychologist. A native of Burlington, Ver-
ment constitutes a field of research with its special de- mont, Dewey graduated from the University of Vermont
mands on theory, methodology, and research strategy, in 1879. In 1882, after three years as a high school
does not mean that psychology loses its identity as a teacher, he began graduate work in philosophy at Johns
26 DEWEY. TOHN

velopmental science perspective draws the attention scientific discipline. Physics, chemistry, and biology did
to a broader view of the role of context. not lose their special merits as a result of new devel-
The models provide a theoretical basis for the devel- opments in the interfaces among them. Rather, by con-
opment of effective methodological tools for the in- tributing essential knowledge to the field of develop-
vestigation of the interactive, dynamic processes un-
mental science, psychology strengthens its position as
derlying individual functioning and development. The
basis for the claim that the processes of individual a n active partner in the mainstream of scientific pro-
development are accessible to systematic, scientific in- gress in the life sciences.
quiry is that these processes are not random: They [ M a n y of the people mentioned in this article are the
occur in a specific way within organized structures subjects of independent biographical entries.]
and are guided by lawful principles. In natural sci-
ences the formulation of the new models has led to
a strong methodological development. It is important Bibliography
for further real progress in psychological research
that we create methodological tools appropriate to the Barinaga. M. (1997). Visual system provides clues to how
nature of the phenomena of primary concern in de- the brain perceives. Science, 275, 1583-1585.
velopmental science. Cairns, R. B.. Elder, G. H., Jr.. & Costello, E. J. (1996). De-
4. The fourth main source lies in the revival of lon- velopmental science. Cambridge. England: Cambridge
University Press.
gitudinal research. Inadequacies of the piecemeal or
Carolina Consortium on Human Development. (1996). De-
variable-oriented approach to the study of developmen- velopmental science: Toward a unified framework. In
tal issues become obvious in well-planned longitudinal R. B. Cairns, G. H. Elder, Jr., & E. J. Costello (Eds.), De-
studies that track individuals over time and contexts. velopmental Science (pp. 1-6). Cambridge. England: Cam-
Such a design is necessary for understanding develop- bridge Iiniversity Press.
mental processes for a number of reasons. One is that Lerner. R. M., & Kauffman. M. B. (1985). The concept of
operating factors necessarily shift over time, both with development in contextualism. Developmental Review 5,
respect to which factors operate, their distinct character 309-3 33 .
per se, and their significance and role in the total in- Magnusson, D. (1995). Individual development: A holistic
tegrated interactive processes of the individual. It is integrated model. In I? Moen, G. H. Elder, Jr., & K.
only the organism that remains distinct and identi- 1,iischer (Eds.), Linking lives and contexts: Perspectives on
the ecology of human development (pp. r9-60). Washing-
fiable.
ton, DC: American Psychological Association.
The Holistic Perspective in the Mainstream of Magnusson, D. (Ed.). (1996). The life-span development of
Life Sciences Research. The definition of develop- individuals: Behaviorid. neurobiological, psychosocial per-
mental science as a well-defined field for scientific in- spwtives. A synthesis. Cambridge, England Cambridge
quiry rests on the holistic view of individual function- University Press.
ing and development. This view is in line with Magnusson. D., & Cairns, R. B. (1996). Developmental sci-
developments in other disciplines concerned with dy- ence: Toward a unified framework. In R. B. Cairns,
namic, complex processes, for example, meteorology, G. H. Elder, Jr., & E. J. Costello (Eds.), Developmental sci-
ecology, chemistry, and biology. ence (pp. 7-30). Cambridge. England: Cambridge Uni-
The contributions from cognitive research, research versity Press.
in biology and medicine, modern models for dynamic Susman. E. J. (T993). Psychological, contextual, and psy-
chobiological interactions: A developmental perspective
complex processes, and longitudinal research have en-
on conduct disorder. Development and Psychopathology,
riched the old holistic view of individual development 5, 18I-T89.
in a way that makes it a fruitful theoretical framework Thelen, E. (1989). Self-organization in developmental pro-
for planning, implementing, and interpreting empirical cesses: Can systems approaches work? In M. R. Gunnar
research in the field of developmental science. The & E. Thelen (Eds.), Systems theory and development
modern holistic view offers us a stable platform for fur- (pp. 77-117). Hillsdale, NJ: Erlbaum.
ther scientific progress in developmental science, ena-
David Magnusson
bling us to fall into step with what happens in other
scientific disciplines in life sciences.

The Role of Psychology in


Developmental Science DEWEY, JOHN (1859-1952), American philosopher,
The proposition that research on individual develop- educator, and psychologist. A native of Burlington, Ver-
ment constitutes a field of research with its special de- mont, Dewey graduated from the University of Vermont
mands on theory, methodology, and research strategy, in 1879. In 1882, after three years as a high school
does not mean that psychology loses its identity as a teacher, he began graduate work in philosophy at Johns
DEWEY, JOHN 27

t-iopkins (Jniversity, where he studied the new phys- 7896. Dewey used his laboratory to refine his functional
iological psychology with G. Stanley Hall (1844-1924) psychology, his ethical theory, and his concept of de-
and logic with Charles S. Peirce (1839-1914). Given his mocracy, all of which he saw as intimately connected
interest in Charles Ilarwin, G. W. I?. Hegel, and liberal to his educational research.
Congregational theology, however, Dewey gravitated to Dewey later wrote that William Jamess Principles of
the third member of the department, George S. Morris Psychology exerted a major influence on his work dur-
( I 840-1 8 8 9 ) . whose dynamic idealism was inspired ing this period. Like James, Dewey now rejected the idea
by Hegel. On completion of his doctorate in 1884, of a substantive consciousness or ego. He argued in-
Dewey was hired as an instructor at the University of stead that consciousness is a stream of overlapping
Michigan. Except fo.: a brief appointment at the Uni- interests, memories, and habits. From the first, Deweys
versity of Wisconsin, he remained at the University of psychology had been organic and evolutionary. Now, as
Michigan for the next 10 years. In 1886, he married ethics supplanted religion in his thought, it became in-
Harriet Alice Chipman (~858-1927). Their daughter creasingly naturalistic and social. His opposition to
Jane would later write that Alice was instrumental in mind-body dualism remained, but its basis shifted from
awakening in Dewey a critical attitude toward religious idealism to an instrumentalist form of pragmatism.
dogma and social injustice. Alice Chipman Dewey died Mental entities were now treated as tools, products,
in J 927. In I 946, Devvey married Roberta Lowitz Grant and byproducts employed by the organism to effect ad-
(1904-ryp), and iri ~ 9 4 8they adopted two young justment.
children. Dewey died on I June 1952 at his home in Although William Jamess essays from the 1880s
New York City. had exhibited functionalist themes, it is Deweys essay
Deweys earliest articles on psychology attempted to The Reflex Arc Concept in Psychology (1896)that is
reconcile the idealism of Morris with the new experi- generally recognized as the official debut of function-
mental psychology of Hall. The full-frontal attacks on alism in psychology. Instead of attempting to describe
dualism that would be a central feature of his later basic elements of thought, the laws of their combina-
work were already present during this period. He re- tion, and their neurophysiological correlates. as E. B.
jected thc theories of the British empiricists on the Titchener (186yr927) was doing as a part of his
grounds that they treated the elements of sensation as structuralisthntrospectionist program at Cornell. Dewey
prior to experience rather than as products of reflection focused on the behavior of the organism as a whole as
upon it. Psychology must start with experience, he ar- it adapts itself to changing environmental conditions
gued. and it is only $ifterwards that the relations be- and as it reconstructs those conditions to meet its
tween subject and object can be isolated. The task of changing needs. His Reflex Arc essay held that stim-
the psychologist is to show how these relations arise ulus and response are not separate but a coordination,
out of consciousness. and that a stimulus is not external to the organism but
In his Is!ychology (1886), the first textbook for the one of its states. It may be fair to say that Dewey was
new psychology pu Aished by an American, Dewey absorbing structuralism rather than rejecting it out of
continued his efforts to reconcile Hegelian idealism hand. He was prepared to recognize elements and
with experimental psychology. Both Hall and William laws of thought, but only as provisional working
James criticized Deweys approach, however, because of tools utilized by the adjusting organism, and not as ex-
its attempt to rescue idealism and its reliance on soul isting prior to inquiry. as the structuralists claimed.
as a psychological coesept. Although Deweys text was In 1942, the editors of The Psychological ReviPw asked
widely adopted, it was soon supplanted by others, in- seventy prominent psychologists to rank the top five
cluding Jamess own Principles of Psychology (1890). essays published in the journal during its first 49 years.
Deweys revisions of his Psychology exhibited his Deweys Reflex Arc essay was ranked first (H. Lang-
steady movement awa,y from idealism and toward an feld, Psychological Review, 1943. 50, 143-155).
evolutionary naturalism that emphasized the adjust- Psychology and Social Practice, Deweys presiden-
ment of the individual within its environment. This was tial address at the 1899 meeting of the American Psy-
a part of the growing momentum toward what would chological Association, and a companion piece, Psy-
later be known as functional psychology. chology and Philosophic Method (1899), exhibit still
In I 894. Dewey accepted a position at the new Uni- further developments in his understanding of psychol-
versity of Chicago as head of the department of phi- ogy and its relation to philosophy. In these essays.
losophy, which included psychology and pedagogy. His Dewey attacked attempts to construct a science of the
plans for an educational laboratory, which would be to psyche isolated from its social conditions.
education its a scientiiic laboratory was to scientific Thirteen years earlier, in 1886, Dewey the idealist
practice. were realized when the Laboratory School, had argued that philosophy is the science of absolute
also kiiown as the Dewey School, opened its doors in self-consciousness, and that psychology is the science
28 DEWEY, J O H N

of the manifestation of absolute self-consciousness in thought that such a conception tends to isolate hu-
the consciousness of individuals. He had consequently mans from nature and individuals from one another.
characterized psychology as the completed method of Deweys treatment of instincts and habits was at-
philosophy. By 1899, however, as a result of his reading tacked by some, such as William McDougall (1871-
of William James, his collaboration with the Chicago 1938) who argued that Deweysrejection of a fixed tax-
philosopher-sociologist George Herbert Mead (1863- onomy of instincts had undercut the possibility of sys-
1931),and his educational research, Dewey the prag- tematic psychology and that he had failed to provide
matist had jettisoned ,the notion of absolute self- adequate criteria for distinguishing active from passive
consciousness. He had come to view psychology as the habits.
social science that studies what he called sociable(or In Conduct and Experience (1930), Dewey reca-
socializable) individuals and the ways in which con- pitulated many of the psychological themes that he had
scious value and meaning are and can be introduced developed during the 34 years since the Reflex Arc
into human experience. His interest now centered on essay. He attacked both introspectionism and behavior-
the reconstruction of the habits and character of social ism, which he regarded as extremes of psychological
individuals and the reform of cultural institutions. His theory. Introspectionists, such as Wilhelm Wundt
psychology now had profound implications for the phi- (1832-1920), cast their net too widely, he argued, by
losophy of science, education, and democracy. failing to recognize that classification always involves
In 1904, following disagreements with President interpretation. Transaction between organism and en-
William R. Harper (1856-1906) concerning support for vironment is the primary fact of experience. and dif-
his laboratory school, Dewey resigned his position at ferentiation of the structural features of experience, in-
the University of Chicago. He quickly accepted a posi- cluding differentiation into subject and object. follows
tion at Columbia University, where he taught regularly selective abstraction. Behaviorists, on the other hand,
until his appointment as Professor Emeritus of Philos- such as John B. Watson (1878-1958), cast their net too
ophy in Residence in 1930. He entered full retirement narrowly by claiming that immediate stimulus-
in 1939.During these years, Dewey traveled and lec- response features of behavior exhaust experience. Be-
tured widely. He spent 2 years in Japan and China and havioral acts are always nested within a life career, or
visited schools in the Soviet Union, Mexico, and Turkey. what Dewey termed conduct. Avoiding both ex-
In 1937, at the age of 78, he served as chair of the tremes, he argued that the subject matter of psychology
Trotsky Commission hearings in Mexico City, which is the behavior of the organism so far as that is char-
gave the exiled Trotsky a public venue for defending acterized by changes taking place in an activity that is
himself against trumped-up charges brought by Stalin serial and continuous in reference to changes in an
in Moscow. environment that persists although changing in detail.
Although all of Deweys major works during this Put another way, psychology is concerned with the
period have significant implications for psychology, the life-career of individualized activities (Dewey, The Later
only work he devoted specifically to the subject was Works, Vol. ,; p. 224).
Human Nature and Conduct (1922). Responding to what Remarkably, Dewey took little notice of the work of
he regarded as the conservatism of the political left his contemporary, Sigmund Freud (1856-1939). The
(which assumed an acquisitive instinct), the political stark contrast between their views, nevertheless, helps
right (which glorified social Darwinism), and evangeli- put Deweys work in perspective. Freud argued for fixed
cal Christianity (which emphasized original sin), Dewey psychic structures, emphasized the central role of sex-
rejected the term instinct because of its implication ual drives in the formation of personality. held that lib-
of something well organized. In its place he proposed eration is possible only through analysis of the past,
the term impulse, by which he understood something and set out an authoritarian social psychology. Dewey,
loose and undirected. When impulses are directed and on the other hand, argued for the plasticity of the or-
informed, however, they become the basis of habitual ganism, rejected the notion of fixed instincts and drives,
behavior. Conflict of habits releases impulses, and this emphasized the consequences of conscious habit for-
requires the modification of habits. mation for future growth, and set out a democratic so-
Dewey thus emphasized the plasticity of habits and cial psychology.
their centrality in learning and the formation of char- Among Deweys most significant contributions to
acter. He therefore rejected the idea that innate quali- psychology, then, were his devastating arguments
ties are indicators of a fixed intelligence. He was par- against subject-object dualism: his stress on the plastic-
ticularly critical of the tendency of psychoanalysis to ity of habits, especially those of young children: and
transform, as he thought, social results into psychic his insistence that there can be no psychology of the
causes. He continued to stress his rejection of a sub- individual apart from environmental factors, including
stantial mind, soul, or psyche that precedes action. He those that involve education and ethics.
DIABETES 29

Bibliography most cells of the body to be able to take up and utilize


glucose as energy. The absence of adequate insulin ac-
Works by Dewey
tion results in a chronically elevated level of glucose in
Dewey, J. (1967-1990). The collected works of John Dewey, the bloodstream known as hyperglycemia, the major
1882-1953. Edited by J. A. Boydston. Carbondale and diagnostic criterion for diabetes. Early signs of diabetes
Edwardsville, IL: Southern Illinois University Press. The
include frequent urination (a result of hyperglycemia),
standard edition of the works of John Dewey. Published
in three series as The Early Works (EW), The Middle constant thirst due to water loss, and glycosuria or
Works (MW), and The Later Works (LW). Contains each sugar in the urine. In fact, the word diabetes means
of Deweys works mentioned or cited in this article. passing through and mellitus means sweet so the
name of the disease actually refers to one of its com-
Works about Dewey mon symptoms, sweet urine. Other symptoms of dia-
Allport, G. W. (1939).Deweys individual and social psy- betes include weight loss and fatigue, which can result
chology. In P. A. Schilpp and L. E. Hahn (Eds.), The phi- from the bodys need to break down protein, fat, and
losophy of John Dewey (3rd rev. ed., pp. 265-290). La glycogen (a form of carbohydrate stored in muscle) for
Salle, IL: Open Court Press. energy. There are two major types of diabetes mellitus:
Dykhuizen, G. (1973). The life and mind of John Dewey. Car- Type I and Type 2 diabetes.
bondale, IL: Southern Illinois University Press.
Type I or insulin-dependent diabetes mellitus
Hickman, L. A. (1990). John Deweys pragmatic technology.
(IDDM), has an estimated prevalence of 500,000 to 1
Bloomington, IN: Indiana University Press.
Phillips, D. C. (1971). James, Dewey, and the reflex arc. million and an annual incidence of 30,000 in the United
Journal of the History of Ideas. 32, 555-568. States. IDDM is nearly twice as prevalent in Whites as
Rockefeller, S. C. (1991).John Dewey: Religious faith and compared to Blacks or Hispanic Americans and is rare
democratic humanism. New York: Columbia University among Asian Americans (National Diabetes Data Group,
Press. Diabetes in America, 1995). The onset of IDDM usually
Schneider, H. W. (1970). Deweys psychology. In J. A. Boyd- occurs during childhood or early adolescence, which is
ston (Ed.), Guide to the works of John Dewey (pp. 1-14). why it is sometimes called juvenile diabetes. However,
Carbondale, IL: Southern Illinois University Press. Al- the distinguishing feature of Type I diabetes is the com-
though now out of print, this excellent collection of plete or near complete absence of endogenous insulin
essays on Deweys work can be found in many libraries.
secretion. necessitating that persons with IDDM take
Westbrook, R. B. (1991). John Dewey and American democ-
daily insulin injections to survive. Without insulin, the
racy. Ithaca, N Y Cornell University Press.
body is forced to break down protein and fat for energy,
Larru A. Hickman producing byproducts called ketones, which are weak
acids. Left untreated, the eventual outcome of this pro-
cess, known as ketoacidosis, is coma and finally death.
The mechanism by which insulin is depleted in IDDM is
DIABETES is a chronic medical condition that affects now widely understood to be the gradual destruction of
16 million people in the United States, half of whom the insulin-secreting pancreatic beta cells by the bodys
are unaware that they have the disease according to own immune system. The etiology of the disease is not
the National Diabetes Data Group (Diabetes in America, entirely clear, although it appears that as yet unidenti-
1995). Each year more than 169,000 deaths are attrib- fied environmental factors may be at least as important
uted directly to diabetes and many more deaths occur as genetic variables.
as a result of its complications (NIDDK, Diabetes Statis- The most common form of diabetes is Type 2 or non-
tics, NIH Publication No. 96-3926, 1995). Furthermore, insulin-dependent diabetes mellitus. Type 2 diabetes ac-
the financial burden of diabetes in terms of health care counts for 90 to 95% of all diagnosed cases of diabetes
costs, lost wages, and lost productivity is estimated at in the United States with approximately 595,000 new
92 billion dollars annually (American Diabetes Associ- cases being diagnosed annually. Compared with Whites,
ation, 1993). While there is no cure for diabetes, it can the prevalence of Type 2 diabetes is about two times
be treated. The importance of behavioral factors for the greater in Blacks and two to three times greater in His-
effective management of diabetes makes it a topic of panic Americans. Asian Americans also show greater
interest to psychologists. rates of Type 2 diabetes as do Native Americans,
though rates vary widely by tribe. The Pima Indians
Description and Classification have the highest prevalence rate of Type 2 diabetes in
Diabetes mellitus is a term that refers to a group of the world at 50% (National Diabetes Data Group, 1995).
heterogeneous disorders that are characterized by a de- Typically the onset of Type 2 diabetes occurs in adult-
fect in insulin secretion or action. Insulin is a hormone hood and its prevalence increases with age. So as the
secreted by the pancreas that is necessary in order for average life expectancy continues to rise, Type 2 dia-
DIABETES 29

Bibliography most cells of the body to be able to take up and utilize


glucose as energy. The absence of adequate insulin ac-
Works by Dewey
tion results in a chronically elevated level of glucose in
Dewey, J. (1967-1990). The collected works of John Dewey, the bloodstream known as hyperglycemia, the major
1882-1953. Edited by J. A. Boydston. Carbondale and diagnostic criterion for diabetes. Early signs of diabetes
Edwardsville, IL: Southern Illinois University Press. The
include frequent urination (a result of hyperglycemia),
standard edition of the works of John Dewey. Published
in three series as The Early Works (EW), The Middle constant thirst due to water loss, and glycosuria or
Works (MW), and The Later Works (LW). Contains each sugar in the urine. In fact, the word diabetes means
of Deweys works mentioned or cited in this article. passing through and mellitus means sweet so the
name of the disease actually refers to one of its com-
Works about Dewey mon symptoms, sweet urine. Other symptoms of dia-
Allport, G. W. (1939).Deweys individual and social psy- betes include weight loss and fatigue, which can result
chology. In P. A. Schilpp and L. E. Hahn (Eds.), The phi- from the bodys need to break down protein, fat, and
losophy of John Dewey (3rd rev. ed., pp. 265-290). La glycogen (a form of carbohydrate stored in muscle) for
Salle, IL: Open Court Press. energy. There are two major types of diabetes mellitus:
Dykhuizen, G. (1973). The life and mind of John Dewey. Car- Type I and Type 2 diabetes.
bondale, IL: Southern Illinois University Press.
Type I or insulin-dependent diabetes mellitus
Hickman, L. A. (1990). John Deweys pragmatic technology.
(IDDM), has an estimated prevalence of 500,000 to 1
Bloomington, IN: Indiana University Press.
Phillips, D. C. (1971). James, Dewey, and the reflex arc. million and an annual incidence of 30,000 in the United
Journal of the History of Ideas. 32, 555-568. States. IDDM is nearly twice as prevalent in Whites as
Rockefeller, S. C. (1991).John Dewey: Religious faith and compared to Blacks or Hispanic Americans and is rare
democratic humanism. New York: Columbia University among Asian Americans (National Diabetes Data Group,
Press. Diabetes in America, 1995). The onset of IDDM usually
Schneider, H. W. (1970). Deweys psychology. In J. A. Boyd- occurs during childhood or early adolescence, which is
ston (Ed.), Guide to the works of John Dewey (pp. 1-14). why it is sometimes called juvenile diabetes. However,
Carbondale, IL: Southern Illinois University Press. Al- the distinguishing feature of Type I diabetes is the com-
though now out of print, this excellent collection of plete or near complete absence of endogenous insulin
essays on Deweys work can be found in many libraries.
secretion. necessitating that persons with IDDM take
Westbrook, R. B. (1991). John Dewey and American democ-
daily insulin injections to survive. Without insulin, the
racy. Ithaca, N Y Cornell University Press.
body is forced to break down protein and fat for energy,
Larru A. Hickman producing byproducts called ketones, which are weak
acids. Left untreated, the eventual outcome of this pro-
cess, known as ketoacidosis, is coma and finally death.
The mechanism by which insulin is depleted in IDDM is
DIABETES is a chronic medical condition that affects now widely understood to be the gradual destruction of
16 million people in the United States, half of whom the insulin-secreting pancreatic beta cells by the bodys
are unaware that they have the disease according to own immune system. The etiology of the disease is not
the National Diabetes Data Group (Diabetes in America, entirely clear, although it appears that as yet unidenti-
1995). Each year more than 169,000 deaths are attrib- fied environmental factors may be at least as important
uted directly to diabetes and many more deaths occur as genetic variables.
as a result of its complications (NIDDK, Diabetes Statis- The most common form of diabetes is Type 2 or non-
tics, NIH Publication No. 96-3926, 1995). Furthermore, insulin-dependent diabetes mellitus. Type 2 diabetes ac-
the financial burden of diabetes in terms of health care counts for 90 to 95% of all diagnosed cases of diabetes
costs, lost wages, and lost productivity is estimated at in the United States with approximately 595,000 new
92 billion dollars annually (American Diabetes Associ- cases being diagnosed annually. Compared with Whites,
ation, 1993). While there is no cure for diabetes, it can the prevalence of Type 2 diabetes is about two times
be treated. The importance of behavioral factors for the greater in Blacks and two to three times greater in His-
effective management of diabetes makes it a topic of panic Americans. Asian Americans also show greater
interest to psychologists. rates of Type 2 diabetes as do Native Americans,
though rates vary widely by tribe. The Pima Indians
Description and Classification have the highest prevalence rate of Type 2 diabetes in
Diabetes mellitus is a term that refers to a group of the world at 50% (National Diabetes Data Group, 1995).
heterogeneous disorders that are characterized by a de- Typically the onset of Type 2 diabetes occurs in adult-
fect in insulin secretion or action. Insulin is a hormone hood and its prevalence increases with age. So as the
secreted by the pancreas that is necessary in order for average life expectancy continues to rise, Type 2 dia-
30 DIABETES

betes will become increasingly common. IJnlike Type I known as biguanides, and it works by reducing glucose
diabetes, insulin secretion is not absolutely compro- production by the liver and increasing peripheral up-
mised in Type z diabetes, which means that insulin tak- take of glucose. Alpha-glucosidase inhibitors are com-
ing is not strictly necessary for these patients. The na- pounds that reduce the breakdown and therefore ab-
ture of the defect in Type 2 diabetes appears to be sorption of carbohydrate so that the rise in blood
heterogeneous. ::o that for some patients the primary glucose after a meal is attenuated. Finally. thiazolidi-
problem is reduced insulin secretion, while for other nediones (such as troglitazone) are new groups of
patients insulin resistance or the body's lack of re- drugs that work by reducing insulin resistance. While
sponse to insulin may be primary. The etiology of Type oral agents can significantly improve glycemic control
2 diabetes seems to involve a very strong genetic com- in people with Type 2 diabetes, they also have some
ponent. but environment is also important as evidenced risks, including side effects and an increased chance of
by the strong relationship between obesity and Type 2 having a hypoglycemic episode.
diabetes. In the past, people with diabetes were instructed to
Diabetes is associated with a variety of potential eat a high-fat, low-carbohydrate diet since carbohydrate
complications, some of them related to acute changes results in a higher postmeal increase in blood glucose.
in blood glucose and others that develop over time. As However, it is now known that a high-fat diet increases
mentioned previously, a lack of insulin will cause ex- the risk for heart disease. Therefore. the current rec-
tremely high blood glucose levels and may result in ke- ommendation is to eat a balanced diet rich in complex
toacidosis in Type 1 patients. A blood sugar level that carbohydrates and fiber with no more than 30% of cal-
is too low. or hypoglycemia, can also result in a n acute ories from fat. This type of balanced diet has been
crisis. Early signs of hypoglycemia include trembling, shown to maintain or improve metabolic control in
sweating, and headache, and if left untreated confu- Type 2 diabetes patients. Careful attention to the timing
ures. and even a loss of consciousness can and size of meals is also important, particularly for
occur. Most of thi- complications of diabetes, however, Type I diabetes. Skipping meals could lead to hypogly-
are long-term ones. Specifically, people with diabetes cemia in persons with Type I diabetes or in persons
are 2 5 times more likely to develop blindness, 17 times with Type 2 diabetes who are on oral agents. Eating
more likely to get kidney disease, 30 to 40 times more too much, on the other hand, can result in hypergly-
likely to undergo a major amputation and twice as cemia unless the insulin dose is adjusted properly. Over-
likely lo develop coronary artery disease as compared eating is a particular problem for patients with Type 2
to peoplc without diabetes. Since complications have diabetes because the majority of this group are over-
been linked to chronic hyperglycemia. the best way to weight. In these patients, a reduced-calorie diet de-
delay or even prevent the long-term complications of signed to produce weight loss can help improve their
diabetes is by maintaining good metabolic control. glycemic control.
Therelore. treatments that help control high blood Regular physical activity can be very beneficial in
sugar itre of vital importance in reducing the morbidity diabetes since it improves insulin sensitivity and
and mortality asscciated with diabetes. therefore reduces insulin requirements. This IS of great
benefit to people with Type z diabetes since insulin re-
Treatments sistance is one of the main defects of their illness. Also,
All patients with T'ype I diabetes must take several in- regular exercise can promote weight loss, which also
jections 01' insulin 'daily. In order to give themselves the significantly reduces insulin resistance. People with
appropriate dose they must repeatedly measure their Type I diabetes must pay attention to any changes in
blood sugar level b q pricking their finger and analyzing their level of physical activity so that they can adjust
the blood with a portable glucose meter. Now the op- their insulin dose accordingly.
tion of usmg a n insulin pump, a device that delivers a
measured dose of insulin through a catheter, is avail- Psychological and Behavioral Issues
able. The pump may be more convenient than having Noncompliance with diabetes self-care has been iden-
to carry around syringes and vials of insulin. Insulin tified as a behavior that can interfere with successful
is riot required in Type z diabetes, but certain patients treatment. Examples of noncompliance could include
with Type 2 diabetes may still need to use insulin for not taking medications, improperly administering in-
adequate glycemic control. sulin. or not following the diabetes diet. It appears that
'I'herc are several different types of drugs that can some form of noncompliance is present in a large pro-
be taken orally to help lower blood glucose in Type z portion of diabetes patients and that compliance is a
diabetes. Sulfonylureas are probably the most common multidimensional concept. This means that the level of
group of drugs used to treat diabetes and work pri- adherence to the many different behaviors that consti-
marily by stimulating insulin release from pancreatic tute a diabetes regimen are independent of one an-
beta cells. Metformin belongs to the class of drugs other. For example, it has been found that the failure
to take insulin is extremely rare among children with are at risk for diabetes, stress may trigger the onset of
Type I diabetes, but that failure to follow the diet is the disease. In fact, some researchers have found a n
much more common. This may be because not taking association between major life changes and the onset
insulin can have seirious immediate consequences of Type T diabetes. Similarly, anecdotal reports of a
whereas dietary indiscretions may not. In general. it highly stressful event preceding the onset of Type 2
seems that modifications like diet and exercise are diabetes are common. While these observations suggest
harder to maintain than taking pills or insulin. that stress may contribute to the development of dia-
A good deal of attention has been focused on how betes, it is important to point out that stress by itself
to enhance adherence to the diabetes regimen. The de- cannot cause diabetes in the absence of a preexisting
velopmental stage of the patient must be considered genetic vulnerability.
when determining how to maximize compliance. For In persons who have diabetes, stress has the ability
example, in children the family plays a big role in both to worsen their condition. It is ell known that physical
administering care anli encouraging self-care, so a sta- stressors such as illness or surgery result in increases
ble family environment must be fostered. Adolescents in blood glucose. Research has shown that for many
often show very high rates of noncompliance due to a people with diabetes psychological stressors can also be
desire to fit in with their peers and for them a combi- associated with exacerbations of hyperglycemia. The
nation of education and peer social skills training has hyperglycemic effect of stress could be due to its phys-
shown to be helpful, Education about diabetes and iological effects. but stress may also indirectly cause a
about how lo manage it properly is important, but worsening of diabetes by reducing compliance. So.
alone it will not improve compliance. Combining edu- while under stress, people may be more likely to skip
cation with reminderr,. behavior-cueing, social support. their daily exercise, go off their diet. or otherwise ne-
and the use of contingency contracts seems to result glect aspects of their diabetes care regimen.
in improved compliance. A relatively recent innovation A few studies have attempted to determine if behav-
in diabetes care is home glucose monitoring, which al- ioral interventions such as progressive muscle relaxa-
lows the patient to get frequent accurate feedback tion can reduce stress and therefore improve glycemic
about his or her level of control. Some research has control in people with diabetes. While the results are
found that increased compliance with glucose monitor- mixed, it appears that for some people relaxation train-
ing can result in better diabetes control. However, this ing does result in improvements in their diabetes. One
has not always been found, maybe because some people study found that improvements in glycemic control af-
simply check blood sugar without making adjustments ter relaxation training could be predicted by a high
in care in response to the sugar values. score on a measure of trait anxiety. Therefore. it may
The term compliunce implies a passive patient who be that only diabetes patients with certain personality
does as he or she is told, and this is unfortunate be- characteristics benefit from stress management.
cause the patients with the best outcomes are those People with diabetes have a higher prevalence rate
who form a partnership with their doctor in determin- of depression than the general population. The fact that
ing their care. For this reason, many psychologists pre- both Type 2 diabetes and depression are more prevalent
fer to use the term trdherence rather than compliance. in older people may in part account for this. Depression
Mutual agreement on the care regimen predicts com- may also result from the psychological impact of
pliance and better plycemic control, possibly because having diabetes itself, so, people with diabetes may have
the patient feels more involved and in charge of his or disabling complications from their disease or feel over-
her health. Also, it is obvious that even perfect com- whelmed by the complex task of managing their illness
pliance with a poorly planned regimen will not be ben- from day to day. Depression is often found to be more
eficial. therefore. both doctor and patient must work common among people with medical illnesses. and it is
together and exchange information about how well a not yet clear whether the rate of depression in diabetes
treatment is working. With this type of cooperation, is actually higher than the rate in other chronically ill
adherence and thersfore glycemic control can be en- populations. Depression, however, may be particularly
hanced. relevant to diabetes because of certain physiological ef-
Stress may play ii role in both the etiology and the fects associated with it.
treatment of diabetes. The main way that stress impacts Several stress hormones that oppose the action of
diabetes is by triggering the bodys so-called fight or insulin are elevated during a period of clinical depres-
flight response, which mobilizes the bodys energy re- sion. It has been shown that even in people without
sources. One component of this response is an increase diabetes. depression causes insulin resistance. Since
in blood glucose. Normally. the excess glucose is readily people with diabetes already have problems with glu-
taken up into the ce!ls for use as energy, but in diabetes, cose metabolism, depression may cause a worsening of
due to ineffective insulin action, the glucose just ac- their diabetes. Depression could also have a n impact on
cumulates in the bloodstream. Therefore, in people who diabetes control by reducing self-care behaviors. Some
32 DIAGNOSTIC A N D STATISTICAL M A N U A L O F MENTAL DISORDERS

of the symptoms of depression can include fatigue, in- DIAGNOSTIC AND STATISTICAL MANUAL OF
activity, and changes in appetite. It is conceivable that MENTAL DISORDERS. Mental disorders are clinically
these depressive symptoms could negatively impact pa- significant impairments in one or more areas of psy-
tient adherence to the diabetes regimen. Therefore, the chological functioning, including (but not limited to)
accurate diagnosis and treatment of depression in di- thinking, feeling, eating, sleeping, and other important
abetes could be very important in maintaining good components of behavior (Wakefield, 1992). The Diag-
metabolic control. nostic and Statistical Manual of Mental Disorders (DSM)
is a nomenclature of mental disorders developed by the
Conclusion
American Psychiatric Association (DSM-IV, 1994).
Diabetes is a serious chronic illness with tremendous What is included within and excluded from the DSM
personal and social impact. Although it is a medical and how these mental disorders are diagnosed are of
condition, optimal treatment of diabetes demands the substantial importance, as many social, clinical, foren-
consideration of behavioral and psychological issues. sic, and scientific decisions are informed by this text.
These issues include, but are not limited to, increasing Persons within society seeking guidance with respect to
adherence to diabetes self-care behaviors, minimizing whether a behavior pattern is or is not a mental dis-
the impact of stress, and recognizing and treating de- order, will usually turn to the D S M , and there have
pression in diabetes. Psychological research has played been many difficult, controversial decisions (e.g.,
an important role in helping to understand diabetes whether or not certain instances of homosexuality, se-
and will undoubtedly continue to contribute toward the rial rape, or premenstrual syndrome should be consid-
greater goal of achieving the best possible quality of ered to be a mental disorder). The substantial impact
life for people with diabetes. of the DSM on social and clinical decisions is often be-
[See also Nutrition.] moaned, even by the authors of the manual (Pincus,
Frances, Davis, First, & Widiger, 1992). This is because
Bibliography scientific support for many of the D S M diagnoses is
often less than it might be given the social and clinical
Davidson, M. B. (1991).Diabetes mellitus: Diagnosis and importance of the diagnoses. The manual is reasonably
treatment. New York: Churchill Livingstone. consistent with current scientific research, but none of
Geringer, E. S. (1990).Affective disorders and diabetes mel- the diagnostic criteria sets are infallible. There continue
litus. In C. S. Holmes (Ed.). Neuropsychological and be- to be important questions regarding the validity of all
havioral aspects of diabetes. New York: Springer-Verlag. the disorders listed in the manual (Pincus et al., 1992).
Haire-Joshu, D. (1996). Management of diabetes mellitus: A common, uniform diagnostic nomenclature is
Perspectives of care across the lifespan. St. Louis, MO: a necessity within clinical practice. Communication
Mosby-Year Book. Considers diabetes treatment from a
among clinicians regarding etiology, pathology, and
developmental perspective.
Johnson, S. B. (1990). Adherence behaviors and health treatment of psychopathology is exceedingly difficult in
status in childhood diabetes. In C. S. Holmes (Ed.). NKU- the absence of a common language. Prior to the de-
ropsychological and behavioral aspects of diabetes. New velopment of a standard nomenclature, hospitals, clin-
York: Springer-Verlag. ics, and even individual clinicians were using a wide
Kaplan, R. M., Sallis, J. E, & Patterson, T. L. (1993). Health variety of inconsistent diagnoses. Therefore, in 1917
and human behavior. New York: McGraw-Hill. A general the American Medico-Psychological Association (which
introduction to the field of health psychology with a in 1921 became the American Psychiatric Association)
chapter on diabetes. developed a list of 22 disorders for use within hospital
National Diabetes Data Group, National Institutes of settings (Grob, 1991). The list was adopted by most hos-
Health, National Institute of Diabetes and Digestive and pitals until r935, when a revised and expanded version
Kidney Diseases (1995). Diabetes in America (2nd ed.).
was included within the second edition of the Ameri-
NIH Publication No. 95-1468. A detailed and compre-
hensive volume incorporating the latest scientific re- can Medical Association's (AMA) classification of dis-
search on diabetes epidemiology, complications, and eases.
treatment. Includes a chapter on psychosocial aspects The AMA's classification, however, was not adopted
of diabetes. unanimously by all social agencies, in part because it
Surwit, R. S., & Schneider, M. S. (1993). Role of stress in was confined to conditions of importance within in-
the etiology and treatment of diabetes mellitus. Psycho- patient settings. Its limitations became particularly ev-
somatic Medicine, 55, 380-393. ident during World War 11, with the occurrence of
Watkins, P. J., Drury, P. L., & Howell, S. L. (1996). Diabetes many acute disorders that were not recognized within
and its management (5th ed.). Oxford, England: Black- the AMA classification. By the end of World War 11, the
well. A good clinical overview of diabetes and its treat- Army, Navy, and Veterans Administration had all de-
ment.
veloped their own classification systems (Blashfield,
Priti I. Parekh and Richard S. Surwit 1984;Grob, 1 9 9 ~ ) .
32 DIAGNOSTIC A N D STATISTICAL M A N U A L O F MENTAL DISORDERS

of the symptoms of depression can include fatigue, in- DIAGNOSTIC AND STATISTICAL MANUAL OF
activity, and changes in appetite. It is conceivable that MENTAL DISORDERS. Mental disorders are clinically
these depressive symptoms could negatively impact pa- significant impairments in one or more areas of psy-
tient adherence to the diabetes regimen. Therefore, the chological functioning, including (but not limited to)
accurate diagnosis and treatment of depression in di- thinking, feeling, eating, sleeping, and other important
abetes could be very important in maintaining good components of behavior (Wakefield, 1992). The Diag-
metabolic control. nostic and Statistical Manual of Mental Disorders (DSM)
is a nomenclature of mental disorders developed by the
Conclusion
American Psychiatric Association (DSM-IV, 1994).
Diabetes is a serious chronic illness with tremendous What is included within and excluded from the DSM
personal and social impact. Although it is a medical and how these mental disorders are diagnosed are of
condition, optimal treatment of diabetes demands the substantial importance, as many social, clinical, foren-
consideration of behavioral and psychological issues. sic, and scientific decisions are informed by this text.
These issues include, but are not limited to, increasing Persons within society seeking guidance with respect to
adherence to diabetes self-care behaviors, minimizing whether a behavior pattern is or is not a mental dis-
the impact of stress, and recognizing and treating de- order, will usually turn to the D S M , and there have
pression in diabetes. Psychological research has played been many difficult, controversial decisions (e.g.,
an important role in helping to understand diabetes whether or not certain instances of homosexuality, se-
and will undoubtedly continue to contribute toward the rial rape, or premenstrual syndrome should be consid-
greater goal of achieving the best possible quality of ered to be a mental disorder). The substantial impact
life for people with diabetes. of the DSM on social and clinical decisions is often be-
[See also Nutrition.] moaned, even by the authors of the manual (Pincus,
Frances, Davis, First, & Widiger, 1992). This is because
Bibliography scientific support for many of the D S M diagnoses is
often less than it might be given the social and clinical
Davidson, M. B. (1991).Diabetes mellitus: Diagnosis and importance of the diagnoses. The manual is reasonably
treatment. New York: Churchill Livingstone. consistent with current scientific research, but none of
Geringer, E. S. (1990).Affective disorders and diabetes mel- the diagnostic criteria sets are infallible. There continue
litus. In C. S. Holmes (Ed.). Neuropsychological and be- to be important questions regarding the validity of all
havioral aspects of diabetes. New York: Springer-Verlag. the disorders listed in the manual (Pincus et al., 1992).
Haire-Joshu, D. (1996). Management of diabetes mellitus: A common, uniform diagnostic nomenclature is
Perspectives of care across the lifespan. St. Louis, MO: a necessity within clinical practice. Communication
Mosby-Year Book. Considers diabetes treatment from a
among clinicians regarding etiology, pathology, and
developmental perspective.
Johnson, S. B. (1990). Adherence behaviors and health treatment of psychopathology is exceedingly difficult in
status in childhood diabetes. In C. S. Holmes (Ed.). NKU- the absence of a common language. Prior to the de-
ropsychological and behavioral aspects of diabetes. New velopment of a standard nomenclature, hospitals, clin-
York: Springer-Verlag. ics, and even individual clinicians were using a wide
Kaplan, R. M., Sallis, J. E, & Patterson, T. L. (1993). Health variety of inconsistent diagnoses. Therefore, in 1917
and human behavior. New York: McGraw-Hill. A general the American Medico-Psychological Association (which
introduction to the field of health psychology with a in 1921 became the American Psychiatric Association)
chapter on diabetes. developed a list of 22 disorders for use within hospital
National Diabetes Data Group, National Institutes of settings (Grob, 1991). The list was adopted by most hos-
Health, National Institute of Diabetes and Digestive and pitals until r935, when a revised and expanded version
Kidney Diseases (1995). Diabetes in America (2nd ed.).
was included within the second edition of the Ameri-
NIH Publication No. 95-1468. A detailed and compre-
hensive volume incorporating the latest scientific re- can Medical Association's (AMA) classification of dis-
search on diabetes epidemiology, complications, and eases.
treatment. Includes a chapter on psychosocial aspects The AMA's classification, however, was not adopted
of diabetes. unanimously by all social agencies, in part because it
Surwit, R. S., & Schneider, M. S. (1993). Role of stress in was confined to conditions of importance within in-
the etiology and treatment of diabetes mellitus. Psycho- patient settings. Its limitations became particularly ev-
somatic Medicine, 55, 380-393. ident during World War 11, with the occurrence of
Watkins, P. J., Drury, P. L., & Howell, S. L. (1996). Diabetes many acute disorders that were not recognized within
and its management (5th ed.). Oxford, England: Black- the AMA classification. By the end of World War 11, the
well. A good clinical overview of diabetes and its treat- Army, Navy, and Veterans Administration had all de-
ment.
veloped their own classification systems (Blashfield,
Priti I. Parekh and Richard S. Surwit 1984;Grob, 1 9 9 ~ ) .
DIAGNOSTIC A N D STATISTICAL M A N U A L O F M E N T A L DISORDERS 33

There was also a need internationally for a common clusion of more systematic and detailed information in
language of psychopathology. The diversity of nomen- the text discussion of each disorder concerning the as-
clatures within the United States paled in comparison sociated features, course, complications, impairment,
to the diversity around the world. Therefore, in 1948. prevalence, differential diagnosis, sex ratio, familial pat-
the World Health Organization (WHO) included a sec- tern, and other information relevant to the diagnosis
tion devoted to the diagnosis of mental disorders in the of the disorder. A third innovation was the inclusion
sixth edition of the international Classification of Diseases of a multiaxial diagnostic system. Most of the mental
( I C B 6 ) . The ICD-6 however, also failed to be adequate disorders were diagnosed on Axis I. Axis I1 was reserved
for clinicians treating the casualties of World War 11. in DSM-III for personality disorders (and for specific
Notably absent wen: many of the personality and ad- developmental disorders), to ensure that clinicians not
justment disorders 1 hat were frequently being seen in overlook the possible presence of a personality disorder
veterans hospitals. In I952 the American Psychiatric when their attention is focused primarily upon a more
Association developzd a version of the I C D - 6 , which acute, immediate condition. Axis I11 was for physical
became the first edition of the DSM, for the application disorders. Axis IV for severity of psychosocial stressors.
of I C B h within the United States (Blashfield, 1984: and Axis V for an assessment of the highest level of
Grob. 1991). adaptive functioning during the past year (Spitzer et al..
Although the mental disorders section of ICD-7 was 1980). These additional axes were included to facilitate
essentially identical 1 o ICD-6, the authors of ICD-8 an- a recognition that an informative clinical assessment is
ticipated substantial revisions to ICD-7. The American not confined simply to the determination of which
Psychiatric Associal ion (APA) therefore determined mental disorder is present.
that it would he advisable to revise DSM-I in coordi- DSM-Ill proved to be enormously successful. al-
nation with I C B X . It was important to revise the DSM though it was not without substantial controversy. One
so it was compatible with the ICD. But it was also im- of the major issues at the time was the proposed re-
portant to influence the ICD revision to increase its con- moval from the manual of particular psychodynamic
sistency with the DSM (Frances, Pincus, Widiger, Davis, concepts (e.g., neurosis) (Blashfield,1984; Spitzer et al.,
& First, 1990). Coordination with the ICD is essential 1980). Some felt that their removal reflected a political
for international communication and for meaningful struggle between opposing theoretical perspectives
membership and participation within the WHO. (i.e., neurochemical versus psychodynamic psychiatry).
The impetus for DSM-Ill was the development of Most of the original (Feighner et al., 7972) researchers
ICD-9. By this time, however, the diagnosis of mental were biologically oriented and some were indeed critical
disorders was receiving substantial criticism (Blashfield, of psychodynamic theory and treatment. However, the
1984). One fundamental concern was the unreliability decreasing impact of the psychodynamic concepts was
of clinicians diagnoses. If a patients symptomatology also simply a valid reflection of the status of the sci-
received different diagnoses from different clinicians, entific research.
there was unlikely to be much validity to the diagnoses However, the development of specific, explicit criteria
(e.g., if two cliniciar s provide different diagnoses, at also had limitations. It is much easier to provide general
least one of them is likely to he wrong). DSM-I1 had descriptions of mental disorders than it is to develop
not been particularly helpful in addressing this problem unambiguous diagnostic criteria. There is insufficient
(Blashfield. I 984; Spitzer, Williams, & Skodol, 1980). knowledge regarding most mental disorders for diag-
The diagnostic criteria provided within the manual nostic boundaries to be defined so precisely that no di-
consisted of only brifbf, narrative descriptions of each agnostic errors will occur (Clark, Watson, & Reynolds,
disorder. There was no indication of which of the de- 1995).Explicit, specific criteria are preferable to vague,
scriptors were necessz ry and which were optional, and general criteria because the source of errors are more
there was no guidance as to how to interpret or apply readily identified. The authors of DSM-Ill, however, of-
the criteria in clinical practice. Many researchers, ten had to develop specific inclusion and exclusion cri-
therefore, developed their own diagnostic criteria for teria in the absence of sufficient knowledge regarding
the disorders included within the DSM-11. They indi- the likely effects and even validity of these criteria (Wi-
cated empirically that the reliability of mental disorder diger, Frances, Pincus, Davis. & First. 1991). For ex-
diagnoses can be obtained if ambiguities within the cri- ample, even before DSM-111 was published in 1980, the
teria set arc removed and interviewers systematically authors recognized that the exclusion of the diagnosis
assessed and adhered to the criteria sets. The most in- of panic disorder in the presence of a major depressive
fluential of these efforts were the research criteria for disorder was a mistake (i.e., panic disorder can occur
16 mental disorders developed by Feighner et al. (1972). during the course of a major depressive disorder).
DSM-III. therefore, included relatively more explicit, The American Psychiatric Association therefore au-
specific diagnostic criteria for each disorder (Spitzer et thorized the development of a revision of DSM-I11 to
al.. 1980). Another innovation of DSM-I11 was the in- correct the more obvious errors. This revision was not
34 DIAGNOSTIC A N D STATISTICAL M A N U A L OF M E N T A L DISORDERS

coordinated with a forthcoming revision of the ICD, is hard to determine (Frances et al., 1990; Pincus et al.,
and was to be completed by 1985. By the time DSM- 1992). One approach is to develop variations on the
Ill-R was published in 1987, however, the WHO had manual for different needs, as the ICD-10 has done for
begun work on the development of I C P r o . The year research settings, and the American Psychiatric Asso-
after DSM-111-R was published (Frances et al., 1990), ciation has done for primary care physicians. The
work began on the development of DSM-IV, in collab- DSM-lV is in fact itself a variation on the ICD-ro for
oration with ICD-10. The authors of DSM-IV were also application within the United States. The coordination
given an additional mandate to provide more explicit of DSM-IV with ICD-10, however, also provides a sub-
documentation of the scientific support for any revi- stantial constraint on its flexibility. For example, body
sions to the nomenclature (Frances et al., 1990). DSM- dysmorphic disorder and hypochondriasis are recog-
I l l , and perhaps to an even greater extent DSM-111-R, nized within the United States as being quite distinct
included a number of controversial diagnoses which conditions, but DSM-1V must provide the same code
may have lacked sufficient empirical support. Four di- number for these two disorders because the I C P I O
agnoses approved for inclusion by the authors of DSM- makes no distinction between them. However, viable
Ill-R were overturned by the board of trustees of the alternatives to the DSM-IV are being developed, in-
American Psychiatric Association, three of the diag- cluding, for example, a dimensional classification of
noses being included in an appendix to DSM-Ill-R (i.e., personality disorders (Costa & Widiger, 1994) and a
late luteal phase dysphoric disorder, self-defeating per- classification of relational pathology (Kaslow, 1996).
sonality disorder, and sadistic personality disorder) and [See also International Classification of Diseases.]
one was deleted entirely (i.e., paraphiliac rapism).
The authors of DSM-IV therefore developed a more
explicit process by which decisions were made, empha- Bibliography
sizing a systematic and comprehensive obtainment, re-
view, and documentation of scientific, empirical sup- American Psychiatric Association. (1994). Diagnostic and
port. This process included extensive reviews of the statistical manual of mental disorders (4th ed.). Washing-
published literature, reanalyses of existing data sets, ton, DC: Author.
and field trials (Widiger et al., 1991). Only a few new Blashfield, R. K. (1984). The classification of psychopathol-
ogy. Neo-Kraepelinian and quantitative approaches. New
diagnoses were given an official recognition in DSM-lV
York: Plenum Press. Scientific and historical overview
(e.g., acute stress disorder), many controversial propos-
of the diagnosis of psychopathology.
als were placed within an appendix to the manual for Caplan, P. J. (1995). They say youre crazy. How the worlds
proposals needing further research (e.g.. premenstrual most powerful psychiatrists decide whos normal. Reading,
dysphoric disorder, factitious disorder by proxy, and dis- MA: Addison-Wesley. Feminist critique of the DSM-IV.
sociative trance disorder), and a few disorders that had Clark, L. A., Watson, D., & Reynolds, S. (1995). Diagnosis
been included in DSM-Ill-R that lacked sufficient em- and classification of psychopathology: Challenges to the
pirical support were deleted (e.g., idiosyncratic alcohol current system and future directions. Annual Review of
intoxication). Psychology, 46, 121-153. Scientific review of the diag-
Some degree of dispute and controversy with respect nosis of mental disorders.
to the DSM, however, is perhaps unavoidable. DSM-lV Costa, P. T.. & Widiger, T. A. (Eds.). (1994). Personality
disorders and the five-factor model of personality. Wash-
is useful in providing a common language for mental
ington, DC: American Psychological Association. Alter-
health clinicians, but clinicians can vary widely with native dimensional model for the diagnosis of person-
respect to their clinical perspectives and theoretical ori- ality disorders.
entations, and it is difficult to develop a scientifically Feighner, J. ?,Robins, E., Guze, S. B., Woodruff, R. A., Wi-
validated classification that is equally suitable for every nokur, G.. & Munoz, R. (1972).Diagnostic criteria for
theoretical perspective (Frances et al., 1990). Theoreti- use in psychiatric research. Archives of General Psychi-
cal perspectives (Kaslow, 1996), professional organiza- atry, 26, 57-63. Widely cited, influential study that had
tions (Schacht & Nathan, 1977). and social interest major impact on development of DSM-III.
groups (Caplan, 1995) have often felt inadequately rep- Frances, A., Pincus, H. A., Widiger. T. A,, Davis, W. W., &
resented or considered in the development of the DSM. First, M. B. (1990). DSM-IV Work in progress. Ameri-
An additional difficulty is the pressure for the man- can Journal of Psychiatry, ~ 4 1439-1448.
7 ~ Overview of
the rationale and issues in the development of DSM-
ual to be optimal for use across a wide diversity of set-
IV.
tings (e.g., private practice, inpatient, and forensic set- Grob, G. N. (1991). Origins of DSM-I: A study in appear-
tings) and needs (e.g., decisions concerning treatment, ance and reality. American Journal of Psychiatry, 148,
hospitalization, criminal responsibility, disability claims, 421-431. Overview of psychiatric diagnosis prior to the
insurance reimbursement, and research). No single first edition of the DSM.
manual is likely to be optimal for all settings and needs, Kaslow, F. W. (Ed.). (1996). Handbook of relational diagnosis
and the ideal balance among these conflicting demands and dysfunctional family patterns. New Y o r k Wiley. Al-
DIETING 35

ternative classification of dysfunctional or pathologic diet is used. In the paper by French and colleagues men-
marital and family relationships. tioned above, the percentage of people who said they
Pincus, H.. Frances, A., Davis, W., First, M., & Widiger, T. were dieting ranged from 17 to 28%, while 82% re-
(1992). DSM-IV ,md new diagnostic categories: Hold- ported engaging in intentional behaviors for the pur-
ing the line on proliferation. American Journal of Psy-
pose of weight control. It appears that approximately
chiatr.y, 149. 112-117. Discussion of the empirical sup-
three quarters of women and two thirds of men engage
port and rationale for the inclusion or exclusion of
diagnoses from the DSM. in specific behaviors for the purpose of weight control,
Schacht, T. E., 6; Nathan, P. E. (1977). But is it good for the and about 50% of women and 33% of men would label
psychologists? Aporaisal and status of DSM-Ill. Amer- what they do as a diet. It is widely assumed that Black
ican Psychologist, 32, 1017-1025. Critique of DSM-III and Hispanic women, while having the highest preva-
by representative: of the American Psychological As- lence of obesity, are less preoccupied with weight than
sociation. are whites, and therefore diet less. Recent reports sug-
Spitzer, K. I,., Williams. J. B. W.. & Skodol, A. E. (1980). gest that social class differences, rather than race, may
DSM-111. the malor achievements and an overview. explain these results.
Aniencari Journal I$ Psychiatry, 137,151-164. Descrip- To the degree that dieting holds the potential for
tion and rationak for the major features and innova-
harm, rates in children are frightening. At the age
tions of DSM-111.
when proper nutrition is essential for development
Wakefield. J C. (1992). The concept of mental disorder. On
the boundary bet ween biological facts and social val- and when body image is being formed, food restric-
ues. Arnrncati Psy-hobgist, 47, 373-388. Discussion of tion and body image discontent are common. Sur-
the concept of a mental disorder. veys of girls 9 to 18 years of age find as many as
Widiger, T., Frances, A., Pincus, H., Davis, W., & First, M. 70% restricting food intake. Girls, and to a lesser ex-
( 1991). Toward an empirical classification for DSM-IV. tent boys, report concern with appearance and diet-
Joiirnnl o/ Abnormril PsychoIogy, roo, 280-288. Descrip- ing as early as the third grade. Reports have now
tion and rationale of the scientific process for the de- appeared showing cases of failure to thrive in infants
velopment of DSI\/I-IV. of parents who restrict the childs intake in hopes of
Thomas A. Widiger preventing obesity.
A number of behaviors can be subsumed under the
term dieting. These range from practices as debilitating
as nearly total calorie restriction to those as reasonable
DIETING lies at the heart of a controversy that has as making modest reductions in dietary fat. The field is
polarized many health professionals and has put the moving beyond the global concept of dieting to exam-
eating disorders and obesity fields at odds with one an- ine specific behaviors and attitudes.
other. For example, French, Jeffery, and Murray (1999)
conclude that many specific weight control strategies The Social Origins of Dieting
are effective and produce weight control effects in a In most industrialized countries, particularly the United
dose-response fashion with duration. Conversely, Po- States, extreme importance is attached to physical ap-
livy (199h), in a review of the literature on dieting as pearance. This, combined with highly unrealistic ideals
a remedy for overweight, concludes that dieting may be for what constitutes desirable weight and shape, creates
more dangerous than the problem it seeks to solve, what has been called normative discontent. Most people
problems blamed on overweight may be caused by diet- internalize: (a) the unrealistic standard for a thin and
ing. and the pursuit of ever more rigorous dieting has sculpted body: (b) the belief that personal effort, if suf-
predictable and quite negative consequences. ficient, can provide the ideal body: and (c) the notion
Professionals concerned with the epidemic of obesity that an imperfect body reflects an imperfect person. The
and its serious health and psychosocial consequences predictable response is an attempt to control the be-
see dieting as a solution. Those concerned with eating haviors that govern weight.
disorders see dieting as primary pathology, This debate When dieting fails to deliver the perfect body, the
generates extreme arguments, with passions often pre- appropriate but atypical response is to adjust goals to
vailing over science. The purpose of this chapter is to be more realistic, abandon arbitrary and destructive
discuss the consequences of dieting and to identify in social norms, and accept the body weight that fol-
whom. under what conditions, and for what purposes lows from a sensible eating and exercise plan. The
dieting is helpful or harmful. more typical response is self-blame and more rigid
dieting. The internal attribution for failure is sup-
Prevalence and IDistribution in ported by diet advertisements promising miracle re-
the Population sults, promotions for exercise equipment and health
Estimates on the prevalence of dieting vary depending clubs, pictures of fashion models, and multiple other
on how the term is defined. or even whether the word messages.
DIETING 35

ternative classification of dysfunctional or pathologic diet is used. In the paper by French and colleagues men-
marital and family relationships. tioned above, the percentage of people who said they
Pincus, H.. Frances, A., Davis, W., First, M., & Widiger, T. were dieting ranged from 17 to 28%, while 82% re-
(1992). DSM-IV ,md new diagnostic categories: Hold- ported engaging in intentional behaviors for the pur-
ing the line on proliferation. American Journal of Psy-
pose of weight control. It appears that approximately
chiatr.y, 149. 112-117. Discussion of the empirical sup-
three quarters of women and two thirds of men engage
port and rationale for the inclusion or exclusion of
diagnoses from the DSM. in specific behaviors for the purpose of weight control,
Schacht, T. E., 6; Nathan, P. E. (1977). But is it good for the and about 50% of women and 33% of men would label
psychologists? Aporaisal and status of DSM-Ill. Amer- what they do as a diet. It is widely assumed that Black
ican